| Stock | Role | Class | Num Shares | Value | Price $ | Report Date | Ownership |
|---|---|---|---|---|---|---|---|
| First Trust Private Assets Fund | 10%+ Owner | Common Shares | 10K | Jan 3, 2023 | First Trust Capital Management L.P. | ||
| FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND | CEO OF FORMER ADVISER | CLASS I COMMON SHARES | 7.53K | Mar 3, 2022 | HELD BY SPOUSE AND STEP-CHILDREN | ||
| FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND | CEO OF FORMER ADVISER | CLASS I COMMON SHARES | 4.5K | Mar 31, 2022 | Direct | ||
| FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND | CEO OF FORMER ADVISER | CLASS A COMMON SHARES | 38 | Mar 3, 2022 | VFT Holdings LP (FORMERLY VIVALDI HOLDINGS LLC) | ||
| First Trust Private Assets Fund | 10%+ Owner | Common Shares | $3.97M | Jan 3, 2023 | VFT Holdings LP |
| Symbol | Company | Period | Transactions | Value $ | Form Type | Date Filed | Role |
|---|---|---|---|---|---|---|---|
| N/A | First Trust Private Assets Fund | Jan 3, 2023 | 0 | $0 | 3 | Apr 6, 2023 | 10%+ Owner |
| VFLEX | FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND | Mar 31, 2022 | 4 | $948 | 5 | May 16, 2022 | CEO OF FORMER ADVISER |
| VFLEX | FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND | Dec 1, 2021 | 5 | -$51.5K | 4 | Jan 4, 2022 | CEO OF FORMER ADVISER |
| VFLEX | FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND | Aug 4, 2021 | 9 | $255K | 4 | Nov 12, 2021 | FORMER CEO OF ADVISER |
| VFLAX | Relative Value Fund | Jun 2, 2021 | 3 | $1.87K | 4 | Aug 4, 2021 | CEO OF ADVISER |
| VFLEX | Relative Value Fund | May 21, 2021 | 2 | $13.2K | 4 | May 24, 2021 | CEO OF ADVISER |
| VFLEX | Relative Value Fund | Apr 7, 2021 | 4 | $13.8K | 4/A | Aug 4, 2021 | CEO OF ADVISER |
| VFLEX | Relative Value Fund | Mar 31, 2021 | 4 | -$18.6K | 5 | May 14, 2021 | CEO OF ADVISER |