FLAHERTY & CRUMRINE INC Activity Q4 2005-Q3 2018

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Q3 2018

			Value		Shares		↓ Weighting
BCSPRDCL	Sell	BARCLAYS BANK PLCadr pfd sr 5	$7,854,000	-32.6%	301,716	-31.6%	39.72%	+27.9%
KMI	Exit	KINDER MORGAN INC DEL	$0	–	-792,300	–	-37.29%	–

Q2 2018

			Value		Shares		↓ Weighting
KMI	New	KINDER MORGAN INC DEL	$14,000,000	–	792,300	–	37.29%	–
BCSPRDCL	New	BARCLAYS BANK PLCadr pfd sr 5	$11,657,000	–	441,039	–	31.05%	–
WFCPRL	New	WELLS FARGO CO NEWperp pfd cnv a	$6,232,000	–	4,950	–	16.60%	–
KMIPRA	New	KINDER MORGAN INC DELpfd ser a	$5,128,000	–	149,900	–	13.66%	–
WMIH	New	WMIH CORP	$525,000	–	391,952	–	1.40%	–

Q4 2017

			Value		Shares		↓ Weighting
WMIH	Exit	WMIH CORP	$0	–	-391,952	–	-0.99%	–
CIT	Exit	CIT GROUP INC	$0	–	-87,960	–	-11.51%	–
KMIPRA	Exit	KINDER MORGAN INCpfd ser a	$0	–	-135,000	–	-15.20%	–
BCSPRDCL	Exit	BARCLAYS BANK PLCadr pfd sr 5	$0	–	-448,039	–	-31.74%	–
KMI	Exit	KINDER MORGAN INC	$0	–	-792,300	–	-40.55%	–

Q3 2017

			Value		Shares		↓ Weighting
RBSPRFCL	Exit	ROYAL BK SCOTLAND GROUP PLCspon adr f	$0	–	-8,400	–	-0.17%	–
	Exit	HSBC HLDGS PLCnote 6.000%12/3	$0	–	-5,000,000	–	-3.89%	–
	Exit	BANCO BILBAO VIZCAYA FDIC TLdebt 9.000%12/3	$0	–	-5,200,000	–	-4.09%	–
	Exit	ENBRIDGE INCnote 6.000% 1/1	$0	–	-15,000,000	–	-11.84%	–
	Exit	STANDARD CHARTERED PLCdebt 7.750%12/3	$0	–	-17,500,000	–	-14.13%	–
	Exit	HSBC HLDGS PLCnote 6.875%12/3	$0	–	-18,740,000	–	-15.22%	–
	Exit	STANDARD CHARTERED PLCdebt 7.500%12/3	$0	–	-27,735,000	–	-22.31%	–

Q2 2017

			Value		Shares		↓ Weighting
	New	STANDARD CHARTERED PLCdebt 7.500%12/3	$29,676,000	–	27,735,000	–	22.31%	–
	New	HSBC HLDGS PLCnote 6.875%12/3	$20,239,000	–	18,740,000	–	15.22%	–
	New	STANDARD CHARTERED PLCdebt 7.750%12/3	$18,791,000	–	17,500,000	–	14.13%	–
	New	ENBRIDGE INCnote 6.000% 1/1	$15,750,000	–	15,000,000	–	11.84%	–
KMI	New	KINDER MORGAN INC DEL	$15,180,000	–	792,300	–	11.41%	–
BCSPRDCL	New	BARCLAYS BANK PLCadr pfd sr 5	$11,913,000	–	448,039	–	8.96%	–
KMIPRA	New	KINDER MORGAN INC DELpfd ser a	$5,848,000	–	135,000	–	4.40%	–
	New	BANCO BILBAO VIZCAYA FDIC TLdebt 9.000%12/3	$5,434,000	–	5,200,000	–	4.09%	–
	New	HSBC HLDGS PLCnote 6.000%12/3	$5,170,000	–	5,000,000	–	3.89%	–
CIT	New	CIT GROUP INC	$4,284,000	–	87,960	–	3.22%	–
WMIH	New	WMIH CORP	$490,000	–	391,952	–	0.37%	–
RBSPRFCL	New	ROYAL BK SCOTLAND GROUP PLCspon adr f	$226,000	–	8,400	–	0.17%	–

