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FC

Flaherty & Crumrine Portfolio holdings

AUM $19.8M
1-Year Est. Return 3.53%
This Fund
S&P 500
This Quarter Est. Return
-1.25%
1 Year Est. Return
-3.53%
3 Year Est. Return
+0.12%
5 Year Est. Return
+3.19%
10 Year Est. Return
–
AUM
$162M
AUM Growth
-$1.51M
Cap. Flow
+$529K
Cap. Flow %
0.33%
Top 10 Hldgs %
99.19%
Holding
11
New
2
Increased
3
Reduced
3
Closed
–

Top Buys

Rank Stock Value
1
RBS.PRS.CL
The Royal Bank Of Scotland Group
RBS.PRS.CL
+$2.82M
2
RBS.PRM
ROYAL BK SCOTLAND PLC SPONS ADR SER M REPSTG (UK)
RBS.PRM
+$1.27M
3
BCS.PRA.CL
Barclays Bank Plc Series 3
BCS.PRA.CL
+$1.24M
4
BCS.PRC
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
+$1.03M
5
RBS.PRT
ROYAL BANK OF SCOTLAND GRP PLS (THE) SPONS ADR REPSTG PFD
RBS.PRT
+$828K

Top Sells

Rank Stock Value
1
WFC.PRL icon
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
+$3.16M
2
CWH.PRE
COMMONWEALTH REIT CUM RED PFD SER E (MD)
CWH.PRE
+$1.9M
3
KEY.PRG
KeyCorp Pfd
KEY.PRG
+$1.6M

Sector Composition

Rank Sector Weight
1 Financials 4.13%
2 Utilities 1.38%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BCS.PRD.CL
1
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$52.4M 32.45%
2,060,767
– –
WFC.PRL icon
2
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.72B
$36.2M 22.39%
31,793
-2,750
-8% -$3.16M
BCS.PRA.CL
3
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$24.9M 15.39%
994,502
+49,502
+5% +$1.24M
RBS.PRT
4
DELISTED
ROYAL BANK OF SCOTLAND GRP PLS (THE) SPONS ADR REPSTG PFD
RBS.PRT
$24.2M 14.96%
1,028,743
+35,764
+4% +$828K
CIT
5
DELISTED
CIT Group Inc.
CIT
$6.67M 4.13%
136,760
– –
BCS.PRC
6
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
$5.06M 3.13%
200,350
+40,778
+26% +$1.03M
KEY.PRG
7
DELISTED
KeyCorp Pfd
KEY.PRG
$3.37M 2.09%
26,990
-12,629
-32% -$1.6M
RBS.PRS.CL
8
DELISTED
The Royal Bank Of Scotland Group
RBS.PRS.CL
$2.88M 1.78%
+134,400
New +$2.82M
CWH.PRE
9
DELISTED
COMMONWEALTH REIT CUM RED PFD SER E (MD)
CWH.PRE
$2.42M 1.5%
106,157
-80,000
-43% -$1.9M
EXC icon
10
Exelon
EXC
$47.3B
$2.22M 1.38%
105,150
– –
RBS.PRM
11
DELISTED
ROYAL BK SCOTLAND PLC SPONS ADR SER M REPSTG (UK)
RBS.PRM
$1.3M 0.81%
+62,000
New +$1.27M

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FHAM
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EMC
EIG Management Company Washington D.c., District of Columbia $15.4M AUM 75.32% 1-Year Est. Return
PAM
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SAM
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IP
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PI
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CIG
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Flaherty & Crumrine's Q3 2013 Portfolio in Review

As of Q3 2013, Flaherty & Crumrine held 11 positions worth $162M, down 0.93% from $163M the previous quarter. Its ten largest holdings account for 99% of the portfolio.

Flaherty & Crumrine's Q3 2013 filing shows 2 new, 3 increased and 3 reduced positions. Its largest new stake was The Royal Bank Of Scotland Group: 134,400 shares worth $2.88M. The largest sale was Wells Fargo 7.5% Non Cumv Perp Conv, an estimated $3.16M.

By sector, the portfolio is most concentrated in Financials at 4.1% of assets, up from 3.9% a quarter earlier, followed by Utilities.

  • Flaherty & Crumrine's largest Q3 2013 buy was The Royal Bank Of Scotland Group: 134,400 shares worth $2.88M.
  • Flaherty & Crumrine added most to Barclays Bank Plc Series 3 in Q3 2013, an estimated $1.24M increase.
  • Flaherty & Crumrine's biggest Q3 2013 reduction was Wells Fargo 7.5% Non Cumv Perp Conv, cutting an estimated $3.16M.
  • Flaherty & Crumrine's ten largest holdings make up 99% of its $162M portfolio in Q3 2013.
  • Flaherty & Crumrine opened 2 new positions and closed 0 in Q3 2013.
  • Flaherty & Crumrine's portfolio value fell 0.93% quarter-over-quarter to $162M.

Based on Flaherty & Crumrine's 13F filing for Q3 2013, filed 14 Nov 2013.