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FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND

Date Filed : May 15, 2023

SEC FORM 5SEC Form 5
FORM 5UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0362
Estimated average burden
hours per response:1.0
  
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
  
Form 3 Holdings Reported.
  
Form 4 Transactions Reported.
1. Name and Address of Reporting Person*
PECK MICHAEL D

(Last)(First)(Middle)
225 W WACKER DRIVE
21ST FLOOR

(Street)
CHICAGOIL60606

(City)(State)(Zip)
2. Issuer Name and Ticker or Trading Symbol
FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND [ VFLAX ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director10% Owner
XOfficer (give title below)Other (specify below)
PRESIDENT
3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)
03/31/2023
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
Rule 10b5-1(c) Transaction Indication

  
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Amount(A) or (D)Price
CLASS A COMMON SHARES04/06/2022J(1)0.16A$27.5940.73IVFT HOLDINGS LP(2)
CLASS A COMMON SHARES05/04/2022J(1)0.16A$27.5440.73IVFT HOLDINGS LP(2)
CLASS A COMMON SHARES06/01/2022J(1)0.16A$26.9840.73IVFT HOLDINGS LP(2)
CLASS A COMMON SHARES07/06/2022J(1)0.16A$26.7440.73IVFT HOLDINGS LP(2)
CLASS A COMMON SHARES08/03/2022J(1)0.16A$26.6540.73IVFT HOLDINGS LP(2)
CLASS A COMMON SHARES09/07/2022J(1)0.16A$26.7340.73IVFT HOLDINGS LP(2)
CLASS A COMMON SHARES10/05/2022J(1)0.16A$26.4540.73IVFT HOLDINGS LP(2)
CLASS A COMMON SHARES11/02/2022J(1)0.16A$26.2940.73IVFT HOLDINGS LP(2)
CLASS A COMMON SHARES12/07/2022J(1)0.16A$26.2740.73IVFT HOLDINGS LP(2)
CLASS A COMMON SHARES12/09/2022J(1)0.81A$25.7540.73IVFT HOLDINGS LP(2)
CLASS A COMMON SHARES02/01/2023J(1)0.24A$25.9440.73IVFT HOLDINGS LP(2)
CLASS A COMMON SHARES03/01/2023J(1)0.24A$25.9640.73IVFT HOLDINGS LP(2)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. DIVIDEND REINVESTMENT
2. MR. PECK DISCLAIMS BENEFICIAL OWNERSHIP OF THESE SECURITIES EXCEPT TO THE EXTENT OF HIS PECUNIARY INTEREST THEREIN.
MARC BASSEWITZ05/15/2023
** Signature of Reporting PersonDate
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
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