# EDGAR Filing Document

**Accession Number:** 0001282850
**File Stem:** 0001193125-23-009222
**Filing Date:** 2023-1
**Character Count:** 8597
**Document Hash:** 887973933225f95433033d687e91bf4d
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001193125-23-009222.hdr.sgml**: 20230117

**ACCESSION NUMBER**: 0001193125-23-009222

**CONFORMED SUBMISSION TYPE**: SC 13G/A

**PUBLIC DOCUMENT COUNT**: 1

**FILED AS OF DATE**: 20230117

**DATE AS OF CHANGE**: 20230117

**SUBJECT COMPANY**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** FIRST TRUST SENIOR FLOATING RATE INCOME FUND II
- **CENTRAL INDEX KEY:** 0001282850
- **IRS NUMBER:** 113716541
- **FISCAL YEAR END:** 0531

**FILING VALUES:**
- **FORM TYPE:** SC 13G/A
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 005-81567
- **FILM NUMBER:** 23531076

**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:** LPL Financial LLC
- **CENTRAL INDEX KEY:** 0001403438
- **IRS NUMBER:** 952834236
- **STATE OF INCORPORATION:** CA
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** SC 13G/A

**BUSINESS ADDRESS:**
- **STREET 1:** 4707 EXECUTIVE DRIVE
- **CITY:** SAN DIEGO
- **STATE:** CA
- **ZIP:** 92121
- **BUSINESS PHONE:** 704-733-3300

**MAIL ADDRESS:**
- **STREET 1:** 1055 LPL WAY
- **CITY:** FORT MILL
- **STATE:** SC
- **ZIP:** 29715

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** LPL Financial CORP
- **DATE OF NAME CHANGE:** 20080102

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Linsco/Private Ledger Corp.
- **DATE OF NAME CHANGE:** 20070615

CUSIP No. 33733U108

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**UNITED STATES** 

**SECURITIES AND EXCHANGE COMMISSION** 

**Washington, D.C. 20549** 

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**SCHEDULE 13G** 

**(Rule 13d-102)** 

**INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT** 

**TO RULES 13d-1(b),(c) AND (d) AND AMENDMENTS THERETO FILED** 

**PURSUANT TO RULE 13d-2** 

**(Amendment No. 1)\*** 

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## First Trust Senior Floating Rate Income Fund II
**(Name of Issuer)** 

**Common Stock, $0.01 par value** 

**(Title of Class of Securities)** 

**33733U108** 

**(CUSIP Number)** 

**December 31, 2022** 

**(Date of Event Which Requires Filing of this Statement)** 

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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)

\* 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 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. 

