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ADVENT CONVERTIBLE & INCOME FUND

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8886
SEC CIK
0001219120
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106

Last 12 months

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0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
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Jan 202600
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 01, 2025 Filed May 1, 2025 19:41 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 600 $11.21 $6,726.00
Disclosure

SEC source: 0001415889-25-011646 · form4-05012025_070522.xml · nonDerivative · entry 1

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,905.917

Read SEC document
February 14, 2025 Filed Feb 14, 2025 19:59 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 500 $12.28 $6,141.95
Disclosure

SEC source: 0001415889-25-004071 · form4-02142025_070209.xml · nonDerivative · entry 1

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,092.673

Read SEC document
October 17, 2024 Filed Oct 18, 2024 18:02 UTC
Black DanielDirector · Trustee
PurchaseCommon Stock 1,000 $11.28 $11,280.00
Disclosure

SEC source: 0001415889-24-025416 · form4-10182024_061033.xml · nonDerivative · entry 1

Black Daniel · CIK 0001342021 · Director · Trustee

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,998.58

F1 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering.

Read SEC document
October 17, 2024 Filed Oct 18, 2024 16:05 UTC
Huang TonyV.P. & Assistant Secretary
PurchaseCommon Stock 2,300 $11.28 $25,944.00
Disclosure

SEC source: 0001415889-24-025401 · form4-10182024_041037.xml · nonDerivative · entry 1

Huang Tony · CIK 0001631552 · V.P. & Assistant Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,400

F1 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering.

Read SEC document
October 17, 2024 Filed Oct 21, 2024 11:17 UTC
Barnes Randall CDirector · TRUSTEE
PurchaseCommon Stock 3,785 $11.28 $42,694.80
Disclosure

SEC source: 0001415889-24-025445 · form4-10212024_031004.xml · nonDerivative · entry 1

Barnes Randall C · CIK 0001298064 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,140

F1 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering.

Read SEC document
October 17, 2024 Filed Oct 21, 2024 22:12 UTC
SEIZERT GERALD LDirector · TRUSTEE
PurchaseCommon Stock 1 $11.28 $11.28
Disclosure

SEC source: 0001415889-24-025468 · form4-10212024_101013.xml · nonDerivative · entry 7

SEIZERT GERALD L · CIK 0001251344 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Indirect · Candace C. Seizert 2012 Gift Trust

Disclosed balance after: 6,116

F6 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering.

Read SEC document
October 17, 2024 Filed Oct 21, 2024 22:12 UTC
SEIZERT GERALD LDirector · TRUSTEE
PurchaseCommon Stock 1 $11.28 $11.28
Disclosure

SEC source: 0001415889-24-025468 · form4-10212024_101013.xml · nonDerivative · entry 6

SEIZERT GERALD L · CIK 0001251344 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,024

F5 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering.

Read SEC document
October 17, 2024 Filed Oct 21, 2024 22:12 UTC
SEIZERT GERALD LDirector · TRUSTEE
PurchaseCommon Stock 1 $11.28 $11.28
Disclosure

SEC source: 0001415889-24-025468 · form4-10212024_101013.xml · nonDerivative · entry 4

SEIZERT GERALD L · CIK 0001251344 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,739

F4 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering.

Read SEC document
October 17, 2024 Filed Oct 21, 2024 22:12 UTC
SEIZERT GERALD LDirector · TRUSTEE
PurchaseCommon Stock 2 $11.28 $22.56
Disclosure

SEC source: 0001415889-24-025468 · form4-10212024_101013.xml · nonDerivative · entry 3

SEIZERT GERALD L · CIK 0001251344 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Indirect · Candace C Seizert Trust

Disclosed balance after: 3,757

F3 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering.

Read SEC document
October 17, 2024 Filed Oct 21, 2024 22:12 UTC
SEIZERT GERALD LDirector · TRUSTEE
PurchaseCommon Stock 1,221 $11.28 $13,772.88
Disclosure

SEC source: 0001415889-24-025468 · form4-10212024_101013.xml · nonDerivative · entry 2

SEIZERT GERALD L · CIK 0001251344 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Indirect · Laurel R Seizert

Disclosed balance after: 1,221

F2 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering.

