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Flaherty & Crumrine Portfolio holdings

AUM $19.8M
1-Year Est. Return 3.53%
This Fund
S&P 500
This Quarter Est. Return
+3.29%
1 Year Est. Return
-3.53%
3 Year Est. Return
+0.12%
5 Year Est. Return
+3.19%
10 Year Est. Return
–
AUM
$156M
AUM Growth
+$7M
Cap. Flow
+$3.29M
Cap. Flow %
2.1%
Top 10 Hldgs %
100%
Holding
11
New
1
Increased
1
Reduced
–
Closed
1

Top Buys

Rank Stock Value
1
RBS.PRT
ROYAL BANK OF SCOTLAND GRP PLS (THE) SPONS ADR REPSTG PFD
RBS.PRT
+$26.9M
2
RBS.PRH.CL
Royal Bank Of Scotland Group
RBS.PRH.CL
+$5.29M

Top Sells

Rank Stock Value
1
WFC.PRL icon
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
+$28.9M

Sector Composition

Rank Sector Weight
1 Financials 3.77%
2 Utilities 1.61%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RBS.PRT
1
DELISTED
ROYAL BANK OF SCOTLAND GRP PLS (THE) SPONS ADR REPSTG PFD
RBS.PRT
$53.5M 34.27%
2,147,467
+1,081,300
+101% +$26.9M
BCS.PRD.CL
2
DELISTED
Barclays Bank Plc
BCS.PRD.CL
$51.9M 33.22%
1,994,094
– –
BCS.PRA.CL
3
DELISTED
Barclays Bank Plc Series 3
BCS.PRA.CL
$25.5M 16.35%
994,502
– –
CIT
4
DELISTED
CIT Group Inc.
CIT
$5.88M 3.77%
119,960
– –
RBS.PRH.CL
5
DELISTED
Royal Bank Of Scotland Group
RBS.PRH.CL
$5.33M 3.41%
+213,067
New +$5.29M
BCS.PRC
6
DELISTED
BARCLAYS BK PLC SPONSORED ADS SER 4 PREF SHS (UK)
BCS.PRC
$4.31M 2.76%
166,310
– –
RBS.PRS.CL
7
DELISTED
The Royal Bank Of Scotland Group
RBS.PRS.CL
$3.1M 1.99%
134,400
– –
CWH.PRE
8
DELISTED
COMMONWEALTH REIT CUM RED PFD SER E (MD)
CWH.PRE
$2.67M 1.71%
106,157
– –
EXC icon
9
Exelon
EXC
$47.3B
$2.52M 1.61%
105,150
– –
RBS.PRM
10
DELISTED
ROYAL BK SCOTLAND PLC SPONS ADR SER M REPSTG (UK)
RBS.PRM
$1.41M 0.9%
62,000
– –
WFC.PRL icon
11
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.72B
– –
-26,038
Closed -$28.9M

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WFC
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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 Q1 2014 Portfolio in Review

As of Q1 2014, Flaherty & Crumrine held 11 positions worth $156M, up 4.7% from $149M the previous quarter. Its ten largest holdings account for 100% of the portfolio.

Flaherty & Crumrine's Q1 2014 filing shows 1 new, 1 increased and 1 closed positions. Its largest new stake was Royal Bank Of Scotland Group: 213,067 shares worth $5.33M. The largest sale was Wells Fargo 7.5% Non Cumv Perp Conv, an estimated $28.9M.

By sector, the portfolio is most concentrated in Financials at 3.8% of assets, down from 4.2% a quarter earlier, followed by Utilities.

  • Flaherty & Crumrine's largest Q1 2014 buy was Royal Bank Of Scotland Group: 213,067 shares worth $5.33M.
  • Flaherty & Crumrine added most to ROYAL BANK OF SCOTLAND GRP PLS (THE) SPONS ADR REPSTG PFD in Q1 2014, an estimated $26.9M increase.
  • Flaherty & Crumrine fully exited Wells Fargo 7.5% Non Cumv Perp Conv in Q1 2014, selling an estimated $28.9M.
  • Flaherty & Crumrine's ten largest holdings make up 100% of its $156M portfolio in Q1 2014.
  • Flaherty & Crumrine opened 1 new position and closed 1 in Q1 2014.
  • Flaherty & Crumrine's portfolio value rose 4.7% quarter-over-quarter to $156M.

Based on Flaherty & Crumrine's 13F filing for Q1 2014, filed 15 May 2014.