Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FLAHERTY & CRUMRINE PREFERRED & INCOME FUND INCPDF · Entity 6541 | CFO, VP & TREASURER · AFFILIATED PERSON OF INV. ADV. | November 30, 2018 | December 19, 2018 |
| Flaherty & Crumrine Dynamic Preferred & Income Fund IncDFP · Entity 5606 | CFO, VP & TREASURER · AFFILIATED PERSON OF INV. ADV. | December 20, 2018 | December 20, 2018 |
| Flaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INCPFO · Entity 8833 | VP, Treasurer and CFO · Affiliated Person of Inv. Adv | November 30, 2017 | January 19, 2018 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
FLAHERTY & CRUMRINE PREFERRED & INCOME FUND INC
Report date November 30, 2018 · Filed December 19, 2018 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | IndirectTrust | 2,220.3693 |
Reported balance
After 2017-12-05 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2017-12-05 · Other · Acquired 2,070.3723 · Balance 2,220.3693 |
Flaherty & Crumrine Dynamic Preferred & Income Fund Inc
Report date December 20, 2018 · Filed December 20, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | Direct | 26,676.7765 |
Reported balance
After 2018-12-20 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2018-12-20 · Purchase · Acquired 2,500 · Balance 26,676.7765 F1: Mr. Stone also indirectly holds an additional 4,198 shares through his ownership in 17.5% of Flaherty & Crumrine Incorporated. |
Filing footnotes · ownership attribution and instrument terms
F1: Mr. Stone also indirectly holds an additional 4,198 shares through his ownership in 17.5% of Flaherty & Crumrine Incorporated.
Flaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INC
Report date November 30, 2017 · Filed January 19, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common stockSEC Table I · non-derivative | IndirectTrust | 1,644.6189 |
Reported balance
After 2017-08-03 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-08-03 · Other · Acquired 1,607.5239 · Balance 1,644.6189 |
| Common stockSEC Table I · non-derivative | Direct | 5,104.8655 |
Reported balance
Holding disclosure · report date 2017-11-30 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 5,104.8655 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| December 20, 2018 Filed Dec 20, 2018 14:51 UTC | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc DFP · Entity 5606 | PurchaseCommon stock | 2,500 | $19.50 | $48,750.00 |
DisclosureSEC source: 0001255452-18-000008 · primary_doc.xml · nonDerivative · entry 1 STONE BRADFORD S · CIK 0001255452 · CFO, VP & TREASURER · AFFILIATED PERSON OF INV. ADV. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,676.7765 F1 · balance_after: Mr. Stone also indirectly holds an additional 4,198 shares through his ownership in 17.5% of Flaherty & Crumrine Incorporated. Read SEC document |
| December 14, 2018 Filed Dec 17, 2018 13:26 UTC | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc DFP · Entity 5606 | PurchaseCommon stock | 2,400 | $20.38 | $48,902.40 |
DisclosureSEC source: 0001255452-18-000003 · primary_doc.xml · nonDerivative · entry 2 STONE BRADFORD S · CIK 0001255452 · CFO, VP & TREASURER · AFFILIATED PERSON OF INV. ADV. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,176.7765 Read SEC document |
| December 14, 2018 Filed Dec 17, 2018 13:26 UTC | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc DFP · Entity 5606 | PurchaseCommon stock | 100 | $20.38 | $2,038.00 |
DisclosureSEC source: 0001255452-18-000003 · primary_doc.xml · nonDerivative · entry 1 STONE BRADFORD S · CIK 0001255452 · CFO, VP & TREASURER · AFFILIATED PERSON OF INV. ADV. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,776.7765 Read SEC document |
| December 05, 2018 Filed Dec 18, 2018 14:28 UTC | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc DFP · Entity 5606 | OtherCommon stock | 462.6894 | $26.73 | $12,367.69 |
DisclosureSEC source: 0001255452-18-000004 · primary_doc.xml · nonDerivative · entry 1 STONE BRADFORD S · CIK 0001255452 · CFO, VP & TREASURER · AFFILIATED PERSON OF INV. ADV. 10b5-1 filing: Not disclosed Ownership: Indirect · Trust Disclosed balance after: 498.9204 Read SEC document |
| October 10, 2018 Filed Oct 11, 2018 12:41 UTC | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc DFP · Entity 5606 | PurchaseCommon stock | 4 | $21.88 | $87.52 |
DisclosureSEC source: 0001255452-18-000002 · primary_doc.xml · nonDerivative · entry 3 STONE BRADFORD S · CIK 0001255452 · CFO, VP & TREASURER · AFFILIATED PERSON OF INV. ADV. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,384.7823 Read SEC document |
| October 10, 2018 Filed Oct 11, 2018 12:41 UTC | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc DFP · Entity 5606 | PurchaseCommon stock | 1,396 | $21.88 | $30,544.34 |
