Flaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INC (FFC) shareholders
Close on Nov 12, 2026Market cap –P/E –Yield –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| First Trust Advisors L.P. Joint filing with First Trust Portfolios L.P. (5.65%), The Charger Corporation (5.65%) | 2,721,896 | 5.65% | 13G (passive) | Jun 30, 2025 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of FFC | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Bard Associates Inc | 1,227,796 | – | $19.99M | +11,775 | 4.44% |
| Sit Investment Associates Inc | 1,127,695 | – | $18.36M | +405,971 | 0.35% |
| Wells Fargo & Company/Mn | 946,105 | – | $15.40M | +19,722 | 0.00% |
| Morgan Stanley | 739,237 | – | $12.03M | +64,743 | 0.00% |
| Invesco Ltd. | 685,902 | – | $11.17M | +7,529 | 0.00% |
| Cohen & Steers, Inc. | 612,296 | – | $9.97M | +25,000 | 0.02% |
| Hennion & Walsh Asset Management, Inc. | 472,352 | – | $7.69M | +47,574 | 0.22% |
| Bank Of America Corp /De/ | 365,523 | – | $5.95M | −7,345 | 0.00% |
| Csenge Advisory Group | 322,022 | – | $5.24M | −11,216 | 0.21% |
| LPL Financial LLC | 313,683 | – | $5.11M | +4,482 | 0.00% |
| Envestnet Asset Management Inc | 290,360 | – | $4.73M | +194,657 | 0.00% |
| Raymond James Financial Inc | 236,627 | – | $3.85M | −56 | 0.00% |
| Stifel Financial Corp | 199,914 | – | $3.25M | −80,007 | 0.00% |
| Commonwealth Equity Services, LLC | 184,674 | – | $3.01M | −4,174 | 0.00% |
| Ameriprise Financial Inc | 179,825 | – | $2.93M | +7,899 | 0.00% |
| 1607 Capital Partners, LLC | 171,099 | – | $2.79M | −169,152 | 0.24% |
| Gridiron Partners, LLC | 170,995 | – | $2.78M | +35,253 | 1.46% |
| Fiera Capital Corp | 167,970 | – | $2.73M | +5,783 | 0.01% |
| Baird Financial Group, Inc. | 160,360 | – | $2.61M | −1,417 | 0.00% |
| Royal Bank of Canada | 154,725 | – | $2.52M | +4,315 | 0.00% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|
| Q2 2026 | 111 | 11M | 10 / 40 | 33 / 15 | 1M | 1M |
| Q1 2026 | 118 | 11M | 15 / 42 | 36 / 7 | 1M | 1M |
| Q4 2025 | 112 | 10M | 14 / 39 | 32 / 18 | 1M | 1M |
| Q3 2025 | 116 | 11M | 14 / 37 | 32 / 9 | 1M | 1M |
| Q2 2025 | 112 | 10M | 13 / 32 | 39 / 14 | 1M | 1M |
| Q1 2025 | 114 | 10M | 8 / 35 | 39 / 11 | 1M | 1M |
| Q4 2024 | 118 | 10M | 19 / 40 | 30 / 8 | 2M | 1M |
| Q3 2024 | 110 | 9M | 19 / 43 | 24 / 16 | 2M | 2M |
| Q2 2024 | 108 | 9M | 7 / 47 | 28 / 13 | 1M | 2M |
| Q1 2024 | 115 | 11M | 11 / 44 | 32 / 16 | 2M | 1M |
| Q4 2023 | 120 | 10M | 19 / 53 | 30 / 6 | 3M | 0M |
| Q3 2023 | 108 | 8M | 20 / 35 | 26 / 7 | 2M | 1M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
5 funds held FFC in Q2 2026, 100% of their shares through ETFs. Each fund counts once per quarter, from its quarter-end report.
