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FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND
Date Filed :
May 13, 2022
View Exhibits
SEC FORM 5
SEC Form 5
FORM 5
UNITED 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
*
CHAD EISENBERG
(Last)
(First)
(Middle)
225 WEST WACKER DRIVE
SUITE 2100
(Street)
CHICAGO
IL
60606
(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)
Director
10% Owner
X
Officer (give title below)
Other (specify below)
Treasurer
3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)
03/31/2022
4. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X
Form filed by One Reporting Person
Form filed by More than One Reporting Person
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 SHARES
09/01/2021
J
(1)
0.15
A
$
27.57
38
I
VFT Holdings LP (FORMERLY VIVALDI HOLDINGS LLC)
CLASS A COMMON SHARES
10/06/2021
J
(1)
0.15
A
$
27.95
38
I
VFT Holdings LP (FORMERLY VIVALDI HOLDINGS LLC)
CLASS A COMMON SHARES
11/03/2021
J
(1)
0.16
A
$
28.01
38
I
VFT Holdings LP (FORMERLY VIVALDI HOLDINGS LLC)
CLASS A COMMON SHARES
12/01/2021
J
(1)
0.15
A
$
27.91
38
I
VFT Holdings LP (FORMERLY VIVALDI HOLDINGS LLC)
CLASS A COMMON SHARES
12/10/2021
J
(1)
0.47
A
$
27.58
38
I
VFT Holdings LP (FORMERLY VIVALDI HOLDINGS LLC)
CLASS A COMMON SHARES
02/02/2022
J
(1)
0.16
A
$
27.66
38
I
VFT Holdings LP (FORMERLY VIVALDI HOLDINGS LLC)
CLASS A COMMON SHARES
03/02/2022
J
(1)
0.16
A
$
27.58
38
I
VFT Holdings LP (FORMERLY VIVALDI HOLDINGS LLC)
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 Exercisable
Expiration Date
Title
Amount or Number of Shares
Explanation of Responses:
1. DIVIDEND REINVESTMENT
MARC BASSEWITZ
05/13/2022
** Signature of Reporting Person
Date
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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