<SEC-DOCUMENT>0001445546-13-003392.txt : 20130718
<SEC-HEADER>0001445546-13-003392.hdr.sgml : 20130718
<ACCEPTANCE-DATETIME>20130718163234
ACCESSION NUMBER: 0001445546-13-003392
CONFORMED SUBMISSION TYPE: 8-K
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20130718
ITEM INFORMATION: Regulation FD Disclosure
ITEM INFORMATION: Financial Statements and Exhibits
FILED AS OF DATE: 20130718
DATE AS OF CHANGE: 20130718
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST TRUST MORTGAGE INCOME FUND
CENTRAL INDEX KEY: 0001319183
IRS NUMBER: 356758396
FILING VALUES:
FORM TYPE: 8-K
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-21727
FILM NUMBER: 13975150
BUSINESS ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
BUSINESS PHONE: 630765-8000
MAIL ADDRESS:
STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400
CITY: WHEATON
STATE: IL
ZIP: 60187
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST TRUST/FIDAC MORTGAGE INCOME FUND
DATE OF NAME CHANGE: 20050228
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
<SEQUENCE>1
<FILENAME>fmy_8k.txt
<DESCRIPTION>CURRENT REPORT
<TEXT>
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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) July 18, 2013
First Trust Mortgage Income Fund
(Exact Name of Registrant as Specified in its Charter)
Massachusetts 811-21727 35-6758396
(State or Other Jurisdiction (Commission File Number) (IRS Employer
of Incorporation) Identification No.)
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
(Address of Principal Executive Offices) (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))
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<PAGE>
Item 7.01 Regulation FD Disclosure.
First Trust Mortgage Income Fund (the "Fund") is filing herewith a press release
issued on July 18, 2013, as Exhibit 99.1. The press release was issued by
First Trust Advisors L.P. to report that the Fund intends to host a conference
call with Brookfield Investment Management, Inc., the Fund's investment
sub-advisor, on Thursday August 1, 2013, at 4:15 P.M. Eastern Time. The
purpose of the call is to hear Brookfield's portfolio management team provide an
update for the Fund and the Market. Details regarding the conference call are
contained in the press release included herein.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
Exhibit
Number Description
99.1 Press release of First Trust Advisors L.P. dated
July 18, 2013.
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: July 18, 2013 FIRST TRUST MORTGAGE INCOME FUND
By: /s/ W. Scott Jardine
----------------------------------
Name: W. Scott Jardine
Title: Secretary
EXHIBIT INDEX
Exhibit
Number Description
99.1 Press release of First Trust Advisors L.P. dated
July 18, 2013.
</TEXT>
</DOCUMENT>
<DOCUMENT>
<TYPE>EX-99.1
<SEQUENCE>2
<FILENAME>pressrelease.txt
<DESCRIPTION>PRESS RELEASE
<TEXT>
PRESS RELEASE SOURCE: First Trust Advisors L.P.
FIRST TRUST ADVISORS L.P. ANNOUNCES PORTFOLIO MANAGER CALL FOR FIRST TRUST
MORTGAGE INCOME FUND
WHEATON, IL -- (BUSINESS WIRE) -- July 18, 2013 -- First Trust Advisors L.P.
("FTA") announced today that First Trust Mortgage Income Fund (NYSE: FMY) (the
"Fund") intends to host a conference call with Brookfield Investment Management,
Inc. ("Brookfield"), the Fund's investment sub-advisor, on THURSDAY, AUGUST 1,
2013, AT 4:15 P.M. EASTERN TIME. The purpose of the call is to hear Brookfield's
portfolio management team provide an update for the Fund and the Market.
-- Dial-in Number: (866) 865-6631; International (706) 679-1727; and Passcode
# 14952659. Please call 10 to 15 minutes before the scheduled start of the
teleconference.
-- Telephone Replay: (800) 585-8367; International (404) 537-3406; and
Passcode # 14952659. The replay will be available after the call until
11:59 P.M. Eastern Time on Sunday, September 1, 2013.
