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Disclosery

FLAHERTY & CRUMRINE INC

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13F filer, CIK 1261239, Pasadena, CA

FLAHERTY & CRUMRINE INC reported $115,059,000 across 10 holdings for the quarter ended 2016-12-31, in a 13F-HR filed 2017-02-14.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001172661-17-000591

Period
2016-12-31
Reported value
$115M
Holdings
10
Top 10 weight
100%
New
2
Sold out
0

Largest buys vs the previous quarter

None.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
BARCLAYS BANK PLCreduced-2,091-$53K

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q4 2016

Share positions as resolved from 13F-HR 0001172661-17-000591, largest first. % of portfolio is the value over $115,059,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
KMIKINDER MORGAN INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: 792,300 shares 792,300$16.4M14.26%0Timeline
BARCLAYS BANK PLCBARCLAYS BANK PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: 520,083 shares 520,083$13.2M11.46%-2,091
BARCLAYS BANK PLC 8.125% PBARCLAYS BANK PLC 8.125% PQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: 462,524 shares 462,524$11.8M10.27%0
KINDER MORGAN INC DELKINDER MORGAN INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: 135,000 shares 135,000$6.65M5.78%0
CIT GROUP INC COM NEWCIT GROUP INC COM NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: 87,960 shares 87,960$3.75M3.26%0
WMI HOLDINGS CORPWMI HOLDINGS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: 391,952 shares 391,952$627K0.54%0
ROYAL BK SCOTLND GRP PLCROYAL BK SCOTLND GRP PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q1: restricted; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: 8,400 shares 8,400$217K0.19%0

Principal amounts

Notes and convertibles filed as a face amount (PRN). A face amount is never added to a share count (H6).

SecurityTypeAmountValueChange
STANDARD CHARTERED PLCSTANDARD CHARTERED PLC DEBT 7.500%12/3principal27,735,000$27.7Mnew
HSBC HLDGS PLCHSBC HLDGS PLC NOTE 6.875%12/3principal18,740,000$19.8M0
ENBRIDGE INC 6 77ENBRIDGE INC 6 77 Debtprincipal15,000,000$15Mnew

How Q4 2016 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001172661-17-000591 base2017-02-14acceptance time not in the bulk data set