-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TSGoGWcbuKjEHebvP2UyZExTG8/Pef4EXb5AgtpMdkt4zUKo3OM5kFvg3ziRkf48 ZmyD++Lx5khRCF2wGNxWwQ== 0000070858-11-000035.txt : 20110214 0000070858-11-000035.hdr.sgml : 20110214 20110214153442 ACCESSION NUMBER: 0000070858-11-000035 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST SENIOR FLOATING RATE INCOME FUND II CENTRAL INDEX KEY: 0001282850 IRS NUMBER: 113716541 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-81567 FILM NUMBER: 11607096 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE STREET 2: SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE STREET 2: SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FORMER COMPANY: FORMER CONFORMED NAME: FIRST TRUST FOUR CORNERS SENIOR FLOATING RATE INCOME FUND II DATE OF NAME CHANGE: 20040305 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANK OF AMERICA CORP /DE/ CENTRAL INDEX KEY: 0000070858 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 560906609 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 BUSINESS PHONE: 7043868486 MAIL ADDRESS: STREET 1: BANK OF AMERICA CORPORATE CENTER STREET 2: 100 N TRYON ST CITY: CHARLOTTE STATE: NC ZIP: 28255 FORMER COMPANY: FORMER CONFORMED NAME: BANKAMERICA CORP/DE/ DATE OF NAME CHANGE: 19981022 FORMER COMPANY: FORMER CONFORMED NAME: NATIONSBANK CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: NCNB CORP DATE OF NAME CHANGE: 19920107 SC 13G 1 firstsen13g.htm FIRST TRUST SENIOR FLOATING RATE INCOME 13G firstsen13g.htm
SECURITIES AND EXCHANGE COMMISSION
 
Washington, D.C. 20549
 
____________________

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. )*

FIRST TRUST SENIOR FLOATING RATE INCOME FUND II
___________________________________________________________
(Name of Issuer)


COMMON STOCK
 
___________________________________________________________
 
(Title of Class of Securities)
 

33733U108
______________________________
(CUSIP Number)

December 31, 2010
___________________________________________________________
(Date of Event Which Requires Filing of this Statement)


Check the appropriate box to designate the Rule pursuant to which this Schedule is filed:

[X]           Rule 13d – 1(b)
[  ]           Rule 13d – 1(c)
[  ]           Rule 13d – 1(d)

*           The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.

The information required on the remainder of this page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes.)





 
 
 

CUSIP No 33733U108
13G
 

1
NAMES OF REPORTING PERSONS                                                                                             I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY):
 
Bank of America Corporation                                                                                                           56-0906609
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ ]
3
SEC USE ONLY
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
 
NUMBER OF
 
 SHARES
 
BENEFICIALLY OWNED
 
BY EACH
 
REPORTING
 
 PERSON WITH
 
 
 
5  SOLE VOTING POWER
    
 
6  SHARED VOTING POWER
    
81,702
 
7  SOLE DISPOSITIVE POWER
    
8  SHARED DISPOSITIVE POWER
    
1,321,654
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,321,654
10
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
 
[  ]
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
5.2%
12
TYPE OF REPORTING PERSON (See Instructions)
HC


 
 
 

CUSIP No 33733U108
  13G
  

1
NAMES OF REPORTING PERSONS                                                                               I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY):
 
Bank of America, NA                                                                                                           94-1687665
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ ]
3
SEC USE ONLY
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
NUMBER OF
 
 SHARES
 
BENEFICIALLY OWNED
 
BY EACH
 
REPORTING
 
 PERSON WITH
 
 
 
5  SOLE VOTING POWER
    
68,629
 
6  SHARED VOTING POWER
    
13,073
 
7  SOLE DISPOSITIVE POWER
    
68,629
8  SHARED DISPOSITIVE POWER
    
13,073
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
81,702
10
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
 
[  ]
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
0.3%
12
TYPE OF REPORTING PERSON (See Instructions)
BK


 
 
 



CUSIP No 33733U108
13G
 

1
NAMES OF REPORTING PERSONS                                                                                                               I.R.S. IDENTIFICATION NO . OF ABOVE PERSONS (ENTITIES ONLY):
 
Merrill Lynch, Pierce, Fenner & Smith, Inc.                                                                                                    13-5674085
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) [ ]
(b) [ ]
3
SEC USE ONLY
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
NUMBER OF
 
