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Scott T. Fleming (FPF) discloses initial insider shareholdings

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

Scott T. Fleming, identified as an Officer-Investment Sub-Advisor, filed an initial Form 3 for First Trust Intermediate Duration Preferred & Income Fund (FPF) as of 05/22/2013. He reported beneficial ownership of 47,712 common shares held directly and an additional 35,000 common shares held indirectly by his spouse. This filing establishes his baseline insider ownership in the fund's common shares.

Positive

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Negative

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SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
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1. Name and Address of Reporting Person*
FLEMING SCOTT T

(Last) (First) (Middle)
STONEBRIDGE ADVISORS, LLC
10 WESTPORT ROAD SUITE C-101

(Street)
WILTON CT 06897

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
05/22/2013
3. Issuer Name and Ticker or Trading Symbol
First Trust Intermediate Duration Preferred & Income Fund [ FPF ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
Officer (give title below) X Other (specify below)
Officer-Investment Sub-Advisor
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Shares 47,712 D
Common Shares 35,000 I by Spouse
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
/s/ Scott T. Fleming, by Erin Klassman, attorney-in-fact, pursuant to a Power of Attorney 01/20/2026
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.

FAQ

What does this Form 3 filing for FPF show about Scott T. Fleming's holdings?

The Form 3 shows that Scott T. Fleming beneficially owns 47,712 FPF common shares directly and 35,000 common shares indirectly through his spouse as of 05/22/2013.

What is Scott T. Fleming's relationship to First Trust Intermediate Duration Preferred & Income Fund (FPF)?

He is reported as an Officer-Investment Sub-Advisor in connection with First Trust Intermediate Duration Preferred & Income Fund (FPF).

How many FPF shares does Scott T. Fleming hold directly versus indirectly?

He holds 47,712 common shares directly and 35,000 common shares indirectly, with the indirect holdings noted as being by spouse.

What is the significance of this Form 3 for FPF investors?

The Form 3 is an initial statement of beneficial ownership, providing transparency into the insider shareholdings of Scott T. Fleming in FPF common shares.

On what date are Scott T. Fleming's FPF holdings reported in this Form 3?

The holdings are reported as of the event date 05/22/2013, which triggers the requirement to file this Form 3.

First Trust Inter Dur Pref & Income Fund

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