David A. Sternberg - 31 Mar 2022 Form 5 Insider Report for FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND (VFLEX)

Reporting relationship: CEO OF FORMER ADVISER
Issuer ticker: VFLEX
Reported as of: 31 Mar 2022
Net transaction value: +$948
SEC form: 5
Accepted by SEC: 16 May 2022, 08:58:22 UTC
Prior SEC filing: 04 Jan 2022
Next SEC filing: 06 Apr 2023
Source filing: View source filing
Reporting owner signature: MARC BASSEWITZ

Key filing fact

David A. Sternberg filed Form 5 for FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND (VFLEX) on 16 May 2022.

Key facts

This page summarizes David A. Sternberg's Form 5 filing for FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND (VFLEX).
4 reported transactions and 0 derivative rows are listed below.
Accepted by SEC: 16 May 2022, 08:58.

Change

Previous filing in this sequence was filed on 04 Jan 2022.
Current net transaction value: +$948.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Official SEC source

Ownership activity is grounded in SEC Form 5 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

VFLEX transaction

CLASS A COMMON SHARES

Other

Transaction value: $4.43
Shares: +0
Change %: +0.42%
Price: $27.66^*
Shares after: 38
Date: 02 Feb 2022
Ownership: VFT Holdings LP (FORMERLY VIVALDI HOLDINGS LLC)
Footnotes: F1

VFLEX transaction

CLASS A COMMON SHARES

Other

Transaction value: $4.41
Shares: +0
Change %: +0.42%
Price: $27.58^*
Shares after: 38
Date: 03 Mar 2022
Ownership: VFT Holdings LP (FORMERLY VIVALDI HOLDINGS LLC)
Footnotes: F1

VFLEX transaction

CLASS I COMMON SHARES

Other

Transaction value: $470
Shares: +17
Change %: +0.23%
Price: $27.63^*
Shares after: 7,527
Date: 02 Feb 2022
Ownership: HELD BY SPOUSE AND STEP-CHILDREN
Footnotes: F1

VFLEX transaction

CLASS I COMMON SHARES

Other

Transaction value: $469
Shares: +17
Change %: +0.23%
Price: $27.59^*
Shares after: 7,527
Date: 03 Mar 2022
Ownership: HELD BY SPOUSE AND STEP-CHILDREN
Footnotes: F1

VFLEX holding

CLASS I COMMON SHARES

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 4,497
Date: 31 Mar 2022
Ownership: Direct

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Section 16 status

David A. Sternberg is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.

Explanation of responses 1 footnote

Footnote F1

DIVIDEND REINVESTMENT

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