UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-Q
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number 811-21549
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First Trust Energy Income and Growth Fund
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(Exact name of registrant as specified in charter)
10 Westport Road, Suite C101a
Wilton, CT 06897
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(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
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(Name and address of agent for service)
Registrant's telephone number, including area code: 630-765-8000
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Date of fiscal year end: November 30
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Date of reporting period: August 31, 2017
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Form N-Q is to be used by management investment companies, other than small
business investment companies registered on Form N-5 (ss.ss. 239.24 and 274.5 of
this chapter), to file reports with the Commission, not later than 60 days after
the close of the first and third fiscal quarters, pursuant to rule 30b1-5 under
the Investment Company Act of 1940 (17 CFR 270.30b1-5). The Commission may use
the information provided on Form N-Q in its regulatory, disclosure review,
inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-Q, and
the Commission will make this information public. A registrant is not required
to respond to the collection of information contained in Form N-Q 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 the
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. ss. 3507.
ITEM 1. SCHEDULE OF INVESTMENTS. The Schedule(s) of Investments is attached
herewith.
FIRST TRUST ENERGY INCOME AND GROWTH FUND (FEN)
PORTFOLIO OF INVESTMENTS
AUGUST 31, 2017 (UNAUDITED)
SHARES/
UNITS DESCRIPTION VALUE
--------------- -------------------------------------------------------------------- --------------
MASTER LIMITED PARTNERSHIPS - 103.2%
CHEMICALS - 0.2%
49,000 Westlake Chemical Partners, L.P. (a)................................ $ 1,173,550
--------------
GAS UTILITIES - 4.0%
428,181 AmeriGas Partners, L.P. (a)......................................... 18,578,774
--------------
INDEPENDENT POWER AND RENEWABLE ELECTRICITY PRODUCERS - 3.9%
446,311 NextEra Energy Partners, L.P. (a) (b)............................... 18,504,054
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OIL, GAS & CONSUMABLE FUELS - 95.1%
181,401 Alliance Holdings GP, L.P. (a)...................................... 4,997,597
630,944 Alliance Resource Partners, L.P. (a)................................ 11,924,842
246,500 Buckeye Partners, L.P. (a).......................................... 14,097,335
123,900 Dominion Energy Midstream Partners, L.P. (a)........................ 3,549,735
3,050,261 Enbridge Energy Partners, L.P. (a).................................. 46,455,475
3,158,006 Enterprise Products Partners, L.P. (a).............................. 82,329,216
437,000 EQT Midstream Partners, L.P. (a).................................... 33,373,690
972,747 Holly Energy Partners, L.P. (a)..................................... 31,750,462
775,254 Magellan Midstream Partners, L.P. (a)............................... 52,244,367
213,560 NGL Energy Partners, L.P. (a)....................................... 1,911,362
153,000 Phillips 66 Partners, L.P........................................... 7,310,340
1,790,782 Plains All American Pipeline, L.P. (a).............................. 38,788,338
129,700 Shell Midstream Partners, L.P....................................... 3,588,799
1,099,784 Spectra Energy Partners, L.P. (a)................................... 48,753,425
107,962 Tallgrass Energy Partners, L.P. (a)................................. 5,103,364
617,827 TC PipeLines, L.P. (a).............................................. 32,510,057
86,126 TransMontaigne Partners, L.P. (a)................................... 3,898,063
669,276 Williams Partners, L.P. (a)......................................... 26,369,474
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448,955,941
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TOTAL MASTER LIMITED PARTNERSHIPS................................... 487,212,319
(Cost $288,934,474) --------------
COMMON STOCKS - 52.6%
ELECTRIC UTILITIES - 9.2%
63,100 Duke Energy Corp. (a)............................................... 5,508,630
108,100 Emera, Inc. (CAD) (a)............................................... 4,151,732
112,000 Eversource Energy................................................... 7,056,000
392,400 Exelon Corp......................................................... 14,860,188
