Document/Exhibit Description Pages Size
1: N-2MEF Registration of Additional Shares 11 38K
2: EX-99.2K OTH CONTRCT Form of Fee Agreement With Janney 7 23K
Montgomery Scott LLC
4: EX-99.2L OPIN COUNSL Opinion and Consent of Bingham McCutchen 3 13K
LLP
3: EX-99.2L OPIN COUNSL Opinion and Consent of Chapman and 2 9K
Cutler LLP
5: EX-99.2N OTH CONSENT Consent of Independent Registered Public 1 6K
Accounting Firm
As filed with the Securities and Exchange Commission on March 26, 2014
================================================================================
1933 Act File No. 333-________
1940 Act File No. 811-22902
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-2
(Check appropriate box or boxes)
[X] REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933
[ ] Pre-Effective Amendment No.
[ ] Post-Effective Amendment No. _
and
[ ] REGISTRATION STATEMENT UNDER THE INVESTMENT COMPANY ACT OF 1940
[X] Amendment No. 4
First Trust New Opportunities MLP & Energy Fund
Exact Name of Registrant as Specified in Declaration of Trust
187 Danbury Road, Wilton, Connecticut 06897
Address of Principal Executive Offices (Number, Street, City, State, Zip Code)
(630) 765-8000
Registrant's Telephone Number, including Area Code
W. Scott Jardine, Esq.
First Trust Portfolios L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
Copies of Communications to:
Eric F. Fess, Esq. David E. Wohl
Chapman and Cutler LLP Weil, Gotshal & Manges LLP
111 West Monroe Street 767 Fifth Avenue
Chicago, Illinois 60603 New York, New York 10153
Approximate Date of Proposed Public Offering: As soon as practicable after the
effective date of this Registration Statement
---------------
If any of the securities being registered on this form are offered on a delayed
or continuous basis in reliance on Rule 415 under the Securities Act of 1933,
other than securities offered in connection with a dividend reinvestment plan,
check the following box. [ ]
It is proposed that this filing will become effective (check appropriate box)
[ ] when declared effective pursuant to section 8(c)
If appropriate, check the following box:
[ ] This post-effective amendment designates a new effective date for a
previously filed registration statement.
[X] This form is filed to register additional securities for an offering
pursuant to Rule 462(b) under the Securities Act and the Securities Act
registration statement number of the earlier effective registration
statement for the same offering is 333-191808
---------------
CALCULATION OF REGISTRATION FEE UNDER THE SECURITIES ACT OF 1933
================================================================================
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---------------------- --------------------- -------------------- --------------------- ---------------------
Proposed Maximum Proposed Maximum Amount of
Title of Securities Amount Being Offering Price Aggregate Offering Registration
Being Registered Registered Per Unit Price(1) Fee(2)
---------------------- --------------------- -------------------- --------------------- ---------------------
Common Shares,
$0.01 par value 196,360 $20.00 $3,927,200 $505.83
---------------------- --------------------- -------------------- --------------------- ---------------------
(1) All of which may be purchased pursuant to an over-allotment option of
3,196,360 shares granted by the Registrant to the Underwriters.
(2) Estimated solely for the purpose of determining the registration fee.
================================================================================
EXPLANATORY NOTE AND INCORPORATION BY REFERENCE
This Registration Statement is being filed pursuant to Rule 462(b) under
the Securities Act of 1933, as amended. The contents of the Registration
Statement on Form N-2 (Reg. No. 333-191808) filed by First Trust New
Opportunities MLP & Energy Fund (the "Registrant") with the Securities and
Exchange Commission, declared effective March 26, 2014, are incorporated herein
by reference. On March 26, 2014, the Registrant registered 25,000,000 common
shares in Pre-Effective Amendment No. 3 to the Registrant's Registration
Statement filed on Form N-2. When the common shares previously registered are
combined with the common shares registered herein, the total number of shares
registered by the Registrant is 25,196,360 shares. Any required consents are
listed on an Exhibit Index attached hereto and are filed herewith.
PART C - OTHER INFORMATION
Item 25: Financial Statements and Exhibits
1. Financial Statements:
Registrant has not conducted any business as of the date of this filing,
other than in connection with its organization. Financial Statements indicating
that the Registrant has met the net worth requirements of Section 14(a) of the
Investment Company Act of 1940 were filed with Pre-effective Amendment No. 2 to
the Registration Statement on Form N-2 (File No. 333-191808).
