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ETTINGER ROBERT M

Affiliate of the Adviser at Flaherty & Crumrine PREFERRED & INCOME SECURITIES FUND · Aff. Person of Investment Adv. at Flaherty & Crumrine Dynamic Preferred & Income Fund · President at FLAHERTY & CRUMRINE TOTAL RETURN FUND · and 2 more. Filing since 1 Aug 2007. CIK 0001252910

FFC Flaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INC Affiliate of the Adviser · 3 trades DFP Flaherty & Crumrine Dynamic Preferred & Income Fund Inc Aff. Person of Investment Adv. · 5 trades FLC FLAHERTY & CRUMRINE TOTAL RETURN FUND INC President · 3 trades PFO Flaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INC President · 1 trade PFD FLAHERTY & CRUMRINE PREFERRED & INCOME FUND INC President · 2 trades
Company
Date
Role
Action
Shares
Amount
Of holding
FFC Flaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INC
29 Jun 2015
Affiliate of the Adviser
Bought
15,000
$275.25K
32.1%
DFP Flaherty & Crumrine Dynamic Preferred & Income Fund Inc
22 Jun 2015
Aff. Person of Investment Adv.
Bought
13,658
$298.84K
54.8%
DFP Flaherty & Crumrine Dynamic Preferred & Income Fund Inc
16 Sep 2014
President
Bought
4,500
$102.80K
22.0%
DFP Flaherty & Crumrine Dynamic Preferred & Income Fund Inc
10 Mar 2014
President
Bought
6,600
$144.03K
50.8%
DFP Flaherty & Crumrine Dynamic Preferred & Income Fund Inc
20 Nov 2013
President
Bought
8,000
$159.49K
160%
DFP Flaherty & Crumrine Dynamic Preferred & Income Fund Inc
16 Aug 2013
President
Bought
5,000
$104.50K
opened
FLC FLAHERTY & CRUMRINE TOTAL RETURN FUND INC
9 Aug 2011
President
Bought
10,000
$159.42K
35.3%
FLC FLAHERTY & CRUMRINE TOTAL RETURN FUND INC
8 Aug 2011
President
Bought
18,400
$305.81K
186%
FFC Flaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INC
25 May 2010
President
Bought
10,000
$142.00K
39.4%
PFO Flaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INC
17 Dec 2007
President
Bought
8,000
$72.00K
66.7%
PFD FLAHERTY & CRUMRINE PREFERRED & INCOME FUND INC
7 Nov 2007
President
Bought
5,000
$62.75K
94.2%
PFD FLAHERTY & CRUMRINE PREFERRED & INCOME FUND INC
6 Nov 2007
President
Bought
1,309
$16.57K
32.7%
FFC Flaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INC
1 Aug 2007
President
Bought
5,000
$94.85K
35.7%
FLC FLAHERTY & CRUMRINE TOTAL RETURN FUND INC
1 Aug 2007
President
Bought
3,400
$64.77K
52.3%
14 decisions on file.