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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): June 18, 2024

 

______________________________

 

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.

First Trust Specialty Finance and Financial Opportunities Fund (“FGB”) is filing herewith a press release issued on June 18, 2024, as Exhibit 99.1. The press release was issued by First Trust Advisors L.P. (“FTA”) to announce the special meeting of shareholders of First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB) (the “Fund”) held on June 18, 2024, has been adjourned in order to permit additional solicitation of shareholders and to allow shareholders additional time to vote on the reorganization of the Fund with and into abrdn Total Dynamic Dividend Fund (“AOD”). The special meeting of shareholders of the Fund will reconvene on Thursday, July 11, 2024 at 1:00 Central time in the offices of FTA at 120 East Liberty Drive, Suite 400, Wheaton, Illinois (the “Meeting”). Details regarding the reorganization are contained in the press release included herein.

Item 9.01Financial Statements and Exhibits.

 

(d)Exhibits.

 

Exhibit    
Number   Description
99.1   Press Release, dated June 18, 2024.

 

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: June 18, 2024   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 June 18, 2024.