PFO

Flaherty & Crumrine Preferred and Income Opportunity Fund
PFO

Overview Fund Activity

26 hedge funds and large institutions have $10.4M invested in Flaherty & Crumrine Preferred and Income Opportunity Fund in 2013 Q4 according to their latest regulatory filings, with 3 funds opening new positions, 10 increasing their positions, 5 reducing their positions, and 2 closing their positions.

Holders
26
Holders Change
+1
Holders Change %
+4%
% of All Funds
0.76%
Holding in Top 10
–
Holding in Top 10 Change
–
Holding in Top 10 Change %
–
% of All Funds
–
New
3
Increased
10
Reduced
5
Closed
2
Calls
–
Puts
–
Net Calls
–
Net Calls Change
–

Top Buyers

1
SIA
1
Sit Investment Associates
Minnesota
$1.95M
2
Morgan Stanley
2
Morgan Stanley
New York
$798K
3
DADC
3
D.A. Davidson & Co
Montana
$134K
4
PRCM
4
Pine River Capital Management
Minnesota
$103K
5
LPL Financial
5
LPL Financial
California
$503K

Top Sellers

1
Fifth Third Bancorp
1
Fifth Third Bancorp
Ohio
$3.39M
2
FNBT
2
FineMark National Bank & Trust
Florida
$0
3
GC
3
Guggenheim Capital
Illinois
$447K
4
CHA
4
Cedar Hill Associates
Illinois
$705K
5
SI
5
SII Investments
Wisconsin
$197K
Name Market Value Shares Shares
Change 		Shares
Change %
Fifth Third Bancorp
1
Fifth Third Bancorp
Ohio
$3.39M 336,151 -44,895 -12%
SIA
2
Sit Investment Associates
Minnesota
$1.95M 192,947 +118,847 +160%
Morgan Stanley
3
Morgan Stanley
New York
$798K 79,218 +21,121 +36%
CHA
4
Cedar Hill Associates
Illinois
$705K 69,900 -3,400 -5%
CCM
5
Covington Capital Management
California
$627K 62,208 – –
LPL Financial
6
LPL Financial
California
$503K 49,880 +5,853 +13%
GC
7
Guggenheim Capital
Illinois
$447K 44,329 -4,414 -9%
VFS
8
VSR Financial Services
Kansas
$223K 22,088 +559 +3%
ICAS
9
Investors Capital Advisory Services
Massachusetts
$223K 22,151 +1,763 +9%
Wells Fargo
10
Wells Fargo
California
$220K 21,805 +4,951 +29%
SI
11
SII Investments
Wisconsin
$197K 19,715 -2,000 -9%
WAM
12
Wolverine Asset Management
Illinois
$194K 19,338 +3,714 +24%
U
13
UBS
Switzerland
$171K 17,000 – –
DADC
14
D.A. Davidson & Co
Montana
$134K 13,390 +13,390 New
PRCM
15
Pine River Capital Management
Minnesota
$103K 10,282 +10,282 New
Citigroup
16
Citigroup
New York
$101K 10,037 +227 +2%
Creative Planning
17
Creative Planning
Kansas
$100K 9,948 – –
WA
18
WFG Advisors
Texas
$79K 7,884 – –
Bank of America
19
Bank of America
North Carolina
$67K 6,652 – –
CAPTRUST Financial Advisors
20
CAPTRUST Financial Advisors
North Carolina
$50K 5,000 +5,000 New
AIG
21
American International Group
New York
$30.8K 3,054 +2,054 +205%
Royal Bank of Canada
22
Royal Bank of Canada
Ontario, Canada
$30K 2,950 +500 +20%
SF
23
Synovus Financial
Georgia
$22K 2,110 – –
EWM
24
Elite Wealth Management
Washington
$20K 2,000 – –
FAM
25
Formidable Asset Management
Ohio
$6K 535 – –
1
2