Form 4 - Statement of changes in beneficial ownership of securities
04 März 2024 - 9:14PM
Edgar (US Regulatory)
SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
|
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
|
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
| STONEBRIDGE ADVISORS LLC |
| 10 WESTPORT ROAD, SUITE C-101 |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
First Trust Intermediate Duration Preferred & Income Fund
[ FPF ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
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10% Owner |
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Officer (give title below) |
X |
Other (specify below) |
|
|
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Officer-Investment Sub-Advisor |
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3. Date of Earliest Transaction
(Month/Day/Year)
03/04/2024
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
| Common Shares |
03/04/2024 |
|
P |
|
6,000 |
D |
$17.4
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15,241 |
D |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
|
/s/ Angelo D. Graci, by Erin Klassman, attorney-in-fact, pursuant to a Power of Attorney |
03/04/2024 |
|
** 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
4
(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. |
Power
of Attorney
Know all by these
presents, that the undersigned hereby constitutes and appoints each of W. Scott Jardine, Kristi A. Maher, Erin E. Klassman, James M. Dykas
and
Eric F. Fess, signing singly, the undersigned’s true and lawful attorney-in-fact to:
| (1) | | execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer,
employee, trustee, and/or ten percent stockholder of any of First Trust Portfolios L.P., First Trust Advisors L.P. (“Advisors”),
or any company registered as an investment company under the Investment Company Act of 1940, of which Advisors is an investment adviser
(each a “Company”), Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of
1934 and the rules thereunder; |
| (2) | | do and perform any and all acts for and on behalf of the undersigned which may be necessary
or desirable to complete and execute any such Form 3, 4, or 5, including a Form ID, complete and execute any amendment or amendments
thereto, and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority;
and |
| (3) | | take any other action of any type whatsoever in connection with the foregoing which, in the
opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood
that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such
form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s sole discretion. |
The undersigned hereby
grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary,
or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned
might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this
power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact,
in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company or Chapman and Cutler LLP assuming,
any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.
In consideration of the attorneys-in-fact
acting on the undersigned’s behalf pursuant to this Power of Attorney, the undersigned hereby agrees to indemnify and hold harmless
each attorney-in-fact, each substitute attorney-in-fact, and each of their respective heirs, executors, legal representatives, successors,
and assigns from and against the entirety of any and all losses, claims, causes of action, damages, fines, defense costs, amounts paid
in settlement, liabilities, and expenses, including reasonable attorneys’ fees and expenses (collectively, “Losses”),
relating to or arising out of the exercise of this Power of Attorney by any such attorney-in-fact or substitute attorney-in-fact, and
will reimburse each such indemnified person for all Losses as they are incurred by such indemnified person in connection with any pending
or threatened claim, action, suit, proceeding, or investigation with which such indemnified person is or is threatened to be made a party.
The undersigned will not, however, be responsible for any Losses that are finally determined by a court of competent jurisdiction to have
resulted solely from an attorney-in-fact’s or substitute attorney-in-fact’s bad faith or willful misconduct.
This Power of Attorney
shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned’s
holdings of and transactions in securities requiring such filings, unless earlier revoked by the undersigned in a signed writing delivered
to the foregoing attorneys-in-fact.
In
Witness Whereof, the undersigned has caused this Power of Attorney to be executed as of October 26, 2023.
| |
/s/
Angelo D.Graci |
| |
Angelo
D. Graci |
Power
of Attorney
Know all by these
presents, that the undersigned hereby constitutes and appoints each of W. Scott Jardine, Kristi A. Maher, Erin E. Klassman, James M. Dykas
and
Eric F. Fess, signing singly, the undersigned’s true and lawful attorney-in-fact to:
| (1) | | execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer,
employee, trustee, and/or ten percent stockholder of any of First Trust Portfolios L.P., First Trust Advisors L.P. (“Advisors”),
or any company registered as an investment company under the Investment Company Act of 1940, of which Advisors is an investment adviser
(each a “Company”), Forms 3, 4, and 5 in accordance with Section 16(a) of the Securities Exchange Act of
1934 and the rules thereunder; |
| (2) | | do and perform any and all acts for and on behalf of the undersigned which may be necessary
or desirable to complete and execute any such Form 3, 4, or 5, including a Form ID, complete and execute any amendment or amendments
thereto, and timely file such form with the United States Securities and Exchange Commission and any stock exchange or similar authority;
and |
| (3) | | take any other action of any type whatsoever in connection with the foregoing which, in the
opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood
that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such
form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s sole discretion. |
The undersigned hereby
grants to each such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary,
or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned
might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such
attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this
power of attorney and the rights and powers herein granted. The undersigned acknowledges that the foregoing attorneys-in-fact,
in serving in such capacity at the request of the undersigned, are not assuming, nor is the Company or Chapman and Cutler LLP assuming,
any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934.
In consideration of the attorneys-in-fact
acting on the undersigned’s behalf pursuant to this Power of Attorney, the undersigned hereby agrees to indemnify and hold harmless
each attorney-in-fact, each substitute attorney-in-fact, and each of their respective heirs, executors, legal representatives, successors,
and assigns from and against the entirety of any and all losses, claims, causes of action, damages, fines, defense costs, amounts paid
in settlement, liabilities, and expenses, including reasonable attorneys’ fees and expenses (collectively, “Losses”),
relating to or arising out of the exercise of this Power of Attorney by any such attorney-in-fact or substitute attorney-in-fact, and
will reimburse each such indemnified person for all Losses as they are incurred by such indemnified person in connection with any pending
or threatened claim, action, suit, proceeding, or investigation with which such indemnified person is or is threatened to be made a party.
The undersigned will not, however, be responsible for any Losses that are finally determined by a court of competent jurisdiction to have
resulted solely from an attorney-in-fact’s or substitute attorney-in-fact’s bad faith or willful misconduct.
This Power of Attorney
shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4, and 5 with respect to the undersigned’s
holdings of and transactions in securities requiring such filings, unless earlier revoked by the undersigned in a signed writing delivered
to the foregoing attorneys-in-fact.
In
Witness Whereof, the undersigned has caused this Power of Attorney to be executed as of October 26, 2023.
| |
/s/
Angelo D.Graci |
| |
Angelo
D. Graci |
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