Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ADVENT CONVERTIBLE & INCOME FUNDAVK · Entity 8886 | Director · TRUSTEE | October 17, 2024 | October 21, 2024 |
| ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUNDLCM · Entity 173691 | Director · Trustee | June 02, 2017 | June 05, 2017 |
| Advent Claymore Convertible Securities & Income Fund IIAGC · Entity 12770 | Director · Trustee | November 04, 2016 | November 07, 2016 |
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 | IndirectDeak K Seizert Residuary Trust Acct for Donna L Henson | 1,001 |
Reported balance
After 2024-10-17 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2024-10-17 · Purchase · Acquired 1 · Balance 1,001 F1: The Price and Shares listed are pursuant to the exercise of a rights offering. |
| Common StockSEC Table I · non-derivative | IndirectLaurel R Seizert | 1,221 |
Reported balance
After 2024-10-17 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2024-10-17 · Purchase · Acquired 1,221 · Balance 1,221 F2: The Price and Shares listed are pursuant to the exercise of a rights offering. |
| Common StockSEC Table I · non-derivative | IndirectCandace C Seizert Trust | 3,757 |
Reported balance
After 2024-10-17 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2024-10-17 · Purchase · Acquired 2 · Balance 3,757 F3: The Price and Shares listed are pursuant to the exercise of a rights offering. |
| Common StockSEC Table I · non-derivative | Direct | 6,739 |
Reported balance
After 2024-10-17 transaction · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · 2024-10-17 · Purchase · Acquired 1 · Balance 6,739 F4: The Price and Shares listed are pursuant to the exercise of a rights offering. |
| Common StockSEC Table I · non-derivative | Direct | 4,024 |
Reported balance
After 2024-10-17 transaction · row 6
Holding and transaction disclosures are not merged.
1 source rowRow 6 · 2024-10-17 · Purchase · Acquired 1 · Balance 4,024 F5: The Price and Shares listed are pursuant to the exercise of a rights offering. |
| Common StockSEC Table I · non-derivative | Direct | 1,500 |
Reported balance
Holding disclosure · report date 2024-10-17 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 1,500 |
| Common StockSEC Table I · non-derivative | IndirectCandace C. Seizert 2012 Gift Trust | 6,116 |
Reported balance
After 2024-10-17 transaction · row 7
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 7 · 2024-10-17 · Purchase · Acquired 1 · Balance 6,116 F6: The Price and Shares listed are pursuant to the exercise of a rights offering. |
Filing footnotes · ownership attribution and instrument terms
F1: The Price and Shares listed are pursuant to the exercise of a rights offering.
F2: The Price and Shares listed are pursuant to the exercise of a rights offering.
F3: The Price and Shares listed are pursuant to the exercise of a rights offering.
F4: The Price and Shares listed are pursuant to the exercise of a rights offering.
F5: The Price and Shares listed are pursuant to the exercise of a rights offering.
F6: The Price and Shares listed are pursuant to the exercise of a rights offering.
ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Report date June 02, 2017 · Filed June 05, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2017-06-02 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2017-06-02 · Sale · Disposed 8,800 · Balance 6,200 Row 2 · 2017-06-02 · Sale · Disposed 4,230 · Balance 1,970 Row 3 · 2017-06-02 · Sale · Disposed 1,970 · Balance 0 |
Advent Claymore Convertible Securities & Income Fund II
Report date November 04, 2016 · Filed November 07, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 28,203 |
Reported balance
After 2016-11-04 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2016-11-04 · Purchase · Acquired 6,000 · Balance 28,203 F1: Mr. Seizert has direct and indirect control of an aggregate amount of shares totaling 28,203 in Direct Ownership and 16,000 in Indirect Ownership. |
| Common StockSEC Table I · non-derivative | IndirectCandace Seizert Trust | 2,000 |
Reported balance
After 2016-11-04 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2016-11-04 · Purchase · Acquired 2,000 · Balance 2,000 F1: Mr. Seizert has direct and indirect control of an aggregate amount of shares totaling 28,203 in Direct Ownership and 16,000 in Indirect Ownership. |
| Common StockSEC Table I · non-derivative | IndirectC & P Seizert Trustees GLS Irrev. Trust | 14,000 |
Reported balance
After 2016-11-04 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2016-11-04 · Purchase · Acquired 8,000 · Balance 14,000 F1: Mr. Seizert has direct and indirect control of an aggregate amount of shares totaling 28,203 in Direct Ownership and 16,000 in Indirect Ownership. |
Filing footnotes · ownership attribution and instrument terms
F1: Mr. Seizert has direct and indirect control of an aggregate amount of shares totaling 28,203 in Direct Ownership and 16,000 in Indirect Ownership.
