Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ADVENT CONVERTIBLE & INCOME FUNDAVK · Entity 8886 | Director · CHAIRMAN, PRESIDENT & CEO · TRUSTEE | October 17, 2024 | October 21, 2024 |
| Advent Claymore Convertible Securities & Income Fund IIAGC · Entity 12770 | Director · Chairman, President & CEO · Trustee | November 13, 2017 | November 14, 2017 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
ADVENT CONVERTIBLE & INCOME FUND
Report date October 17, 2024 · Filed October 21, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 45,449 |
Reported balance
After 2024-10-17 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2024-10-17 · Purchase · Acquired 11,362 · Balance 45,449 F1: The Price and Shares listed are pursuant to the exercise of a rights offering. |
| Common StockSEC Table I · non-derivative | Direct | 7,268 |
Reported balance
After 2024-10-17 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2024-10-17 · Purchase · Acquired 1,817 · Balance 7,268 F3: The Price and Shares listed are pursuant to the exercise of a rights offering. |
| Common StockSEC Table I · non-derivative | Direct | 5,451 |
Reported balance
Holding disclosure · report date 2024-10-17 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 5,451 F2: Due to administrative oversight this account has not been previously reported. |
Filing footnotes · ownership attribution and instrument terms
F1: The Price and Shares listed are pursuant to the exercise of a rights offering.
F2: Due to administrative oversight this account has not been previously reported.
F3: The Price and Shares listed are pursuant to the exercise of a rights offering.
Advent Claymore Convertible Securities & Income Fund II
Report date November 13, 2017 · Filed November 14, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy Advent Capital Management, LLC. See Footnotes. | 16,000 |
Reported balance
After 2017-11-13 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2017-11-13 · Sale · Disposed 10,000 · Balance 16,000 F1: 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: Totals include 16,000 shares which are directly held by Mr. Maitland. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: Totals include 16,000 shares which are directly held by Mr. Maitland.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| October 17, 2024 Filed Oct 21, 2024 18:35 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 1,817 | $11.28 | $20,495.76 |
DisclosureSEC 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 | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 11,362 | $11.28 | $128,163.36 |
DisclosureSEC 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 |
| December 20, 2023 Filed Dec 22, 2023 16:56 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 7,163 | $11.17 | $80,010.71 |
DisclosureSEC 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 |
| July 18, 2023 Filed Jul 18, 2023 20:50 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 19,048 | $11.72 | $223,191.13 |
DisclosureSEC 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 20:50 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 10,000 | $11.68 | $116,780.00 |
DisclosureSEC 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 20:50 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 30,000 | $11.68 | $350,310.00 |
DisclosureSEC 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 |
| December 29, 2021 Filed Dec 29, 2021 22:00 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 19,000 | $17.77 | $337,586.30 |
DisclosureSEC 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 22:00 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 25,000 | $17.70 | $442,545.00 |
DisclosureSEC 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 22:00 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 50,000 | $17.89 | $894,370.00 |
DisclosureSEC 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. Read SEC document |
| January 16, 2019 Filed Jan 16, 2019 22:13 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 21,000 | $13.61 | $285,761.70 |
DisclosureSEC source: 0001179110-19-000784 · edgar.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: 177,250 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 |
| January 16, 2019 Filed Dec 23, 2019 14:48 UTC Amendment | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 21,000 | $13.61 | $285,761.70 |
DisclosureSEC source: 0001179110-19-013105 · edgar.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: 192,758.387 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. F3 · balance_after: Item 5 of Table I (Amount of Securities Beneficially Owned Following Reported Transaction(s)) has been corrected. Certain shares acquired prior to the date of the reported transaction under a Dividend Reinvestment Plan were inadvertently omitted. Read SEC document |
| January 09, 2019 Filed Jan 11, 2019 21:18 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 15,000 | $13.53 | $203,010.00 |
DisclosureSEC source: 0001179110-19-000693 · edgar.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: 156,250 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 |
| October 10, 2018 Filed Oct 12, 2018 17:25 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 20,000 | $14.70 | $293,958.00 |
DisclosureSEC source: 0001179110-18-012151 · edgar.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: 141,250 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 |
| September 27, 2018 Filed Oct 1, 2018 20:14 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 6,000 | $15.69 | $94,153.80 |
