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 811-22839
EAGLE GROWTH AND
INCOME OPPORTUNITIES FUND
(Exact name of registrant as specified in charter)
227 West Monroe Street, Suite 3200
Chicago, IL 60606
(Address
of principal executive offices) (Zip code)
Sabrina Rusnak-Carlson
100 Federal St., 31st Floor
Boston, MA 02110
(Name
and address of agent for service)
Copies of Communications to:
Nicole M. Runyan
Proskauer Rose LLP
Eleven Times Square
New York, NY 10036
Registrant's telephone number, including
area code: (312) 702-8199
Date of fiscal year end: December 31
Date of reporting period: September 30,
2019
Form N-Q is to be used by management investment
companies, other than small business investment companies registered on Form N-5 (§§ 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, 450 Fifth Street, NW, Washington,
DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
Item 1. Schedule of Investments.
The Schedule(s) of Investments is attached
herewith.
|
Eagle Growth and Income Opportunities Fund
|
|
|
Schedule of Investments‡ (unaudited)
|
September 30, 2019
|
|
Investments
|
|
Shares
|
|
|
Value
|
|
|
COMMON STOCKS – 74.7% (52.2% of Total Investments)
|
|
|
|
|
|
|
|
|
|
Aerospace & Defense – 1.2%
|
|
|
|
|
|
|
|
|
|
Lockheed Martin Corp.
|
|
|
3,962
|
|
|
$
|
1,545,418
|
|
|
Agriculture – 4.5%
|
|
|
|
|
|
|
|
|
|
Altria Group, Inc.
|
|
|
67,871
|
|
|
|
2,775,924
|
|
|
Philip Morris International, Inc.
|
|
|
40,752
|
|
|
|
3,094,299
|
|
|
Total Agriculture
|
|
|
|
|
|
|
5,870,223
|
|
|
Automobiles – 1.3%
|
|
|
|
|
|
|
|
|
|
Ford Motor Co.
|
|
|
186,020
|
|
|
|
1,703,943
|
|
|
Banks – 7.8%
|
|
|
|
|
|
|
|
|
|
Bank of Montreal (Canada)
|
|
|
48,719
|
|
|
|
3,593,026
|
|
|
Huntington Bancshares, Inc.
|
|
|
227,254
|
|
|
|
3,242,915
|
|
|
Umpqua Holdings Corp.
|
|
|
206,475
|
|
|
|
3,398,578
|
|
|
Total Banks
|
|
|
|
|
|
|
10,234,519
|
|
|
Chemicals – 1.5%
|
|
|
|
|
|
|
|
|
|
LyondellBasell Industries NV, Class A (Netherlands)
|
|
|
22,717
|
|
|
|
2,032,490
|
|
|
Electric Utilities – 7.4%
|
|
|
|
|
|
|
|
|
|
Evergy, Inc.
|
|
|
27,744
|
|
|
|
1,846,641
|
|
|
PPL Corp.
|
|
|
114,621
|
|
|
|
3,609,415
|
|
|
Southern Co. (The)
|
|
|
68,583
|
|
|
|
4,236,372
|
|
|
Total Electric Utilities
|
|
|
|
|
|
|
9,692,428
|
|
|
Hotels, Restaurants & Leisure – 2.8%
|
|
|
|
|
|
|
|
|
|
Carnival Corp.
|
|
|
83,951
|
|
|
|
3,669,498
|
|
|
Multi-Utilities – 5.5%
|
|
|
|
|
|
|
|
|
|
CenterPoint Energy, Inc.
|
|
|
130,871
|
|
|
|
3,949,687
|
|
|
National Grid PLC, ADR (United Kingdom)
|
|
|
61,017
|
|
|
|
3,302,850
|
|
|
Total Multi-Utilities
|
|
|
|
|
|
|
7,252,537
|
|
|
Oil, Gas & Consumable Fuels – 5.0%
|
|
|
|
|
|
|
|
|
|
Occidental Petroleum Corp.
|
|
|
39,910
|
|
|
|
1,774,797
|
|
|
Schlumberger Ltd.
|
|
|
54,110
|
|
|
|
1,848,939
|
|
|
TOTAL SA, ADR (France)
|
|
|
57,314
|
|
|
|
2,980,328
|
|
|
Total Oil, Gas & Consumable Fuels
|
|
|
|
|
|
|
6,604,064
|
|
|
Pharmaceuticals – 5.7%
|
|
|
|
|
|
|
|
|
|
Merck & Co., Inc.
|
|
|
45,668
|
|
|
|
3,844,333
|
|
|
Pfizer, Inc.
|
|
|
103,169
|
|
|
|
3,706,862
|
|
|
Total Pharmaceuticals
|
|
|
|
|
|
|
7,551,195
|
|
|
Pipelines – 5.4%
|
|
|
|
|
|
|
|
|
|
Energy Transfer LP
|
|
|
248,653
|
|
|
|
3,252,382
|
|
|
ONEOK, Inc.
|
|
|
52,767
|
|
|
|
3,888,400
|
|
|
Total Pipelines
|
|
|
|
|
|
|
7,140,782
|
|
See Notes to Schedule of Investments.
|
Eagle Growth and Income Opportunities Fund
|
|
|
Schedule
of Investments‡ (unaudited)
(continued)
|
September 30, 2019
|
|
Investments
|
|
Shares
|
|
|
Value
|
|
|
COMMON STOCKS (continued)
|
|
|
|
|
|
|
|
|
|
Real Estate Investment Trusts (REITs) – 13.0%
|
|
|
|
|
|
|
|
|
|
Crown Castle International Corp.
|
|
|
23,455
|
|
|
$
|
3,260,479
|
|
|
Digital Realty Trust, Inc.
|
|
|
25,723
|
|
|
|
3,339,103
|
|
|
EPR Properties
|
|
|
53,121
|
|
|
|
4,082,880
|
|
|
Highwoods Properties, Inc.
|
|
|
52,894
|
|
|
|
2,377,056
|
|
|
Host Hotels & Resorts, Inc.
|
|
|
146,703
|
|
|
|
2,536,495
|
|
|
Weyerhaeuser Co.
