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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to First Trust Exchange-Traded Fund III-First Trust Horizon Managed Volatility Developed Int ETF
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 5, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form N-8F Application for Deregistration of Certain Registered Investment Companies. I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): ☐ Merger ☒ Liquidation ☐ Abandonment of Registration (Note: Abandonments of Registration answer only quest |
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| March 8, 2023 |
FEO / First Trust-abrdn Emerging Opportunity Fund / LAZARD ASSET MANAGEMENT LLC Passive Investment r13gaaberdeen SCHEDULE 13G/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 0 6)SHARED VOTING POWER: - 7)SOL |
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| February 3, 2023 |
FEO / First Trust/aberdeen Emerging Oppo / CSS LLC/IL - CSS LLC/IL Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* First Trust/Aberdeen Emerging Opportunity Fund (Name of Issuer) (Title of Class of Securities) 33731K102 (CUSIP Number) December 02, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to |
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| December 6, 2022 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on December 19, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| November 25, 2022 |
First Trust/abrdn Emerging Opportunity Fund (FEO) NPORT-EX 2 FT26FT09302022.htm First Trust/abrdn Emerging Opportunity Fund (FEO) Portfolio of Investments September 30, 2022 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES (a) – 40.8% Angola – 0.6% 386,000 Angolan Government International Bond (USD) (b) 9.13% 11/26/49 $261,171 Argentina – 1.3% 136,989 Argen |
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| October 31, 2022 |
FEO / First Trust/aberdeen Emerging Oppo / CSS LLC/IL - CSS LLC/IL Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 First Trust/Aberdeen Emerging Opportunity Fund (Name of Issuer) (Title of Class of Securities) 33731K102 (CUSIP Number) October 17, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule |
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| September 20, 2022 |
First Trust/abrdn Emerging Opportunity Fund Announces Approval of Liquidation PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust/abrdn Emerging Opportunity Fund Announces Approval of Liquidation WHEATON, IL ? (BUSINESS WIRE) ? September 20, 2022 ? First Trust/abrdn Emerging Opportunity Fund (NYSE: FEO) (the ?Fund?) announced today that it intends to liquidate and distribute its net assets to shareholders. Based upon the recommendation of First Trust Advisors L.P., |
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| September 20, 2022 |
Regulation FD Disclosure, Financial Statements and Exhibits 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) September 20, 2022 First Trust//abrdn Emerging Opportunity Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-21905 71-1005833 (State or Other Jurisdiction o |
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| August 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* FIRST TRUST/ABRDN EMERGING OPPORTUNITY FUND (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 33731K102 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angel |
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| June 28, 2022 |
Financial Statements and Exhibits, Other Events 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 28, 2022 First Trust/Aberdeen Emerging Opportunity Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-21905 71-1005833 (State or Other Jurisdiction of I |
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| June 28, 2022 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Name Changes for First Trust/Aberdeen Global Opportunity Income Fund and First Trust/Aberdeen Emerging Opportunity Fund WHEATON, IL ? (BUSINESS WIRE) ? June 28, 2022 ? First Trust Advisors L.P. (?First Trust?) announced today that the Board of Trustees of First Trust/Aberdeen Global Opportunity Income Fund (NYSE: FAM) and First |
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| June 17, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* FIRST TRUST/ABERDEEN EMERGING OPPORTUNITY FUND (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 33731K102 (CUSIP Number) June 7, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designa |
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| May 26, 2022 |
First Trust/Aberdeen Emerging Opportunity Fund (FEO) First Trust/Aberdeen Emerging Opportunity Fund (FEO) Portfolio of Investments March 31, 2022 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES (a) – 38. |
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| March 18, 2022 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Additional Considerations for the First Trust/Aberdeen Global Opportunity Income Fund and First Trust/Aberdeen Emerging Opportunity Fund Relating to the Russia/Ukraine Conflict WHEATON, IL ? (BUSINESS WIRE) ? March 18, 2022 ? First Trust Advisors L.P. ("FTA") announced today additional considerations for the First Trust/Aberdeen |
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| March 18, 2022 |
Financial Statements and Exhibits, Other Events 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): March 18, 2022 First Trust/Aberdeen Emerging Opportunity Fund (Exact name of registrant as specified in its charter) Massachusetts 811-21905 73-1005833 (State or other jurisdiction (C |