Q4 2016

			Value		Shares		↓ Weighting
RBSPRFCL	Exit	ROYAL BK SCOTLAND GROUP PLCspon adr f	$0	–	-8,400	–	-0.29%	–
WMIH	Exit	WMIH CORP	$0	–	-391,952	–	-1.23%	–
CIT	Exit	CIT GROUP INC	$0	–	-87,960	–	-4.29%	–
KMIPRA	Exit	KINDER MORGAN INC DELpfd ser a	$0	–	-135,000	–	-9.12%	–
BCSPRDCL	Exit	BARCLAYS BANK PLCadr pfd sr 5	$0	–	-462,524	–	-16.18%	–
BCSPRACL	Exit	BARCLAYS BANK PLCsp adr 7.1%pf3	$0	–	-522,174	–	-18.07%	–
KMI	Exit	KINDER MORGAN INC DEL	$0	–	-792,300	–	-24.62%	–
	Exit	HSBC HLDGS PLCnote 6.875%12/3	$0	–	-18,740,000	–	-26.20%	–

Q3 2016

			Value		Shares		↓ Weighting
BCSPRACL	Sell	BARCLAYS BANK PLCsp adr 7.1%pf3	$13,446,000	-21.1%	522,174	-21.2%	18.07%	+17.0%
BCSPRDCL	Sell	BARCLAYS BANK PLCadr pfd sr 5	$12,040,000	-31.2%	462,524	-31.6%	16.18%	+2.2%
RBSPRSCL	Exit	ROYAL BK SCOTLAND GROUP PLCsp adr pref s	$0	–	-78,000	–	-1.77%	–
RBSPRTCL	Exit	ROYAL BK SCOTLAND GROUP PLCsp adr pref t	$0	–	-1,189,419	–	-27.16%	–

Q2 2016

			Value		Shares		↓ Weighting
RBSPRTCL	New	ROYAL BK SCOTLAND GROUP PLCsp adr pref t	$29,985,000	–	1,189,419	–	27.16%	–
	New	HSBC HLDGS PLCnote 6.875%12/2	$18,646,000	–	18,740,000	–	16.89%	–
BCSPRDCL	New	BARCLAYS BANK PLCadr pfd sr 5	$17,488,000	–	676,524	–	15.84%	–
BCSPRACL	New	BARCLAYS BANK PLCsp adr 7.1%pf3	$17,049,000	–	662,350	–	15.44%	–
KMI	New	KINDER MORGAN INC DEL	$14,824,000	–	792,300	–	13.43%	–
KMIPRA	New	KINDER MORGAN INC DELpfd ser a	$6,565,000	–	135,000	–	5.95%	–
CIT	New	CIT GROUP INC	$2,806,000	–	87,960	–	2.54%	–
RBSPRSCL	New	ROYAL BK SCOTLAND GROUP PLCsp adr pref s	$1,953,000	–	78,000	–	1.77%	–
WMIH	New	WMIH CORP	$866,000	–	391,952	–	0.78%	–
RBSPRFCL	New	ROYAL BK SCOTLAND GROUP PLCspon adr f	$216,000	–	8,400	–	0.20%	–

Q4 2015

			Value		Shares		↓ Weighting
WMIH	Exit	WMIH CORP	$0	–	-391,499	–	-1.18%	–
BCSPRCCL	Exit	BARCLAYS BANK PLCads7.75%pfd s4	$0	–	-72,456	–	-2.19%	–
RBSPRSCL	Exit	ROYAL BK SCOTLAND GROUP PLCsp adr pref s	$0	–	-78,000	–	-2.28%	–
CIT	Exit	CIT GROUP INC	$0	–	-87,960	–	-4.11%	–
EQCPRECL	Exit	EQUITY COMWLTHcum pfd e 7.25%	$0	–	-223,437	–	-6.66%	–
BCSPRACL	Exit	BARCLAYS BANK PLCsp adr 7.1%pf3	$0	–	-666,181	–	-19.94%	–
BCSPRDCL	Exit	BARCLAYS BANK PLCadr pfd sr 5	$0	–	-898,228	–	-27.16%	–
RBSPRTCL	Exit	ROYAL BK SCOTLAND GROUP PLCsp adr pref t	$0	–	-1,236,800	–	-36.48%	–

Q3 2015

			Value		Shares		↓ Weighting
WMIH	New	WMIH CORP	$1,014,000	–	391,499	–	1.18%	–
RBSPRQCL	Exit	ROYAL BK SCOTLAND GROUP PLC	$0	–	-30,000	–	-0.86%	–
RBSPRMCL	Exit	ROYAL BK SCOTLAND GROUP PLCsp adr pref m	$0	–	-77,500	–	-2.18%	–