|
|
|
53,794
|
|
|
|
1,490,094
|
|
|
Total Real Estate Investment Trusts (REITs)
|
|
|
|
|
|
|
17,086,107
|
|
|
Technology Hardware, Storage & Peripherals – 3.1%
|
|
|
|
|
|
|
|
|
|
Seagate Technology PLC (Ireland)
|
|
|
76,135
|
|
|
|
4,095,302
|
|
|
Telecommunications – 10.5%
|
|
|
|
|
|
|
|
|
|
AT&T, Inc.
|
|
|
113,700
|
|
|
|
4,302,408
|
|
|
CenturyLink, Inc.
|
|
|
222,694
|
|
|
|
2,779,221
|
|
|
Cisco Systems, Inc.
|
|
|
88,929
|
|
|
|
4,393,982
|
|
|
Verizon Communications, Inc.
|
|
|
39,392
|
|
|
|
2,377,701
|
|
|
Total Telecommunications
|
|
|
|
|
|
|
13,853,312
|
|
Total Common Stocks
(Cost $104,337,393)
|
|
|
|
|
|
|
98,331,818
|
|
|
PREFERRED STOCKS – 24.4% (17.1% of Total Investments)
|
|
|
|
|
|
|
|
|
|
Banks – 13.6%
|
|
|
|
|
|
|
|
|
|
Bank of America Corp., Series Y, 6.50%
|
|
|
40,000
|
|
|
|
1,006,800
|
|
|
BOK Financial Corp., 5.38%
|
|
|
30,000
|
|
|
|
771,300
|
|
|
Capital One Financial Corp., Series D, 6.70%
|
|
|
60,000
|
|
|
|
1,519,200
|
|
|
Citigroup, Inc., Series J, 7.13%
|
|
|
20,000
|
|
|
|
568,000
|
|
|
Citigroup, Inc., Series K, 6.88%
|
|
|
20,000
|
|
|
|
562,000
|
|
|
Fifth Third Bancorp, Series I, 6.63%
|
|
|
40,000
|
|
|
|
1,120,000
|
|
|
First Horizon National Corp., Series A, 6.20%
|
|
|
25,857
|
|
|
|
670,731
|
|
|
First Republic Bank, Series I, 5.50%
|
|
|
56,640
|
|
|
|
1,509,456
|
|
|
Huntington Bancshares, Inc., Series D, 6.25%
|
|
|
20,000
|
|
|
|
526,000
|
|
|
JPMorgan Chase & Co., Series AA, 6.10%
|
|
|
40,000
|
|
|
|
1,036,800
|
|
|
JPMorgan Chase & Co., Series Y, 6.13%
|
|
|
40,000
|
|
|
|
1,023,600
|
|
|
PNC Financial Services Group, Inc. (The), Series P, 6.13%
|
|
|
20,000
|
|
|
|
548,400
|
|
|
Regions Financial Corp., Series B, 6.38%
|
|
|
40,000
|
|
|
|
1,112,400
|
|
|
TCF Financial Corp., Series C, 5.70%
|
|
|
50,000
|
|
|
|
1,311,000
|
|
|
US Bancorp, Series F, 6.50%
|
|
|
50,000
|
|
|
|
1,367,500
|
|
|
Wells Fargo & Co., Series Q, 5.85%
|
|
|
40,000
|
|
|
|
1,056,800
|
|
|
Wells Fargo & Co., Series R, 6.63%
|
|
|
80,000
|
|
|
|
2,232,800
|
|
|
Total Banks
|
|
|
|
|
|
|
17,942,787
|
|
|
Capital Markets – 5.8%
|
|
|
|
|
|
|
|
|
|
Apollo Global Management, Inc., Series A, 6.38%
|
|
|
60,000
|
|
|
|
1,602,600
|
|
|
Carlyle Group LP (The), Series A, 5.88%
|
|
|
60,000
|
|
|
|
1,519,200
|
|
|
Goldman Sachs Group, Inc. (The), Series K, 6.38%
|
|
|
40,000
|
|
|
|
1,112,000
|
|
|
Morgan Stanley, Series I, 6.38%
|
|
|
60,000
|
|
|
|
1,676,400
|
|
|
Northern Trust Corp., Series C, 5.85%
|
|
|
20,000
|
|
|
|
506,000
|
|
See Notes to Schedule of Investments.
|
Eagle Growth and Income Opportunities Fund
|
|
|
Schedule
of Investments‡ (unaudited) (continued)
|
September 30, 2019
|
|
Investments
|
|
Shares
|
|
|
Value
|
|
|
PREFERRED STOCKS (continued)
|
|
|
|
|
|
|
|
|
|
Capital Markets (continued)
|
|
|
|
|
|
|
|
|
|
Oaktree Capital Group LLC, Series A, 6.63%
|
|
|
10,000
|
|
|
$
|
268,200
|
|
|
State Street Corp., Series E, 6.00%
|
|
|
40,000
|
|
|
|
1,011,600
|
|
|
Total Capital Markets
|
|
|
|
|
|
|
7,696,000
|
|
|
Electric Utilities – 0.8%
|
|
|
|
|
|
|
|
|
|
DTE Energy Co., Series B, 5.38%
|
|
|
20,000
|
|
|
|
524,400
|
|
|
Southern Co. (The), 6.25%
|
|
|
20,000
|
|
|
|
534,800
|
|
|
Total Electric Utilities
|
|
|
|
|
|
|
1,059,200
|
|
|
Insurance – 2.4%
|
|
|
|
|
|
|
|
|
|
Allstate Corp. (The), Series E, 6.63%
|
|
|
40,000
|
|
|
|
998,400
|
|
|
Hartford Financial Services Group, Inc. (The), 7.88%
|
|
|
20,000
|
|
|
|
583,200
|
|
|
WR Berkley Corp., 5.75%
|
|
|
60,000
|
|
|
|
1,546,200
|
|
|
Total Insurance
|
|
|
|
|
|
|
3,127,800
|
|
|
Pipelines – 1.0%
|
|
|
|
|
|
|
|
|
|
Energy Transfer Operating LP, Series D, 7.63%
|
|
|
20,000
|
|
|
|
494,000
|
|
|
Energy Transfer Operating LP, Series E, 7.60%
|
|
|
30,000
|
|
|
|
760,200
|
|
|
Total Pipelines
|
|
|
|
|
|
|
1,254,200
|
|
|
Real Estate Investment Trusts (REITs) – 0.8%
|
|
|
|
|
|
|
|
|
|
EPR Properties, Series G, 5.75%
|
|
|
40,000
|
|
|
|
1,038,000
|
|
Total Preferred Stocks
(Cost $31,447,687)
|
|
|
|
|
|
|
32,117,987
|
|
|
