Edition:
United States

First Trust Senior Floating Rate Income Fund II (FCT)

FCT on New York Consolidated

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27 Jul 2016
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Summary

Name Age Since Current Position

James Bowen

60 2012 Chairman of the Board of Trustees

Mark Bradley

58 2012 President, Chief Executive Officer

James Dykas

50 2012 Chief Financial Officer, Chief Accounting Officer, Treasurer

Kristi Maher

49 2011 Chief Compliance Officer, Assistant Secretary

Daniel Lindquist

45 2005 Vice President

W. Scott Jardine

55 2011 Secretary, Chief Legal Officer

Richard Erickson

64 Independent Trustee

Thomas Kadlec

58 Independent Trustee

Robert Keith

59 2006 Independent Trustee

Niel Nielson

62 Independent Trustee

Biographies

Name Description

James Bowen

Mr. James A. Bowen serves as Chairman of the Board of Trustees of First Trust Senior Floating Rate Income Fund II. He has been Chief Executive Officer of First Trust Advisors and First Trust Portfolios L.P. Until January 23, 2012, he served as President and Chief Executive Officer of the Fund. Mr. Bowen also serves on the Executive Committee. He has over 31 years of experience in the investment company business in sales, sales management and executive management. Mr. Bowen has served as a Trustee of the Fund since its inception and of the First Trust Funds since 1999. On September 5, 2014, Mr. Bowen transferred to Susan R. Bowen 13 Units of Grace Partners of DuPage L.P., an Illinois limited partnership and the limited partner of First Trust Advisors, pursuant to a court order.

Mark Bradley

Mr. Mark R. Bradley serves as President, Chief Executive Officer of First Trust Senior Floating Rate Income Fund II. He is the Chief Financial Officer and Chief Operating Officer (December 2010 to Present), First Trust Advisors L.P. and First Trust Portfolios L.P Chief Financial Officer, BondWave LLC (Software Development Company/Investment Advisor) and Stonebridge Advisors LLC (Investment Advisor).

James Dykas

Mr. James M. Dykas serves as Chief Financial Officer, Chief Accounting Officer, Treasurer of First Trust Senior Floating Rate Income Fund II. He Has been Controller (January 2011 to Present), Senior Vice President (April 2007 to Present), First Trust Advisors L.P. and First Trust Portfolios L.P.

Kristi Maher

Ms. Kristi A. Maher serves as Chief Compliance Officer, Assistant Secretary of First Trust Senior Floating Rate Income Fund II. She Has been the Deputy General Counsel (May 2007 to Present), Assistant General Counsel (March 2004 to May 2007), First Trust Advisors L.P. and First Trust Portfolios L.P.

Daniel Lindquist

Mr. Daniel J. Lindquist serves as Vice President of First Trust Senior Floating Rate Income Fund II. He is Managing Director (July 2012 to Present), Senior Vice President (September 2005 to July 2012), First Trust Advisors L.P. and First Trust Portfolios L.P.

W. Scott Jardine

Mr. W. Scott Jardine, Esq., serves as Secretary and Chief Legal Officer of First Trust Senior Floating Rate Income Fund II. He Has been the General Counsel and Secretary, First Trust Advisors L.P. and First Trust Portfolios L.P.; General Counsel and Secretary, BondWave LLC (August 2009 to Present) (Software Development Company/Investment Advisor); Secretary of Stonebridge Advisors LLC (Investment Advisor).

Richard Erickson

Dr. Richard E. Erickson, M.D., serves as an Independent Trustee of First Trust Senior Floating Rate Income Fund II. He is an orthopedic surgeon and President of Wheaton Orthopedics. He also has been a co-owner and director of a fitness center and a limited partner of two real estate companies. Dr. Erickson has served as a Trustee of the Fund since its inception and of the First Trust Funds since 1999. Dr. Erickson has also served as the Lead Independent Trustee (2008 - 2009), Chairman of the Nominating and Governance Committee (2003 - 2007), Chairman of the Valuation Committee (June 2006 - 2007 and 2010 - 2011) and Chairman of the Audit Committee (2012 - 2013) of the First Trust Funds. He currently serves as Chairman of the Nominating and Governance Committee (since January 1, 2014) of the First Trust Funds.

