Flaherty & Crumrine Preferred & Income Fund Inc (PFD) shareholders
Close on Nov 13, 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 |
|---|---|---|---|---|
| Sit Investment Associates, Inc. Joint filing with Sit Fixed Income Advisors II, LLC (10.30%) | 1,320,217 | 10.30% | 13G (passive) amendment | Mar 31, 2026 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of PFD | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Sit Investment Associates Inc | 1,462,183 | – | $17.01M | +141,966 | 0.32% |
| CIBC Bancorp USA Inc. | 441,364 | – | $5.13M | – | 0.01% |
| Morgan Stanley | 297,511 | – | $3.46M | −5,379 | 0.00% |
| Fiera Capital Corp | 177,117 | – | $2.06M | +5,697 | 0.01% |
| Bank Of America Corp /De/ | 157,980 | – | $1.84M | +329 | 0.00% |
| Mgo One Seven LLC | 141,315 | – | $1.64M | −2,367 | 0.03% |
| UBS Group AG | 115,966 | – | $1.35M | +3,349 | 0.00% |
| LPL Financial LLC | 109,007 | – | $1.27M | −885 | 0.00% |
| Wells Fargo & Company/Mn | 93,148 | – | $1.08M | −3,015 | 0.00% |
| UMB Bank, n.a. | 86,373 | – | $1.00M | – | 0.01% |
| Osaic Holdings, Inc. | 85,433 | – | $993.59K | −859 | 0.00% |
| Smith Asset Management Co., LLC | 72,668 | – | $845.13K | −1,397 | 0.66% |
| Action Point Financial Planning, LLC | 60,582 | – | $704.57K | New | 0.07% |
| Raymond James Financial Inc | 58,868 | – | $684.63K | +2,704 | 0.00% |
| Robinson Capital Management, LLC | 55,073 | – | $640.50K | – | 0.28% |
| 1607 Capital Partners, LLC | 49,004 | – | $569.92K | −30,393 | 0.05% |
| Pathway Financial Advisors LLC | 46,996 | – | $544.21K | −1,200 | 0.06% |
| Royal Bank of Canada | 42,868 | – | $499.00K | −6,349 | 0.00% |
| Calamos Advisors LLC | 41,125 | – | $478.28K | +2,742 | 0.00% |
| Commonwealth Equity Services, LLC | 36,829 | – | $428.32K | −490 | 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 | 51 | 4M | 4 / 15 | 16 / 3 | 0M | 0M |
| Q1 2026 | 50 | 4M | 8 / 14 | 13 / 5 | 1M | 0M |
| Q4 2025 | 49 | 4M | 3 / 17 | 10 / 6 | 0M | 0M |
| Q3 2025 | 52 | 4M | 12 / 12 | 12 / 7 | 1M | 1M |
| Q2 2025 | 47 | 3M | 6 / 16 | 8 / 5 | 0M | 0M |
| Q1 2025 | 48 | 3M | 7 / 14 | 10 / 6 | 0M | 0M |
| Q4 2024 | 48 | 3M | 12 / 7 | 14 / 6 | 1M | 0M |
| Q3 2024 | 45 | 3M | 5 / 15 | 13 / 5 | 1M | 0M |
| Q2 2024 | 46 | 2M | 6 / 11 | 18 / 3 | 0M | 1M |
| Q1 2024 | 43 | 3M | 5 / 15 | 13 / 5 | 1M | 0M |
| Q4 2023 | 43 | 2M | 9 / 13 | 12 / 7 | 1M | 0M |
| Q3 2023 | 41 | 2M | 11 / 15 | 5 / 3 | 0M | 0M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
3 funds held PFD in Q2 2026, 99% of their shares through ETFs. Each fund counts once per quarter, from its quarter-end report.
| Fund | Shares | % of PFD | Value | % of fund | As of |
|---|---|---|---|---|---|
| Robinson Opportunistic Income Fund | 54,708 | – | $636.25K | 5.97% | Jun 30, 2026 |
| Calamos CEF Income & Arbitrage ETF | 42,039 | – | $475.88K | 1.40% | Jul 31, 2026 |
| Multi-Hedge Strategies Fund | 328 | – | $3.81K | 0.01% | Jun 30, 2026 |
| Guggenheim Multi-Hedge Strategies Fund | 116 | – | $1.35K | 0.01% | 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 |
|---|---|---|---|---|---|---|
| Bradford S. Stone CFO, VP & TREASURER | Dec 5, 2017 | Inheritance | +2,070.37 | $15.12 | $31.30K | 2,220 |
| Bradford S. Stone CFO, VP & TREASURER | Dec 5, 2017 | Inheritance | +462.69 | $26.73 | $12.37K | 499 |
| Donald F. Crumrine – | Nov 30, 2015 | Other | +0 | – | – | 4,800 |
| Robert M. Ettinger – | Nov 30, 2015 | Other | +0 | – | – | 5,977 |
| Chad Conwell CCO, Vice President, Secretary | Nov 30, 2015 | Other | +0 | – | – | 500 |
| Bradford S. Stone CFO, Vice President, Treasurer | Nov 30, 2015 | Other | +0 | – | – | 1,735 |
| Robert E. Chadwick CEO and President, Director | Nov 30, 2015 | Other | +0 | – | – | 3,346 |
| Robert F. Wulf Director | Aug 19, 2013 | Buy | +1,000 | $20.74 | $20.74K | 1,000 |
| Karen Hanovice Hogan Director | Aug 6, 2013 | Buy | +700 | $12.97 | $9.08K | 700 |
| Chad Conwell CCO, VP and Secretary | Jun 3, 2013 | Buy | +499 | $14.08 | $7.03K | 499 |
| Chad Conwell CCO, VP and Secretary | Jun 3, 2013 | Buy | +1 | $14.09 | $14 | 500 |
| Robert M. Ettinger President | Dec 28, 2012 | Gift | +8,000 | $13.39 | $107.12K | 7,169 |
| Robert M. Ettinger President | Dec 28, 2012 | Gift | −8,000 | $13.39 | $107.12K | 7,169 |
| Robert F. Wulf Director | Apr 14, 2010 | Sale | −0.45 | $11.65 | $5 | 636 |
| Karen Hanovice Hogan Director | Jan 4, 2010 | Buy | +500 | $10.29 | $5.15K | 500 |
| Robert M. Ettinger President | Nov 7, 2007 | Buy | +5,000 | $12.55 | $62.75K | 10,309 |
| Robert M. Ettinger President | Nov 6, 2007 | Buy | +1,309 | $12.66 | $16.57K | 5,309 |
| Donald F. Crumrine Chairman of the Board, Director | Aug 14, 2007 | Buy | +3,800 | $13.49 | $51.26K | 5,944 |
| Robert E. Chadwick Vice President, CFO | Dec 26, 2006 | Other | +7,169 | $16.95 | $121.51K | 7,169 |
| Bradford S. Stone Vice President | Dec 26, 2006 | Other | +7,169 | $16.95 | $121.51K | 7,169 |
| David Gale Director | Jan 24, 2006 | Buy | +200 | $16.73 | $3.35K | 2,200 |
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 Fund's stock actually held short. Settlement fails (shares not delivered on time) peaked at 8,133 shares on Sep 23, 2026 over the last 90 days.
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