MASTER LIMITED PARTNERSHIP – 3.2% (2.2% of Total Investments)
|
|
|
|
|
|
|
|
|
|
Hotels, Restaurants & Leisure – 3.2%
|
|
|
|
|
|
|
|
|
|
Cedar Fair LP
|
|
|
72,111
|
|
|
|
4,208,398
|
|
|
(Cost $4,097,069)
|
|
|
|
|
|
|
|
|
|
EXCHANGE-TRADED FUNDS – 4.4% (3% of Total Investments)
|
|
|
|
|
|
|
|
|
|
Debt Funds – 4.4%
|
|
|
|
|
|
|
|
|
|
iShares iBoxx High Yield Corporate Bond ETF(a)
|
|
|
33,005
|
|
|
|
2,877,046
|
|
|
SPDR Bloomberg Barclays High Yield Bond ETF(a)
|
|
|
26,426
|
|
|
|
2,873,563
|
|
Total Exchange-Traded Funds
(Cost $5,874,323)
|
|
|
|
|
|
|
5,750,609
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Principal
|
|
|
|
|
|
|
CORPORATE BONDS – 31.2% (21.8% of Total Investments)
|
|
|
|
|
|
|
|
|
|
Aerospace & Defense – 0.4%
|
|
|
|
|
|
|
|
|
|
BBA US Holdings, Inc., 5.38%, 05/01/26(b)
|
|
$
|
500,000
|
|
|
|
526,250
|
|
|
Agriculture – 0.7%
|
|
|
|
|
|
|
|
|
|
Darling Ingredients, Inc., 5.25%, 04/15/27(b)
|
|
|
500,000
|
|
|
|
526,250
|
|
|
Reynolds American, Inc., 8.13%, 05/01/40
|
|
|
150,000
|
|
|
|
199,117
|
|
|
RJ Reynolds Tobacco Co., 8.13%, 05/01/40
|
|
|
125,000
|
|
|
|
166,869
|
|
|
Total Agriculture
|
|
|
|
|
|
|
892,236
|
|
See Notes to Schedule of Investments.
|
Eagle Growth and Income Opportunities Fund
|
|
|
Schedule
of Investments‡ (unaudited) (continued)
|
September 30, 2019
|
|
Investments
|
|
Principal
|
|
|
Value
|
|
|
CORPORATE BONDS (continued)
|
|
|
|
|
|
|
|
|
|
Auto Parts & Equipment – 0.8%
|
|
|
|
|
|
|
|
|
|
Adient US LLC, 7.00%, 05/15/26(b)
|
|
$
|
250,000
|
|
|
$
|
261,562
|
|
|
Panther BF Aggregator 2 LP / Panther Finance Co., Inc., 8.50%, 05/15/27(b)
|
|
|
750,000
|
|
|
|
759,038
|
|
|
Total Auto Parts & Equipment
|
|
|
|
|
|
|
1,020,600
|
|
|
Automobiles – 0.6%
|
|
|
|
|
|
|
|
|
|
Ford Motor Co., 4.75%, 01/15/43
|
|
|
300,000
|
|
|
|
260,773
|
|
|
Ford Motor Credit Co. LLC, 5.11%, 05/03/29
|
|
|
500,000
|
|
|
|
503,594
|
|
|
Total Automobiles
|
|
|
|
|
|
|
764,367
|
|
|
Banks – 1.0%
|
|
|
|
|
|
|
|
|
|
Citizens Financial Group, Inc., Series C, 6.38%, Perpetual(c)
|
|
|
750,000
|
|
|
|
788,925
|
|
|
Goldman Sachs Group, Inc. (The), Series Q, 5.50%, Perpetual(c)
|
|
|
500,000
|
|
|
|
525,025
|
|
|
Total Banks
|
|
|
|
|
|
|
1,313,950
|
|
|
Building Materials – 1.0%
|
|
|
|
|
|
|
|
|
|
Builders FirstSource, Inc., 6.75%, 06/01/27(b)
|
|
|
500,000
|
|
|
|
539,375
|
|
|
Masonite International Corp., 5.75%, 09/15/26(b)
|
|
|
300,000
|
|
|
|
316,125
|
|
|
Masonite International Corp., 5.38%, 02/01/28(b)
|
|
|
100,000
|
|
|
|
104,250
|
|
|
Patrick Industries, Inc., 7.50%, 10/15/27(b)
|
|
|
400,000
|
|
|
|
411,000
|
|
|
Total Building Materials
|
|
|
|
|
|
|
1,370,750
|
|
|
Chemicals – 0.8%
|
|
|
|
|
|
|
|
|
|
Hexion, Inc., 7.88%, 07/15/27(b)
|
|
|
500,000
|
|
|
|
493,125
|
|
|
Rayonier AM Products, Inc., 5.50%, 06/01/24(b)
|
|
|
750,000
|
|
|
|
540,937
|
|
|
Total Chemicals
|
|
|
|
|
|
|
1,034,062
|
|
|
Commercial Services – 1.8%
|
|
|
|
|
|
|
|
|
|
Ashtead Capital, Inc., 5.25%, 08/01/26(b)
|
|
|
250,000
|
|
|
|
265,314
|
|
|
Brink's Co. (The), 4.63%, 10/15/27(b)
|
|
|
750,000
|
|
|
|
754,228
|
|
|
H&E Equipment Services, Inc., 5.63%, 09/01/25
|
|
|
750,000
|
|
|
|
774,285
|
|
|
Herc Holdings, Inc., 5.50%, 07/15/27(b)
|
|
|
250,000
|
|
|
|
260,625
|
|
|
United Rentals (North America), Inc., 4.88%, 01/15/28
|
|
|
250,000
|
|
|
|
260,944
|
|
|
Total Commercial Services
|
|
|
|
|
|
|
2,315,396
|
|
|
Distribution / Wholesale – 0.4%
|
|
|
|
|
|
|
|
|
|
HD Supply, Inc., 5.38%, 10/15/26(b)
|
|
|
250,000
|
|
|
|
264,375
|
|
|
Performance Food Group, Inc., 5.50%, 10/15/27(b)
|
|
|
250,000
|
|
|
|
263,437
|
|
|
Total Distribution / Wholesale
|
|
|
|
|
|
|
527,812
|
|
|
Diversified Holding Companies – 0.4%
|
|
|
|
|
|
|
|
|
|
VistaJet Malta Finance PLC / XO Management Holding, Inc. (Malta), 10.50%, 06/01/24(b)
|
|
|
500,000
|
|
|
|
486,875
|
|
|
Electric Utilities – 0.9%
|
|
|
|
|
|
|
|
|
|
CenterPoint Energy, Inc., Series A, 6.13%, Perpetual(c)
|
|
|
600,000
|
|
|
|
638,040
|
|
See Notes to Schedule of Investments.
