SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

 

SCHEDULE 13G/A

(RULE 13d-102)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b),

(c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2

UNDER THE SECURITIES EXCHANGE ACT OF 1934 (“ACT”)

(FINAL AMENDMENT)

 

 

First Trust Institutional Preferred Securities and Income ETF

(Name of Issuer)

Exchange-Traded Fund

(Title of Class of Securities)

33739P855

(CUSIP Number)

December 31, 2019

(Date of Event Which Requires Filing of this Statement)

 

 

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

 

☒

Rule 13d-1(b)

 

☐

Rule 13d-1(c)

 

☐

Rule 13d-1(d)

 

 

 

CUSIP No. 33739P855   Page 1 of 6 Pages

 

  1)   

Names of Reporting Persons

IRS Identification No. Of Above Persons

 

The PNC Financial Services Group, Inc.    25-1435979

  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

 

Pennsylvania

Number of

Shares

Beneficially

Owned

By Each

Reporting

Person With

   5)    

Sole Voting Power

 

*

*  See the response to Item 5.

   6)   

Shared Voting Power

 

*

*  See the response to Item 5.

   7)   

Sole Dispositive Power

 

*

*  See the response to Item 5.

   8)   

Shared Dispositive Power

 

*

*  See the response to Item 5.

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

*

*  See the response to Item 5.

10)  

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

 

☐

11)  

Percent of Class Represented by Amount in Row (9)

 

*

*  See the response to Item 5.

12)  

Type of Reporting Person (See Instructions)

 

HC

CUSIP No. 33739P855    Page 2 of 6 Pages

 

  1)   

Names of Reporting Persons

IRS Identification No. Of Above Persons

 

PNC Bancorp, Inc.    51-0326854

  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

 

*

*  See the response to Item 5.

   6)   

Shared Voting Power

 

*

*  See the response to Item 5.

   7)   

Sole Dispositive Power

 

*

*  See the response to Item 5.

   8)   

Shared Dispositive Power

 

*

*  See the response to Item 5.

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

*

*  See the response to Item 5.

10)  

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

 

☐

11)  

Percent of Class Represented by Amount in Row (9)

 

*

*  See the response to Item 5.

12)  

Type of Reporting Person (See Instructions)

 

HC

CUSIP No. 33739P855    Page 3 of 6 Pages

 

  1)   

Names of Reporting Persons

IRS Identification No. Of Above Persons

 

PNC Bank, National Association    22-1146430

  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

 

*

*  See the response to Item 5.

   6)   

Shared Voting Power

 

*

*  See the response to Item 5.

   7)   

Sole Dispositive Power

 

*

*  See the response to Item 5.

   8)   

Shared Dispositive Power

 

*

*  See the response to Item 5.

  9)  

Aggregate Amount Beneficially Owned by Each Reporting Person

 

*

*  See the response to Item 5.

10)  

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

 

☐

11)  

Percent of Class Represented by Amount in Row (9)

 

*

*  See the response to Item 5.

12)  

Type of Reporting Person (See Instructions)

 

BK

   Page 4 of 6 Pages

ITEM 1(a) - NAME OF ISSUER:

First Trust Institutional Preferred Securities and Income ETF

ITEM 1(b) - ADDRESS OF ISSUER’S PRINCIPAL EXECUTIVE OFFICES:

120 East Liberty Drive, Suite 400

Wheaton, Illinois 60187

ITEM 2(a) - NAME OF PERSON FILING:

The PNC Financial Services Group, Inc.; PNC Bancorp, Inc.; and

PNC Bank, National Association

ITEM 2(b) - ADDRESS OF PRINCIPAL BUSINESS OFFICE:

The PNC Financial Services Group, Inc. - 300 Fifth Avenue, Pittsburgh, PA 15222-2401

PNC Bancorp, Inc. - 222 Delaware Avenue, Wilmington, DE 19801

PNC Bank, National Association - 300 Fifth Avenue, Pittsburgh, PA 15222-2401

ITEM 2(c) - CITIZENSHIP:

The PNC Financial Services Group, Inc. - Pennsylvania

PNC Bancorp, Inc. - Delaware

PNC Bank, National Association - United States

ITEM 2(d) - TITLE OF CLASS OF SECURITIES:

Exchange-Traded Fund

ITEM 2(e) - CUSIP NUMBER:

33739P855

 

ITEM 3 

- IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A:

 

(a)

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

(b)

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

(c)

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

(d)

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

(e)

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

(f)

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

(g)

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

(h)

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

(i)

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

(j)

☐ A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J);

(k)

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

   Page 5 of 6 Pages

ITEM 4 - OWNERSHIP:

The following information is as of December 31, 2019:

 

(a)    Amount Beneficially Owned:   

*

*  See the response to Item 5.

(b)    Percent of Class:   

*

*  See the response to Item 5.

(c)    Number of shares to which such person has:   
           (i)    sole power to vote or to direct the vote    *
          (ii)    shared power to vote or to direct the vote    *
         (iii)    sole power to dispose or to direct the disposition of    *
         (iv)    shared power to dispose or to direct the disposition of   

*

*  See the response to Item 5.

The inclusion of the reporting persons and such securities in this report shall not be deemed an admission of beneficial ownership by the reporting persons for any other purposes other than the purposes of Section 13(g) of the Act.

ITEM 5 - OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:

Each reporting person has ceased to beneficially own more than 5% of the fund shares of the issuer.

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:

Included are the following subsidiaries of The PNC Financial Services Group, Inc. - HC:

PNC Bancorp, Inc. - HC (wholly owned subsidiary of The PNC Financial Services Group, Inc.)

PNC Bank, National Association - BK (wholly owned subsidiary of PNC Bancorp, Inc.)

ITEM 8 - IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:

Not Applicable.

  Page 6 of 6 Pages

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.

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.

 

February 7, 2020     February 7, 2020
Date     Date
By: /s/ Gregory H. Kozich     By: /s/ Janet Jolles
Signature - The PNC Financial Services Group, Inc.     Signature - PNC Bancorp, Inc.
Gregory H. Kozich, Senior Vice President & Controller     Janet Jolles, Chairman & President
Name & Title     Name & Title
February 7, 2020    

 

Date    
By: /s/ Gregory H. Kozich    

 

Signature - PNC Bank, National Association    
Gregory H. Kozich, Executive Vice President & Controller    
Name & Title    

AN AGREEMENT TO FILE A JOINT STATEMENT WAS PREVIOUSLY FILED

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