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Flaherty & Crumrine’s five NYSE-listed preferred and income funds will hold joint annual shareholder meetings on April 15, 2026 in Pasadena, California. Holders of common stock as of January 15, 2026 may vote, with each share entitled to one vote.
Shareholders are asked to elect directors for staggered three-year terms. Nominees include Nicholas Dalmaso and Kevin M. Maxwell for PFO, Kevin M. Maxwell for PFD, FFC and FLC, and Karen H. Hogan and Kevin M. Maxwell for DFP. All nominees are currently serving on the boards.
The boards are majority independent, with a Lead Independent Director and separate Audit and Nominating Committees composed entirely of independent directors. KPMG LLP remains the independent registered public accounting firm for all funds, with audit fees of $57,200 and tax fees of $10,700 per fund for fiscal 2025.
Registered investment company filed a Form N-CEN annual report providing standard fund-level disclosures about organization, governance, service providers, and certain activity during the reporting period. The filing lists multiple principal transaction entries showing transactions with dealers, including values such as
Flaherty & Crumrine Preferred & Income Opportunity Fund Inc. director reports no holdings. On Form 3, director Kevin Michael Maxwell states that he beneficially owns no non-derivative or derivative securities of the fund, confirming there are currently no reportable insider positions associated with his role.
Flaherty & Crumrine Preferred and Income Opportunity Fund (PFO) delivered an 8.9% total return on net asset value (NAV) and 11.3% on market price for the fiscal year ended November 30, 2025, outperforming its primary preferred securities benchmark at 4.2%.
Results were driven by a 8.1% unleveraged portfolio return, with leverage and the at-the-market program adding 2.2 percentage points after costs. Net investment income was $8.2 million, comfortably covering $8.4 million of common distributions. NAV rose to $10.33 while the share price ended at $9.54, a 7.6% discount.
The fund invests mainly in investment‑grade preferreds and contingent capital from banks and insurers, with 62% of managed assets in securities generating qualified dividend income and 41% eligible for the corporate dividends received deduction. It uses $80.6 million of bank financing, giving total managed assets of $215.6 million.
Sit Investment Associates, Inc. and Sit Fixed Income Advisors II, LLC report a significant passive stake in Flaherty & Crumrine Preferred & Income Opportunity Fund Inc common stock. Together, they beneficially own 1,328,546 shares, representing 10.2% of the outstanding common stock, with all of these shares held through client accounts they manage.
The filing shows shared voting and dispositive power over the 1,328,546 shares and no sole voting or dispositive power. The percentage ownership is calculated using 13,077,326 shares outstanding as of May 31, 2025, as reported by the issuer. The firms state that the securities were acquired and are held in the ordinary course of business and are not intended to change or influence control of the issuer, consistent with a passive investment under Schedule 13G.