50,000 Hydro One Ltd. (CAD) (a) (c)........................................ 927,728
33,800 NextEra Energy, Inc................................................. 5,087,238
83,000 Southern (The) Co................................................... 4,005,580
37,600 Xcel Energy, Inc.................................................... 1,861,200
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43,458,296
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GAS UTILITIES - 1.9%
9,300 Atmos Energy Corp. (a).............................................. 818,772
49,500 Chesapeake Utilities Corp. (a)...................................... 3,932,775
85,500 UGI Corp............................................................ 4,224,555
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8,976,102
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See Notes to Portfolio of Investments
FIRST TRUST ENERGY INCOME AND GROWTH FUND (FEN)
PORTFOLIO OF INVESTMENTS (CONTINUED)
AUGUST 31, 2017 (UNAUDITED)
SHARES DESCRIPTION VALUE
--------------- -------------------------------------------------------------------- --------------
COMMON STOCKS (CONTINUED)
MULTI-UTILITIES - 6.0%
74,300 CMS Energy Corp. (a)................................................ $ 3,606,522
137,300 National Grid PLC, ADR.............................................. 8,763,859
175,599 Public Service Enterprise Group, Inc................................ 8,225,057
67,600 Sempra Energy....................................................... 7,972,068
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28,567,506
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OIL, GAS & CONSUMABLE FUELS - 35.5%
588,700 Enbridge Income Fund Holdings, Inc. (CAD) (a)....................... 14,600,231
388,600 Enbridge, Inc....................................................... 15,540,114
336,000 Inter Pipeline, Ltd. (CAD) (a)...................................... 6,153,610
244,360 Keyera Corp. (CAD) (a).............................................. 7,091,577
725,855 Kinder Morgan, Inc.................................................. 14,030,777
881,284 ONEOK, Inc. (a)..................................................... 47,730,342
61,900 Targa Resources Corp................................................ 2,758,883
668,571 TransCanada Corp. (a)............................................... 33,963,407
858,773 Williams (The) Cos., Inc............................................ 25,531,321
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167,400,262
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TOTAL COMMON STOCKS................................................. 248,402,166
(Cost $213,943,412) --------------
REAL ESTATE INVESTMENT TRUSTS - 1.3%
EQUITY REAL ESTATE INVESTMENT TRUSTS - 1.3%
207,400 InfraREIT, Inc. (a)................................................. 4,664,426
42,611 CorEnergy Infrastructure Trust, Inc................................. 1,390,397
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TOTAL REAL ESTATE INVESTMENT TRUSTS................................. 6,054,823
(Cost $6,382,673) --------------
TOTAL INVESTMENTS - 157.1%.......................................... 741,669,308
(Cost $509,260,559) (d) --------------
NUMBER OF NOTIONAL EXERCISE EXPIRATION
CONTRACTS DESCRIPTION AMOUNT PRICE DATE VALUE
--------------- --------------------------------- ----------- -------- ---------- --------------
CALL OPTIONS WRITTEN - (0.4%)
2,600 Enbridge, Inc. .................. $10,397,400 $ 42.50 Oct 2017 (52,000)
700 Eversource Energy ............... 4,410,000 65.00 Oct 2017 (17,500)
1,500 Exelon Corp. .................... 5,680,500 40.00 Oct 2017 (22,500)
2,500 Kinder Morgan, Inc. ............. 4,832,500 20.00 Sep 2017 (22,500)
300 Kinder Morgan, Inc. ............. 579,900 21.00 Sep 2017 (600)
2,400 Kinder Morgan, Inc. ............. 4,639,200 22.00 Sep 2017 (38,400)
100 Magellan Midstream Partners,
L.P. ......................... 673,900 67.50 Oct 2017 (15,200)
1,500 Magellan Midstream Partners,
L.P. ......................... 10,108,500 70.00 Oct 2017 (75,000)
600 ONEOK, Inc. (e) ................. 3,249,600 57.50 Sep 2017 (3,000)
1,400 ONEOK, Inc. ..................... 7,582,400 52.50 Oct 2017 (399,000)
2,400 ONEOK, Inc. ..................... 12,998,400 55.00 Oct 2017 (336,000)
1,600 Plains All American Pipeline,
L.P. ......................... 3,465,600 23.00 Nov 2017 (96,000)
5,000 Plains All American Pipeline,
L.P. ......................... 10,830,000 28.00 Nov 2017 (25,000)
See Notes to Portfolio of Investments
FIRST TRUST ENERGY INCOME AND GROWTH FUND (FEN)
PORTFOLIO OF INVESTMENTS (CONTINUED)
AUGUST 31, 2017 (UNAUDITED)
