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First Trust (FFA) Initial Form 3 Lists President With Zero Shares

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
3

Rhea-AI Filing Summary

Initial Form 3 filing discloses that Rick Edward IV, identified as President and reporting person for First Trust Enhanced Equity Income Fund (FFA), reports 0 common shares beneficially owned. The statement cites the triggering event date of 01/01/2025 and is signed under power of attorney. The filing provides basic ownership and role disclosure but shows no direct equity stake.

Positive

  • Required disclosure made by a Section 16 reporting person
  • Reporting person and role (President) clearly identified

Negative

  • No direct common shares beneficially owned (0 shares) per this filing

Insights

Form 3 reports a zero direct stake from the reporting officer.

The filing records the required initial disclosure for a Section 16 reporting person, naming Rick Edward IV as President and showing 0 common shares beneficially owned as of 01/01/2025. This satisfies the basic disclosure obligation to list ownership status and filing intent.

Key dependencies include maintaining timely updates if ownership changes; monitor any subsequent Forms 4 or 5 for acquisitions or dispositions that would alter ownership within typical reporting windows.

Insider Rick Edward IV
Role Insider
Type Security Shares Price Value
holding Common Shares -- -- --
Holdings After Transaction: Common Shares — 0 shares (Direct)
Footnotes (1)
Understanding Insider Trading Forms →
SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0104
Estimated average burden
hours per response: 0.5
1. Name and Address of Reporting Person*
Rick Edward IV
(Last) (First) (Middle)
C/O CHARTWELL INVESTMENT PARTNERS LLC
1205 WESTLAKES DRIVE, SUITE 100
(Street)
BERWYN PA 19312
(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
01/01/2025 		3. Issuer Name and Ticker or Trading Symbol
FIRST TRUST ENHANCED EQUITY INCOME FUND [ FFA ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
Officer (give title below) X Other (specify below)
PRESIDENT
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Shares 0 D
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
/s/ Edward Rick IV, by Erin E. Klassman, attorney-in-fact, pursuant to a Power of Attorney 10/07/2025
** 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 5 (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.

Source: View Original Filing on SEC EDGAR

FAQ

What does Form 3 for FFA filed by Rick Edward IV report?

It reports an initial beneficial ownership statement showing 0 common shares beneficially owned and identifies the reporting person as President.

Does the Form 3 indicate any derivative or indirect holdings for FFA?

No. Table II shows no derivative securities and Table I lists 0 common shares.

What event date is listed on the FFA Form 3?

The filing cites the event date of 01/01/2025 as the date requiring the statement.

Was the Form 3 signed by the reporting person?

Yes; the form is signed under power of attorney by an attorney-in-fact on behalf of Rick Edward IV.

Will changes in ownership be reported after this Form 3?

Any subsequent acquisitions or dispositions would be reported on Form 4 (current changes) or Form 5 (annual) as required.