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| March 10, 2022 |
DEF 14A 1 definproxy.htm DEFINITIVE PROXY STATEMENT As filed with the Securities and Exchange Commission on March 10, 2022 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the R |
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| February 10, 2022 |
FEO / First Trust/aberdeen Emerging Oppo / LAZARD ASSET MANAGEMENT LLC Passive Investment SCHEDULE 13G/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 468,505 6)SHARED VOTING POWER: - 7)SOLE DISPOS |
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| November 24, 2021 |
First Trust/Aberdeen Emerging Opportunity Fund (FEO) NPORT-EX 2 FT26FT093021.htm First Trust/Aberdeen Emerging Opportunity Fund (FEO) Portfolio of Investments September 30, 2021 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES (a) – 42.2% Angola – 0.7% 500,000 Angolan Government International Bond (USD) (b) 9.50% 11/12/25 $551,885 Argentina – 1.6% 136,989 Arge |
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| October 21, 2021 |
SOURCE: First Trust Advisors L.P. PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Announces Appointment of New Trustee for Funds WHEATON, IL ? (BUSINESS WIRE) ? October 20, 2021 ? The exchange traded funds, closed-end funds, mutual funds and variable insurance funds (collectively, the ?Funds?) advised by First Trust Advisors L.P. (?FTA?) announced the appointment of Denise M. Keefe as a Trustee of each of the Funds, ef |
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| October 21, 2021 |
8-K 1 feo8k.htm CURRENT REPORT 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) October 20, 2021 First Trust/Aberdeen Emerging Opportunity Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-21905 71-1005833 |
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| September 20, 2021 |
Regulation FD Disclosure, Financial Statements and Exhibits 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) September 20, 2021 First Trust/Aberdeen Emerging Opportunity Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-21905 71-1005833 (State or Other Jurisdiction |
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| September 20, 2021 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Advisors L.P. Announces Portfolio Manager Update for First Trust/Aberdeen Global Opportunity Income Fund and First Trust/Aberdeen Emerging Opportunity Fund WHEATON, IL ? (BUSINESS WIRE) ? September 20, 2021 ? First Trust Advisors L.P. ("FTA") announced today that Aberdeen Standard Investments Inc. ("Aberdeen"), investment sub-advisor for |
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| June 29, 2021 |
UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0101 Washington, D. |
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| May 25, 2021 |
First Trust/Aberdeen Emerging Opportunity Fund (FEO) First Trust/Aberdeen Emerging Opportunity Fund (FEO) Portfolio of Investments March 31, 2021 (Unaudited) Shares Description Value COMMON STOCKS (a) – 53. |
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| March 15, 2021 |
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): March 15, 2021 First Trust/Aberdeen Emerging Opportunity Fund (Exact name of registrant as specified in its charter) Massachusetts 811-21905 71-1005833 (State or other jurisdiction (C |
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| March 15, 2021 |
PRESS RELEASE SOURCE: First Trust/Aberdeen Global Opportunity Income Fund and First Trust/Aberdeen Emerging Opportunity Fund First Trust/Aberdeen Global Opportunity Income Fund and First Trust/Aberdeen Emerging Opportunity Fund Announce Changes to Non-Fundamental Investment Policies Wheaton, IL ? (BUSINESS WIRE) ? March 15, 2021 ? First Trust/Aberdeen Global Opportunity Income Fund (NYSE: FAM) and First Trust/Aberdeen Emerging Opportunity Fund (NYSE: FEO) (the ?Funds?) announced today that their Board of Trustees has approved changes to the Funds? non-fundamental investment policies as described herein. |
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| February 10, 2021 |
r13gaaberdeen SCHEDULE 13G/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 502,031 6)SHARED VOTING POWER: - |
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| November 24, 2020 |
First Trust/Aberdeen Emerging Opportunity Fund (FEO) First Trust/Aberdeen Emerging Opportunity Fund (FEO) Portfolio of Investments September 30, 2020 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES (a)?? 42. |
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| October 20, 2020 |
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): October 20, 2020 First Trust/Aberdeen Emerging Opportunity Fund (Exact name of registrant as specified in its charter) Massachusetts 811-21905 71-1005833 (State or other jurisdiction |
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| October 20, 2020 |
By-Laws of Each Trust Listed on Schedule A Hereto (each, a “Trust”) Article I As Amended and Restated on October 19, 2020 By-Laws of Each Trust Listed on Schedule A Hereto (each, a “Trust”) Article I Definitions Any capitalized terms not defined herein shall have the respective meanings given them in the Declaration of Trust of the Trust as the same may be in effect from time to time. |
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| June 16, 2020 |