Q2 2015

			Value		Shares		↓ Weighting
RBSPRTCL	New	ROYAL BK SCOTLAND GROUP PLCsp adr pref t	$31,378,000	–	1,236,800	–	35.50%	–
BCSPRDCL	New	BARCLAYS BANK PLCadr pfd sr 5	$23,354,000	–	898,228	–	26.42%	–
BCSPRACL	New	BARCLAYS BANK PLCsp adr 7.1%pf3	$17,307,000	–	666,181	–	19.58%	–
EQCPRECL	New	EQUITY COMWLTHcum pfd e 7.25%	$5,760,000	–	223,437	–	6.52%	–
CIT	New	CIT GROUP INC	$4,088,000	–	87,960	–	4.62%	–
RBSPRSCL	New	ROYAL BK SCOTLAND GROUP PLCsp adr pref s	$1,945,000	–	78,000	–	2.20%	–
RBSPRMCL	New	ROYAL BK SCOTLAND GROUP PLCsp adr pref m	$1,931,000	–	77,500	–	2.18%	–
BCSPRCCL	New	BARCLAYS BANK PLCads7.75%pfd s4	$1,877,000	–	72,456	–	2.12%	–
RBSPRQCL	New	ROYAL BK SCOTLAND GROUP PLC	$759,000	–	30,000	–	0.86%	–

Q4 2014

			Value		Shares		↓ Weighting
RBSPRMCL	Exit	ROYAL BK SCOTLAND GROUP PLCsp adr pref m	$0	–	-32,500	–	-0.87%	–
RBSPRSCL	Exit	ROYAL BK SCOTLAND GROUP PLCsp adr pref s	$0	–	-78,000	–	-2.12%	–
BCSPRCCL	Exit	BARCLAYS BANK PLCads7.75%pfd s4	$0	–	-117,773	–	-3.35%	–
CIT	Exit	CIT GROUP INC	$0	–	-87,960	–	-4.44%	–
EQCPRECL	Exit	EQUITY COMWLTHcum pfd e 7.25%	$0	–	-229,437	–	-6.43%	–
BCSPRACL	Exit	BARCLAYS BANK PLCsp adr 7.1%pf3	$0	–	-698,831	–	-19.76%	–
BCSPRDCL	Exit	BARCLAYS BANK PLCadr pfd sr 5	$0	–	-969,133	–	-27.64%	–
RBSPRTCL	Exit	ROYAL BK SCOTLAND GROUP PLCsp adr pref t	$0	–	-1,275,800	–	-35.38%	–

Q3 2014

			Value		Shares		↓ Weighting
RBSPRTCL	Sell	ROYAL BK SCOTLAND GROUP PLCsp adr pref t	$32,214,000	-40.6%	1,275,800	-40.6%	35.38%	-10.6%
BCSPRDCL	Sell	BARCLAYS BANK PLCadr pfd sr 5	$25,168,000	-21.1%	969,133	-21.5%	27.64%	+18.6%
BCSPRACL	Sell	BARCLAYS BANK PLCsp adr 7.1%pf3	$17,988,000	-29.4%	698,831	-29.7%	19.76%	+6.2%
EQCPRECL	New	EQUITY COMWLTHcum pfd e 7.25%	$5,853,000	–	229,437	–	6.43%	–
CIT	Sell	CIT GROUP INC	$4,043,000	-26.4%	87,960	-26.7%	4.44%	+10.7%
BCSPRCCL	Sell	BARCLAYS BANK PLCads7.75%pfd s4	$3,046,000	-28.9%	117,773	-29.2%	3.35%	+6.9%
RBSPRSCL	Sell	ROYAL BK SCOTLAND GROUP PLCsp adr pref s	$1,935,000	-41.4%	78,000	-42.0%	2.12%	-11.8%
RBSPRMCL	Sell	ROYAL BK SCOTLAND GROUP PLCsp adr pref m	$796,000	-46.7%	32,500	-47.6%	0.87%	-19.8%
3606SC	Exit	COMMONWEALTH REITcv pfd-e 7.25%	$0	–	-210,257	–	-3.92%	–
RBSPRHCL	Exit	ROYAL BK SCOTLAND GROUP PLCspon adr ser h	$0	–	-213,067	–	-3.94%	–

Q2 2014

			Value		Shares		↓ Weighting
RBSPRTCL	New	ROYAL BK SCOTLAND GROUP PLCsp adr pref t	$54,224,000	–	2,147,467	–	39.60%	–
BCSPRDCL	New	BARCLAYS BANK PLCadr pfd sr 5	$31,909,000	–	1,233,925	–	23.30%	–
BCSPRACL	New	BARCLAYS BANK PLCsp adr 7.1%pf3	$25,469,000	–	994,502	–	18.60%	–
CIT	New	CIT GROUP INC	$5,492,000	–	119,960	–	4.01%	–
RBSPRHCL	New	ROYAL BK SCOTLAND GROUP PLCspon adr ser h	$5,399,000	–	213,067	–	3.94%	–
3606SC	New	COMMONWEALTH REITcv pfd-e 7.25%	$5,372,000	–	210,257	–	3.92%	–
BCSPRCCL	New	BARCLAYS BANK PLCads7.75%pfd s4	$4,286,000	–	166,310	–	3.13%	–
RBSPRSCL	New	ROYAL BK SCOTLAND GROUP PLCsp adr pref s	$3,300,000	–	134,400	–	2.41%	–
RBSPRMCL	New	ROYAL BK SCOTLAND GROUP PLCsp adr pref m	$1,493,000	–	62,000	–	1.09%	–