Thomas Kadlec

Mr. Thomas R. Kadlec serves as an Independent Trustee of First Trust Senior Floating Rate Income Fund II. He has been President of ADM Investor Services Inc. ("ADMIS"), a futures commission merchant and wholly-owned subsidiary of the Archer Daniels Midland Company ("ADM"). Mr. Kadlec has been employed by ADMIS and its affiliates since 1990 in various accounting, financial, operations and risk management capacities. Mr. Kadlec serves on the boards of several international affiliates of ADMIS and is a member of ADM's Integrated Risk Committee, which is tasked with the duty of implementing and communicating enterprise-wide risk management. Mr. Kadlec has served as a Trustee of the Fund since its inception. Mr. Kadlec also served on the Executive Committee from the organization of the first First Trust Closed-end Fund in 2003 until he was elected as the first Lead Independent Trustee in December 2005, serving as such through 2007. He also served as Chairman of the Valuation Committee (2008 - 2009), Chairman of the Audit Committee (2010 - 2011) and Chairman of the Nominating and Governance Committee (2012 - 2013) of the First Trust Funds. He currently serves as Lead Independent Trustee and as a member of the Executive Committee and the Dividend and Pricing Committee (since January 1, 2014) of the First Trust Funds.

Robert Keith

Mr. Robert F. Keith serves as an Independent Trustee of First Trust Senior Floating Rate Income Fund II. He is President of Hibs Enterprises, a financial and management consulting firm. Mr. Keith has been with Hibs Enterprises since 2003. Prior thereto, Mr. Keith spent 18 years with ServiceMaster and Aramark, including three years as President and COO of ServiceMaster Consumer Services, where he led the initial expansion of certain products overseas, five years as President and COO of ServiceMaster Management Services Company and two years as President of Aramark ServiceMaster Management Services. Mr. Keith is a certified public accountant and also has held the positions of Treasurer and Chief Financial Officer of ServiceMaster, at which time he oversaw the financial aspects of ServiceMaster's expansion of its Management Services division into Europe, the Middle East and Asia. Mr. Keith has served as a Trustee of the Fund and of the First Trust Funds since June 2006. Mr. Keith has also served as Chairman of the Audit Committee (2008 - 2009), Chairman of the Nominating and Governance Committee (2010 - 2011) and Lead Independent Trustee (2012 - 2013) of the First Trust Funds. He currently serves as Chairman of the Valuation Committee (since January 1, 2014) and as a member of the Executive Committee and the Dividend and Pricing Committee (since January 22, 2014) of the First Trust Funds.

Niel Nielson

Dr. Niel B. Nielson, Ph.D., serves as an Independent Trustee of First Trust Senior Floating Rate Income Fund II. He has served as Managing Director and Chief Operating Officer of Pelita Harapan Education Foundation (providing educational products and services) since January 2015. Mr. Nielson formerly served as President and Chief Executive Officer of Servant Interactive LLC (providing educational products and services) from June 2012 to September 2014, and he served as President and Chief Executive Officer of Dew Learning LLC (a global provider of digital and on-line educational products and services) from June 2012 to September 2014. Mr. Nielson served as President of Covenant College (2002 - 2012), and as a partner and trader (of options and futures contracts for hedging options) for Ritchie Capital Markets Group (1996 - 1997), where he held an administrative management position at this proprietary derivatives trading company. He also held prior positions in new business development for ServiceMaster Management Services Company, and in personnel and human resources for NationsBank of North Carolina, N.A. and Chicago Research and Trading Group, Ltd. ("CRT"). His international experience includes serving as a director of CRT Europe, Inc. for two years, directing out of London all aspects of business conducted by the U.K. and European subsidiary of CRT. Prior to that, Mr. Nielson was a trader and manager at CRT in Chicago. Mr. Nielson has served as a Trustee of the Fund since its inception and of the First Trust Funds since 1999. Mr. Nielson has also served as Chairman of the Audit Committee (2003 - 2007), Chairman of the Nominating and Governance Committee (2008 - 2009), Lead Independent Trustee (2010 - 2011) and Chairman of the Valuation Committee (2012 - 2013) of the First Trust Funds. He currently serves as Chairman of the Audit Committee (since January 1, 2014) of the First Trust Funds.