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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Flaherty and Crumrine Total Return Fund Inc | NYSE:FLC | NYSE | Common Stock |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.0228 | 0.13% | 17.2328 | 17.3299 | 17.12 | 17.17 | 25,607 | 19:04:09 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: November 30, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
ETTINGER ROBERT M |
2. Issuer Name
and
Ticker or Trading Symbol
FLAHERTY & CRUMRINE/CLAYMORE TOTAL RETURN FUND INC [ FLC ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __ X __ Officer (give title below) _____ Other (specify below) President |
301 E COLORADO BLVD STE 720 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
PASADENA, CA 91101 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
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 Acquired, Disposed of, or Beneficially Owned |
||||||||||
1.Title of Security
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. Code
(Instr. 8) |
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4) |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock (1) | 8/9/2011 | P | 100 | A | $15.75 | 28400 | D | |||
Common Stock | 8/9/2011 | P | 100 | A | $15.78 | 28500 | D | |||
Common Stock | 8/9/2011 | P | 900 | A | $15.80 | 29400 | D | |||
Common Stock | 8/9/2011 | P | 200 | A | $15.85 | 29600 | D | |||
Common Stock | 8/9/2011 | P | 328 | A | $15.89 | 29928 | D | |||
Common Stock | 8/9/2011 | P | 100 | A | $15.82 | 30028 | D | |||
Common Stock | 8/9/2011 | P | 100 | A | $15.90 | 30128 | D | |||
Common Stock | 8/9/2011 | P | 300 | A | $15.83 | 30428 | D | |||
Common Stock | 8/9/2011 | P | 100 | A | $15.95 | 30528 | D | |||
Common Stock | 8/9/2011 | P | 300 | A | $15.84 | 30828 | D | |||
Common Stock | 8/9/2011 | P | 100 | A | $15.85 | 30928 | D | |||
Common Stock | 8/9/2011 | P | 200 | A | $15.98 | 31128 | D | |||
Common Stock | 8/9/2011 | P | 2644 | A | $15.999 | 33772 | D | |||
Common Stock | 8/9/2011 | P | 400 | A | $15.85 | 34172 | D | |||
Common Stock | 8/9/2011 | P | 200 | A | $15.92 | 34372 | D | |||
Common Stock | 8/9/2011 | P | 1400 | A | $15.979 | 35772 | D | |||
Common Stock | 8/9/2011 | P | 2300 | A | $16 | 38072 | D | |||
Common Stock | 8/9/2011 | P | 228 | A | $15.86 | 38300 | D |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
|||||||||||||||
1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. Code
(Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date |
7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4) |
8. Price of Derivative Security
(Instr. 5) |
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: | |
( 1) | Mr. Ettinger also indirectly holds an additional 4,198 shares of the Fund through his ownership of 27.5% of Flaherty & Crumrine Incorporated. |
Reporting Owners
|
|||||
Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
ETTINGER ROBERT M
301 E COLORADO BLVD STE 720 PASADENA, CA 91101 |
|
|
President |
|
Signatures
|
||
Robert M. Ettinger | 8/9/2011 | |
** 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 4(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 control number. |
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