-----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, DSjcnbYEEt18GKVp0Ec9bdfLJ991ZdpsDezkZ0MZpmQ5vmaEeu5beYd0wHl5854Y f8KRD1/MG/xZAhfKRn4tDQ== 0001073307-09-000152.txt : 20090410 0001073307-09-000152.hdr.sgml : 20090410 20090410105659 ACCESSION NUMBER: 0001073307-09-000152 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090410 DATE AS OF CHANGE: 20090410 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST TRUST TAX-ADVANTAGED PREFERRED INCOME FUND CENTRAL INDEX KEY: 0001356750 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-83958 FILM NUMBER: 09744403 BUSINESS ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 BUSINESS PHONE: 630-765-8000 MAIL ADDRESS: STREET 1: 120 EAST LIBERTY DRIVE, SUITE 400 CITY: WHEATON STATE: IL ZIP: 60187 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROYAL BANK OF CANADA \ CENTRAL INDEX KEY: 0001000275 STANDARD INDUSTRIAL CLASSIFICATION: COMMERCIAL BANKS, NEC [6029] IRS NUMBER: 000000000 FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: P O BOX 1 STREET 2: ROYAL BANK PLAZA CITY: TORONTO STATE: A6 ZIP: 00000 BUSINESS PHONE: 4169745151 MAIL ADDRESS: STREET 1: P O BOX 6001 CITY: MONTREAL STATE: A8 ZIP: H3C 3A9 SC 13G/A 1 sch13ga6firsttrust-090331.htm SCHEDULE 13G

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

 

(Amendment No. 6)*

 

First Trust Tax-Advantaged Preferred Income Fund

(Name of Issuer)

 

Auction Preferred Shares (Series M)

(Title of Class of Securities)

 

336918206

(CUSIP Number)

 

 

March 31, 2009

(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)

 

 

 

 

o

Rule 13d-1(c)

 

 

 

 

o

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 the disclosures provided in a prior cover page.

The information required in the remainder of this cover 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. 336918206

 

1.

Names of Reporting Persons

 

I.R.S. Identification Nos. of above persons (entities only).

 

 

 

Royal Bank of Canada

 

 

 

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

 

 

 

Canada

 

 

 

Number of Shares Beneficially Owned By

Each

Reporting

Person With:

5.

Sole Voting Power

0

 

 

 

6.

Shared Voting Power

146

 

 

 

7.

Sole Dispositive Power

0

 

 

 

8.

Shared Dispositive Power

146

 

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person

146

 

 

10.

Check if Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

[  ]

 

 

11.

Percent of Class Represented by Amount in Row (9)

60.8%

 

 

12.

Type of Reporting Person (See Instructions)

FI

 

 

 

 

Item 1.

 

 

 

(a)

Name of Issuer
First Trust Tax-Advantaged Preferred Income Fund

 

 

(b)

Address of Issuer’s Principal Executive Offices

1001 Warrenville Road, Suite 300

Lisle, IL 60532

Item 2.

 

(a)

Name of Person Filing
Royal Bank of Canada

 

 

(b)

Address of Principal Business Office or, if none, Residence
200 Bay Street
Toronto, Ontario M5J 2J5
Canada

 

 

(c)

Citizenship
Canadian chartered bank

 

 

(d)

Title of Class of Securities
Auction Preferred Shares (Series M)

 

 

(e)

CUSIP Number
336918206

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

(a)

o

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

 

 

(b)

o

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

 

 

(c)

o

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

 

 

(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

 

 

 

(e)

o

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

 

 

(f)

o

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

 

 

(g)

o

A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 

 

 

(h)

o

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

 

 

(i)

o

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

(j)

x

A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);

  

(k)

o

Group, in accordance with §240.13d-1(b)(1)(ii)(K).

 

Item 4.

Ownership

 

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

(a)

Amount beneficially owned: 146.

 

(b)

Percent of class: 60.8%.

 

(c)

Number of shares as to which the person has:

 

 

(i)

Sole power to vote or to direct the vote
0

 

(ii)

Shared power to vote or to direct the vote
146

 

(iii)

Sole power to dispose or to direct the disposition of
0

 

(iv)

Shared power to dispose or to direct the disposition of
146

Instruction: For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).

Item 5.

Ownership of Five Percent or Less of a Class

Not applicable.

Item 6.

Ownership of 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

                Not applicable.

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 I certify that, to the best of my 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 held 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.

By signing below I also certify that, to the best of my knowledge and belief, the foreign regulatory scheme applicable to the bank is substantially comparable to the regulatory scheme applicable to the functionally equivalent U.S. institution.  I also undertake to furnish to the Commission staff, upon request, information that would otherwise be disclosed in a Schedule 13D. 

 

 

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:   April 7, 2009

ROYAL BANK OF CANADA

 

 

 

 

 

/s/ Bryan Osmar

 

 

 

Signature

 

 

 

 

 

 

 

Bryan Osmar/Senior Vice President

 

 

 

Name/Title

 

 

 

 

 

 

 

/s/ Bruce Macdonald

 

 

 

Signature

 

 

 

 

 

 

 

Bruce Macdonald/Executive Vice President

 

 

 

Name/Title

 

 

 

 

 

 

 

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