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CUSIP No. 33733U108

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| | | | |
|:---|:---|:---|:---|
| &nbsp;&nbsp;&nbsp; 1. | &nbsp;&nbsp;&nbsp;&nbsp;NAME OF REPORTING PERSON<br>&nbsp;&nbsp;&nbsp;&nbsp;LPL Financial LLC | &nbsp;&nbsp;&nbsp;&nbsp;NAME OF REPORTING PERSON<br>&nbsp;&nbsp;&nbsp;&nbsp;LPL Financial LLC | &nbsp;&nbsp;&nbsp;&nbsp;NAME OF REPORTING PERSON<br>&nbsp;&nbsp;&nbsp;&nbsp;LPL Financial LLC |
| &nbsp;&nbsp;&nbsp; 2. | &nbsp;&nbsp;&nbsp;&nbsp;CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP\*<br> &nbsp;&nbsp;&nbsp;&nbsp;(a) ☐ (b) ☐ | &nbsp;&nbsp;&nbsp;&nbsp;CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP\*<br> &nbsp;&nbsp;&nbsp;&nbsp;(a) ☐ (b) ☐ | &nbsp;&nbsp;&nbsp;&nbsp;CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP\*<br> &nbsp;&nbsp;&nbsp;&nbsp;(a) ☐ (b) ☐ |
| &nbsp;&nbsp;&nbsp; 3. | &nbsp;&nbsp;&nbsp;&nbsp;SEC USE ONLY | &nbsp;&nbsp;&nbsp;&nbsp;SEC USE ONLY | &nbsp;&nbsp;&nbsp;&nbsp;SEC USE ONLY |
| &nbsp;&nbsp;&nbsp; 4. | &nbsp;&nbsp;&nbsp;&nbsp;CITIZENSHIP OR PLACE OF ORGANIZATION<br>&nbsp;&nbsp;&nbsp;&nbsp;California | &nbsp;&nbsp;&nbsp;&nbsp;CITIZENSHIP OR PLACE OF ORGANIZATION<br>&nbsp;&nbsp;&nbsp;&nbsp;California | &nbsp;&nbsp;&nbsp;&nbsp;CITIZENSHIP OR PLACE OF ORGANIZATION<br>&nbsp;&nbsp;&nbsp;&nbsp;California |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 5. | &nbsp;&nbsp;&nbsp;&nbsp;SOLE VOTING POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 6. | &nbsp;&nbsp;&nbsp;&nbsp;SHARED VOTING POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 7. | &nbsp;&nbsp;&nbsp;&nbsp;SOLE DISPOSITIVE POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;0 |
| &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | &nbsp;&nbsp;&nbsp; NUMBER OF<br> SHARES<br> BENEFICIALLY <br> OWNED BY<br> EACH<br> REPORTING<br> PERSON<br> WITH | 8. | &nbsp;&nbsp;&nbsp;&nbsp;SHARED DISPOSITIVE POWER<br>&nbsp;&nbsp;&nbsp;&nbsp;1,998,239.12 |
| &nbsp;&nbsp;&nbsp; 9. | &nbsp;&nbsp;&nbsp;&nbsp;AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON<br>&nbsp;&nbsp;&nbsp;&nbsp;1,998,239.12 | &nbsp;&nbsp;&nbsp;&nbsp;AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON<br>&nbsp;&nbsp;&nbsp;&nbsp;1,998,239.12 | &nbsp;&nbsp;&nbsp;&nbsp;AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON<br>&nbsp;&nbsp;&nbsp;&nbsp;1,998,239.12 |
| &nbsp;&nbsp;&nbsp;10. | &nbsp;&nbsp;&nbsp;&nbsp;CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES<br>&nbsp;&nbsp;&nbsp;&nbsp;☐ | &nbsp;&nbsp;&nbsp;&nbsp;CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES<br>&nbsp;&nbsp;&nbsp;&nbsp;☐ | &nbsp;&nbsp;&nbsp;&nbsp;CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES<br>&nbsp;&nbsp;&nbsp;&nbsp;☐ |
| &nbsp;&nbsp;&nbsp;11. | &nbsp;&nbsp;&nbsp;&nbsp;PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)<br>&nbsp;&nbsp;&nbsp;&nbsp;7.7%\* | &nbsp;&nbsp;&nbsp;&nbsp;PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)<br>&nbsp;&nbsp;&nbsp;&nbsp;7.7%\* | &nbsp;&nbsp;&nbsp;&nbsp;PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)<br>&nbsp;&nbsp;&nbsp;&nbsp;7.7%\* |
| &nbsp;&nbsp;&nbsp;12. | &nbsp;&nbsp;&nbsp;&nbsp;TYPE OF REPORTING PERSON<br>&nbsp;&nbsp;&nbsp;&nbsp;BD, IA | &nbsp;&nbsp;&nbsp;&nbsp;TYPE OF REPORTING PERSON<br>&nbsp;&nbsp;&nbsp;&nbsp;BD, IA | &nbsp;&nbsp;&nbsp;&nbsp;TYPE OF REPORTING PERSON<br>&nbsp;&nbsp;&nbsp;&nbsp;BD, IA |

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\* Based on 25,956,831 shares of Common Stock outstanding as of July 23, 2021, as reported in the Issuer's Proxy Statement on Form DEF14A dated August 6, 2021 filed with the Securities and Exchange Commission on August 9, 2021.

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CUSIP No. 33733U108

**<u>AMENDMENT NO. 1 TO SCHEDULE 13G</u>**

Reference is hereby made to the statement on Schedule 13G filed with the Securities and Exchange Commission by the Reporting Person with respect to the Common Stock of the Issuer on February 14, 2022 (the "Schedule 13G"). Terms defined in the Schedule 13G are used herein as so defined.

The following Item of the Schedule 13G is hereby amended and restated as follows:

Item 4. **Ownership**

The information requested by this paragraph is incorporated herein by reference to the cover page to this Amendment No. 1 to Schedule 13G. LPL, in its capacity as investment adviser, may be deemed to beneficially own the Common Shares reported herein, which are held by clients who have granted discretionary authority to dispose of or direct the disposition of the shares to an independent contractor of LPL.

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CUSIP No. 33733U108

**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: January 17, 2023

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| | |
|:---|:---|
| LPL FINANCIAL LLC | LPL FINANCIAL LLC |
| By: | /s/ Allison Bevacqua |
|  | Name: Allison Bevacqua |
|  | Title: SVP, Product & Platform Compliance |

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