FFC · Insider Trading

Flaherty & Crumrine Preferred and Income Securities Fund Incorporated

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Every open-market purchase and sale reported by FFC officers, directors and 10%+ beneficial owners on SEC Form 4, which must be filed within two business days of the transaction. Sales often reflect scheduled 10b5-1 plans or tax withholding rather than a directional view, so read counts alongside the size and the filer.

Form 4 Filings

most recent

Open-Market Buys

code P

Sales

code S

Reporting Insiders

current holders

FFC — Recent Form 4 Transactions (latest 2016-03-18)

Filed	Insider	Role	Type	Shares	Value
2016-03-18	Robert F Wulf	Director	Buy	+2,379	+$48.29K
2015-06-30	Robert M Ettinger	—	Buy	+15,000	+$275.25K
2015-06-30	Chad Conwell	CCO, VP and Secretary	Buy	+1,000	+$18.37K
2013-08-06	Karen Hanovice Hogan	Director	Buy	+500	+$9.07K
2013-06-03	Chad Conwell	CCO, VP and Secretary	Buy	+500	+$9.22K
2012-03-06	Robert F Wulf	Director	Buy	+4,084	+$74.90K
2010-05-26	Robert M Ettinger	President	Buy	+10,000	+$142.00K
2010-01-06	Karen Hanovice Hogan	Director	Buy	+375	+$5.25K
2008-12-31	David Gale	Director	Buy	+2,000	+$14.50K
2008-12-30	Robert E Chadwick	Vice President, CFO	Buy	+7,000	+$50.40K
2007-08-02	Robert M Ettinger	President	Buy	+5,000	+$94.85K

FFC Insider Trading FAQ

Who are the insiders at FFC?

No current Form 4 beneficial owners are on file for FFC.

Are FFC insiders buying or selling?

Across the 11 most recent Form 4 filings for FFC, 11 were open-market purchases (code P) and 0 were sales (code S). Sales frequently reflect scheduled 10b5-1 plans or tax withholding rather than a view on the stock.

How current is FFC insider data?

Form 4 must be filed within two business days of the transaction, so this is close to real time. The most recent FFC filing is dated 2016-03-18.

How to read Form 4 activity

Form 4 reports a change in beneficial ownership by an officer, director or 10%+ holder, and must be filed within two business days of the transaction — so this is close to real time, unlike the 45-day-lagged 13F institutional data.

Transaction codes matter more than the raw buy/sell count. Code P is an open-market purchase — an insider choosing to buy with their own money, which is the signal most research treats as informative. Code S is a sale, but sales are frequently pre-scheduled under a 10b5-1 plan or cover tax withholding on vesting equity, so a run of sales often says nothing directional. Codes A and M are grants and option exercises rather than open-market decisions.

Full filing history and per-insider positions are on the FFC quote page; the site-wide leaderboard is on the insider transactions hub.