Insider · CIK 0001252910

ETTINGER ROBERT M

Reports to the SEC for 5 companies · PASADENA, CA

sec.gov

Transactions

Companies

Filings

CIK

0001252910

Forms 4 and 5

Insider transactions

49 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2015-11-30	FFCFlaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INCJ Other	Affiliated Person of Adviser	JOther	0 sh	—	—	64,147.756
2015-11-30	PFDFLAHERTY & CRUMRINE PREFERRED & INCOME FUND INCJ Other	Affiliated Person of Adviser	JOther	0 sh	—	—	5,977.199
2015-11-30	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCJ Other	Affiliated Person of Adviser	JOther	0 sh	—	—	44,893.668
2015-11-30	DFPFlaherty & Crumrine Dynamic Preferred & Income Fund IncJ Other	Affiliated Person of Adviser	JOther	0 sh	—	—	42,011.102
2015-11-30	PFOFlaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INCJ Other	Affiliated Person of Adviser	JOther	0 sh	—	—	13,625.521
2015-06-29	FFCFlaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+15K sh	$18.35	+$275K	61,664.59
2015-06-22	DFPFlaherty & Crumrine Dynamic Preferred & Income Fund IncP Purchase	Affiliated Person of Adviser	PPurchase	+13.7K sh	$21.88	+$299K	38,594
2014-09-16	DFPFlaherty & Crumrine Dynamic Preferred & Income Fund IncP Purchase	Affiliated Person of Adviser	PPurchase	+3,000 sh	$22.85	+$68.5K	23,436
2014-09-16	DFPFlaherty & Crumrine Dynamic Preferred & Income Fund IncP Purchase	Affiliated Person of Adviser	PPurchase	+1,500 sh	$22.84	+$34.3K	24,936
2014-03-10	DFPFlaherty & Crumrine Dynamic Preferred & Income Fund IncP Purchase	Affiliated Person of Adviser	PPurchase	+2,210 sh	$21.83	+$48.2K	15,210
2014-03-10	DFPFlaherty & Crumrine Dynamic Preferred & Income Fund IncP Purchase	Affiliated Person of Adviser	PPurchase	+3,790 sh	$21.82	+$82.7K	19,000
2014-03-10	DFPFlaherty & Crumrine Dynamic Preferred & Income Fund IncP Purchase	Affiliated Person of Adviser	PPurchase	+600 sh	$21.81	+$13.1K	19,600
2013-11-20	DFPFlaherty & Crumrine Dynamic Preferred & Income Fund IncP Purchase	Affiliated Person of Adviser	PPurchase	+2,300 sh	$19.92	+$45.8K	7,300
2013-11-20	DFPFlaherty & Crumrine Dynamic Preferred & Income Fund IncP Purchase	Affiliated Person of Adviser	PPurchase	+300 sh	$19.91	+$5,973.9	7,600
2013-11-20	DFPFlaherty & Crumrine Dynamic Preferred & Income Fund IncP Purchase	Affiliated Person of Adviser	PPurchase	+2,400 sh	$19.95	+$47.9K	10,000
2013-11-20	DFPFlaherty & Crumrine Dynamic Preferred & Income Fund IncP Purchase	Affiliated Person of Adviser	PPurchase	+3,000 sh	$19.94	+$59.8K	13,000
2013-08-16	DFPFlaherty & Crumrine Dynamic Preferred & Income Fund IncP Purchase	Affiliated Person of Adviser	PPurchase	+5,000 sh	$20.90	+$105K	5,000
2012-12-28	FFCFlaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INCG Gift	Affiliated Person of Adviser	GGift	−7,000 sh	$19.03	−$133K	4,346
2012-12-28	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCG Gift	Affiliated Person of Adviser	GGift	−7,000 sh	$19.82	−$139K	4,198
2012-12-28	PFDFLAHERTY & CRUMRINE PREFERRED & INCOME FUND INCG Gift	Affiliated Person of Adviser	GGift	−8,000 sh	$13.39	−$107K	7,169
2012-12-28	PFDFLAHERTY & CRUMRINE PREFERRED & INCOME FUND INCG Gift	Affiliated Person of Adviser	GGift	+8,000 sh	$13.39	+$107K	7,169
2012-12-28	PFOFlaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INCG Gift	Affiliated Person of Adviser	GGift	−9,200 sh	$10.97	−$101K	8,603
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+100 sh	$15.75	+$1,575	28,400
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+100 sh	$15.78	+$1,578	28,500
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+900 sh	$15.80	+$14.2K	29,400
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+200 sh	$15.85	+$3,170	29,600
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+328 sh	$15.89	+$5,211.92	29,928
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+100 sh	$15.82	+$1,582	30,028
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+100 sh	$15.90	+$1,590	30,128
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+300 sh	$15.83	+$4,749	30,428
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+100 sh	$15.95	+$1,595	30,528
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+300 sh	$15.84	+$4,752	30,828
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+100 sh	$15.85	+$1,585	30,928
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+200 sh	$15.98	+$3,196	31,128
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+2,644 sh	$16.00	+$42.3K	33,772
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+400 sh	$15.85	+$6,340	34,172
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+200 sh	$15.92	+$3,184	34,372
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+1,400 sh	$15.98	+$22.4K	35,772
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+2,300 sh	$16.00	+$36.8K	38,072
2011-08-09	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+228 sh	$15.86	+$3,616.08	38,300
2011-08-08	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+18.4K sh	$16.62	+$306K	28,300
2010-05-25	FFCFlaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+10K sh	$14.20	+$142K	35,363
2007-11-07	PFDFLAHERTY & CRUMRINE PREFERRED & INCOME FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+5,000 sh	$12.55	+$62.8K	10,309
2007-11-06	PFDFLAHERTY & CRUMRINE PREFERRED & INCOME FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+1,309 sh	$12.66	+$16.6K	5,309
2004-04-26	PFOFlaherty & Crumrine PREFERRED & INCOME OPPORTUNITY FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+5,000 sh	$12.35	+$61.8K	12,000
2004-04-20	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+3,200 sh	$24.34	+$77.9K	5,000
2004-04-14	FLCFLAHERTY & CRUMRINE TOTAL RETURN FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+1,800 sh	$24.68	+$44.4K	1,800
2004-04-13	FFCFlaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INCP Purchase	Affiliated Person of Adviser	PPurchase	+4,000 sh	$25.49	+$102K	6,588
2003-12-31	FFCFlaherty & Crumrine PREFERRED & INCOME SECURITIES FUND INCJ Other	Affiliated Person of Adviser	JOther	+88.513 sh	$25.42	+$2,249.998	2,588.513