DisclosureSEC source: 0001179110-18-011768 · edgar.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: 121,250 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 |
| September 10, 2018 Filed Sep 11, 2018 15:05 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 12,000 | $15.71 | $188,463.60 |
DisclosureSEC source: 0001179110-18-011266 · edgar.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: 115,250 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 |
| September 07, 2018 Filed Sep 11, 2018 15:05 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 12,000 | $15.70 | $188,370.00 |
DisclosureSEC source: 0001179110-18-011266 · edgar.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: 103,250 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 |
| September 06, 2018 Filed Sep 6, 2018 21:40 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 38,000 | $15.68 | $595,976.80 |
DisclosureSEC source: 0001179110-18-011167 · edgar.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: 91,250 F1 · shares: Common Shares acquired by Advent Capital Management, LLC (Advent), the Funds 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 Funds 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 |
| September 05, 2018 Filed Sep 6, 2018 21:40 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 12,000 | $15.69 | $188,265.60 |
DisclosureSEC source: 0001179110-18-011167 · edgar.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: 53,250 F1 · shares: Common Shares acquired by Advent Capital Management, LLC (Advent), the Funds 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 Funds 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 |
| August 27, 2018 Filed Aug 29, 2018 14:51 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | OtherCommon Stock | 19,805.5056 | $0.50 | $9,805.71 |
DisclosureSEC source: 0001179110-18-010980 · edgar.xml · nonDerivative · entry 2 MAITLAND TRACY V · CIK 0001251345 · Director · Chairman, President & CEO · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,250.9472 F1 · kind: The reported shares were acquired as a result of a closed-end fund merger between Advent Claymore Convertible Securities and Income Fund II (AGC), Advent/Claymore Enhanced Growth & Income Fund (LCM), and Advent/Claymore Convertible Securities and Income Fund (AVK) in which AVK was the surviving fund. F3 · shares: LCM share amount converted into AVK. Read SEC document |
| August 27, 2018 Filed Aug 29, 2018 14:51 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | OtherCommon Stock | 5,808.4416 | $0.36 | $2,108.46 |
DisclosureSEC source: 0001179110-18-010980 · edgar.xml · nonDerivative · entry 1 MAITLAND TRACY V · CIK 0001251345 · Director · Chairman, President & CEO · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,445.4416 F1 · kind: The reported shares were acquired as a result of a closed-end fund merger between Advent Claymore Convertible Securities and Income Fund II (AGC), Advent/Claymore Enhanced Growth & Income Fund (LCM), and Advent/Claymore Convertible Securities and Income Fund (AVK) in which AVK was the surviving fund. F2 · shares: AGC share amount converted into AVK. Read SEC document |
| November 13, 2017 Filed Nov 14, 2017 09:45 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 10,000 | $6.02 | $60,194.00 |
DisclosureSEC source: 0001179110-17-014072 · edgar.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: 16,000 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| September 15, 2017 Filed Sep 15, 2017 16:24 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 74,393 | $6.01 | $446,938.27 |
DisclosureSEC source: 0001179110-17-012326 · edgar.xml · nonDerivative · entry 4 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: 26,000 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| September 14, 2017 Filed Sep 15, 2017 16:24 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 150,000 | $6.02 | $903,465.00 |
DisclosureSEC source: 0001179110-17-012326 · edgar.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: 100,393 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| September 13, 2017 Filed Sep 15, 2017 16:24 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 156,151 | $6.49 | $1,013,045.23 |
DisclosureSEC source: 0001179110-17-012326 · edgar.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: 250,393 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| September 13, 2017 Filed Sep 15, 2017 16:24 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 88,456 | $6.11 | $540,262.71 |
DisclosureSEC source: 0001179110-17-012326 · edgar.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: 406,544 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| August 11, 2017 Filed Aug 14, 2017 17:12 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 25,000 | $6.02 | $150,547.50 |
DisclosureSEC source: 0001179110-17-011462 · edgar.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: 495,000 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 17:12 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 50,000 | $6.14 | $306,805.00 |
DisclosureSEC source: 0001179110-17-011462 · edgar.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: 520,000 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 13:05 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Stock | 33,000 | $6.28 | $207,378.60 |
DisclosureSEC source: 0001179110-17-002441 · edgar.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: 570,000 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 13:29 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Stock | 21,000 | $6.28 | $131,966.10 |
