Raymond James & Associates First Trust Specialty Finance & Financial Opportunities Fund Transaction History

Raymond James & Associates

$161 Billion
Q3 2024

Shares

7 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q1 2021 May 14, 2021	SELL	$3.12 - $3.99 $44,163 - $56,478	-14,155 Closed	0 $0
Q4 2020 Feb 12, 2021	BUY	$2.34 - $3.34 $33,122 - $47,277	14,155 New	14,155 $44,000
Q2 2018 Aug 14, 2018	SELL	$5.87 - $6.26 $68,138 - $72,666	-11,608 Closed	0 $0
Q1 2018 May 14, 2018	SELL	$5.88 - $6.6 $161,711 - $181,513	-27,502 Reduced 70.32%	11,608 $70,000
Q4 2017 Feb 14, 2018	BUY	$6.14 - $7.0 $144,302 - $164,514	23,502 Added 150.58%	39,110 $240,000
Q3 2017 Nov 13, 2017	BUY	$6.49 - $7.31 $9,735 - $10,965	1,500 Added 10.63%	15,608 $107,000
Q2 2017 Aug 14, 2017	BUY	N/A	14,108	14,108 $102,000

Others Institutions Holding FGB

# of Institutions

43

Shares Held

5.4M

Call Options Held

0

Put Options Held

0

Sit Investment Associates Inc Minneapolis, MN

1.15M
Shares

$4.43 Million
0.12% of portfolio
Lpl Financial LLC Fort Mill, SC

1.04M
Shares

$4.02 Million
0.0% of portfolio
Saba Capital Management, L.P. New York, NY

699K
Shares

$2.71 Million
0.08% of portfolio
Morgan Stanley New York, NY

617K
Shares

$2.39 Million
0.0% of portfolio
Rivernorth Capital Management, LLC West Palm Beach, FL

262K
Shares

$1.02 Million
0.07% of portfolio

About FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUND

Ticker FGB
Exchange NYSE
Sector Financial Services
Industry Asset Management
Description
First Trust Specialty Finance and Financial Opportunities Fund is a closed-ended equity mutual fund launched and managed by First Trust Advisors L.P. It is co-managed by Confluence Investment Management LLC. The fund invests in the public equity markets of the United States. It seeks to invest in stocks of companies operating in the specialty fi...

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