Q4 2013

			Value		Shares		↓ Weighting
RBSPRMCL	Exit	ROYAL BK SCOTLAND GROUP PLCsp adr pref m	$0	–	-62,000	–	-0.80%	–
EXC	Exit	EXELON CORP	$0	–	-75,000	–	-1.38%	–
3606SC	Exit	COMMONWEALTH REITcv pfd-e 7.25%	$0	–	-106,157	–	-1.50%	–
RBSPRSCL	Exit	ROYAL BK SCOTLAND GROUP PLCsp adr pref s	$0	–	-134,400	–	-1.78%	–
KEYPRG	Exit	KEYCORP NEWpfd 7.75% sr a	$0	–	-26,990	–	-2.09%	–
BCSPRCCL	Exit	BARCLAYS BANK PLCads7.75%pfd s4	$0	–	-200,350	–	-3.13%	–
CIT	Exit	CIT GROUP INC	$0	–	-136,760	–	-4.13%	–
RBSPRTCL	Exit	ROYAL BK SCOTLAND GROUP PLCsp adr pref t	$0	–	-1,028,743	–	-14.96%	–
BCSPRACL	Exit	BARCLAYS BANK PLCsp adr 7.1%pf3	$0	–	-994,502	–	-15.39%	–
WFCPRL	Exit	WELLS FARGO & CO NEWperp pfd cnv a	$0	–	-31,793	–	-22.39%	–
BCSPRDCL	Exit	BARCLAYS BANK PLCadr pfd sr 5	$0	–	-2,060,767	–	-32.45%	–

Q3 2013

			Value		Shares		↓ Weighting
WFCPRL	Sell	WELLS FARGO & CO NEWperp pfd cnv a	$36,165,000	-12.0%	31,793	-8.0%	22.39%	-11.2%
BCSPRACL	Buy	BARCLAYS BANK PLCsp adr 7.1%pf3	$24,863,000	+5.2%	994,502	+5.2%	15.39%	+6.2%
RBSPRTCL	Buy	ROYAL BK SCOTLAND GROUP PLCsp adr pref t	$24,165,000	+1.6%	1,028,743	+3.6%	14.96%	+2.5%
BCSPRCCL	Buy	BARCLAYS BANK PLCads7.75%pfd s4	$5,059,000	+25.6%	200,350	+25.6%	3.13%	+26.8%
KEYPRG	Sell	KEYCORP NEWpfd 7.75% sr a	$3,372,000	-31.6%	26,990	-31.9%	2.09%	-31.0%
RBSPRSCL	New	ROYAL BK SCOTLAND GROUP PLCsp adr pref s	$2,880,000	–	134,400	–	1.78%	–
3606SC	Sell	COMMONWEALTH REITcv pfd-e 7.25%	$2,418,000	-48.3%	106,157	-43.0%	1.50%	-47.8%
RBSPRMCL	New	ROYAL BK SCOTLAND GROUP PLCsp adr pref m	$1,301,000	–	62,000	–	0.80%	–

Q2 2013

			Value		Shares		↓ Weighting
BCSPRDCL	New	BARCLAYS BANK PLCadr pfd sr 5	$52,199,000	–	2,060,767	–	32.01%	–
WFCPRL	New	WELLS FARGO & CO NEWperp pfd cnv a	$41,106,000	–	34,543	–	25.21%	–
RBSPRTCL	New	ROYAL BK SCOTLAND GROUP PLCsp adr pref t	$23,792,000	–	992,979	–	14.59%	–
BCSPRACL	New	BARCLAYS BANK PLCsp adr 7.1%pf3	$23,634,000	–	945,000	–	14.50%	–
CIT	New	CIT GROUP INC	$6,369,000	–	136,760	–	3.91%	–
KEYPRG	New	KEYCORP NEWpfd 7.75% sr a	$4,933,000	–	39,619	–	3.02%	–
3606SC	New	COMMONWEALTH REITcv pfd-e 7.25%	$4,673,000	–	186,157	–	2.87%	–
BCSPRCCL	New	BARCLAYS BANK PLCads7.75%pfd s4	$4,029,000	–	159,572	–	2.47%	–
EXC	New	EXELON CORP	$2,315,000	–	75,000	–	1.42%	–

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