NUMBER OF NOTIONAL EXERCISE EXPIRATION
CONTRACTS DESCRIPTION AMOUNT PRICE DATE VALUE
--------------- --------------------------------- ----------- -------- ---------- --------------
CALL OPTIONS WRITTEN (CONTINUED)
1,700 Public Service Enterprise Group,
Inc. ......................... $ 7,962,800 $ 45.00 Sep 2017 $ (331,500)
200 Sempra Energy ................... 2,358,600 120.00 Oct 2017 (23,800)
400 Sempra Energy ................... 4,717,200 120.00 Jan 2018 (110,000)
100 Southern (The) Co. .............. 482,600 49.00 Nov 2017 (7,800)
700 Southern (The) Co. .............. 3,378,200 50.00 Nov 2017 (26,600)
300 Targa Resources Corp. ........... 1,337,100 47.00 Sep 2017 (4,500)
300 Targa Resources Corp. ........... 1,337,100 50.00 Oct 2017 (4,500)
500 TransCanada Corp. ............... 2,540,000 50.00 Nov 2017 (70,000)
900 Williams (The) Cos., Inc. ....... 2,675,700 30.00 Sep 2017 (21,600)
2,300 Williams (The) Cos., Inc. ....... 6,837,900 31.00 Nov 2017 (126,500)
200 Williams (The) Cos., Inc. ....... 594,600 32.00 Feb 2018 (16,000)
1,000 Williams Partners, L.P. ......... 3,940,000 42.50 Sep 2017 (3,000)
600 Williams Partners, L.P. ......... 2,364,000 42.50 Jan 2018 (36,000)
200 Xcel Energy, Inc. ............... 990,000 50.00 Sep 2017 (2,500)
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TOTAL CALL OPTIONS WRITTEN.......................................... (1,887,000)
(Premiums received $1,983,528) --------------
OUTSTANDING LOAN - (34.0%).......................................... (160,500,000)
NET OTHER ASSETS AND LIABILITIES - (22.7%).......................... (107,345,842)
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NET ASSETS - 100.0%................................................. $ 471,936,466
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(a) All or a portion of this security serves as collateral on the outstanding
loan.
(b) NextEra Energy Partners, L.P. is taxed as a "C" corporation for federal
income tax purposes.
(c) This security is restricted in the U.S. and cannot be offered for public
sale without first being registered under the Securities Act of 1933, as
amended. This security is not restricted on the foreign exchange where it
trades freely without any additional registration. As such, it does not
require the additional disclosure required of restricted securities.
(d) Aggregate cost for federal income tax purposes is $420,486,799. As of
August 31, 2017, the aggregate gross unrealized appreciation for all
investments in which there was an excess of value over tax cost was
$323,460,010 and the aggregate gross unrealized depreciation for all
investments in which there was an excess of tax cost over value was
$4,164,501. The net unrealized appreciation was $319,295,509. The amounts
presented are inclusive of derivative contracts.
(e) This investment is fair valued by the Advisor's Pricing Committee in
accordance with procedures adopted by the Fund's Board of Trustees, and in
accordance with the provisions of the Investment Company Act of 1940, as
amended. At August 31, 2017, investments noted as such are valued at
$(3,000) or (0.0)% of net assets.
ADR American Depositary Receipt
CAD Canadian Dollar - Security is denominated in Canadian Dollars and is
translated into U.S. Dollars based upon the current exchange rate.
See Notes to Portfolio of Investments
FIRST TRUST ENERGY INCOME AND GROWTH FUND (FEN)
PORTFOLIO OF INVESTMENTS (CONTINUED)
AUGUST 31, 2017 (UNAUDITED)
-----------------------------
VALUATION INPUTS
A summary of the inputs used to value the Fund's investments as of August 31,
2017 is as follows (see Note 2A - Portfolio Valuation in the Notes to Portfolio
of Investments):
ASSETS TABLE
LEVEL 2 LEVEL 3
TOTAL LEVEL 1 SIGNIFICANT SIGNIFICANT
VALUE AT QUOTED OBSERVABLE UNOBSERVABLE
8/31/2017 PRICES INPUTS INPUTS
-------------- -------------- ------------- -------------
Master Limited Partnerships*.................. $ 487,212,319 $ 487,212,319 $ -- $ --
Common Stocks*................................ 248,402,166 248,402,166 -- --
Real Estate Investment Trusts*................ 6,054,823 6,054,823 -- --
-------------- -------------- ------------- -------------
Total Investments............................. $ 741,669,308 $ 741,669,308 $ -- $ --
============== ============== ============= =============
LIABILITIES TABLE
LEVEL 2 LEVEL 3
TOTAL LEVEL 1 SIGNIFICANT SIGNIFICANT
VALUE AT QUOTED OBSERVABLE UNOBSERVABLE
8/31/2017 PRICES INPUTS INPUTS
-------------- -------------- ------------- -------------
Call Options Written.......................... $ (1,887,000) $ (1,502,500) $ (384,500) $ --
============== ============== ============= =============
* See Portfolio of Investments for industry breakout.
