First Trust/Gallatin Specialty Finance & Financial Opportunities Fund
SEC CIK 1392994 · FGB · last insider filing 2024-04-18
Directors (from insider filings)
| Name | Capacity as filed | Filings |
|---|---|---|
| Wright Bronwyn | Director | filed 2023 - 2023 |
| Kadlec Thomas R | Director | filed 2007 - 2021 |
| Denise M Keefe | Director | filed 2021 - 2021 |
| Keller Mark A. | Director · Investment Committee member | filed 2007 - 2009 |
| Nielson Niel B | Director | filed 2007 - 2007 |
| Bowen James A | Director · President | filed 2007 - 2007 |
| Erickson Richard E | Director | filed 2007 - 2007 |
| Keith Robert F | Director | filed 2007 - 2007 |
| Kelly Douglas L | Director | filed 2007 - 2007 |
| Miller Peter M | Director | filed 2007 - 2007 |
| O'Donnell Thomas N. | Director | filed 2007 - 2007 |
| Havey James M. | Director | filed 2007 - 2007 |
| Scafati Michael | Director | filed 2007 - 2007 |
Officers (from insider filings)
| Name | Title as filed | Filings |
|---|---|---|
| Maltbie Derek | Treasurer and CFO | filed 2024 - 2024 |
| Bradley Mark R | Treasurer, Controller, CFO | filed 2007 - 2016 |
| Winter Daniel T. | Investment Committee member | filed 2007 - 2014 |
| Carey Robert F | Vice President | filed 2007 - 2014 |
| Erickson JON C | Investment Adviser | filed 2007 - 2014 |
| Swade Donald | Assistant Treasurer | filed 2012 - 2014 |
| Lynch Coleen D | Assistant Vice President | filed 2008 - 2014 |
| Klassman Erin E | Assistant Secretary | filed 2009 - 2014 |
| Gatta Rosanne | Assistant Secretary | filed 2011 - 2014 |
| Urevig Katherine L | Assistant Treasurer | filed 2012 - 2014 |
| Shannon Shane | Assistant Secretary | filed 2014 - 2014 |
| Miyazaki David B. | Investment Committee Member | filed 2007 - 2008 |
| Gershen Richard S | Director, Gallatin* | filed 2007 - 2007 |
| Jardine W Scott | Secretary | filed 2007 - 2007 |
| Testin Roger | Vice President | filed 2007 - 2007 |
| Maher Kristi A | Assistant Secretary | filed 2007 - 2007 |
| Dykas James M | Assistant Treasurer | filed 2007 - 2007 |
| Lindquist Daniel J | Vice President | filed 2007 - 2007 |
| Fallow Christopher R | Assistant Vice President | filed 2007 - 2007 |
| Christensen Kelley | Vice President | filed 2007 - 2007 |
About this record
From the SEC's insider-transaction filings (Forms 3, 4 and 5). Every reporting director and officer carries a Commission-assigned identifier (CIK), so these footprints are identifier-verified - no name matching involved. Insiders file when they transact, so dates are filing dates: "last filed" never means "served until". This layer is not yet joined to the nonprofit register - identity joins ship only after independent review.
Source: SEC Insider Transactions Data Sets (Forms 3/4/5), US Federal Government public domain.