DisclosureSEC source: 0001179110-17-002221 · edgar.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: 537,000 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| December 30, 2016 Filed Jan 3, 2017 12:27 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Stock | 17,100 | $5.85 | $100,005.93 |
DisclosureSEC source: 0001179110-17-000035 · edgar.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: 516,000 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| December 29, 2016 Filed Dec 29, 2016 17:14 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Stock | 50,000 | $5.87 | $293,350.00 |
DisclosureSEC source: 0001179110-16-033569 · edgar.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: 498,900 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| December 28, 2016 Filed Dec 29, 2016 17:14 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 50,000 | $5.87 | $293,650.00 |
DisclosureSEC source: 0001179110-16-033569 · edgar.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: 448,900 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| December 27, 2016 Filed Dec 28, 2016 12:01 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 31,300 | $5.86 | $183,552.59 |
DisclosureSEC source: 0001179110-16-033505 · edgar.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: 398,900 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| December 23, 2016 Filed Dec 28, 2016 12:01 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 42,000 | $5.85 | $245,712.60 |
DisclosureSEC source: 0001179110-16-033505 · edgar.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: 367,600 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 16,000 shares which are directly held by Mr. Maitland. Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 13:17 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 9,600 | $5.53 | $53,070.72 |
DisclosureSEC source: 0001179110-16-032258 · edgar.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: 325,600 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 16,000 shares which are previously held shares and which are directly held by Mr. Maitland. Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 14:02 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 31,029 | $5.31 | $164,633.67 |
DisclosureSEC source: 0001179110-16-031482 · edgar.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: 316,000 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 16,000 shares which are previously held shares and which are directly held by Mr. Maitland. Read SEC document |
| October 21, 2016 Filed Oct 24, 2016 14:19 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 10,000 | $5.60 | $56,000.00 |
DisclosureSEC source: 0001179110-16-030877 · edgar.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: 284,971 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 16,000 shares which are previously held shares and which are directly held by Mr. Maitland. Read SEC document |
| October 11, 2016 Filed Oct 12, 2016 10:28 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 20,000 | $5.66 | $113,128.00 |
DisclosureSEC source: 0001179110-16-030659 · edgar.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: 274,971 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 16,000 shares which are previously held shares and which are directly held by Mr. Maitland. Read SEC document |
| September 23, 2016 Filed Sep 26, 2016 15:42 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 20,000 | $5.83 | $116,554.00 |
DisclosureSEC source: 0001179110-16-030018 · edgar.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: 254,971 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 16,000 shares which are previously held shares and which are directly held by Mr. Maitland. Read SEC document |
| September 20, 2016 Filed Sep 21, 2016 11:03 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 7,500 | $5.74 | $43,047.00 |
DisclosureSEC source: 0001179110-16-029883 · edgar.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: 234,971 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 16,000 shares which are previously held shares and which are directly held by Mr. Maitland. Read SEC document |
| September 15, 2016 Filed Sep 16, 2016 12:41 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 7,500 | $5.75 | $43,087.50 |
DisclosureSEC source: 0001179110-16-029695 · edgar.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: 227,471 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 16,000 shares which are previously held shares and which are directly held by Mr. Maitland. Read SEC document |
| September 12, 2016 Filed Sep 13, 2016 16:59 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 15,000 | $5.73 | $86,001.00 |
DisclosureSEC source: 0001179110-16-029605 · edgar.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: 219,971 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 16,000 shares which are previously held shares and which are directly held by Mr. Maitland. Read SEC document |
| September 07, 2016 Filed Sep 12, 2016 11:33 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 16,900 | $5.91 | $99,851.96 |
DisclosureSEC source: 0001179110-16-029540 · edgar.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: 204,971 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 16,000 which are previously held shares and which are directly held by Mr. Maitland. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.