2. Exhibits:
a. Declaration of Trust dated October 15, 2013. (1)
b. By-Laws of Fund. (3)
c. None.
d. None.
e. Terms and Conditions of the Dividend Reinvestment Plan. (3)
f. None.
g.1 Form of Investment Management Agreement between Registrant and First
Trust Advisors L.P. (3)
g.2 Form of Sub-Advisory Agreement between Registrant, First Trust Advisors
L.P. and Energy Income Partners, LLC. (3)
h.1 Form of Underwriting Agreement. (3)
h.2 Form of Master Agreement Among Underwriters. (3)
h.3 Form of Master Selected Dealers Agreement. (3)
i. None.
j. Form of Custody Agreement between Registrant and Fund Custodian. (3)
k.1 Form of Service Agreement for Transfer Agent Services between
Registrant and Fund Transfer Agent. (3)
k.2 Form of Administration and Accounting Services Agreement. (3)
k.3 Form of Structuring Fee Agreement with Morgan Stanley & Co. LLC (3)
k.4 Form of Syndication Fee Agreement with Morgan Stanley & Co. LLC (3)
k.5 Form of Fee Agreement with Ameriprise Financial Services, Inc. (3)
k.6 Form of Fee Agreement with Oppenheimer & Co. Inc. (3)
k.7 Form of Fee Agreement with Ladenburg Thalmann & Co. Inc. (3)
k.8 Form of Fee Agreement with Pershing LLC. (3)
k.9 Form of Fee Agreement with Southwest Securities, Inc. (3)
k.10 Form of Fee Agreement with J.J.B Hilliard, W.L. Lyons, LLC. (3)
k.11 Form of Fee Agreement with BB&T Capital Markets, a division of BB&T
Securities, LLC. (3)
k.12 Form of Fee Agreement with qualifying underwriters. (3)
k.13 Form of Fee Agreement with Janney Montgomery Scott LLC. (4)
l.1 Opinion and consent of Chapman and Cutler LLP. (4)
l.2 Opinion and consent of Bingham McCutchen LLP. (4)
m. None.
n. Consent of Independent Registered Public Accounting Firm. (4)
o. None.
p. Subscription Agreement between Registrant and First Trust Advisors
L.P. (3)
q. None.
r.1 Code of Ethics of Registrant. (3)
r.2 Code of Ethics of First Trust Portfolios L.P. (3)
r.3 Code of Ethics of First Trust Advisors L.P. (3)
r.4. Code of Ethics of Energy Income Partners, LLC. (3)
s. Powers of Attorney. (2)
--------------------------------------------------------------------------------
(1) Filed on October 18, 2013 as Exhibit a. to Registrant's Registration
Statement on Form N-2 (File No. 333-191808) and incorporated herein by
reference.
(2) Filed on December 20, 2013 as Exhibit s. to Registrant's Registration
Statement on Form N-2 (File No. 333-191808) and incorporated herein by
reference.
(3) Filed on March 26, 2014 in Pre-Effective Amendment No. 3 to Registrant's
Registration Statement on Form N-2 (File No. 333-191808) and incorporated
herein by reference.
(4) Filed herewith.
Item 26: Marketing Arrangements
See the Form of Underwriting Agreement, the Form of Master Agreement Among
Underwriters, the Form of Master Selected Dealers Agreement, the Form of
Structuring Fee Agreement of Morgan Stanley & Co. LLC, the Form of Syndication
Fee Agreement of Morgan Stanley & Co. LLC, the Form of Fee Agreement of
Ameriprise Financial Services, Inc., the Form of Fee Agreement of Oppenheimer &
Co. Inc., the Form of Fee Agreement of Ladenburg Thalmann & Co. Inc., the Form
of Fee Agreement of Pershing LLC, the Form of Fee Agreement of Southwest
Securities, Inc. the Form of Fee Agreement of J.J.B. Hilliard, W.L. Lyons, LLC,
the Form of Fee Agreement of BB&T Capital Markets, a division of BB&T
Securities, LLC, and the Form of Fee Agreement with qualifying underwriters
filed as Exhibit (h)(1), Exhibit (h)(2), Exhibit (h)(3), Exhibit (k)(3), Exhibit
(k)(4), Exhibit (k)(5), Exhibit (k)(6), Exhibit (k)(7), Exhibit (k)(8), Exhibit
(k)(9), Exhibit (k)(10), Exhibit (k)(11) and Exhibit (k)(12) respectively, to
Registrant's Registration Statement on Form N-2 (File No. 333-191808). See also
the Form of Fee Agreement of Janney Montgomery Scott LLC filed herewith as
Exhibit (k)(13).