Read SEC document
October 17, 2024 Filed Oct 21, 2024 22:12 UTC
SEIZERT GERALD LDirector · TRUSTEE
PurchaseCommon Stock 1 $11.28 $11.28
Disclosure

SEC source: 0001415889-24-025468 · form4-10212024_101013.xml · nonDerivative · entry 1

SEIZERT GERALD L · CIK 0001251344 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Indirect · Deak K Seizert Residuary Trust Acct for Donna L Henson

Disclosed balance after: 1,001

F1 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering.

Read SEC document
October 17, 2024 Filed Oct 21, 2024 20:16 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 1,576 $11.28 $17,777.28
Disclosure

SEC source: 0001415889-24-025457 · form4-10212024_081056.xml · nonDerivative · entry 1

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,353.261

F1 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering.

Read SEC document
October 17, 2024 Filed Oct 21, 2024 18:35 UTC
MAITLAND TRACY VDirector · CHAIRMAN, PRESIDENT & CEO · TRUSTEE
PurchaseCommon Stock 1,817 $11.28 $20,495.76
Disclosure

SEC source: 0001415889-24-025450 · form4-10212024_061004.xml · nonDerivative · entry 3

MAITLAND TRACY V · CIK 0001251345 · Director · CHAIRMAN, PRESIDENT & CEO · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,268

F3 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering.

Read SEC document
October 17, 2024 Filed Oct 21, 2024 18:35 UTC
MAITLAND TRACY VDirector · CHAIRMAN, PRESIDENT & CEO · TRUSTEE
PurchaseCommon Stock 11,362 $11.28 $128,163.36
Disclosure

SEC source: 0001415889-24-025450 · form4-10212024_061004.xml · nonDerivative · entry 1

MAITLAND TRACY V · CIK 0001251345 · Director · CHAIRMAN, PRESIDENT & CEO · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,449

F1 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering.

Read SEC document
October 17, 2024 Filed Oct 21, 2024 19:42 UTC
NYBERG RONALDDirector · Trustee
PurchaseCommon Stock 3,671 $11.28 $41,408.88
Disclosure

SEC source: 0001415889-24-025455 · form4-10212024_071035.xml · nonDerivative · entry 1

NYBERG RONALD · CIK 0001251343 · Director · Trustee

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,657

F1 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering.

Read SEC document
May 02, 2024 Filed May 2, 2024 19:24 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 500 $11.71 $5,854.95
Disclosure

SEC source: 0001415889-24-011980 · form4-05022024_070558.xml · nonDerivative · entry 1

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,551.612

Read SEC document
February 02, 2024 Filed Feb 2, 2024 18:11 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 400 $11.86 $4,745.44
Disclosure

SEC source: 0001415889-24-002267 · form4-02022024_060205.xml · nonDerivative · entry 1

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,932.928

Read SEC document
December 20, 2023 Filed Dec 22, 2023 16:56 UTC
MAITLAND TRACY VDirector · CHAIRMAN, PRESIDENT & CEO · TRUSTEE
SaleCommon Stock 7,163 $11.17 $80,010.71
Disclosure

SEC source: 0001415889-23-016881 · form4-12222023_041210.xml · nonDerivative · entry 1

MAITLAND TRACY V · CIK 0001251345 · Director · CHAIRMAN, PRESIDENT & CEO · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,087

Read SEC document
November 08, 2023 Filed Nov 8, 2023 17:16 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 400 $10.25 $4,099.96
Disclosure

SEC source: 0001415889-23-014885 · form4-11082023_051130.xml · nonDerivative · entry 1

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,423.191

Read SEC document
August 02, 2023 Filed Aug 2, 2023 14:12 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 375 $11.84 $4,440.00
Disclosure

SEC source: 0001415889-23-011709 · form4-08022023_020830.xml · nonDerivative · entry 1

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,921.633

Read SEC document
July 18, 2023 Filed Jul 18, 2023 20:47 UTC SaleCommon Stock 19,048 $11.72 $223,191.13
Disclosure

SEC source: 0001415889-23-011240 · form4-07182023_080717.xml · nonDerivative · entry 3

ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · INVESTMENT MANAGER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Read SEC document
July 18, 2023 Filed Jul 18, 2023 20:50 UTC
MAITLAND TRACY VDirector · CHAIRMAN, PRESIDENT & CEO · TRUSTEE
SaleCommon Stock 19,048 $11.72 $223,191.13
Disclosure

SEC source: 0001415889-23-011242 · form4-07182023_080726.xml · nonDerivative · entry 3

MAITLAND TRACY V · CIK 0001251345 · Director · CHAIRMAN, PRESIDENT & CEO · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,250

F1 · shares: Common Shares disposed of Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent.