All transfers in and out of the Levels during the period are assumed to occur on
the last day of the period at their current value. There were no transfers
between Levels at August 31, 2017.
See Notes to Portfolio of Investments
NOTES TO PORTFOLIO OF INVESTMENTS
FIRST TRUST ENERGY INCOME AND GROWTH FUND (FEN)
AUGUST 31, 2017 (UNAUDITED)
1. ORGANIZATION
First Trust Energy Income and Growth Fund (the "Fund") is a non-diversified,
closed-end management investment company organized as a Massachusetts business
trust on March 25, 2004 and is registered with the Securities and Exchange
Commission under the Investment Company Act of 1940, as amended (the "1940
Act"). The Fund trades under the ticker symbol FEN on the NYSE MKT.
The Fund is considered an investment company and follows accounting and
reporting guidance under Financial Accounting Standards Board Accounting
Standards Codification Topic 946, "Financial Services-Investment Companies."
2. VALUATION AND INVESTMENT PRACTICES
A. PORTFOLIO VALUATION
The net asset value ("NAV") of the Common Shares of the Fund is determined daily
as of the close of regular trading on the New York Stock Exchange ("NYSE"),
normally 4:00 p.m. Eastern time, on each day the NYSE is open for trading. If
the NYSE closes early on a valuation day, the NAV is determined as of that time.
Foreign securities are priced using data reflecting the earlier closing of the
principal markets for those securities. The Fund's NAV per Common Share is
calculated by dividing the value of all assets of the Fund (including accrued
interest and dividends), less all liabilities (including accrued expenses,
dividends declared but unpaid, deferred income taxes and any borrowings of the
Fund), by the total number of Common Shares outstanding.
The Fund's investments are valued daily at market value or, in the absence of
market value with respect to any portfolio securities, at fair value. Market
value prices represent last sale or official closing prices from a national or
foreign exchange (i.e., a regulated market) and are primarily obtained from
third-party pricing services. Fair value prices represent any prices not
considered market value prices and are either obtained from a third-party
pricing service or are determined by the Pricing Committee of the Fund's
investment advisor, First Trust Advisors L.P. ("First Trust" or the "Advisor"),
in accordance with valuation procedures adopted by the Fund's Board of Trustees,
and in accordance with provisions of the 1940 Act. Investments valued by the
Advisor's Pricing Committee, if any, are footnoted as such in the footnotes to
the Portfolio of Investments. The Fund's investments are valued as follows:
Common stocks, real estate investment trusts ("REITs"), master limited
partnerships ("MLPs") and other equity securities listed on any national
or foreign exchange (excluding The Nasdaq Stock Market LLC ("Nasdaq") and
the London Stock Exchange Alternative Investment Market ("AIM")) are
valued at the last sale price on the exchange on which they are
principally traded or, for Nasdaq and AIM securities, the official closing
price. Securities traded on more than one securities exchange are valued
at the last sale price or official closing price, as applicable, at the
close of the securities exchange representing the principal market for
such securities.
Exchange-traded options contracts are valued at the closing price in the
market where such contracts are principally traded. If no closing price is
available, exchange-traded options contracts are fair valued at the mean
of their most recent bid and asked price, if available, and otherwise at
their closing bid price. Over-the-counter options contracts are fair
valued at the mean of their most recent bid and asked price, if available,
and otherwise at their closing bid price.
Securities traded in the over-the-counter market are fair valued at the
mean of their most recent bid and asked price, if available, and otherwise
at their closing bid price.
