1
|
NAME OF REPORTING PERSON
Karpus Investment Management
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) x
(b) o
|
|
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS
WC
|
||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
¨
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
NEW YORK
|
||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
2,654,727
|
|
8
|
SHARED VOTING POWER
-
|
||
9
|
SOLE DISPOSITIVE POWER
2,654,727
|
||
10
|
SHARED DISPOSITIVE POWER
-
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,654,727
|
||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
o
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
20.81%
|
||
14
|
TYPE OF REPORTING PERSON
IA
|
1
|
NAME OF REPORTING PERSON
George W. Karpus
|
||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) x
(b) o
|
|
3
|
SEC USE ONLY
|
||
4
|
SOURCE OF FUNDS
WC, PF
|
||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
|
¨
|
|
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
NEW YORK
|
||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
5,996*
|
|
8
|
SHARED VOTING POWER
8,710*
|
||
9
|
SOLE DISPOSITIVE POWER
5,996*
|
||
10
|
SHARED DISPOSITIVE POWER
8,710*
|
||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
14,706*
|
||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
|
o
|
|
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Less than 1%
|
||
14
|
TYPE OF REPORTING PERSON
IN
|
Item 1.
|
Security and Issuer.
|
Item 2.
|
Identity and Background.
|
Item 3.
|
Source and Amount of Funds or Other Consideration.
|
Item 4.
|
Purpose of Transaction.
|
Item 5.
|
Interest in Securities of the Issuer.
|
A
..
|
Karpus Investment Management
|
|
(a)
|
As of the close of business on
November 4, 2019,
Karpus Investment Management
beneficially owned
2,654,727
Shares held in the Accounts.
|
|
(b)
|
1. Sole power to vote or direct vote:
2,654,727
|
|
2. Shared power to vote or direct vote:
-
|
|
3. Sole power to dispose or direct the disposition:
2,654,727
|
|
4. Shared power to dispose or direct the disposition:
-
|
|
(c)
|
The transactions in the Shares by
Karpus Investment Management
over the last 60 days are set forth in Schedule B and incorporated herein by reference.
|
B
..
|
George W. Karpus
|
|
(a)
|
As of the close of business on
November 4, 2019
,
George W. Karpus
beneficially owned
5,996
Shares. In addition,
George W. Karpus
may be deemed to beneficially own the
8,710
Shares held in the Karpus Entities.
|
|
(b)
|
1. Sole power to vote or direct vote:
5,996
|
|
2. Shared power to vote or direct vote:
8,710
|
|
3. Sole power to dispose or direct the disposition:
5,996
|
|
4. Shared power to dispose or direct the disposition:
8,710
|
|
(c)
|
Neither
George W. Karpus
nor the Karpus Entities have had any transactions in the Shares for the past 60 days.
|
Item 6.
|
Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer.
|
Item 7.
|
Material to be Filed as Exhibits.
|
|
99.1
|
14a-8 Shareholder Proposal Sent to the Issuer on November 4, 2019.
|
|
99.2
|
Joint Filing Agreement Dated November 4, 2019.
|
KARPUS MANAGEMENT, INC.
|
|||
By:
|
/s/ Daniel L. Lippincott, CFA
|
||
Name:
|
Daniel L. Lippincott, CFA
|
||
Title:
|
Director of Investment Personnel and Senior Tax-Sensitive Manager
|
/s/ George W. Karpus
|
|
GEORGE W. KARPUS
|
Name
|
Position & Present Principal Occupation
|
Business Address
|
Shares Owned
|
George W. Karpus
|
President, CEO, and Chairman of the Board
|
183 Sully’s Trail, Pittsford, New York 14534
|
See Above
|
Kathleen Finnerty Crane
|
Chief Financial Officer
|
183 Sully’s Trail, Pittsford, New York 14534
|
75
Shares
|
Dana R. Consler
|
Executive Vice President
|
183 Sully’s Trail, Pittsford, New York 14534
|
0
Shares
|
Thomas M. Duffy
|
Vice President
|
183 Sully’s Trail, Pittsford, New York 14534
|
0
Shares
|
Sharon L. Thornton
|
Chief Compliance Officer
|
183 Sully’s Trail, Pittsford, New York 14534
|
0
Shares
|
Daniel L. Lippincott, CFA
|
Sr. Tax-Sensitive Manager and Director of Investment Personnel
|
183 Sully’s Trail, Pittsford, New York 14534
|
0
Shares
|
Nature of the Transaction
|
Securities
Purchased/(Sold)
|
Price Per
Share($)
|
Date of
Purchase / Sale
|
Purchase of Common Stock
|
5,273
|
$10.55
|
10/2/2019
|
Sale of Common Stock
|
(349)
|
$10.59
|
10/1/2019
|
VIA FEDERAL EXPRESS November 4, 2019 First Trust/Aberdeen Global Opportunity Income Fund Attn: W. Scott Jardine, Secretary 120 East Liberty Drive, Suite 400 Wheaton, Illinois 60187 Re: 14a-8 Shareholder Proposal for the First Trust/Aberdeen Global Opportunity Income Fund ("FAM" or the "Fund") Mr. Jardine:This letter shall serve as notice to the First Trust/Aberdeen Global Opportunity Income Fund ("FAM" or the "Fund"), as to Karpus Management, Inc.'s ("Karpus") timely submittal of a shareholder proposal pursuant to Rule 14a-8 of the Securities Exchange Act of 1934 for presentation to FAM shareholders at the Fund's next annual shareholders' meeting anticipated to be held in April 2020, or any postponement or adjournment thereof (the "Meeting"). Karpus' non-binding 14a-8 shareholder proposal (the "Proposal") is as follows:
Sincerely, /s/ Brett D. Gardner Brett D. Gardner Senior Corporate Governance Analyst
KARPUS MANAGEMENT, INC.
|
|||
By:
|
/s/ Daniel Lippincott
|
||
Name:
|
Daniel Lippincott
|
||
Title:
|
Director of Investment Personnel and
Sr. Tax-Sensitive Portfolio Manager |
/s/ George W. Karpus
|
|
GEORGE W. KARPUS
|