First Trust Advisors L.P., the Fund's investment advisor, along with its
affiliate, First Trust Portfolios L.P., are privately-held companies which
provide a variety of investment services, including asset management and
financial advisory services, with collective assets under management or
supervision of approximately $70 billion as of June 30, 2013, through unit
investment trusts, exchange-traded funds, closed-end funds, mutual funds and
separate managed accounts.
Brookfield Investment Management Inc. ("Brookfield") serves as the Fund's
Sub-Advisor. Brookfield is a wholly-owned subsidiary of Brookfield Asset
Management, a global alternative asset manager with over $184 billion in assets
under management as of March 31, 2013. Brookfield Asset Management has over a
100-year history of owning and operating assets with a focus on property,
renewable power, infrastructure and private equity. The company offers a range
of public and private investment products and services, which leverage its
expertise and experience and provide it with a competitive advantage in the
markets where it operates. On behalf of its clients, Brookfield Asset Management
is also an active investor in the public securities markets, where its
experience extends over 30 years. Over this time, the company has successfully
developed several investment operations and built expertise in the management of
institutional portfolios, retail mutual funds, and structured product
investments. Brookfield's public market activities are conducted by Brookfield
Investment Management, a registered investment advisor. These activities
complement Brookfield Asset Management's core competencies and include global
listed real estate and infrastructure equities, corporate high yield
investments, opportunistic credit strategies and a dedicated insurance asset
management division. Headquartered in New York, NY, Brookfield Investment
Management maintains offices and investment teams in Toronto, Chicago, Boston
and London and has over $10 billion of assets under management as of March 31,
2013.
If you have questions about the Fund that you would like answered on the call,
please email your questions to cefquestions@ftadvisors.com and refer to FMY by
Tuesday, July 30, 2013, 6:00 P.M. Eastern Time. The Fund's daily closing price
and net asset value per share as well as other information can be found at
www.ftportfolios.com or by calling (800) 988-5891.
Past performance is no assurance of future results. Investment return and market
value of an investment in the Fund will fluctuate. Shares, when sold, may be
worth more or less than their original cost.
Principal Risk Factors: Investment in this Fund involves investment and market
risk, management risk, credit risk, prepayment risk, reinvestment risk, interest
rate risk, floating rate CMOs and inverse floating rate CMOs risk, bond market
risk, economic sector risk, inflation risk, U.S. government securities risk,
government agency risk, asset-backed securities risk, market discount risk,
leverage risk, interest rate transactions risk, derivatives risk, market
disruption risk, portfolio turnover risk, tax risk relating to investments in
certain REMICs, and illiquid/restricted securities risk.
Subordinated Debt Risk: The Fund may invest a portion of its Managed Assets in
subordinated classes of MBS, including debt obligations issued by private
originators or issuers backed by residential mortgage loans and multi-class debt
or pass-through or paythrough securities backed by a mortgage loan or pool of
mortgage loans on commercial real estate. Such subordinated classes are subject
to a greater degree of non-payment risk than are senior classes of the same
issuer or agency.
Prepayment Risk: If borrowers prepay their mortgage loans at rates that are
faster than expected, this results in prepayments that are faster than expected
on MBS. These faster than expected prepayments may adversely affect the Fund's
profitability, particularly if the Fund is forced to invest prepayments it
receives in lower yielding securities. Moreover, the Fund may also acquire MBS
that are less affected by prepayments. While the Fund will seek to minimize
prepayment risk to the extent practical, the Fund must balance prepayment risk
against other risks and the potential returns of each investment in selecting
investments. No strategy can completely insulate the Fund from prepayment risk.
Interest Rate Risk: The Fund may also invest in MBS which are interest-only
("IO") securities and principal-only ("PO") securities. Generally speaking, when
interest rates are falling and prepayment rates are increasing, the value of a
PO security will rise and the value of an IO security will fall. Conversely,
when interest rates are rising and prepayment rates are decreasing, generally
the value of a PO security will fall and the value of an IO security will rise.
The risks of investing in the Fund are spelled out in the prospectus,
shareholder reports and other regulatory filings.
The Fund's daily closing New York Stock Exchange price and net asset value per
share as well as other information can be found at www.ftportfolios.com or by
calling 1-800-988-5891.
CONTACT: JEFF MARGOLIN -- (630) 915-6784
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Source: First Trust Advisors L.P.
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>