Regulation FD Disclosure, Financial Statements and Exhibits 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 16, 2020 First Trust/Aberdeen Emerging Opportunity Fund (Exact Name of Registrant as Specified in its Charter) Massachusetts 811-21905 71-1005833 (State or Other Jurisdiction of I |
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| June 16, 2020 |
PRESS RELEASE SOURCE: First Trust Advisors L.P. First Trust Advisors L.P. Announces Portfolio Manager Update for First Trust/Aberdeen Global Opportunity Income Fund and First Trust/Aberdeen Emerging Opportunity Fund WHEATON, IL — (BUSINESS WIRE) — June 16, 2020 — First Trust Advisors L.P. (“FTA”) announced today that Aberdeen Standard Investments Inc. (“ASII”), (formerly, Aberdeen Asset Management |
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| May 29, 2020 |
By-Laws of Each Trust Listed on Schedule A Hereto (each, a “Trust”) Article I As Amended and Restated on May 28, 2020 By-Laws of Each Trust Listed on Schedule A Hereto (each, a “Trust”) Article I Definitions Any capitalized terms not defined herein shall have the respective meanings given them in the Declaration of Trust of the Trust as the same may be in effect from time to time. |
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| May 29, 2020 |
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 28, 2020 First Trust/Aberdeen Emerging Opportunity Fund (Exact name of registrant as specified in its charter) Massachusetts 811-21905 71-1005833 (State or other jurisdiction (Com |
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| May 26, 2020 |
First Trust/Aberdeen Emerging Opportunity Fund (FEO) First Trust/Aberdeen Emerging Opportunity Fund (FEO) Portfolio of Investments March 31, 2020 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES (a) – 45. |
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| April 16, 2020 |
As filed with the Securities and Exchange Commission on April 16, 2020. =============================================================================== U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ) Filed by the Registrant [X] Filed by a party other than the Registrant [ ] |
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| February 10, 2020 |
r13gaaberdeen SCHEDULE 13G/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 496,079 6)SHARED VOTING POWER: - |
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| November 22, 2019 |
FEO / First Trust/Aberdeen Emerging Opportunity Fund NPORT-EX - - First Trust/Aberdeen Emerging Opportunity Fund (FEO) Portfolio of Investments September 30, 2019 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES (a) – 46. |
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| May 24, 2019 |
FEO / First Trust/Aberdeen Emerging Opportunity Fund NPORT-EX - - First Trust/Aberdeen Emerging Opportunity Fund (FEO) Portfolio of Investments March 31, 2019 (Unaudited) Principal Value (Local Currency) Description Stated Coupon Stated Maturity Value (US Dollars) FOREIGN SOVEREIGN BONDS AND NOTES (a) – 42. |
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| February 13, 2019 |
SC 13G/A 1 r13gaaberdeen.htm SCHEDULE 13G/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 378,879 6)SHARED |
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| November 27, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 cert302.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust/Aberdeen Emerging Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a materi |
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| November 27, 2018 |
N-Q 1 feonq.htm QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21905 First Trust/Aberdeen Emerging Opportunity Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 |
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| May 29, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 cert302.htm SECTION 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James M. Dykas, certify that: 1. I have reviewed this report on Form N-Q of First Trust/Aberdeen Emerging Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a materi |
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| May 29, 2018 |
N-Q 1 feonq.htm QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21905 First Trust/Aberdeen Emerging Opportunity Fund (Exact name of registrant as specified in charter) 120 East Liberty Drive, Suite 400 |
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| February 14, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 8, 2018 |
r13gaaberdeen SCHEDULE 13G/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 653,864 6)SHARED VOTING POWER: - |
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| February 13, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 8, 2017 |
r13gaaberdeen SCHEDULE 13G/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 894,948 6)SHARED VOTING POWER: - |
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| January 9, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| September 9, 2016 |
SC 13G/A 1 aberdemerg13ga17921.htm ABERDEEN EMERGING OPPORTUNITY FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 3 )* First Trust/Aberdeen Emerging Opportunity Fund (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 33731K102 (CUSIP Number) August 31, 2016 (Date of |
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| February 16, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 12, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| February 8, 2016 |