|
Eagle Growth and Income Opportunities Fund
|
|
|
Schedule
of Investments‡ (unaudited) (continued)
|
September 30, 2019
|
|
Investments
|
|
Principal
|
|
|
Value
|
|
|
CORPORATE BONDS (continued)
|
|
|
|
|
|
|
|
|
|
Electric Utilities (continued)
|
|
|
|
|
|
|
|
|
|
Clearway Energy Operating LLC, 5.75%, 10/15/25(b)
|
|
|
500,000
|
|
|
$
|
529,375
|
|
|
Total Electric Utilities
|
|
|
|
|
|
|
1,167,415
|
|
|
Electrical Components & Equipment – 0.4%
|
|
|
|
|
|
|
|
|
|
Energizer Holdings, Inc., 7.75%, 01/15/27(b)
|
|
|
500,000
|
|
|
|
558,350
|
|
|
Entertainment – 0.2%
|
|
|
|
|
|
|
|
|
|
Wynn Resorts Finance LLC / Wynn Resorts Capital Corp., 5.13%, 10/01/29(b)
|
|
|
200,000
|
|
|
|
209,830
|
|
|
Environmental Control – 0.4%
|
|
|
|
|
|
|
|
|
|
Browning-Ferris Industries, Inc., 7.40%, 09/15/35
|
|
|
131,000
|
|
|
|
186,118
|
|
|
Stericycle, Inc., 5.38%, 07/15/24(b)
|
|
|
300,000
|
|
|
|
308,732
|
|
|
Total Environmental Control
|
|
|
|
|
|
|
494,850
|
|
|
Food Products – 0.9%
|
|
|
|
|
|
|
|
|
|
Conagra Brands, Inc., 7.13%, 10/01/26
|
|
|
300,000
|
|
|
|
366,768
|
|
|
Kraft Heinz Foods Co., 5.20%, 07/15/45
|
|
|
300,000
|
|
|
|
315,105
|
|
|
Post Holdings, Inc., 5.50%, 12/15/29(b)
|
|
|
500,000
|
|
|
|
522,188
|
|
|
Total Food Products
|
|
|
|
|
|
|
1,204,061
|
|
|
Forest Products & Paper – 1.1%
|
|
|
|
|
|
|
|
|
|
Mercer International, Inc. (Canada), 5.50%, 01/15/26
|
|
|
1,000,000
|
|
|
|
972,500
|
|
|
Schweitzer-Mauduit International, Inc., 6.88%, 10/01/26(b)
|
|
|
500,000
|
|
|
|
529,375
|
|
|
Total Forest Products & Paper
|
|
|
|
|
|
|
1,501,875
|
|
|
Healthcare - Services – 0.9%
|
|
|
|
|
|
|
|
|
|
HCA, Inc., 5.63%, 09/01/28
|
|
|
500,000
|
|
|
|
557,463
|
|
|
HCA, Inc., 4.13%, 06/15/29
|
|
|
500,000
|
|
|
|
526,400
|
|
|
Humana, Inc., 8.15%, 06/15/38
|
|
|
100,000
|
|
|
|
150,125
|
|
|
Total Healthcare - Services
|
|
|
|
|
|
|
1,233,988
|
|
|
Home Builders – 1.0%
|
|
|
|
|
|
|
|
|
|
Lennar Corp., 4.75%, 11/29/27
|
|
|
500,000
|
|
|
|
537,500
|
|
|
M/I Homes, Inc., 5.63%, 08/01/25
|
|
|
250,000
|
|
|
|
257,975
|
|
|
PulteGroup, Inc., 5.50%, 03/01/26
|
|
|
500,000
|
|
|
|
548,990
|
|
|
Total Home Builders
|
|
|
|
|
|
|
1,344,465
|
|
|
Hotels, Restaurants & Leisure – 1.0%
|
|
|
|
|
|
|
|
|
|
Hilton Domestic Operating Co., Inc., 5.13%, 05/01/26
|
|
|
500,000
|
|
|
|
525,625
|
|
|
MGM Resorts International, 5.50%, 04/15/27
|
|
|
750,000
|
|
|
|
820,950
|
|
|
Total Hotels, Restaurants & Leisure
|
|
|
|
|
|
|
1,346,575
|
|
|
Household Products – 0.3%
|
|
|
|
|
|
|
|
|
|
Spectrum Brands, Inc., 5.00%, 10/01/29(b)
|
|
|
400,000
|
|
|
|
407,500
|
|
|
Insurance – 0.4%
|
|
|
|
|
|
|
|
|
|
CNO Financial Group, Inc., 5.25%, 05/30/29
|
|
|
500,000
|
|
|
|
549,670
|
|
|
Internet – 0.2%
|
|
|
|
|
|
|
|
|
|
GrubHub Holdings, Inc., 5.50%, 07/01/27(b)
|
|
|
250,000
|
|
|
|
255,075
|
|
See Notes to Schedule of Investments.