| Fund | Shares | % of FFC | Value | % of fund | As of |
|---|---|---|---|---|---|
| Invesco CEF Income Composite ETF | 580,102 | – | $9.33M | 1.12% | May 31, 2026 |
| Invesco Zacks Multi-Asset Income ETF | 43,924 | – | $708.49K | 0.57% | Jul 31, 2026 |
| Calamos CEF Income & Arbitrage ETF | 41,904 | – | $675.91K | 2.00% | Jul 31, 2026 |
| Multi-Hedge Strategies Fund | 313 | – | $5.10K | 0.02% | Jun 30, 2026 |
| Guggenheim Multi-Hedge Strategies Fund | 111 | – | $1.81K | 0.02% | Jun 30, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | Latest filing |
|---|---|---|---|
| Kevin Michael Maxwell | Director | – | Feb 6, 2026 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| Robert F. Wulf Director | Mar 17, 2016 | Buy | +2,379 | $20.30 | $48.29K | 7,463 |
| Donald F. Crumrine – | Nov 30, 2015 | Other | +0 | – | – | 14,572 |
| Robert M. Ettinger – | Nov 30, 2015 | Other | +0 | – | – | 64,148 |
| Bradford S. Stone CFO, Vice President, Treasurer | Nov 30, 2015 | Other | +0 | – | – | 2,070 |
| Chad Conwell CCO, Vice President, Secretary | Nov 30, 2015 | Other | +0 | – | – | 1,500 |
| Robert E. Chadwick CEO and President, Director | Nov 30, 2015 | Other | +0 | – | – | 12,737 |
| Robert M. Ettinger – | Jun 29, 2015 | Buy | +15,000 | $18.35 | $275.25K | 61,665 |
| Chad Conwell CCO, VP and Secretary | Jun 29, 2015 | Buy | +1,000 | $18.37 | $18.37K | 1,500 |
| Karen Hanovice Hogan Director | Aug 6, 2013 | Buy | +500 | $18.13 | $9.07K | 500 |
| Chad Conwell CCO, VP and Secretary | Jun 3, 2013 | Buy | +500 | $18.44 | $9.22K | 500 |
| Robert M. Ettinger President | Dec 28, 2012 | Gift | −7,000 | $19.03 | $133.21K | 4,346 |
| Robert F. Wulf Director | Mar 5, 2012 | Buy | +4,084 | $18.34 | $74.90K | 5,084 |
| Robert M. Ettinger President | May 25, 2010 | Buy | +10,000 | $14.20 | $142.00K | 35,363 |
| Karen Hanovice Hogan Director | Jan 4, 2010 | Buy | +375 | $14.00 | $5.25K | 375 |
| David Gale Director | Dec 30, 2008 | Buy | +2,000 | $7.25 | $14.50K | 4,000 |
| Robert E. Chadwick Vice President, CFO | Dec 29, 2008 | Buy | +7,000 | $7.20 | $50.40K | 8,971 |
| Robert M. Ettinger President | Aug 1, 2007 | Buy | +4,900 | $18.97 | $92.95K | 19,000 |
| Robert M. Ettinger President | Aug 1, 2007 | Buy | +100 | $18.96 | $1.90K | 14,100 |
| Robert E. Chadwick Vice President, CFO | Dec 26, 2006 | Other | +4,346 | $21.57 | $93.74K | 4,346 |
| Bradford S. Stone Vice President | Dec 26, 2006 | Other | +4,346 | $21.57 | $93.74K | 4,346 |
| Donald F. Crumrine Chief Executive Officer, Director | May 2, 2006 | Buy | +1,500 | $19.60 | $29.40K | 7,000 |
| Donald F. Crumrine Chief Executive Officer, Director | May 2, 2006 | Buy | +1,500 | $19.60 | $29.40K | 5,500 |
| David Gale Director | Jan 24, 2006 | Buy | +500 | $21.05 | $10.53K | 2,000 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.
Short interest
Shares sold short and not yet bought back, as of Oct 30, 2026 (FINRA, reported twice a month)
Shares sold short, last 12 months
Short sale volume counts trades marked short on any given day, including market-maker hedging, so it runs far higher than the share of Flaherty & Crumrine PREFERRED & INCOME SECURITIES FUND's stock actually held short. Settlement fails (shares not delivered on time) peaked at 3,392 shares on Sep 29, 2026 over the last 90 days.
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