F1 · balance_after: Common Shares disposed of Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent.

F2 · balance_after: Totals include 41,250 shares which are directly held by Mr. Maitland.

Read SEC document
July 17, 2023 Filed Jul 18, 2023 20:47 UTC SaleCommon Stock 10,000 $11.68 $116,780.00
Disclosure

SEC source: 0001415889-23-011240 · form4-07182023_080717.xml · nonDerivative · entry 2

ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · INVESTMENT MANAGER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,048

Read SEC document
July 17, 2023 Filed Jul 18, 2023 20:50 UTC
MAITLAND TRACY VDirector · CHAIRMAN, PRESIDENT & CEO · TRUSTEE
SaleCommon Stock 10,000 $11.68 $116,780.00
Disclosure

SEC source: 0001415889-23-011242 · form4-07182023_080726.xml · nonDerivative · entry 2

MAITLAND TRACY V · CIK 0001251345 · Director · CHAIRMAN, PRESIDENT & CEO · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Indirect · By Advent Capital Management, LLC. See Footnotes.

Disclosed balance after: 60,298

F1 · shares: Common Shares disposed of Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent.

F1 · balance_after: Common Shares disposed of Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent.

F2 · balance_after: Totals include 41,250 shares which are directly held by Mr. Maitland.

Read SEC document
July 14, 2023 Filed Jul 18, 2023 20:47 UTC SaleCommon Stock 30,000 $11.68 $350,310.00
Disclosure

SEC source: 0001415889-23-011240 · form4-07182023_080717.xml · nonDerivative · entry 1

ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · INVESTMENT MANAGER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,048

Read SEC document
July 14, 2023 Filed Jul 18, 2023 20:50 UTC
MAITLAND TRACY VDirector · CHAIRMAN, PRESIDENT & CEO · TRUSTEE
SaleCommon Stock 30,000 $11.68 $350,310.00
Disclosure

SEC source: 0001415889-23-011242 · form4-07182023_080726.xml · nonDerivative · entry 1

MAITLAND TRACY V · CIK 0001251345 · Director · CHAIRMAN, PRESIDENT & CEO · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Indirect · By Advent Capital Management, LLC. See Footnotes.

Disclosed balance after: 70,298

F1 · shares: Common Shares disposed of Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent.

F1 · balance_after: Common Shares disposed of Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent.

F2 · balance_after: Totals include 41,250 shares which are directly held by Mr. Maitland.

Read SEC document
May 16, 2023 Filed May 17, 2023 14:53 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 0.274 $11.55 $3.16
Disclosure

SEC source: 0001415889-23-008158 · form4-05172023_020554.xml · nonDerivative · entry 2

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,818.854

Read SEC document
May 16, 2023 Filed May 17, 2023 14:53 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 345 $11.59 $3,996.83
Disclosure

SEC source: 0001415889-23-008158 · form4-05172023_020554.xml · nonDerivative · entry 1

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,818.58

Read SEC document
May 16, 2023 Filed Jun 13, 2023 20:49 UTC Amendment
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 0.274 $11.55 $3.16
Disclosure

SEC source: 0001415889-23-009749 · form4a-06132023_080600.xml · nonDerivative · entry 2

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,473.58

F2 · balance_after: The amount previously reported included a clerical error. This is the corrected amount following this transaction.

Read SEC document
May 16, 2023 Filed Jun 13, 2023 20:49 UTC Amendment
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 345 $11.59 $3,996.83
Disclosure

SEC source: 0001415889-23-009749 · form4a-06132023_080600.xml · nonDerivative · entry 1

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,473.306

F1 · balance_after: The amount previously reported included a clerical error. This is the corrected amount following this transaction.