|
Eagle Growth and Income Opportunities Fund
|
|
|
Schedule
of Investments‡ (unaudited) (continued)
|
September 30, 2019
|
|
Investments
|
|
Principal
|
|
|
Value
|
|
|
CORPORATE BONDS (continued)
|
|
|
|
|
|
|
|
|
|
Iron / Steel – 0.4%
|
|
|
|
|
|
|
|
|
|
Cleveland-Cliffs, Inc., 5.88%, 06/01/27(b)
|
|
$
|
500,000
|
|
|
$
|
474,175
|
|
|
Media – 2.7%
|
|
|
|
|
|
|
|
|
|
Charter Communications Operating LLC / Charter Communications Operating Capital, 3.75%, 02/15/28
|
|
|
750,000
|
|
|
|
769,935
|
|
|
Charter Communications Operating LLC / Charter Communications Operating Capital, 6.38%, 10/23/35
|
|
|
300,000
|
|
|
|
365,355
|
|
|
CSC Holdings LLC, 6.50%, 02/01/29(b)
|
|
|
500,000
|
|
|
|
554,800
|
|
|
Diamond Sports Group LLC / Diamond Sports Finance Co., 5.38%, 08/15/26(b)
|
|
|
500,000
|
|
|
|
518,275
|
|
|
Diamond Sports Group LLC / Diamond Sports Finance Co., 6.63%, 08/15/27(b)
|
|
|
100,000
|
|
|
|
103,875
|
|
|
Discovery Communications LLC, 4.88%, 04/01/43
|
|
|
300,000
|
|
|
|
312,835
|
|
|
Sirius XM Radio, Inc., 5.50%, 07/01/29(b)
|
|
|
500,000
|
|
|
|
533,125
|
|
|
Viacom, Inc., 5.85%, 09/01/43
|
|
|
300,000
|
|
|
|
368,480
|
|
|
Total Media
|
|
|
|
|
|
|
3,526,680
|
|
|
Miscellaneous Manufacturing – 0.4%
|
|
|
|
|
|
|
|
|
|
Koppers, Inc., 6.00%, 02/15/25(b)
|
|
|
500,000
|
|
|
|
500,000
|
|
|
Oil, Gas & Consumable Fuels – 2.8%
|
|
|
|
|
|
|
|
|
|
Ascent Resources Utica Holdings LLC / ARU Finance Corp., 7.00%, 11/01/26(b)
|
|
|
650,000
|
|
|
|
545,187
|
|
|
Cenovus Energy, Inc. (Canada), 6.75%, 11/15/39
|
|
|
150,000
|
|
|
|
183,909
|
|
|
Hilcorp Energy I LP / Hilcorp Finance Co., 6.25%, 11/01/28(b)
|
|
|
250,000
|
|
|
|
234,375
|
|
|
HollyFrontier Corp., 5.88%, 04/01/26
|
|
|
750,000
|
|
|
|
843,925
|
|
|
Laredo Petroleum, Inc., 6.25%, 03/15/23
|
|
|
400,000
|
|
|
|
356,500
|
|
|
Oasis Petroleum, Inc., 6.88%, 03/15/22
|
|
|
150,000
|
|
|
|
141,315
|
|
|
Oasis Petroleum, Inc., 6.25%, 05/01/26(b)
|
|
|
350,000
|
|
|
|
286,132
|
|
|
Parkland Fuel Corp. (Canada), 5.88%, 07/15/27(b)
|
|
|
500,000
|
|
|
|
524,343
|
|
|
Southwestern Energy Co., 7.50%, 04/01/26
|
|
|
600,000
|
|
|
|
522,378
|
|
|
Total Oil, Gas & Consumable Fuels
|
|
|
|
|
|
|
3,638,064
|
|
|
Packaging & Containers – 0.6%
|
|
|
|
|
|
|
|
|
|
Ardagh Packaging Finance PLC / Ardagh Holdings USA, Inc. (Ireland), 6.00%, 02/15/25(b)
|
|
|
300,000
|
|
|
|
314,805
|
|
|
Greif, Inc., 6.50%, 03/01/27(b)
|
|
|
500,000
|
|
|
|
530,625
|
|
|
Total Packaging & Containers
|
|
|
|
|
|
|
845,430
|
|
|
Pipelines – 2.1%
|
|
|
|
|
|
|
|
|
|
Enable Midstream Partners LP, 4.95%, 05/15/28
|
|
|
750,000
|
|
|
|
780,124
|
|
|
EnLink Midstream LLC, 5.38%, 06/01/29
|
|
|
500,000
|
|
|
|
479,375
|
|
|
EQM Midstream Partners LP, 5.50%, 07/15/28
|
|
|
500,000
|
|
|
|
497,250
|
|
|
MPLX LP, Series B, 6.88%, Perpetual(c)
|
|
|
750,000
|
|
|
|
754,275
|
|
|
Plains All American Pipeline LP / PAA Finance Corp., 4.30%, 01/31/43
|
|
|
300,000
|
|
|
|
277,552
|
|
|
Total Pipelines
|
|
|
|
|
|
|
2,788,576
|
|
See Notes to Schedule of Investments.
