First Trust Dividend and Income Fund (FAV1)

Sector:
FINANCE
Industry:
FINANCE
SIC:
CEO:
N/A
Employees:
630-765-8000

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First Trust Dividend and Income Fund is a closed-ended balanced mutual fund launched and managed by First Trust Advisors L.P. The fund is co-managed by Chartwell Investment Partners.

View SEC Filings from FAV1 instead.

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First Trust Dividend and Income Fund YCharts
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SEC Web Site SEC DEF 14A Filings

Funds Holding FAV1 (via 13F filings)

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*Shares are split adjusted
*Please note that if a filer hasn't submitted a 13F filing for a quarter then the filer's shares will be listed as "Sold All"

Mutual Funds Holding FAV1 BETA

Active Schedule 13D and 13G filings

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Open Market Buys/Sells Last 60 Days

Open Market Buys (P)

none

Open Market Sells (S)

none

Exercise Derivative Conversion (M)

none

Current/Former Insiders

Insider Name Type Last Reported Shares Held Last Reported Date Filings in past year

BULLDOG INVESTORS, LLC

GOLDSTEIN PHILLIP

DAKOS ANDREW

SAMUELS STEVEN

  • 10% Owner
 1,951,679 2016-10-19 0

BULLDOG INVESTORS GENERAL PARTNERSHIP

FULL VALUE OFFSHORE FUND, LTD.

