PFO director files Form 3 with no holdings

Q: What is the significance of a Form 3 showing no securities for PFO?

A Form 3 with no securities indicates the insider has no reportable beneficial ownership when becoming subject to reporting. For PFO, it simply records that this director had no fund shares or derivatives that must be disclosed as of the stated event date.

Q: Who is the reporting person in the PFO Form 3 filing?

The reporting person is Kevin Michael Maxwell, identified as a director of Flaherty & Crumrine Preferred & Income Opportunity Fund Inc. The filing confirms his relationship to the issuer but reports no beneficial ownership of the fund’s securities at the time of the event.

Q: Does the PFO Form 3 list any derivative securities held by the director?

No. The Form 3’s derivative securities table for PFO shows no derivative positions such as options, warrants, or convertible securities. The explanation of responses explicitly states that no securities are beneficially owned by the reporting director as of the filing’s event date.

Q: What is the event date disclosed in the PFO Form 3?

The Form 3 lists 01/21/2026 as the date of the event requiring the statement. This date marks when the director became subject to ownership reporting requirements, at which time he reported no beneficial ownership of PFO securities.

Flaherty & Crumrine Preferred & Income Opportunity Fund Inc. director reports no holdings.

Accepted by SEC EDGAR 02/06/2026 - 04:12 PM EST

Filing Impact

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Filing Sentiment

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Sentiment and the balance of points

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Form Type

Rhea-AI Filing Summary

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.

FAQ

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

What does the PFO Form 3 filing by Kevin Michael Maxwell report?

The Form 3 shows that director Kevin Michael Maxwell currently reports no beneficial ownership of Flaherty & Crumrine Preferred & Income Opportunity Fund Inc. securities. Both non-derivative and derivative holdings tables are effectively empty, meaning there are no reportable insider positions at this time.

What is the significance of a Form 3 showing no securities for PFO?

A Form 3 with no securities indicates the insider has no reportable beneficial ownership when becoming subject to reporting. For PFO, it simply records that this director had no fund shares or derivatives that must be disclosed as of the stated event date.

Who is the reporting person in the PFO Form 3 filing?

The reporting person is Kevin Michael Maxwell, identified as a director of Flaherty & Crumrine Preferred & Income Opportunity Fund Inc. The filing confirms his relationship to the issuer but reports no beneficial ownership of the fund’s securities at the time of the event.

Does the PFO Form 3 list any derivative securities held by the director?

No. The Form 3’s derivative securities table for PFO shows no derivative positions such as options, warrants, or convertible securities. The explanation of responses explicitly states that no securities are beneficially owned by the reporting director as of the filing’s event date.

What is the event date disclosed in the PFO Form 3?

The Form 3 lists 01/21/2026 as the date of the event requiring the statement. This date marks when the director became subject to ownership reporting requirements, at which time he reported no beneficial ownership of PFO securities.

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

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Maxwell Kevin Michael

(Last)

(First)

(Middle)

301 E. COLORADO BLVD, SUITE 800

(Street)

PASADENA

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 OPPORTUNITY FUND INC [ PFO ]

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)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	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)

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.

Source: View Original Filing on SEC EDGAR