|
Eagle Growth and Income Opportunities Fund
|
|
|
Schedule
of Investments‡ (unaudited) (continued)
|
September 30, 2019
|
|
Investments
|
|
Principal
|
|
|
Value
|
|
|
CORPORATE BONDS (continued)
|
|
|
|
|
|
|
|
|
|
Real Estate Investment Trusts (REITs) – 1.0%
|
|
|
|
|
|
|
|
|
|
Brookfield Property REIT, Inc. / BPR Cumulus LLC / BPR Nimbus LLC / GGSI Sellco LLC, 5.75%, 05/15/26(b)
|
|
$
|
250,000
|
|
|
$
|
262,187
|
|
|
GLP Capital LP / GLP Financing II, Inc., 5.30%, 01/15/29
|
|
|
500,000
|
|
|
|
552,980
|
|
|
MGM Growth Properties Operating Partnership LP / MGP Finance Co.-Issuer, Inc., 5.75%, 02/01/27(b)
|
|
|
500,000
|
|
|
|
563,275
|
|
|
Total Real Estate Investment Trusts (REITs)
|
|
|
|
|
|
|
1,378,442
|
|
|
Retail – 0.6%
|
|
|
|
|
|
|
|
|
|
Party City Holdings, Inc., 6.63%, 08/01/26(b)
|
|
|
575,000
|
|
|
|
570,688
|
|
|
Yum! Brands, Inc., 5.35%, 11/01/43
|
|
|
300,000
|
|
|
|
289,500
|
|
|
Total Retail
|
|
|
|
|
|
|
860,188
|
|
|
Semiconductors – 0.3%
|
|
|
|
|
|
|
|
|
|
KLA Corp., 5.65%, 11/01/34
|
|
|
300,000
|
|
|
|
360,730
|
|
|
Technology Hardware, Storage & Peripherals – 0.9%
|
|
|
|
|
|
|
|
|
|
Dell International LLC / EMC Corp., 5.30%, 10/01/29(b)
|
|
|
750,000
|
|
|
|
818,949
|
|
|
Hewlett-Packard Co., 6.00%, 09/15/41
|
|
|
300,000
|
|
|
|
341,632
|
|
|
Total Technology Hardware, Storage & Peripherals
|
|
|
|
|
|
|
1,160,581
|
|
|
Telecommunications – 2.3%
|
|
|
|
|
|
|
|
|
|
Anixter, Inc., 6.00%, 12/01/25
|
|
|
250,000
|
|
|
|
275,465
|
|
|
AT&T, Inc., 6.38%, 03/01/41
|
|
|
395,000
|
|
|
|
518,180
|
|
|
AT&T, Inc., 4.35%, 06/15/45
|
|
|
300,000
|
|
|
|
316,254
|
|
|
CommScope, Inc., 8.25%, 03/01/27(b)
|
|
|
750,000
|
|
|
|
732,891
|
|
|
Vodafone Group PLC (United Kingdom), 7.00%, 04/04/79
|
|
|
1,000,000
|
|
|
|
1,153,980
|
|
|
Total Telecommunications
|
|
|
|
|
|
|
2,996,770
|
|
|
Trucking & Leasing – 1.5%
|
|
|
|
|
|
|
|
|
|
AerCap Global Aviation Trust (Ireland), 6.50%, 06/15/45(b)
|
|
|
600,000
|
|
|
|
651,000
|
|
|
AerCap Ireland Capital DAC / AerCap Global Aviation Trust (Ireland), 4.45%, 04/03/26
|
|
|
500,000
|
|
|
|
534,214
|
|
|
Avolon Holdings Funding Ltd. (Ireland), 4.38%, 05/01/26(b)
|
|
|
750,000
|
|
|
|
778,423
|
|
|
Total Trucking & Leasing
|
|
|
|
|
|
|
1,963,637
|
|
Total Corporate Bonds
(Cost $39,281,156)
|
|
|
|
|
|
|
41,019,225
|
|
|
SENIOR LOANS(d) – 1.6% (1.2% of Total Investments)
|
|
|
|
|
|
|
|
|
|
Real Estate – 0.4%
|
|
|
|
|
|
|
|
|
|
Avision Young Canada, Inc., Term Loan - First Lien, (LIBOR + 5.00%, 0.000% Floor), 02/01/26(e)
|
|
|
500,000
|
|
|
|
491,250
|
|
|
Services: Consumer – 0.5%
|
|
|
|
|
|
|
|
|
|
WP CityMD BidCo, LLC (CityMD), Term Loan B – First Lien, (LIBOR + 4.50%, 1.00% Floor), 08/13/26(e)
|
|
|
750,000
|
|
|
|
743,906
|
|
See Notes to Schedule of Investments.
|
Eagle Growth and Income Opportunities Fund
|
|
|
Schedule
of Investments‡ (unaudited) (continued)
|
September 30, 2019
|
|
Investments
|
|
Principal
|
|
|
Value
|
|
|
SENIOR LOANS(d) (continued)
|
|
|
|
|
|
|
|
|
|
Telecommunications – 0.7%
|
|
|
|
|
|
|
|
|
|
Avaya, Inc., Tranche B Term Loan - First Lien, (LIBOR + 4.250%, 0.000% Floor), 12/16/24(e)
|
|
$
|
997,462
|
|
|
$
|
950,494
|
|
Total Senior Loans
(Cost $2,196,313)
|
|
|
|
|
|
|
2,185,650
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Shares
|
|
|
|
|
|
|
MONEY MARKET FUND – 3.6% (2.5% of Total Investments)
|
|
|
|
|
|
|
|
|
Morgan Stanley Institutional Liquidity Treasury Portfolio – Institutional Share Class, 1.82%(f)
(Cost $4,688,707)
|
|
|
4,688,707
|
|
|
|
4,688,707
|
|
Total Investments – 143.1%
(Cost $191,922,648)
|
|
|
|
|
|
|
188,302,394
|
|
|
Line of Credit Payable – (42.4)%
|
|
|
|
|
|
|
(55,800,000
|
)
|
|
Liabilities in Excess of Other Assets – (0.7)%
|
|
|
|
|
|
|
(951,234
|
)
|
|
Net Assets – 100.0%
|
|
|
|
|
|
$
|
131,551,160
|
|
ADR - American Depositary
Receipt
CMR - Constant Maturity
Rate
ETF - Exchange Traded
Fund
LIBOR - London Interbank
Offered Rate
LLC - Limited Liability
Company
LP - Limited Partnership
PLC - Public Limited
Company
|
‡
|
Securities are U.S. securities, unless otherwise noted.
|
|
(a)
|
Security represents an ETF which invests primarily in debt securities and is considered a debt security for purposes of the Fund’s allocation between equity and debt securities.
|
|
(b)
|
Security was purchased pursuant to Rule 144A under the Securities Act of 1933 and may not be resold subject to that rule except to qualified institutional buyers. Total fair value of Rule 144A securities amounts to $19,590,321 which represents approximately 14.9% of net assets as of September 30, 2019. Unless otherwise noted, 144A securities are deemed to be liquid.
|
|
(c)
|
Perpetual, callable security with no stated maturity date.
|
|
(d)
|
Senior loans pay interest at rates that are periodically determined on the basis of a floating benchmark lending rate, often subject to a floor, plus a spread, unless otherwise indicated. The most popular benchmark lending rates are the London Interbank Offered Rate (“LIBOR”), the rate that contributor banks in London charge each other for interbank deposits, and the prime rate offered by one or more major U.S. banks (“Prime”). Both LIBOR and Prime were utilized as benchmark lending rates for the senior loans at September 30, 2019. The rates shown represent the contractual rates (benchmark rate or floor plus spread) in effect at period end. Senior loans often require prepayments from excess cash flow or permit the borrower to repay at its election. The degree to which borrowers repay, whether as a contractual requirement or at their election, cannot be predicted with accuracy.
|
|
(e)
|
All or a portion of this position has not settled as of September 30, 2019. The Fund will not accrue interest on its senior loans until the settlement date at which point LIBOR will be established.
|
|
(f)
|
Rate shown reflects the 7-day yield as of September 30, 2019.