OPPORTUNITY INCOME PLUS LP

  • 10% Owner
 3,608,105 2016-10-19 0

BRADLEY MARK R PRESIDENT

  • Officer
 No longer subject to file 2015-11-30 0

MOLINO LUANN

  • OFFICER-INVESTMENT SUB-ADVISOR
 0 2015-03-11 0

KADLEC THOMAS R

  • Director
 2,000 2014-10-16 0

CAREY ROBERT F VICE PRESIDENT

  • Officer
 No longer subject to file 2014-06-09 0

ERICKSON JON C INVESTMENT ADVISER

  • Officer
 No longer subject to file 2014-06-09 0

SWADE DONALD ASSISTANT TREASURER

  • Officer
 No longer subject to file 2014-06-09 0

LYNCH COLEEN D ASSISTANT VICE PRESIDENT

  • Officer
 No longer subject to file 2014-06-09 0

KLASSMAN ERIN E ASSISTANT SECRETARY

  • Officer
 No longer subject to file 2014-06-09 0

GATTA ROSANNE ASSISTANT SECRETARY

  • Officer
 No longer subject to file 2014-06-09 0

UREVIG KATHERINE L ASSISTANT TREASURER

  • Officer
 No longer subject to file 2014-06-09 0

SHANNON SHANE ASSISTANT SECRETARY

  • Officer
 No longer subject to file 2014-06-09 0

HOUSEY WILLIAM A JR

  • OFFICER OF ADVISOR, PORT. MGR.
 0 2013-09-20 0

FRIES SCOTT D

  • OFFICER OF ADVISOR, PORT. MGR.
 0 2013-09-20 0

CHARTWELL INVESTMENT PARTNERS/PA

  • INVESTMENT SUB-ADVISOR
 0 2013-07-01 0

SCHOFIELD PETER M

  • OFFICER-INVESTMENT SUB-ADVISOR
 0 2013-07-01 0

SCHAFFER BERNARD P

  • OFFICER-INVESTMENT SUB-ADVISOR
 0 2013-07-01 0

RIDDLE TIMOTHY J

  • OFFICER-INVESTMENT SUB-ADVISOR
 0 2013-07-01 0

HAGAR G GREGORY

  • OFFICER-INVESTMENT SUB-ADVISOR
 0 2013-07-01 0

KUGLER DOUGLAS W

  • OFFICER-INVESTMENT SUB-ADVISOR
 0 2013-07-01 0

WALKER JEFFREY JAMES

  • OFFICER-INVEST. SUB-ADVISOR
 0 2012-02-09 0

DIXON MICHAEL JOHN

  • OFFICER-INVESTMENT SUB-ADVISOR
 0 2009-11-30 0

FIRST TRUST PORTFOLIOS LP

  • AFFILIATE OF ISSUER'S ADVISOR
 0 2009-05-06 0

AVIANCE CAPITAL MANAGEMENT, LLC

  • INVESTMENT SUB-ADVISOR
 0 2007-09-20 0

FIRST TRUST ADVISORS LP

  • INVESTMENT ADVISER
 0 2007-09-19 0

NIELSON NIEL B

  • Director
 0 2007-09-19 0

BOWEN JAMES A PRESIDENT

  • Officer
  • Director
  • OFFICER-INVESTMENT ADVISER
 0 2007-09-19 0

MCALISTER RONALD DEAN

  • OFFICER-INVESTMENT ADVISER
 0 2007-09-19 0

JARDINE W SCOTT SECRETARY

  • Officer
  • OFFICER-INVESTMENT ADVISER
 0 2007-09-19 0

HALL R SCOTT

  • OFFICER-INVESTMENT ADVISER
 0 2007-09-19 0

ROGGENSACK ANDY

  • OFFICER-INVESTMENT ADVISER
 0 2007-09-19 0

MCGAREL DAVID

  • OFFICER-INVESTMENT ADVISER
 0 2007-09-19 0

TESTIN ROGER VICE PRESIDENT

  • Officer
 0 2007-09-19 0

BRADLEY CHARLES H

  • OFFICER-INVESTMENT ADVISER
 0 2007-09-19 0

ERICKSON RICHARD E

  • Director
 0 2007-09-19 0

MAHER KRISTI A ASSISTANT SECRETARY

  • Officer
 0 2007-09-19 0

DYKAS JAMES M ASSISTANT TREASURER

  • Officer
 0 2007-09-19 0

LINDQUIST DANIEL J VICE PRESIDENT

  • Officer
 0 2007-09-19 0

KEITH ROBERT F

  • Director
 0 2007-09-19 0

MCDERMOTT JOSEPH D

  • OFFICER-INVESTMENT ADVISER
 0 2007-09-19 0

FALLOW CHRISTOPHER R ASSISTANT VICE PRESIDENT

  • Officer
 0 2007-09-19 0

CHRISTENSEN KELLEY VICE PRESIDENT

  • Officer
 0 2007-09-19 0

HUSHEK DANIEL J

  • OFFICER-SUB-INVESTMENT ADVISOR
 0 2007-09-19 0

DVORCHAK GARY THOMAS

  • OFFICER-SUB-INVESTMENT ADVISOR
 0 2007-09-19 0

BERTELSEN EDWARD CAMERON

  • OFFICER-SUB-INVESTMENT ADVISOR
 0 2007-09-19 0

BERTELSEN CHRISTIAN CAMERON

  • OFFICER-INVESTMENT SUB ADVISOR
 0 2007-09-19 0

Insider Transactions Last 60 Days

Reporting Owners Filing Date Trans Date Trans Code Shares Share Price Acquired
Disposed		 Shares Owned after D/I 10b5 Perf 1d* Perf 5d* Perf 1m* Max Gain Max Gain Days Max Loss Max Loss Days
No current insider transactions

* -

Transaction Code Definitions
Code Definition
A Grant, award or other acquisition pursuant to Rule 16b-3(d)
C Conversion of derivative security
D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e)
E Expiration of short derivative position
F Payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3
G Bona fide gift
H Expiration (or cancellation) of long derivative position with value received
I Discretionary transaction in accordance with Rule 16b-3(f) resulting in acquisition or disposition of issuer securities
J Other acquisition or disposition
L Small acquisition under Rule 16a-6
M Exercise or conversion of derivative security exempted pursuant to Rule 16b-3
O Exercise of out-of-the-money derivative security
P Open market or private purchase of non-derivative or derivative security
S Open market or private sale of non-derivative or derivative security
U Disposition pursuant to a tender of shares in a change of control transaction
W Acquisition or disposition by will or the laws of descent and distribution
X Exercise of in-the-money or at-the-money derivative security
Z Deposit into or withdrawal from voting trust

IBR Securities Loan Availability

Updated throughout the day, this shows the number of shares available to borrow. Data provided by Interactive Brokers

Security Date/Time Rebate Rate Fee Rate Shares Available

Current Active Short Positions

Holder Issuer Net Short Position Position Date Origin

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