Certain securities may not be able to be priced by pre-established pricing
methods. Such securities may be valued by the Fund's Board of Trustees or its
delegate, the Advisor's Pricing Committee, at fair value. These securities
generally include, but are not limited to, restricted securities (securities
which may not be publicly sold without registration under the Securities Act of
1933, as amended) for which a third-party pricing service is unable to provide a
market price; securities whose trading has been formally suspended; a security
whose market or fair value price is not available from a pre-established pricing
source; a security with respect to which an event has occurred that is likely to
materially affect the value of the security after the market has closed but
before the calculation of the Fund's NAV or make it difficult or impossible to
obtain a reliable market quotation; and a security whose price, as provided by
the third-party pricing service, does not reflect the security's fair value. As
a general principle, the current fair value of a security would appear to be the
amount which the owner might reasonably expect to receive for the security upon
its current sale. When fair value prices are used, generally they will differ
from market quotations or official closing prices on the applicable exchanges. A
variety of factors may be considered in determining the fair value of such
securities, including, but not limited to, the following:
1) the type of security;
2) the size of the holding;
3) the initial cost of the security;
4) transactions in comparable securities;
5) price quotes from dealers and/or third-party pricing services;
6) relationships among various securities;
NOTES TO PORTFOLIO OF INVESTMENTS (CONTINUED)
FIRST TRUST ENERGY INCOME AND GROWTH FUND (FEN)
AUGUST 31, 2017 (UNAUDITED)
7) information obtained by contacting the issuer, analysts, or the
appropriate stock exchange;
8) an analysis of the issuer's financial statements; and
9) the existence of merger proposals or tender offers that might affect
the value of the security.
If the securities in question are foreign securities, the following additional
information may be considered:
1) the value of similar foreign securities traded on other foreign
markets;
2) ADR trading of similar securities;
3) closed-end fund trading of similar securities;
4) foreign currency exchange activity;
5) the trading prices of financial products that are tied to baskets of
foreign securities;
6) factors relating to the event that precipitated the pricing problem;
7) whether the event is likely to recur; and
8) whether the effects of the event are isolated or whether they affect
entire markets, countries or regions.
The Fund is subject to fair value accounting standards that define fair value,
establish the framework for measuring fair value and provide a three-level
hierarchy for fair valuation based upon the inputs to the valuation as of the
measurement date. The three levels of the fair value hierarchy are as follows:
o Level 1 - Level 1 inputs are quoted prices in active markets for
identical investments. An active market is a market in which
transactions for the investment occur with sufficient frequency and
volume to provide pricing information on an ongoing basis.
o Level 2 - Level 2 inputs are observable inputs, either directly or
indirectly, and include the following:
o Quoted prices for similar investments in active markets.
o Quoted prices for identical or similar investments in markets
that are non-active. A non-active market is a market where
there are few transactions for the investment, the prices are
not current, or price quotations vary substantially either
over time or among market makers, or in which little
information is released publicly.
o Inputs other than quoted prices that are observable for the
investment (for example, interest rates and yield curves
observable at commonly quoted intervals, volatilities,
prepayment speeds, loss severities, credit risks, and default
rates).
o Inputs that are derived principally from or corroborated by
observable market data by correlation or other means.
o Level 3 - Level 3 inputs are unobservable inputs. Unobservable
inputs may reflect the reporting entity's own assumptions about the
assumptions that market participants would use in pricing the
investment.
The inputs or methodologies used for valuing investments are not necessarily an
indication of the risk associated with investing in those investments. A summary
of the inputs used to value the Fund's investments as of August 31, 2017, is
included with the Fund's Portfolio of Investments.
B. OPTION CONTRACTS
The Fund is subject to equity price risk in the normal course of pursuing its
investment objective and may write (sell) options to hedge against changes in
the value of equities. Also, the Fund seeks to generate additional income, in
the form of premiums received, from writing (selling) the options. The Fund may
write (sell) covered call or put options ("options") on all or a portion of the
MLPs and common stock of energy companies held in the Fund's portfolio as
determined to be appropriate by Energy Income Partners, LLC (the "Sub-Advisor").
The number of options the Fund can write (sell) is limited by the amount of MLPs
and common stock of energy companies the Fund holds in its portfolio. The Fund
will not write (sell) "naked" or uncovered options. Options are marked-to-market
daily and their value will be affected by changes in the value and dividend
rates of the underlying equity securities, changes in interest rates, changes in
the actual or perceived volatility of the securities markets and the underlying
equity securities and the remaining time to the options' expiration. The value
of options may also be adversely affected if the market for the options becomes
less liquid or trading volume diminishes.
Options the Fund writes (sells) will either be exercised, expire or be cancelled
pursuant to a closing transaction. If the price of the underlying equity
security exceeds the option's exercise price, it is likely that the option
holder will exercise the option. If an option written (sold) by the Fund is
exercised, the Fund would be obligated to deliver the underlying equity security
to the option holder upon payment of the strike price. In this case, the option
premium received by the Fund will be added to the amount realized on the sale of
the underlying security for purposes of determining gain or loss. If the price
of the underlying equity security is less than the option's strike price, the
option will likely expire without being exercised. The option premium received
by the Fund will, in this case, be treated as short-term capital gain on the
expiration date of the option. The Fund may also elect to close out its position
in an option prior to its expiration by purchasing an option of the same series
as the option written (sold) by the Fund.