Recent filings

Accepted (ET)
Feb 195
Flaherty & Crumrine Dynamic Preferred & Income Fund Inc0001252910-16-000007
SEC(opens sec.gov)
Feb 195
FLAHERTY & CRUMRINE PREFERRED INCOME FUND INC0001252910-16-000003
SEC(opens sec.gov)
Feb 195
Flaherty & Crumrine PREFERRED SECURITIES INCOME FUND INC0001252910-16-000005
SEC(opens sec.gov)
Feb 195
FLAHERTY & CRUMRINE TOTAL RETURN FUND INC0001252910-16-000006
SEC(opens sec.gov)
Feb 195
Flaherty & Crumrine PREFERRED INCOME OPPORTUNITY FUND INC0001252910-16-000004
SEC(opens sec.gov)
Jun 304
Flaherty & Crumrine PREFERRED SECURITIES INCOME FUND INC0001252910-15-000002
SEC(opens sec.gov)
Jun 234
Flaherty & Crumrine Dynamic Preferred & Income Fund Inc0001252910-15-000001
SEC(opens sec.gov)
Sep 164
Flaherty & Crumrine Dynamic Preferred & Income Fund Inc0001252910-14-000002
SEC(opens sec.gov)
Mar 104
Flaherty & Crumrine Dynamic Preferred & Income Fund Inc0001252910-14-000001
SEC(opens sec.gov)
Nov 204
Flaherty & Crumrine Dynamic Preferred & Income Fund Inc0001252910-13-000002
SEC(opens sec.gov)
Aug 164
Flaherty & Crumrine Dynamic Preferred & Income Fund Inc0001252910-13-000001
SEC(opens sec.gov)
May 165
ETTINGER ROBERT M0000882071-13-000003
SEC(opens sec.gov)
May 165
ETTINGER ROBERT M0000882071-13-000002
SEC(opens sec.gov)
May 165
ETTINGER ROBERT M0000882071-13-000001
SEC(opens sec.gov)

Companies

Address

301 E COLORADO BLVD STE 720

PASADENA, CA, 91101