Insider · CIK 0001400142

Keller Mark A.

Reports to the SEC for 1 company · ST. LOUIS, MO

Transactions

Companies

Filings

CIK

0001400142

Forms 4 and 5

Insider transactions

3 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2009-01-12	FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUNDP Purchase	Officer-Investment Sub-Advisor	PPurchase	+4,500 sh	$4.27	+$19.2K	4,500
2009-01-12	FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUNDP Purchase	Officer-Investment Sub-Advisor	PPurchase	+5,000 sh	$4.36	+$21.8K	9,500
2009-01-12	FIRST TRUST SPECIALTY FINANCE & FINANCIAL OPPORTUNITIES FUNDP Purchase	Officer-Investment Sub-Advisor	PPurchase	+500 sh	$4.27	+$2,135	10,000

CONFLUENCE INVESTMENT MANAGEMENT LLC 349 MARSHALL AVENUE, SUITE 302

ST. LOUIS, MO, 63119