NOTES TO PORTFOLIO OF INVESTMENTS (CONTINUED)
FIRST TRUST ENERGY INCOME AND GROWTH FUND (FEN)
AUGUST 31, 2017 (UNAUDITED)
The options that the Fund writes (sells) give the option holder the right, but
not the obligation, to purchase a security from the Fund at the strike price on
or prior to the option's expiration date. The ability to successfully implement
the writing (selling) of covered call options depends on the ability of the
Sub-Advisor to predict pertinent market movements, which cannot be assured.
Thus, the use of options may require the Fund to sell portfolio securities at
inopportune times or for prices other than current market value, which may limit
the amount of appreciation the Fund can realize on an investment, or may cause
the Fund to hold a security that it might otherwise sell. As the writer (seller)
of a covered option, the Fund foregoes, during the option's life, the
opportunity to profit from increases in the market value of the security
covering the option above the sum of the premium and the strike price of the
option, but has retained the risk of loss should the price of the underlying
security decline. The writer (seller) of an option has no control over the time
when it may be required to fulfill its obligation as a writer (seller) of the
option. Once an option writer (seller) has received an exercise notice, it
cannot effect a closing purchase transaction in order to terminate its
obligation under the option and must deliver the underlying security to the
option holder at the exercise price.
Over-the-counter options have the risk of the potential inability of
counterparties to meet the terms of their contracts. The Fund's maximum equity
price risk for purchased options is limited to the premium initially paid. In
addition, certain risks may arise upon entering into option contracts including
the risk that an illiquid secondary market will limit the Fund's ability to
close out an option contract prior to the expiration date and that a change in
the value of the option contract may not correlate exactly with changes in the
value of the securities hedged.
C. SECURITIES TRANSACTIONS
Securities transactions are recorded as of the trade date. Realized gains and
losses from securities transactions are recorded on the identified cost basis.
D. FOREIGN CURRENCY
The books and records of the Fund are maintained in U.S. dollars. Foreign
currencies, investments and other assets and liabilities are translated into
U.S. dollars at the exchange rates prevailing at the end of the period.
Purchases and sales of investments and items of income and expense are
translated on the respective dates of such transactions.
3. DERIVATIVE TRANSACTIONS
During the fiscal period ended August 31, 2017, the premiums for written options
opened were $6,642,205, and the premiums for written options closed, exercised
and expired were $5,725,231.
ITEM 2. CONTROLS AND PROCEDURES.
(a) The registrant's principal executive and principal financial officers, or
persons performing similar functions, have concluded that the registrant's
disclosure controls and procedures (as defined in Rule 30a-3(c) under the
Investment Company Act of 1940, as amended (the "1940 Act") (17 CFR
270.30a-3(c))) are effective, as of a date within 90 days of the filing
date of the report that includes the disclosure required by this
paragraph, based on their evaluation of these controls and procedures
required by Rule 30a-3(b) under the 1940 Act (17 CFR 270.30a-3(b)) and
Rules 13a-15(b) or 15d-15(b) under the Securities Exchange Act of 1934, as
amended (17 CFR 240.13a-15(b) or 240.15d-15(b)).
(b) There were no changes in the registrant's internal control over financial
reporting (as defined in Rule 30a-3(d) under the 1940 Act (17 CFR
270.30a-3(d)) that occurred during the registrant's last fiscal quarter
that have materially affected, or are reasonably likely to materially
affect, the registrant's internal control over financial reporting.
ITEM 3. EXHIBITS.
Certifications pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of
the Sarbanes-Oxley Act of 2002 are attached hereto.
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 Energy Income and Growth Fund
-------------------------------------------------
By (Signature and Title)* /s/ James M. Dykas
------------------------------------------------
James M. Dykas
President and Chief Executive Officer
(principal executive officer)
Date: October 19, 2017
----------------
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)
Date: October 19, 2017
----------------
By (Signature and Title)* /s/ Donald P. Swade
------------------------------------------------
Donald P. Swade
Treasurer, Chief Financial Officer and
Chief Accounting Officer
(principal financial officer)
Date: October 19, 2017
----------------
* Print the name and title of each signing officer under his or her signature.