Item 27: Other Expenses of Issuance and Distribution
---------------------------------------------------------- --------------------
Securities and Exchange Commission Fees $ 56,672
---------------------------------------------------------- --------------------
Financial Industry Regulatory Authority, Inc. Fees $ 75,500
---------------------------------------------------------- --------------------
Printing and Engraving Expenses $125,000
---------------------------------------------------------- --------------------
Legal Fees $550,000
---------------------------------------------------------- --------------------
Listing Fees $ 30,000
---------------------------------------------------------- --------------------
Accounting Expenses $ 20,500
---------------------------------------------------------- --------------------
Blue Sky Filing Fees and Expenses $ --
---------------------------------------------------------- --------------------
Miscellaneous Expenses $ 22,328
---------------------------------------------------------- --------------------
Total $880,000
---------------------------------------------------------- --------------------
Item 28: Persons Controlled by or under Common Control with Registrant
Not applicable.
Item 29: Number of Holders of Securities
At March 26, 2014
--------------------------------------- ---------------------------------------
Title of Class Number of Record Holders
--------------------------------------- ---------------------------------------
Common Shares, $0.01 par value 1
--------------------------------------- ---------------------------------------
Item 30: Indemnification
Section 9.5 of the Registrant's Declaration of Trust provides as follows:
Indemnification and Advancement of Expenses. Subject to the exceptions and
limitations contained in this Section 9.5, every person who is, or has been, a
Trustee, officer or employee of the Trust, including persons who serve at the
request of the Trust as directors, trustees, officers, employees or agents of
another organization in which the Trust has an interest as a shareholder,
creditor or otherwise (hereinafter referred to as a "Covered Person"), shall be
indemnified by the Trust to the fullest extent permitted by law against
liability and against all expenses reasonably incurred or paid by him in
connection with any claim, action, suit or proceeding in which he becomes
involved as a party or otherwise by virtue of his being or having been such a
Trustee, director, officer, employee or agent and against amounts paid or
incurred by him in settlement thereof.
No indemnification shall be provided hereunder to a Covered Person to the
extent such indemnification is prohibited by applicable federal law.
The rights of indemnification herein provided may be insured against by
policies maintained by the Trust, shall be severable, shall not affect any other
rights to which any Covered Person may now or hereafter be entitled, shall
continue as to a person who has ceased to be such a Covered Person and shall
inure to the benefit of the heirs, executors and administrators of such a
person.
Subject to applicable federal law, expenses of preparation and
presentation of a defense to any claim, action, suit or proceeding subject to a
claim for indemnification under this Section 9.5 shall be advanced by the Trust
prior to final disposition thereof upon receipt of an undertaking by or on
behalf of the recipient to repay such amount if it is ultimately determined that
he is not entitled to indemnification under this Section 9.5.
To the extent that any determination is required to be made as to whether
a Covered Person engaged in conduct for which indemnification is not provided as
described herein, or as to whether there is reason to believe that a Covered
Person ultimately will be found entitled to indemnification, the Person or
Persons making the determination shall afford the Covered Person a rebuttable
presumption that the Covered Person has not engaged in such conduct and that
there is reason to believe that the Covered Person ultimately will be found
entitled to indemnification.
As used in this Section 9.5, the words "claim," "action," "suit" or
"proceeding" shall apply to all claims, demands, actions, suits, investigations,
regulatory inquiries, proceedings or any other occurrence of a similar nature,
whether actual or threatened and whether civil, criminal, administrative or
other, including appeals, and the words "liability" and "expenses" shall include
without limitation, attorneys' fees, costs, judgments, amounts paid in
settlement, fines, penalties and other liabilities.
Section 8 of the Form of Underwriting Agreement filed as Exhibit (h)(1) to
this Registration Statement provides for each of the parties thereto, including
the Registrant and the underwriters, to indemnify the others, their directors,
officers, agents, affiliates and persons who control them against certain
liabilities in connection with the offering described herein, including
liabilities under the federal securities laws.
Item 31: Business and Other Connections of Investment Advisers
The information in the Statement of Additional Information under the captions
"Management of the Fund - Trustees and Officers" and "Sub-Advisor," and the Form
ADV of Energy Income Partners, LLC (File No. 801-66907) filed with the
Commission are hereby incorporated by reference.
