Statement of Ownership (sc 13g)
February 14 2022 - 02:13PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED
PURSUANT
TO RULES 13d-1(b),(c) AND (d) AND
AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2
(Amendment No.
)*
First Trust Senior Floating Rate Income
Fund II
(Name of Issuer)
Common Stock, $0.01 par value
(Title of Class of Securities)
33733U108
(CUSIP Number)
December 31, 2021
(Date of Event Which Requires Filing of this
Statement)
Check the appropriate box to designate the rule pursuant to which
this schedule is filed:
☒ Rule 13d-1(b)
☐ Rule 13d-1(c)
☐ Rule 13d-1(d)
| * |
The remainder of this cover page shall be filled out
for a reporting person’s initial filing on this form with respect
to the subject class of securities, and for any subsequent
amendment containing information which would alter disclosures
provided in a prior cover page. The information required on the
remainder of this cover page shall not be deemed to be “filed” for
the purpose of Section 18 of the Securities Exchange Act of
1934 (“Act”) or otherwise subject to the liabilities of that
section of the Act but shall be subject to all other provisions of
the Act.
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CUSIP No. 33733U108
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1. |
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NAME OF REPORTING PERSON
LPL Financial LLC
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2. |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) ☐ (b) ☐
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3. |
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SEC USE ONLY
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4. |
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CITIZENSHIP OR PLACE OF ORGANIZATION
California
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5. |
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SOLE VOTING POWER
0
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6. |
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SHARED VOTING POWER
0
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7. |
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SOLE DISPOSITIVE POWER
0
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8. |
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SHARED DISPOSITIVE POWER
1,528,649.039
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9. |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
1,528,649.039
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10. |
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES
☐
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11. |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.9% *
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12. |
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TYPE OF REPORTING PERSON
BD, IA
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| * |
Based on 25,956,831 shares of Common Stock outstanding
as of July 23, 2021, as reported in the Issuer’s Proxy
Statement on Form DEF14A dated August 6, 2021 filed with the
Securities and Exchange Commission on August 9, 2021.
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CUSIP No. 33733U108
Schedule 13G
Item 1(a). Name of Issuer
First Trust Senior Floating Rate Income Fund II
| Item 1(b). |
Address of Issuer’s Principal Executive
Offices
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120 East Liberty Drive, Suite 400, Wheaton, IL 60187
| Item 2(a). |
Name of Person Filing
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LPL Financial LLC (“LPL”)
| Item |
2(b). Address of Principal Business Office
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75 State Street, Boston, Massachusetts 02109
California
| Item 2(d). |
Title of Class of Securities
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Common Stock, $0.01 par value
33733U108
| Item 3. |
If this statement is filed pursuant to §§
240.13d-1(b) or
240.13d-2(b) or (c), check
whether the person filing is a:
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(a)
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☒ Broker or dealer registered under section 15 of
the Act (15 U.S.C. 78o). |
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(b)
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☐ Bank as defined in section 3(a)(6) of the Act
(15 U.S.C. 73c). |
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(c)
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☐ Insurance company as defined in section 3(a)(19)
of the Act (15 U.S.C. 78c). |
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(d)
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☐ Investment company registered under section 8 of
the Investment Company Act of 1940 (15 U.S.C. 80a-8). |
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(e)
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☒ An investment adviser in accordance with
§13d-1(b)(1)(ii)(E). |
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(f)
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☐ An employee benefit plan or endowment fund in
accordance with §240.13d-1(b)(1)(ii)(F). |
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(g)
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☐ A parent holding company or control person in
accordance with §240.13d-1(b)(1)(ii)(G). |
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(h)
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☐ A savings association as defined in
Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C.
1813). |
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(i)
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☐ A church plan that is excluded from the
definition of an investment company under section 3(c)(14) of the
Investment Company Act of 1940 (15 U.S.C. 80a-3). |
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(j)
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☐ A non-U.S. institution, in accordance
with §240.13d-1(b)(1)(ii)(J). |
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(k)
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☐ Group, in accordance with §240.13d-1(b)(1)(ii)(K). If filing as a
non-U.S. institution in
accordance with §240.13d-1(b)(1)(ii)(J), please specify
the type of institution:
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CUSIP No. 33733U108
The information requested by this paragraph is incorporated herein
by reference to the cover page to this Schedule 13G. LPL, in its
capacity as investment adviser, may be deemed to beneficially own
the Common Stock reported herein, which is held by clients who have
granted discretionary authority to dispose of or direct the
disposition of the shares to an independent contractor of LPL.
| Item 5. |
Ownership of Five Percent or Less of a
Class
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Not Applicable.
| Item 6. |
Ownership of More than Five Percent on Behalf of
Another Person
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The Common Stock reported herein by LPL, in its capacity as
investment adviser, is owned by clients who have granted
discretionary authority to dispose of or direct the disposition of
the shares to an independent contractor of LPL. Those clients have
the right to receive, or the power to direct the receipt of,
dividends from, or the proceeds from the sale of, such securities.
No such clients are known to have such right or power with respect
to more than five percent of the Common Stock.
| Item 7. |
Identification and Classification of the Subsidiary
which Acquired the Security Being Reported on by the Parent Holding
Company:
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Not Applicable.
| Item 8. |
Identification and Classification of Members of the
Group
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Not Applicable.
| Item 9. |
Notice of Dissolution of Group
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Not Applicable.
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired and are held
in the ordinary course of business and were not acquired and are
not held for the purpose of or with the effect of changing or
influencing the control of the Issuer and were not acquired and are
not held in connection with or as a participant in any transaction
having that purpose or effect.
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CUSIP No. 33733U108
SIGNATURE
After reasonable inquiry and to the best of my knowledge and
belief, I certify that the information set forth in this statement
is true, complete, and correct.
Dated: February 14, 2022
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| LPL FINANCIAL LLC |
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| By: |
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/s/ Ben Welch
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Name: Ben Welch |
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Title: EVP, Trading |
5
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