 SHARES
 
BENEFICIALLY OWNED
 
BY EACH
 
REPORTING
 
 PERSON WITH
 
 
 
5  SOLE VOTING POWER
    
 
6  SHARED VOTING POWER
    
 
7  SOLE DISPOSITIVE POWER
    
1,239,952
8  SHARED DISPOSITIVE POWER
    
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,239,952
10
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions)
 
[  ]
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
4.9%
12
TYPE OF REPORTING PERSON (See Instructions)
BD, IA

 
 
 

Item 1(a).              Name of Issuer:

FIRST TRUST SENIOR FLOATING RATE INCOME FUND II

Item 1(b).              Address of Issuer’s Principal Executive Offices:

120 EAST LIBERTY DRIVE
SUITE 400
WHEATON, IL 60187

Item 2(a).               Name of Person Filing:

                                 Bank of America Corporation
                                 Bank of America, NA
                                 Merrill Lynch, Pierce, Fenner & Smith, Inc.

Item 2(b).               Address of Principal Business Office or, if None, Residence:

Each Reporting Person has its or his principal business office at 100 North Tryon Street, Floor 25, Bank of America Corporate Center, Charlotte, NC 28255.

Item 2(c).               Citizenship:

                                 Bank of America Corporation
Delaware
                                 Bank of America, NA
United States
                                 Merrill Lynch, Pierce, Fenner & Smith, Inc.
Delaware

Item 2(d).               Title of Class of Securities:

 Common Stock

Item 2(e).                CUSIP Number:

 33733U108

Item 3.                     If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:

(a)  
[  ] Broker or dealer registered under Section 15 of the Exchange Act.
(b)  
[  ] Bank as defined in Section 3(a)(6) of the Exchange Act.
(c)  
[  ] Insurance company as defined in Section 3(a)(19) of the Exchange Act.
(d)  
[  ] Investment company registered under Section 8 of the Investment Company Act.
(e)  
[  ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E).
(f)  
[  ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F).
(g)  
[X] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G).
(h)  
[  ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act.
(i)  
[  ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act.
(j)  
[  ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).

If this statement is filed pursuant to Rule 13d-1(c), check this box.  [  ]


Item 4.                   Ownership:

With respect to the beneficial ownership of the reporting person, see Items 5 through 11 of the cover pages to this Schedule 13G, which are incorporated herein by reference.

Item 5.                   Ownership of 5 Percent or Less of a Class:

If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following  [    ].

Item 6.                   Ownership or More than Five Percent on Behalf of Another Person:

Not Applicable.

Item 7.                    Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person:
 
With respect to the beneficial ownership of the reporting person, see Items 5 through 11 of the cover pages to this Schedule 13G, which are incorporated herein by reference.

Item 8.                   Identification and Classification of Members of the Group:

Not Applicable.

Item 9.                   Notice of Dissolution of Group:

 Not Applicable.

 
 
 

Item 10.                 Certification:

By signing below each of the undersigned certifies that, to the best of such undersigned’s knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
 

 
SIGNATURE
 

 
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 

 
Dated:   February 14, 2011

Bank of America Corporation
Bank of America, N.A.

By:           /s/ Michael Didovic
_____________________
Michael Didovic
Director

Merrill Lynch, Pierce, Fenner & Smith, Inc.

By:           /s/ Lawrence Emerson
_____________________
Lawrence Emerson
Attorney-In-Fact




 
 
 
 
Exhibit 99.1
 

 
EXHIBIT 99.1 - JOINT FILING AGREEMENT
 

The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1).  Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the completeness or accuracy of the information concerning the other persons making the filing, unless such person knows or has reason to believe that such information is inaccurate.
 

 
In accordance with Rule 13d-1(k)(1) promulgated under the Securities and Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with each other on behalf of each of them of to such a statement on Schedule 13G with respect to the common stock of beneficially owned by each of them.  This Joint Filing Agreement shall be included as an exhibit to such Schedule 13G.
 

Dated:    February 14, 2011

Bank of America Corporation
Bank of America, N.A.

By:           /s/ Michael Didovic
_____________________
Michael Didovic
Director

Merrill Lynch, Pierce, Fenner & Smith, Inc.

By:           /s/ Lawrence Emerson
_____________________
Lawrence Emerson
Attorney-In-Fact







 
 
 

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