PFO · Insider Trading

Flaherty & Crumrine Preferred and Income Opportunity Fund Incorporated

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Every open-market purchase and sale reported by PFO 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

PFO — Recent Form 4 Transactions (latest 2013-08-06)

Filed	Insider	Role	Type	Shares	Value
2013-08-06	Karen Hanovice Hogan	Director	Buy	+900	+$9.50K
2013-06-03	Chad Conwell	CCO, VP and Secretary	Buy	+500	+$5.67K
2010-05-21	Robert F Wulf	Director	Sell	−0	−$6
2010-01-06	Karen Hanovice Hogan	Director	Buy	+600	+$5.01K
2007-12-17	Robert M Ettinger	President	Buy	+8,000	+$72.00K
2007-12-17	Robert E Chadwick	Chief Financial Officer	Buy	+5,000	+$45.20K
2007-08-20	Bradford S Stone	Vice President	Buy	+1,000	+$10.00K
2007-08-14	Donald F Crumrine	Chairman of the Board	Buy	+4,800	+$52.37K
2007-08-14	Donald F Crumrine	Chairman of the Board	Buy	+4,800	+$51.36K

PFO Insider Trading FAQ

Who are the insiders at PFO?

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

Are PFO insiders buying or selling?

Across the 9 most recent Form 4 filings for PFO, 8 were open-market purchases (code P) and 1 were sales (code S). Sales frequently reflect scheduled 10b5-1 plans or tax withholding rather than a view on the stock.

How current is PFO insider data?

Form 4 must be filed within two business days of the transaction, so this is close to real time. The most recent PFO filing is dated 2013-08-06.

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 PFO quote page; the site-wide leaderboard is on the insider transactions hub.