Form 8-K - Current report

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

 

Pursuant to Section 13 or 15(d) of

the Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): September 11, 2023

 

______________________________

 

First Trust Senior Floating Rate Income Fund II

(Exact name of registrant as specified in its charter)

 

Massachusetts	811-21539	11-3716541
(State or other jurisdiction	(Commission File Number)	(IRS Employer
of incorporation)		Identification No.)

 

120 East Liberty Drive, Suite 400 Wheaton, Illinois (Address of principal executive offices)

60187 (zip code)

Registrant’s telephone number, including area code: [phone]

 

_____________________________________________________

(Former Name or Former Address, if Changed Since Last Report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):

☐    Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

☐    Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

☐    Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

☐    Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐ 

 

 

Item 5.02

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

First Trust Senior Floating Rate Income Fund II (the “Fund”) is filing herewith a press release issued on September 11, 2023, as Exhibit 99.1. The press release was issued by First Trust Advisors L.P. to announce the appointment of Bronwyn Wright as a Trustee of the Fund, effective September 10, 2023. Details regarding the appointment are contained in the press release included herein.

Ms. Wright has also been appointed as a member of the Audit Committee, the Valuation Committee and the Nominating and Governance Committee for the Fund.

Ms. Wright is not currently a party to any transaction with the Fund or First Trust Advisors L.P. that would require disclosure under Item 404(a) of Regulation S-K.

Item 9.01

Financial Statements and Exhibits.

 

(d)

Exhibits.

 

Exhibit
Number		Description
99.1		Press release of First Trust Advisors L.P. dated September 11, 2023.

 

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

Dated: September 12, 2023		FIRST TRUST SENIOR FLOATING RATE INCOME FUND II
	By:	/s/ W. Scott Jardine
	Name	W. Scott Jardine
	Title:	Secretary

 

EXHIBIT INDEX

Exhibit
Number		Description
99.1		Press release of First Trust Advisors L.P. dated September 11, 2023.

 

PRESS RELEASE

SOURCE: First Trust Advisors L.P.

First Trust Announces Appointment of New Trustee for Funds

WHEATON, IL – (BUSINESS WIRE) – September 11, 2023 – The exchange-traded funds, closed-end funds, mutual funds and variable insurance funds (collectively, the “Funds”) advised by First Trust Advisors L.P. (“FTA”) announced the appointment of Ms. Bronwyn Wright as a Trustee of certain of the Funds, effective September 10, 2023. Ms. Wright has been appointed as a Trustee of all Funds except the exchange-traded funds included in the First Trust Exchange-Traded Fund and the First Trust Dynamic Europe Equity Income Fund, a closed-end fund.

Ms. Wright has acted as an independent director to a number of Irish collective investment funds since 2009. Ms. Wright is a former Managing Director of Citibank Europe plc and Head of Securities and Fund Services for Citi Ireland. In these positions, she was responsible for the management and strategic direction of Citi Ireland’s securities and fund services business which included funds, custody, security finance/lending and global agency and trust. She also had responsibility for leading, managing and growing the Trustee, Custodian and Depositary business in Ireland, the United Kingdom, Luxembourg, Jersey and Cayman.

The appointment is applicable to all exchange-traded funds, mutual funds and variable insurance funds included in the following trusts: First Trust Series Fund, First Trust Variable Insurance Trust, First Trust Exchange-Traded Fund II, First Trust Exchange-Traded Fund III, First Trust Exchange-Traded Fund IV, First Trust Exchange-Traded Fund V, First Trust Exchange-Traded Fund VI, First Trust Exchange-Traded Fund VII, First Trust Exchange-Traded Fund VIII, First Trust Exchange-Traded AlphaDEX® Fund and First Trust Exchange-Traded AlphaDEX® Fund II.

In connection with the closed-end funds advised by FTA, Ms. Wright has been appointed as a Class III Trustee of the First Trust Senior Floating Rate Income Fund II, Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund, First Trust Energy Income and Growth Fund, First Trust Enhanced Equity Income Fund, First Trust/abrdn Global Opportunity Income Fund, First Trust Mortgage Income Fund, First Trust Specialty Finance and Financial Opportunities Fund, First Trust High Income Long/Short Fund, First Trust Energy Infrastructure Fund, First Trust MLP and Energy Income Fund, First Trust Intermediate

Duration Preferred & Income Fund, First Trust New Opportunities MLP & Energy Fund and First Trust High Yield Opportunities 2027 Term Fund.

Ms. Wright has also been appointed as a member of the Audit Committee, the Valuation Committee and the Nominating and Governance Committee for each of the applicable Funds.

FTA is a federally registered investment advisor and serves as the Funds’ investment advisor. FTA and its affiliate, First Trust Portfolios L.P. (“FTP”), a FINRA registered broker-dealer, are privately-held companies that provide a variety of investment services. FTA has collective assets under management or supervision of approximately $202 billion as of August 31, 2023 through unit investment trusts, exchange-traded funds, closed-end funds, mutual funds, variable insurance funds and separately managed accounts. FTA is the supervisor of the First Trust unit investment trusts, while FTP is the sponsor. FTP is also a distributor of mutual fund shares and exchange-traded fund creation units. FTA and FTP are based in Wheaton, Illinois.

Contact:

First Trust Advisors L.P.

Inquiries           James Dykas    630-517-7665

 

 

Cover	Sep. 11, 2023
Cover [Abstract]
Document Type	8-K
Amendment Flag	false
Document Period End Date	Sep. 11, 2023
Entity File Number	811-21539
Entity Registrant Name	First Trust Senior Floating Rate Income Fund II
Entity Central Index Key	0001282850
Entity Tax Identification Number	11-3716541
Entity Incorporation, State or Country Code	MA
Entity Address, Address Line One	120 East Liberty Drive
Entity Address, Address Line Two	Suite 400
Entity Address, City or Town	Wheaton
Entity Address, State or Province	IL
Entity Address, Postal Zip Code	60187
City Area Code	630
Local Phone Number	765-8000
Written Communications	false
Soliciting Material	false
Pre-commencement Tender Offer	false
Pre-commencement Issuer Tender Offer	false
Entity Emerging Growth Company	false

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