|
See Notes to Schedule of Investments.
|
Eagle Growth and Income Opportunities Fund
|
|
|
Schedule
of Investments‡ (unaudited) (continued)
|
September 30, 2019
|
Fair Value Measurement
The following table summarizes the valuation
of the Fund’s investments under the fair value hierarchy levels as of September 30, 2019:
|
|
|
Level 1
|
|
|
Level 2
|
|
|
Level 3
|
|
|
Total
|
|
|
Assets Type
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
|
Common Stocks*
|
|
$
|
98,331,818
|
|
|
$
|
–
|
|
|
$
|
–
|
|
|
$
|
98,331,818
|
|
|
Preferred Stocks*
|
|
|
32,117,987
|
|
|
|
–
|
|
|
|
–
|
|
|
|
32,117,987
|
|
|
Exchange-Traded Funds*
|
|
|
5,750,609
|
|
|
|
–
|
|
|
|
–
|
|
|
|
5,750,609
|
|
|
Master Limited Partnerships*
|
|
|
4,208,398
|
|
|
|
–
|
|
|
|
–
|
|
|
|
4,208,398
|
|
|
Corporate Bonds*
|
|
|
–
|
|
|
|
41,019,225
|
|
|
|
–
|
|
|
|
41,019,225
|
|
|
Senior Loans*
|
|
|
–
|
|
|
|
2,185,650
|
|
|
|
–
|
|
|
|
2,185,650
|
|
|
Money Market Fund
|
|
|
4,688,707
|
|
|
|
–
|
|
|
|
–
|
|
|
|
4,688,707
|
|
|
Total Investments
|
|
$
|
145,097,519
|
|
|
$
|
43,204,875
|
|
|
$
|
–
|
|
|
$
|
188,302,394
|
|
|
*
|
Please refer to the Schedule of Investments for breakdown of valuations by industry
|
The Fund held no Level 3 securities
during the period ended September 30, 2019.
See Notes to Schedule of Investments.
|
Eagle Growth and Income Opportunities Fund
|
|
|
Schedule
of Investments‡ (unaudited) (concluded)
|
September 30, 2019
|
|
SUMMARY OF SCHEDULE OF INVESTMENTS
|
|
% of Net Assets
|
|
|
Aerospace & Defense
|
|
|
1.6
|
%
|
|
Agriculture
|
|
|
5.2
|
|
|
Auto Parts & Equipment
|
|
|
0.8
|
|
|
Automobiles
|
|
|
1.9
|
|
|
Banks
|
|
|
22.4
|
|
|
Building Materials
|
|
|
1.0
|
|
|
Capital Markets
|
|
|
5.8
|
|
|
Chemicals
|
|
|
2.3
|
|
|
Commercial Services
|
|
|
1.8
|
|
|
Debt Funds
|
|
|
4.4
|
|
|
Distribution / Wholesale
|
|
|
0.4
|
|
|
Diversified Holding Companies
|
|
|
0.4
|
|
|
Electric Utilities
|
|
|
9.1
|
|
|
Electrical Components & Equipment
|
|
|
0.4
|
|
|
Entertainment
|
|
|
0.2
|
|
|
Environmental Control
|
|
|
0.4
|
|
|
Food Products
|
|
|
0.9
|
|
|
Forest Products & Paper
|
|
|
1.1
|
|
|
Healthcare - Services
|
|
|
0.9
|
|
|
Home Builders
|
|
|
1.0
|
|
|
Hotels, Restaurants & Leisure
|
|
|
7.0
|
|
|
Household Products
|
|
|
0.3
|
|
|
Insurance
|
|
|
2.8
|
|
|
Internet
|
|
|
0.2
|
|
|
Iron / Steel
|
|
|
0.4
|
|
|
Media
|
|
|
2.7
|
|
|
Miscellaneous Manufacturing
|
|
|
0.4
|
|
|
Money Market Fund
|
|
|
3.6
|
|
|
Multi-Utilities
|
|
|
5.5
|
|
|
Oil, Gas & Consumable Fuels
|
|
|
7.8
|
|
|
Packaging & Containers
|
|
|
0.6
|
|
|
Pharmaceuticals
|
|
|
5.7
|
|
|
Pipelines
|
|
|
8.5
|
|
|
Real Estate
|
|
|
0.4
|
|
|
Real Estate Investment Trusts (REITs)
|
|
|
14.8
|
|
|
Retail
|
|
|
0.6
|
|
|
Semiconductors
|
|
|
0.3
|
|
|
Services: Consumer
|
|
|
0.5
|
|
|
Technology Hardware, Storage & Peripherals
|
|
|
4.0
|
|
|
Telecommunications
|
|
|
13.5
|
|
|
Trucking & Leasing
|
|
|
1.5
|
|
|
Total Investments
|
|
|
143.1
|
|
|
Line of Credit Payable
|
|
|
(42.4
|
)
|
|
Liabilities in Excess of Other Assets
|
|
|
(0.7
|
)
|
|
Net Assets
|
|
|
100.0
|
%
|
See Notes to Schedule of Investments.
|
Eagle Growth and Income Opportunities Fund
Notes to the Schedule of Investments (unaudited)
|
September 30, 2019
|
1. ORGANIZATION AND OPERATIONS
Eagle
Growth and Income Opportunities Fund (the “Fund”) is a diversified, closed-end management investment company registered
under the Investment Company Act of 1940, as amended (the “1940 Act”). The Fund is a statutory trust established under
the laws of Delaware by a Certificate of Trust dated April 22, 2013. The Fund commenced operations on June 19, 2015.
The
Fund’s investment objective is to provide total return through a combination of current income and capital appreciation.
Under normal market conditions, the Fund will invest at least 80% of its Managed Assets, defined as the total assets of the Fund
(including any assets attributable to borrowings for investment purposes), minus the sum of the Fund’s accrued liabilities
(other than liabilities representing borrowings for investment purposes), in dividend or other income paying equity securities
and debt securities, excluding securities that distribute a return of capital, original issue discount bonds and payment-in-kind
debt instruments.