r13gaaberdeen SCHEDULE 13G/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 882,794 6)SHARED VOTING POWER: - |
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| September 9, 2015 |
SC 13G/A 1 aberdemerg13g17778.htm FIRST TRUST/ABERDEEN EMERGING OPPORTUNITY FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* First Trust/Aberdeen Emerging Opportunity Fund (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 33731K102 (CUSIP Number) August 31, 2015 |
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| February 3, 2015 |
r13gaaberdeen SCHEDULE 13G/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 977,866 6)SHARED VOTING POWER: - |
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| January 9, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. |
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| October 7, 2014 |
r13dafeo SCHEDULE 13D/A CUSIP No: 33731K102 TRANSACTIONS IN THE SHARES BY THE REPORTING PERSON DURING THE PAST 60 DAYS Date of Transaction Shares Purchased(Sold) Price per Share 6/16/2014 (1,900) 19.34 6/16/2014 15 19.35 6/17/2014 (800) 19.30 6/30/2014 (3,500) 19.11 7/18/2014 (4,200) 19.33 7/21/2014 (1,620) 19.35 8/19/2014 (2,700) 19.14 9/2/2014 (9,400) 19.17 9/3/2014 (14,144) 19.22 |
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| October 7, 2014 |
r13gaaberdeen SCHEDULE 13G/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 1,054,353 6)SHARED VOTING POWER: |
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| October 7, 2014 |
r13dafeo SCHEDULE 13D/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON Lazard Asset Management LLC I. |
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| July 10, 2014 |
r13dafeo SCHEDULE 13D/A CUSIP No: 33731K102 TRANSACTIONS IN THE SHARES BY THE REPORTING PERSON DURING THE PAST 60 DAYS Date of Transaction Shares Purchased(Sold) Price per Share 5/15/2014 (525) 18. |
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| July 10, 2014 |
r13dafeo SCHEDULE 13D/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON Lazard Asset Management LLC I. |
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| January 10, 2013 |
r13dafeo SCHEDULE 13D/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON Lazard Asset Management LLC I. |
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| January 10, 2013 |
r13dafeo SCHEDULE 13D/A CUSIP No: 33731K102 TRANSACTIONS IN THE SHARES BY THE REPORTING PERSON DURING THE PAST 60 DAYS Date of Transaction Shares Purchased(Sold) Price per Share 11/1/2012 (17,070) 21. |
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| July 11, 2012 |
r13dafeo SCHEDULE 13D/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON Lazard Asset Management LLC I. |
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| July 11, 2012 |
EX-1 3 r13dafeoran.htm SCHEDULE 13D/A CUSIP No: 33731K102 TRANSACTIONS IN THE SHARES BY THE REPORTING PERSON DURING THE PAST 60 DAYS Date of Transaction Shares Purchased(Sold) Price per Share 2/16/2012 (1,300) 20.25 3/1/2012 3,100 20.92 3/2/2012 8,162 21.02 3/15/2012 22,850 21.32 3/27/2012 (3,540) 20.61 3/30/2012 1,676 20.76 4/2/2012 5,944 20.95 4/3/2012 3,598 21.37 4/4/2012 12,530 21.21 4/5/2012 |
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| April 9, 2012 |
r13dafeo SCHEDULE 13D/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON Lazard Asset Management LLC I. |
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| April 9, 2012 |
r13dafeo SCHEDULE 13D/A CUSIP No: 33731K102 TRANSACTIONS IN THE SHARES BY THE REPORTING PERSON DURING THE PAST 60 DAYS Date of Transaction Shares Purchased(Sold) Price per Share 2/16/2012 (1,300) 20.25 3/1/2012 3,100 20.92 3/2/2012 8,162 21.02 3/15/2012 22,850 21.32 3/27/2012 (3,540) 20.61 3/30/2012 1,676 20.76 4/2/2012 5,944 20.95 4/3/2012 3,598 21.37 4/4/2012 12,530 21.21 4/5/2012 3,452 21.25 |
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| January 30, 2012 |
r13dafeo SCHEDULE 13D CUSIP No: 33731K102 1)NAME OF REPORTING PERSON Lazard Asset Management LLC I. |
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| January 30, 2012 |
r13dafeo SCHEDULE 13D CUSIP No: 33731K102 TRANSACTIONS IN THE SHARES BY THE REPORTING PERSON DURING THE PAST 60 DAYS Date of Transaction Shares Purchased(Sold) Price per Share 11/28/2011 (340) 17.92 11/29/2011 (2,300) 18.00 12/1/2011 793 18.46 12/1/2011 5,570 18.48 12/2/2011 8,765 18.61 12/5/2011 19,388 18.79 12/6/2011 5,754 18.74 12/29/2011 1,070 17.77 |
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| February 11, 2011 |
SCHEDULE 13G/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 858,922 6)SHARED VOTING POWER: - 7)SOLE DISPOS |
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| February 5, 2010 |
SCHEDULE 13G/A CUSIP No: 33731K102 1)NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Lazard Asset Management LLC 2)CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)o (b)o 3)SEC USE ONLY 4)CITIZENSHIP OR PLACE OF ORGANIZATION: Delaware NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 5)SOLE VOTING POWER: 684,722 6)SHARED VOTING POWER: - 7)SOLE DISPOS |
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| September 11, 2006 |
POWER OF ATTORNEY KNOW ALL PERSONS BY THESE PRESENTS, that the undersigned, being a person required to file a statement under Section 16(a) of the Securities Exchange Act of 1934, as amended (the "1934 Act"), and/or Section 30(f) of the Investment Company Act of 1940, as amended (the "1940 Act"), constitutes and appoints Sander M. |