Read SEC document
January 26, 2023 Filed Jan 26, 2023 21:00 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 400 $12.36 $4,945.60
Disclosure

SEC source: 0001415889-23-001456 · form4-01262023_090128.xml · nonDerivative · entry 1

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,049.971

Read SEC document
October 24, 2022 Filed Oct 24, 2022 15:04 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 450 $10.71 $4,819.50
Disclosure

SEC source: 0001415889-22-010761 · form4-10242022_081042.xml · nonDerivative · entry 1

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,604.819

Read SEC document
May 13, 2022 Filed May 13, 2022 14:16 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 275 $12.84 $3,532.18
Disclosure

SEC source: 0001415889-22-004925 · form4-05132022_070519.xml · nonDerivative · entry 1

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,104.382

Read SEC document
March 11, 2022 Filed Mar 14, 2022 14:19 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 258 $14.68 $3,787.08
Disclosure

SEC source: 0001415889-22-002911 · form4-03142022_070345.xml · nonDerivative · entry 2

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 816.494

Read SEC document
March 11, 2022 Filed Mar 14, 2022 14:19 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 0.88 $14.67 $12.91
Disclosure

SEC source: 0001415889-22-002911 · form4-03142022_070345.xml · nonDerivative · entry 1

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 558.494

Read SEC document
January 13, 2022 Filed Jan 13, 2022 12:48 UTC
Barnes Randall CDirector · TRUSTEE
PurchaseCommon Stock 1,370 $17.87 $24,481.90
Disclosure

SEC source: 0001415889-22-000523 · form4-01132022_090143.xml · nonDerivative · entry 1

Barnes Randall C · CIK 0001298064 · Director · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,355

Read SEC document
January 10, 2022 Filed Jan 11, 2022 10:31 UTC
Barnes Randall CDirector · TRUSTEE
PurchaseCommon Stock 1,000 $18.20 $18,200.00
Disclosure

SEC source: 0001415889-22-000469 · form4-01112022_070110.xml · nonDerivative · entry 1

Barnes Randall C · CIK 0001298064 · Director · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,985

Read SEC document
January 05, 2022 Filed Jan 6, 2022 21:34 UTC
SEIZERT GERALD LDirector · TRUSTEE
OtherCommon Stock 1,500 $0.00 $0.00
Disclosure

SEC source: 0001415889-22-000430 · form4-01062022_010136.xml · nonDerivative · entry 1

SEIZERT GERALD L · CIK 0001251344 · Director · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

F1 · kind: This transaction is a transfer in beneficial ownership.

F2 · ownership.nature: Change in beneficial ownership: 1,500 Shares were acquired from the Gerald Lee Seizert Inherited IRA Account and are being transferred into the Gerald Lee Seizert Trust.

Read SEC document
January 04, 2022 Filed Jan 5, 2022 11:11 UTC
Barnes Randall CDirector · TRUSTEE
PurchaseCommon Stock 1,000 $18.25 $18,250.00
Disclosure

SEC source: 0001415889-22-000327 · form4-01052022_080118.xml · nonDerivative · entry 1

Barnes Randall C · CIK 0001298064 · Director · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,985

Read SEC document
December 30, 2021 Filed Dec 30, 2021 10:25 UTC
Barnes Randall CDirector · TRUSTEE
PurchaseCommon Stock 1,000 $17.75 $17,750.00
Disclosure

SEC source: 0001415889-21-006290 · form4-12302021_071251.xml · nonDerivative · entry 1

Barnes Randall C · CIK 0001298064 · Director · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,985

Read SEC document
December 30, 2021 Filed Jan 7, 2022 21:57 UTC
Stuebe Nancy E.Director · TRUSTEE
PurchaseCommon Stock 195 $17.96 $3,501.23
Disclosure

SEC source: 0001415889-22-000454 · form4-01072022_010111.xml · nonDerivative · entry 3

Stuebe Nancy E. · CIK 0001835510 · Director · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 549.184

Read SEC document
December 29, 2021 Filed Dec 29, 2021 21:57 UTC SaleCommon Stock 19,000 $17.77 $337,586.30
Disclosure

SEC source: 0001415889-21-006277 · form4-12292021_011217.xml · nonDerivative · entry 3

ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · INVESTMENT MANAGER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,048

Read SEC document
December 29, 2021 Filed Dec 29, 2021 22:00 UTC
MAITLAND TRACY VDirector · CHAIRMAN, PRESIDENT & CEO · TRUSTEE
SaleCommon Stock 19,000 $17.77 $337,586.30
Disclosure

SEC source: 0001415889-21-006279 · form4-12292021_021204.xml · nonDerivative · entry 3

MAITLAND TRACY V · CIK 0001251345 · Director · CHAIRMAN, PRESIDENT & CEO · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Indirect · By Advent Capital Management, LLC. See Footnotes.

