UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-CSR/A
CERTIFIED SHAREHOLDER REPORT OF REGISTERED MANAGEMENT INVESTMENT COMPANIES
Investment Company Act file number 811-21727
First Trust Mortgage Income Fund
(Exact name of registrant as specified in charter)
120 East Liberty Drive, Suite 400
Wheaton, IL 60187
(Address of principal executive offices) (Zip code)
W. Scott Jardine, Esq.
First Trust Portfolios L.P.
120 East Liberty Drive, Suite 400
Wheaton, IL 60187
(Name and address of agent for service)
registrant’s telephone number, including area code: 630-765-8000
Date of fiscal year end:October 31
Date of reporting period:October 31, 2019
Form N-CSR is to be used by management investment companies to file reports with the Commission not later than 10 days after the transmission to stockholders of any report that is required to be transmitted to stockholders under Rule 30e-1 under the Investment Company Act of 1940 (17 CFR 270.30e-1). The Commission may use the information provided on Form N-CSR in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-CSR, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-CSR unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
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Explanatory Note
The Registrant is filing this amendment to its Form N-CSR for the period ended October 31, 2019, originally filed with the Securities and Exchange Commission on January 2, 2020 (Accession Number 0001445546-20-000002), to amend Item 8(a)(2), “Portfolio Managers of Closed-End Management Investment Companies—Other Accounts Managed by Portfolio Managers or Management Team Member and Potential Conflicts of Interest.” The sole purpose of this amendment is to amend the information in the table under the “Total Assets” column for Jeremiah Charles and James Snyder. Except as set forth above, this amendment does not amend, update or change any other items or disclosures found in the original Form N-CSR filing.
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| (2) | | Other Accounts Managed by Portfolio Managers or Management Team Member and Potential Conflicts of Interest |
Information provided as of October 31, 2019.
| Name of Portfolio Manager or Team Member | Type of Accounts* | Total # of Accounts Managed | Total Assets | # of Accounts Managed for which Advisory Fee is Based on Performance | Total Assets for which Advisory Fee is Based on Performance |
| | | | | | |
| 1. Jeremiah Charles | Registered Investment Companies: | 5 | $4,578,114,247 | 0 | $ 0 |
| | Other Pooled Investment Vehicles: | 0 | $ 0 | 0 | $ 0 |
| | Other Accounts: | 0 | $ 0 | 0 | $ 0 |
| | | | | | |
| 2. James Snyder | Registered Investment Companies: | 5 | $4,578,114,247 | 0 | $ 0 |
| | Other Pooled Investment Vehicles: | 0 | $ 0 | 0 | $ 0 |
| | Other Accounts: | 0 | $ 0 | 0 | $ 0 |
Portfolio Manager Material Conflicts of Interest
Potential conflicts of interest may arise when a portfolio manager of the Registrant has day-to-day management responsibilities with respect to one or more other funds or other accounts. The First TrustSecuritized Products Groupadheres to its trade allocation policy utilizing a pro-rata methodology to address this conflict.
First Trust and its affiliate, First Trust Portfolios L.P. (“FTP”), have in place a joint Code of Ethics and Insider Trading Policies and Procedures that are designed to (a) prevent First Trust personnel from trading securities based upon material inside information in the possession of such personnel and (b) ensure that First Trust personnel avoid actual or potential conflicts of interest or abuse of their positions of trust and responsibility that could occur through such activities as front running securities trades for the Registrant. Personnel are required to have duplicate confirmations and account statements delivered to First Trust and FTP compliance personnel who then compare such trades to trading activity to detect any potential conflict situations.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| (registrant) | | First Trust Mortgage Income Fund | | |
| By (Signature and Title)* | | /s/ James M. Dykas | | |
| | | James M. Dykas, President and Chief Executive Officer
(principal executive officer) | | |
Pursuant to the requirements of the Securities Exchange Act of 1934 and the Investment Company Act of 1940, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
| By (Signature and Title)* | | /s/ James M. Dykas | | |
| | | James M. Dykas, President and Chief Executive Officer
(principal executive officer) | | |
| By (Signature and Title)* | | /s/ Donald P. Swade | | |
| | | Donald P. Swade, Treasurer, Chief Financial Officer
and Chief Accounting Officer
(principal financial officer) | | |
* Print the name and title of each signing officer under his or her signature.
