Flaherty & Crumrine director files Form 3

Flaherty & Crumrine Preferred & Income Fund Inc. director Maxwell Kevin Michael has filed an initial Form 3 reporting no holdings in the fund’s securities.

Accepted by SEC EDGAR 02/06/2026 - 04:07 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Flaherty & Crumrine Preferred & Income Fund Inc. director Maxwell Kevin Michael has filed an initial Form 3 reporting no holdings in the fund’s securities. The filing, made in connection with an event dated 01/21/2026, states that no securities are beneficially owned, including non-derivative and derivative positions.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the Maxwell Kevin Michael Form 3 for PFD report?

The Form 3 for Flaherty & Crumrine Preferred & Income Fund Inc. reports that director Maxwell Kevin Michael currently has no beneficial ownership of the fund’s securities, including both non-derivative and derivative positions, as of the event date reported as 01/21/2026.

Who is the reporting person on the PFD Form 3 filing?

The reporting person is Maxwell Kevin Michael, identified as a director of Flaherty & Crumrine Preferred & Income Fund Inc. The filing indicates it is a single-person filing and confirms his relationship to the issuer specifically in the capacity of director, not officer or ten percent owner.

What securities are listed as beneficially owned in this PFD Form 3?

The Form 3 states that no securities are beneficially owned. Both the non-derivative and derivative securities tables are effectively empty, and the remarks section explicitly notes, “No securities are beneficially owned,” confirming the absence of reportable holdings for the director.

What is the event date disclosed in the PFD Form 3 filing?

The event date disclosed is 01/21/2026. This date is presented as the event requiring the statement, tying the director’s beneficial ownership status—reported as having no securities—to that specific point in time for Flaherty & Crumrine Preferred & Income Fund Inc.

Is this PFD Form 3 filed jointly with other reporting persons?

No. The Form 3 indicates it is filed by one reporting person only. The checkbox for “Form filed by One Reporting Person” is selected, and only Maxwell Kevin Michael appears as a reporting person, with no joint or group filers listed for this statement.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Maxwell Kevin Michael

(Last) (First) (Middle)

301 E. COLORADO BLVD, SUITE 800

(Street)

PASADENA CA 91101

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/21/2026

3. Issuer Name and Ticker or Trading Symbol
FLAHERTY & CRUMRINE PREFERRED & INCOME FUND INC [ PFD ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

Remarks:

Exhibit 24 - Power of Attorney

No securities are beneficially owned.

	/s/ Chad Conwell as Attorney-in-Fact	02/06/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.