Disclosed balance after: 100,298

F1 · shares: Common Shares acquired by Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent.

F1 · balance_after: Common Shares acquired by Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent.

F2 · balance_after: Totals include 41,250 shares which are directly held by Mr. Maitland.

Read SEC document
December 28, 2021 Filed Dec 29, 2021 21:57 UTC SaleCommon Stock 25,000 $17.70 $442,545.00
Disclosure

SEC source: 0001415889-21-006277 · form4-12292021_011217.xml · nonDerivative · entry 2

ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · INVESTMENT MANAGER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,048

Read SEC document
December 28, 2021 Filed Dec 29, 2021 22:00 UTC
MAITLAND TRACY VDirector · CHAIRMAN, PRESIDENT & CEO · TRUSTEE
SaleCommon Stock 25,000 $17.70 $442,545.00
Disclosure

SEC source: 0001415889-21-006279 · form4-12292021_021204.xml · nonDerivative · entry 2

MAITLAND TRACY V · CIK 0001251345 · Director · CHAIRMAN, PRESIDENT & CEO · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Indirect · By Advent Capital Management, LLC. See Footnotes.

Disclosed balance after: 119,298

F1 · shares: Common Shares acquired by Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent.

F1 · balance_after: Common Shares acquired by Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent.

F2 · balance_after: Totals include 41,250 shares which are directly held by Mr. Maitland.

Read SEC document
December 27, 2021 Filed Dec 29, 2021 21:57 UTC SaleCommon Stock 50,000 $17.89 $894,370.00
Disclosure

SEC source: 0001415889-21-006277 · form4-12292021_011217.xml · nonDerivative · entry 1

ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · INVESTMENT MANAGER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,048

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December 27, 2021 Filed Dec 29, 2021 22:00 UTC
MAITLAND TRACY VDirector · CHAIRMAN, PRESIDENT & CEO · TRUSTEE
SaleCommon Stock 50,000 $17.89 $894,370.00
Disclosure

SEC source: 0001415889-21-006279 · form4-12292021_021204.xml · nonDerivative · entry 1

MAITLAND TRACY V · CIK 0001251345 · Director · CHAIRMAN, PRESIDENT & CEO · TRUSTEE

10b5-1 filing: Not disclosed

Ownership: Indirect · By Advent Capital Management, LLC. See Footnotes.

Disclosed balance after: 144,298

F1 · shares: Common Shares acquired by Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent.

F1 · balance_after: Common Shares acquired by Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent.

F2 · balance_after: Totals include 41,250 shares which are directly held by Mr. Maitland.

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November 22, 2021 Filed Nov 24, 2021 19:42 UTC
SEIZERT GERALD LDirector · Trustee
SaleCommon Stock 13,190 $18.52 $244,323.65
Disclosure

SEC source: 0001179110-21-010339 · edgar.xml · nonDerivative · entry 4

SEIZERT GERALD L · CIK 0001251344 · Director · Trustee

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,763

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November 22, 2021 Filed Nov 24, 2021 19:42 UTC
SEIZERT GERALD LDirector · Trustee
SaleCommon Stock 700 $18.52 $12,966.38
Disclosure

SEC source: 0001179110-21-010339 · edgar.xml · nonDerivative · entry 3

SEIZERT GERALD L · CIK 0001251344 · Director · Trustee

10b5-1 filing: Not disclosed

Ownership: Indirect · Dean K Seizert Residuary-Gerald Seizert & Donna Henson Trustees

Disclosed balance after: 1,000

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November 22, 2021 Filed Nov 24, 2021 19:42 UTC
SEIZERT GERALD LDirector · Trustee
SaleCommon Stock 5,000 $18.52 $92,617.00
Disclosure

SEC source: 0001179110-21-010339 · edgar.xml · nonDerivative · entry 2

SEIZERT GERALD L · CIK 0001251344 · Director · Trustee

10b5-1 filing: Not disclosed

Ownership: Indirect · Candace C Seizert 2012 Gift Trust-Gerald Seizert, Trustee

Disclosed balance after: 6,115

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.