Item 32: Location of Accounts and Records.
First Trust Advisors L.P. maintains the Declaration of Trust, By-Laws, minutes
of trustees and shareholders meetings and contracts of the Registrant, all
advisory material of the investment adviser, all general and subsidiary ledgers,
journals, trial balances, records of all portfolio purchases and sales, and all
other required records.
Item 33: Management Services
Not applicable.
Item 34: Undertakings
1. Registrant undertakes to suspend the offering of its shares until it
amends its prospectus if (1) subsequent to the effective date of its
Registration Statement, the net asset value declines more than 10 percent
from its net asset value as of the effective date of the Registration
Statement, or (2) the net asset value increases to an amount greater than
its net proceeds as stated in the prospectus.
2. Not applicable.
3. Not applicable.
4. Not applicable.
5. The Registrant undertakes that:
a. For purposes of determining any liability under the Securities Act of
1933, the information omitted from the form of prospectus filed as part of
a registration statement in reliance upon Rule 430A and contained in the
form of prospectus filed by the Registrant under Rule 497(h) under the
Securities Act of 1933 shall be deemed to be part of the Registration
Statement as of the time it was declared effective; and
b. For the purpose of determining any liability under the Securities Act of
1933, each post-effective amendment that contains a form of prospectus
shall be deemed to be a new registration statement relating to the
securities offered therein, and the offering of the securities at that
time shall be deemed to be the initial bona fide offering thereof.
6. The Registrant undertakes to send by first class mail or other means
designed to ensure equally prompt delivery, within two business days of
receipt of a written or oral request, any Statement of Additional
Information.
SIGNATURES
Pursuant to the requirements of the Securities Act of 1933 and the
Investment Company Act of 1940, the Registrant has duly caused this Registration
Statement to be signed on its behalf by the undersigned, thereunto duly
authorized, in this City of Wheaton, and State of Illinois, on the 26th day of
March, 2014.
FIRST TRUST NEW OPPORTUNITIES MLP &
ENERGY FUND
By: /s/ Mark R. Bradley
--------------------------------
Mark R. Bradley, President and
Chief Executive Officer
Pursuant to the requirements of the Securities Act of 1933, this
Registration Statement has been signed below by the following persons in the
capacities and on the date indicated.
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--------------------------------------- ------------------------------------- ------------------------------------
Signature Title Date
--------------------------------------- ------------------------------------- ------------------------------------
/s/ Mark R. Bradley President and Chief Executive
--------------------------------------- Officer March 26, 2014
Mark R. Bradley (Principal Executive Officer)
--------------------------------------- ------------------------------------- ------------------------------------
Chief Financial Officer, Chief
/s/ James M. Dykas Accounting Officer and March 26, 2014
--------------------------------------- Treasurer (Principal Financial and
James M. Dykas Accounting Officer)
--------------------------------------- ------------------------------------- ------------------------------------
James A. Bowen(1) Chairman of the Board and Trustee )
--------------------------------------- -------------------------------------
Richard E. Erickson(1) Trustee ) By:/s/ W. Scott Jardine
--------------------------------------- ------------------------------------- ------------------------
Thomas R. Kadlec(1) Trustee ) W.Scott Jardine
--------------------------------------- ------------------------------------- Attorney-In-Fact
Robert F. Keith(1) Trustee ) March 26, 2014
--------------------------------------- -------------------------------------
Niel B. Nielson(1) Trustee )
--------------------------------------- ------------------------------------- ------------------------------------
---------------
(1) Original powers of attorney authorizing James A. Bowen, Mark R. Bradley, W.
Scott Jardine, Kristi A. Maher and Eric F. Fess to execute Registrant's
Registration Statement, and Amendments thereto, for each of the trustees of the
Registrant on whose behalf this Registration Statement is filed, were previously
executed and are filed as Exhibit s. to the Registrant's Registration Statement
on Form N-2 (File No. 333-191808).
INDEX TO EXHIBITS
k.13 Form of Fee Agreement with Janney Montgomery Scott LLC.
l.1 Opinion and consent of Chapman and Cutler LLP.
l.2 Opinion and consent of Bingham McCutchen LLP.
n. Consent of Independent Registered Public Accounting Firm.
Dates Referenced Herein and Documents Incorporated by Reference
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