DisclosureSEC source: 0001255452-18-000002 · primary_doc.xml · nonDerivative · entry 2 STONE BRADFORD S · CIK 0001255452 · CFO, VP & TREASURER · AFFILIATED PERSON OF INV. ADV. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,380.7823 Read SEC document |
| October 10, 2018 Filed Oct 11, 2018 12:41 UTC | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc DFP · Entity 5606 | PurchaseCommon stock | 1,100 | $21.87 | $24,057.00 |
DisclosureSEC source: 0001255452-18-000002 · primary_doc.xml · nonDerivative · entry 1 STONE BRADFORD S · CIK 0001255452 · CFO, VP & TREASURER · AFFILIATED PERSON OF INV. ADV. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,984.7823 Read SEC document |
| December 05, 2017 Filed Dec 19, 2018 18:53 UTC Amendment | FLAHERTY & CRUMRINE PREFERRED & INCOME FUND INC PDF · Entity 6541 | OtherCommon stock | 2,070.3723 | $15.12 | $31,304.03 |
DisclosureSEC source: 0001255452-18-000006 · primary_doc.xml · nonDerivative · entry 1 STONE BRADFORD S · CIK 0001255452 · CFO, VP & TREASURER · AFFILIATED PERSON OF INV. ADV. 10b5-1 filing: Not disclosed Ownership: Indirect · Trust Disclosed balance after: 2,220.3693 Read SEC document |
| December 05, 2017 Filed Dec 19, 2018 17:59 UTC | FLAHERTY & CRUMRINE PREFERRED & INCOME FUND INC PFD · Entity 6541 | OtherCommon stock | 462.6894 | $26.73 | $12,367.69 |
DisclosureSEC source: 0001255452-18-000005 · primary_doc.xml · nonDerivative · entry 1 STONE BRADFORD S · CIK 0001255452 · CFO, VP & TREASURER · AFFILIATED PERSON OF INV. ADV. 10b5-1 filing: Not disclosed Ownership: Indirect · Trust Disclosed balance after: 498.9204 Read SEC document |
| December 05, 2017 Filed Dec 19, 2018 14:27 UTC Amendment | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc DFP · Entity 5606 | OtherCommon stock | 462.6894 | $26.73 | $12,367.69 |
DisclosureSEC source: 0001255452-18-000007 · primary_doc.xml · nonDerivative · entry 1 STONE BRADFORD S · CIK 0001255452 · CFO, VP & TREASURER · AFFILIATED PERSON OF INV. ADV. 10b5-1 filing: Not disclosed Ownership: Indirect · Trust Disclosed balance after: 498.9204 Read SEC document |
| August 03, 2017 Filed Jan 19, 2018 18:38 UTC | Flaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INC PFO · Entity 8833 | OtherCommon stock | 1,607.5239 | $12.22 | $19,643.94 |
DisclosureSEC source: 0001255452-18-000001 · primary_doc.xml · nonDerivative · entry 1 STONE BRADFORD S · CIK 0001255452 · VP, Treasurer and CFO · Affiliated Person of Inv. Adv 10b5-1 filing: Not disclosed Ownership: Indirect · Trust Disclosed balance after: 1,644.6189 Read SEC document |
| November 14, 2016 Filed Nov 14, 2016 16:29 UTC | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc DFP · Entity 5606 | PurchaseCommon Stock | 2,500 | $21.95 | $54,875.00 |
DisclosureSEC source: 0001252911-16-000008 · primary_doc.xml · nonDerivative · entry 1 STONE BRADFORD S · CIK 0001255452 · CFO and Treasurer · Affiliate of Inv. Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,373.9789 Read SEC document |
| November 02, 2016 Filed Nov 8, 2016 18:03 UTC | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc DFP · Entity 5606 | PurchaseCommon Stock | 1,600 | $23.92 | $38,271.36 |
DisclosureSEC source: 0001255452-16-000007 · primary_doc.xml · nonDerivative · entry 4 STONE BRADFORD S · CIK 0001255452 · CFO, VP and Treasurer · Affiliated Person of Inv Adv 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,873.9789 Read SEC document |
| November 02, 2016 Filed Nov 8, 2016 18:03 UTC | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc DFP · Entity 5606 | PurchaseCommon Stock | 500 | $23.91 | $11,955.00 |
DisclosureSEC source: 0001255452-16-000007 · primary_doc.xml · nonDerivative · entry 3 STONE BRADFORD S · CIK 0001255452 · CFO, VP and Treasurer · Affiliated Person of Inv Adv 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,273.9789 Read SEC document |
| November 02, 2016 Filed Nov 8, 2016 18:03 UTC | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc DFP · Entity 5606 | PurchaseCommon Stock | 100 | $23.90 | $2,390.00 |
DisclosureSEC source: 0001255452-16-000007 · primary_doc.xml · nonDerivative · entry 2 STONE BRADFORD S · CIK 0001255452 · CFO, VP and Treasurer · Affiliated Person of Inv Adv 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,773.9789 Read SEC document |
| November 02, 2016 Filed Nov 8, 2016 18:03 UTC | Flaherty & Crumrine Dynamic Preferred & Income Fund Inc DFP · Entity 5606 | PurchaseCommon Stock | 300 | $23.90 | $7,168.50 |
DisclosureSEC source: 0001255452-16-000007 · primary_doc.xml · nonDerivative · entry 1 STONE BRADFORD S · CIK 0001255452 · CFO, VP and Treasurer · Affiliated Person of Inv Adv 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,673.9789 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.