Welcome to our dedicated page for First Trust Specialty Finance SEC filings (Ticker: FGB), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Trying to pin down how much leverage First Trust Specialty Finance & Financial Opportunities Fund (FGB) uses or when trustees last bought shares? Investment-company filings stack N-CSR, N-PORT, 8-K and Form 4 on top of each other, making it tough to locate the data that moves a high-income closed-end fund. Stock Titan’s AI untangles every page so you can focus on yield and risk, not paperwork.
Our dashboard streams real-time updates the moment an 8-K posts and flags First Trust Specialty Finance insider trading Form 4 transactions. Use the AI-powered summary panel to see how a single note in the First Trust Specialty Finance annual report 10-K simplified (filed as N-CSR) affects distribution coverage, or jump into a highlighted section of a First Trust Specialty Finance quarterly earnings report 10-Q filing to compare NAV trends. Need actionable alerts? We push First Trust Specialty Finance Form 4 insider transactions real-time to your screen the second they reach EDGAR.
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Form 144 filed with the U.S. SEC discloses that the John Peter Sauerland Revocable Trust intends to sell up to 10,000 common shares of The Progressive Corporation (PGR) through Fidelity Brokerage Services on or after 30 June 2025. The filing lists an aggregate market value of $2.64 million, implying a reference price of roughly $263.79 per share. According to the issuer data, Progressive has 586,223,643 shares outstanding, so the contemplated sale represents only about 0.0017 % of total shares.
The shares were originally obtained via restricted-stock vesting compensation on three dates between 2019 and 2020. The same trust sold 20,000 shares in the preceding three months—10,000 on 28 Apr 2025 and another 10,000 on 28 May 2025—generating a combined $5.44 million in gross proceeds. The proposed transaction will be executed on the NYSE.
- The filing contains no adverse operational information and expressly states the seller is unaware of undisclosed material information about Progressive.
- The notice fulfils SEC Rule 144 requirements for affiliates or insiders wishing to resell restricted or control securities.
While insider sales can raise questions about sentiment, the modest size relative to Progressive’s market capitalization suggests limited direct market impact.
On June 30, 2025, First Trust Specialty Finance and Financial Opportunities Fund (NYSE: FGB) filed a Form 8-K announcing the completion of its reorganization into FT Confluence BDC & Specialty Finance Income ETF (NYSE: FBDC). The change was finalized before the NYSE opened the same day. Both vehicles remain managed by First Trust Advisors L.P. and sub-advised by Confluence Investment Management LLC.
The disclosure appears under Item 7.01 (Regulation FD). The only exhibit is a press release (Exhibit 99.1); no pro-forma financials, share conversion ratios, fee schedules or tax information are included in this filing. Item 9.01 confirms that no additional financial statements accompany the report.
This event is material because it alters investors’ holdings from a closed-end fund structure to an actively managed ETF, affecting tradability, market-making mechanics and ongoing reporting requirements. However, the 8-K stops short of detailing any changes to investment objectives, distribution policies or expense ratios, leaving the financial impact to be clarified in later communications.
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