Sternberg David A [Rocket]

Date	Name	Symbol	Type	Security	Shares	Price	Value	Ownership	Reported
12/31/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Sale	CLASS I COMMON SHARES	1.9k	$27.64	$53.5k	HELD BY SPOUSE AND STEP-CHILDREN	12/01/2021
12/10/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS I COMMON SHARES	57	$27.48	$1.6k	HELD BY SPOUSE AND STEP-CHILDREN	12/01/2021
12/10/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS A COMMON SHARES	0.47	$27.58	$13	VFT Holdings LP (FORMERLY VIVALDI HOLDINGS LLC)	12/01/2021
12/01/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS I COMMON SHARES	16	$27.89	$446.2	HELD BY SPOUSE AND STEP-CHILDREN	12/01/2021
12/01/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS A COMMON SHARES	0.15	$27.91	$4.2	VFT Holdings LP (FORMERLY VIVALDI HOLDINGS LLC)	12/01/2021
11/10/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Purchase	CLASS I COMMON SHARES	4.5k	$27.90	$125.5k		08/04/2021
11/10/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Purchase	CLASS I COMMON SHARES	4.6k	$27.90	$127.9k	HELD BY SPOUSE AND STEP-CHILDREN	08/04/2021
11/03/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS I COMMON SHARES	16	$27.86	$445.8	HELD BY SPOUSE AND STEP-CHILDREN	08/04/2021
11/03/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS A COMMON SHARES	0.16	$28.01	$4.5	VFT HOLDINGS LP (FORMERLY VIVALDI HOLDINGS LLC)	08/04/2021
10/06/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS A COMMON SHARES	0.15	$27.95	$4.2	VFT HOLDINGS LP (FORMERLY VIVALDI HOLDINGS LLC)	08/04/2021
10/06/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS I COMMON SHARES	16	$27.78	$444.5	HELD BY SPOUSE AND STEP-CHILDREN	08/04/2021
09/01/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS I COMMON SHARES	16	$27.49	$439.8	HELD BY SPOUSE AND STEP-CHILDREN	08/04/2021
09/01/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS A COMMON SHARES	0.15	$27.57	$4.1	VFT HOLDINGS LP (FORMERLY VIVALDI HOLDINGS LLC)	08/04/2021
08/04/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS I COMMON SHARES	15	$27.19	$407.8	HELD BY SPOUSE AND STEP-CHILDREN	08/04/2021
08/02/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Purchase	CLASS A COMMON SHARES	36.64	$27.29	$999.9	VIVALDI HOLDINGS LLC	06/02/2021
07/07/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS I COMMON SHARES	17	$27.25	$463.2	HELD BY SPOUSE AND STEP-CHILDREN	06/02/2021
06/02/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS I COMMON SHARES	15	$27.06	$405.9	HELD BY SPOUSE AND STEP-CHILDREN	06/02/2021
05/21/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Purchase	CLASS I COMMON SHARES	302	$26.74	$8.1k	HELD BY STEP-CHILD	04/07/2021
05/21/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Purchase	COMMON SHARES	302	$26.74	$8.1k	HELD BY STEP-CHILD	05/21/2021
05/21/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Purchase	COMMON SHARES	190	$26.74	$5.1k	HELD BY SPOUSE AND STEP-CHILD	05/21/2021
05/21/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Purchase	CLASS I COMMON SHARES	190	$26.74	$5.1k	HELD BY SPOUSE AND STEP-CHILD	04/07/2021
05/05/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS I COMMON SHARES	13	$26.62	$346.1	HELD BY SPOUSE	04/07/2021
04/07/2021	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	CLASS I COMMON SHARES	13	$26.60	$345.8	HELD BY SPOUSE	04/07/2021
12/31/2020	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Sale	COMMON SHARES	3.2k	$25.55	$82.4k	VIVALDI CAPITAL MANAGEMENT LLC	10/07/2020
12/11/2020	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	COMMON SHARES	50	$25.10	$1.3k	HELD BY SPOUSE	10/07/2020
12/02/2020	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	COMMON SHARES	13	$25.28	$328.6	HELD BY SPOUSE	10/07/2020
11/04/2020	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	COMMON SHARES	17	$24.83	$422.1	HELD BY SPOUSE	10/07/2020
10/07/2020	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	COMMON SHARES	17	$24.79	$421.4	HELD BY SPOUSE	10/07/2020
10/07/2020	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	COMMON SHARES	14	$24.79	$347.1	VIVALDI CAPITAL MANAGEMENT LLC	10/07/2020
09/21/2020	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Purchase	COMMON SHARES	4k	$24.78	$100k		08/05/2020
09/02/2020	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	COMMON SHARES	13	$24.37	$316.8	VIVALDI CAPITAL MANAGEMENT LLC	08/05/2020
08/05/2020	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	COMMON SHARES	13	$23.92	$311	VIVALDI CAPITAL MANAGEMENT LLC	08/05/2020
07/06/2020	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	COMMON SHARES	3.2k	$23.75	$75.4k	VIVALDI CAPITAL MANAGEMENT LLC	07/01/2020
07/01/2020	FIRST TRUST ALTERNATIVE OPPORTUNITIES FUND	VFLEX	Other (acquisition)	COMMON SHARES	13	$23.66	$307.6	VIVALDI CAPITAL MANAGEMENT LLC	07/01/2020