First Trust Specialty Finance and Financial Opportunities Fund filed SEC Form 8-K: Regulation FD Disclosure, Financial Statements and Exhibits
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM
CURRENT REPORT
Pursuant to Section 13 or 15(d) of
the Securities Exchange Act of 1934
Date of Report (Date of earliest event
reported):
______________________________
(Exact name of registrant as specified in its charter)
| (State or other jurisdiction | (Commission File Number) | (IRS Employer |
| of incorporation) | Identification No.) |
|
(Address of principal executive offices) |
(zip code) |
Registrant’s telephone number, including area
code: (
_______________________________________________________
(Former Name or Former Address, if Changed Since Last Report.)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
Securities registered pursuant to Section 12(b) of the Act:
| Title of class | Trading Symbol | Name of Exchange on which registered |
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).
Emerging growth company
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐
| Item 7.01 | Regulation FD Disclosure. |
First Trust Specialty Finance and Financial Opportunities Fund (“FGB”) is filing herewith a press release issued on March 5, 2025, as Exhibit 99.1. The press release was issued by First Trust Advisors L.P. (“FTA”) announced today that proxy materials for the proposed reorganization of First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB), a closed-end fund managed by FTA, with and into FT Confluence BDC & Specialty Finance Income ETF (the “ETF”), a newly formed series of First Trust Exchange-Traded Fund VIII (the “Reorganization”) have been mailed to shareholders. Shareholders of record of FGB as of the close of business on January 10, 2025 are entitled to vote on the Reorganization at the special meeting of shareholders to be held at 12:00 p.m. Central time on April 21, 2025 (the “Meeting”).
| Item 9.01 | Financial Statements and Exhibits. |
| (d) | Exhibits. |
| Exhibit | ||
| Number | Description | |
| 99.1 | Press Release, dated March 5, 2025. |
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
| Dated: March 5, 2025 | FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND | |
| By: | /s/ W. Scott Jardine | |
| Name | W. Scott Jardine | |
| Title: | Secretary |
EXHIBIT INDEX
| Exhibit | ||
| Number | Description | |
| 99.1 | Press Release, dated March 5, 2025. |