Through
August 30, 2019, Four Wood Capital Advisors LLC (“FWCA”) served as the Fund’s investment adviser. FWCA had
engaged Eagle Asset Management, Inc. (“Eagle” or the “Sub-adviser”), a wholly-owned subsidiary of
Raymond James Financial, Inc., as a sub-adviser to the Fund. On August 31, 2019, THL Credit Advisors LLC (“THL
Credit” or the “Adviser”) commenced serving as the investment adviser to the Fund pursuant to an interim
advisory agreement that was approved by the Fund’s Board of Trustees (the “Board”) in accordance with Rule
15a-4 under the 1940 Act. Also effective August 31, 2019, THL Credit engaged Eagle as a sub-adviser to the Fund
pursuant to an interim subadvisory agreement that was approved by the Fund’s Board in accordance with Rule 15a-4 under
the 1940 Act. The Fund’s Board also approved a new, non-interim, advisory agreement between the Fund and THL Credit and
a new, non-interim, subadvisory agreement between THL Credit and Eagle, which are subject to shareholder approved before
becoming effective.
2. SIGNIFICANT ACCOUNTING POLICIES
The
Fund is an investment company that applies the accounting and reporting guidance under Financial Accounting Standards Board
Accounting Standards Codification Topic 946 – “Financial Services – Investment Companies”. The
Fund’s financial statements have been prepared to comply with U.S. generally accepted accounting principles. These
principles require the Adviser to make estimates and assumptions that affect reported amounts and disclosures. Actual results
could differ from those estimates. The Fund follows the significant accounting policies described in this section, as well as
the valuation policies described in the next section on valuation.
The
following summarizes the significant accounting policies followed by the Fund in the preparation of its financial statements.
Securities Valuation: The
Fund holds portfolio securities that are fair valued at the close of each day on the New York Stock Exchange (“NYSE”),
normally at 4:00 P.M., Eastern Time. Fair value is the price that would be received to sell an asset or paid to transfer a liability
in an orderly transaction between market participants on the measurement date. The Board has delegated fair valuation responsibilities
to a valuation committee (the “Committee”), subject to the Board’s supervision and direction, through the adoption
of procedures for valuation of the Fund’s securities (the “Valuation Procedures”). The Committee consists of
certain designated individuals of the Fund’s Adviser and Sub-adviser. Under the current Valuation Procedures, the Committee
is responsible for, among other things, determining and monitoring the value of the Fund’s assets. The Valuation Procedures
allow the Fund to utilize independent pricing vendor services, quotations from market makers and other valuation methods in events
when market quotations are not readily available or not representative of the fair value of the securities.
The
Fund’s securities are valued by various methods, as described below:
Exchange traded securities
are valued at the last quoted sales price as of the close of the exchange or, in the absence of a sale, the closing bid price,
with the exception that for securities traded on the London Stock Exchange and National Association of Securities Dealers’
Automated Quotation System, those securities are valued at the official closing price.
Fixed income securities
are valued at prices supplied by the Fund’s pricing agent based on broker-dealer supplied valuations, or in the absence of
broker-dealer supplied valuations, matrix pricing, a method of valuing securities by reference to the value of other securities
with similar characteristics, such as rating, interest rate and maturity.
Senior loans are valued
at prices supplied by the Fund’s pricing agent based on broker-dealer supplied valuations (including mid or average prices)
and other criteria. If the Committee does not believe that the pricing agent price reflects the current market value, the Adviser
or Sub-adviser will determine a recommended method of valuing the senior loan for consideration by the Committee.
|
Eagle Growth and Income Opportunities Fund
Notes to the Schedule of Investments (unaudited) (concluded)
|
September 30, 2019
|
2. SIGNIFICANT ACCOUNTING POLICIES (concluded)
Money market funds are
valued based on the Fund’s proportionate interest in its net assets.
Fair Value Measurement
Various inputs are used
in determining the value of the Fund’s investments. These inputs are summarized in the three broad levels listed below:
Level 1 — Unadjusted
quoted prices in active markets for identical assets or liabilities at the measurement date.
Level 2 — Observable inputs
other than quoted prices included in Level 1 that are observable for the asset or liability, either directly or indirectly. These
inputs may include quoted prices for the identical instrument on an inactive market, quoted prices for similar instruments, interest
rates, prepayment speeds, credit risk, yield curves, default rates, and similar data.
Level 3 — Unobservable
inputs for the asset or liability to the extent that relevant observable inputs are not available, representing the Fund’s
own assumptions that a market participant would use in valuing the asset or liability based on the best information available.
Investments that use
Level 2 or Level 3 inputs may include, but are not limited to: (i) an unlisted security related to corporate actions; (ii) a restricted
security (e.g., one that may not be publicly sold without registration under the Securities Act of 1933 as amended); (iii) a security
whose trading has been suspended or which has been de-listed from its primary trading exchange; (iv) a security that is thinly
traded; (v) a security in default or bankruptcy proceedings for which there is no current market quotation; (vi) a security affected
by currency controls or restrictions; and (vii) a security affected by a significant event (e.g., an event that occurs after the
close of the markets on which the security is traded but before the time as of which a Fund’s net asset value is computed
and that may materially affect the value of the Fund’s investment). Examples of events that may be “significant events”
are government actions, natural disasters, armed conflicts and acts of terrorism.
The categorization of
a value determined for investments is based on the pricing transparency of the investment and does not necessarily correspond to
the Fund’s perceived risk of investing in those securities.
The valuation techniques
used by the Fund to measure fair value during the period ended September 30, 2019 were intended to maximize the use of observable
inputs and to minimize the use of unobservable inputs.
3. FINANCIAL DERIVATIVE INSTRUMENTS
The Fund is authorized
to invest in certain derivative instruments, including options. The Fund records derivative instruments at fair value. For the
period ended September 30, 2019, the Fund had no derivatives activity.
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))) were effective, as of a date
within 90 days of the filing date of this report, 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)
|
EAGLE
GROWTH AND INCOME OPPORTUNITIES FUND
|
|
By (Signature and Title)*
|
/s/ Brian W. Good
|
|
|
Brian W. Good, President and Principal 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/ Brian W. Good
|
|
|
Brian W. Good, President and Principal Executive Officer
|
|
|
(principal executive officer)
|
|
By (Signature and Title)*
|
/s/ Jennifer Wilson
|
|
|
Jennifer Wilson, Treasurer, Principal Financial Officer and Secretary
|
|
|
(principal financial officer)
|
* Print the name and title of each signing officer
under his or her signature.
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