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    First Trust Specialty Finance and Financial Opportunities Fund filed SEC Form 8-K: Regulation FD Disclosure, Financial Statements and Exhibits

    5/6/25 9:29:29 AM ET
    $FGB
    Finance/Investors Services
    Finance
    Get the next $FGB alert in real time by email
    false 0001392994 0001392994 2025-05-06 2025-05-06 iso4217:USD xbrli:shares iso4217:USD xbrli:shares xbrli:pure

    UNITED STATES

    SECURITIES AND EXCHANGE COMMISSION

    Washington, D.C. 20549

     

    FORM 8-K

    CURRENT REPORT

    Pursuant to Section 13 or 15(d) of

    the Securities Exchange Act of 1934

     

    Date of Report (Date of earliest event reported): May 6, 2025

     

    ______________________________

     

    First Trust Specialty Finance and Financial Opportunities Fund

    (Exact name of registrant as specified in its charter)

     

    Massachusetts 811-22039 06-1810845
    (State or other jurisdiction (Commission File Number) (IRS Employer
    of incorporation)   Identification No.)

     

    120 East Liberty Drive, Suite 400

    Wheaton, Illinois

    (Address of principal executive offices)

    60187

    (zip code)

     

    Registrant’s telephone number, including area code: (630) 765-8000

     

    _______________________________________________________

    (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):

    ☐    Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

    ☐    Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

    ☐    Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

    ☐    Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

    Securities registered pursuant to Section 12(b) of the Act:

    Title of class Trading Symbol Name of Exchange on which registered
    Common stock, $0.01 par value per share FGB New York Stock Exchange

    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 7.01Regulation FD Disclosure.

    Shareholders of FGB, a diversified, closed-end management investment company organized as a Massachusetts business trust, have approved the reorganization of FGB with and into FT Confluence BDC & Specialty Finance Income ETF, a newly formed series of First Trust Exchange-Traded Fund VIII (“FBDC”). Subject to the satisfaction of certain customary closing conditions, the reorganization of FGB into FBDC is expected to close prior to the end of 2025, or as soon as practicable thereafter.

    Item 9.01Financial Statements and Exhibits.

     

    (d)Exhibits.

     

    Exhibit    
    Number   Description
    99.1   Press Release, dated May 6, 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: May 6, 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 May 6, 2025.

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