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 22:12 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 1 | $11.28 | $11.28 |
DisclosureSEC 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 | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 1 | $11.28 | $11.28 |
DisclosureSEC 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 | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 1 | $11.28 | $11.28 |
DisclosureSEC 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 | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 2 | $11.28 | $22.56 |
DisclosureSEC 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 | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 1,221 | $11.28 | $13,772.88 |
DisclosureSEC 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 | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 1 | $11.28 | $11.28 |
DisclosureSEC 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 |
| January 05, 2022 Filed Jan 6, 2022 21:34 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | OtherCommon Stock | 1,500 | $0.00 | $0.00 |
DisclosureSEC 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 |
| November 22, 2021 Filed Nov 24, 2021 19:42 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 13,190 | $18.52 | $244,323.65 |
DisclosureSEC 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 Read SEC document |
| November 22, 2021 Filed Nov 24, 2021 19:42 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 700 | $18.52 | $12,966.38 |
DisclosureSEC 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 Read SEC document |
| November 22, 2021 Filed Nov 24, 2021 19:42 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 5,000 | $18.52 | $92,617.00 |
DisclosureSEC 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 Read SEC document |
| November 22, 2021 Filed Nov 24, 2021 19:42 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 5,000 | $18.52 | $92,617.00 |
DisclosureSEC source: 0001179110-21-010339 · edgar.xml · nonDerivative · entry 1 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Seivest LLC-Gerald, Laurel & Paul Seizert as Authorized Agents Disclosed balance after: 6,816 Read SEC document |
| January 31, 2020 Filed Feb 5, 2020 21:39 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 15,395 | $15.48 | $238,308.44 |
DisclosureSEC source: 0001179110-20-001154 · edgar.xml · nonDerivative · entry 2 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,739 Read SEC document |
| January 31, 2020 Filed Feb 5, 2020 21:39 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 13,124 | $15.47 | $203,041.40 |
DisclosureSEC source: 0001179110-20-001154 · edgar.xml · nonDerivative · entry 1 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Seivest LLC Disclosed balance after: 11,816 Read SEC document |
| January 30, 2020 Filed Jan 31, 2020 20:41 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 27,072 | $15.49 | $419,326.33 |
DisclosureSEC source: 0001219120-20-000001 · primary_doc.xml · nonDerivative · entry 4 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Candace Seizert & P Seizert ttee Gerald L. Seizert Irrevocable Trust Disclosed balance after: 7,024 Read SEC document |
| January 30, 2020 Filed Jan 31, 2020 20:41 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 14,289 | $15.53 | $221,899.60 |
DisclosureSEC source: 0001219120-20-000001 · primary_doc.xml · nonDerivative · entry 3 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Gerlad L. Seizert ttee, Seizert Capital Partners Disclosed balance after: 0 Read SEC document |
| January 30, 2020 Filed Jan 31, 2020 20:41 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 0.6803 | $15.52 | $10.56 |
DisclosureSEC source: 0001219120-20-000001 · primary_doc.xml · nonDerivative · entry 2 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Gerlad L. Seizert ttee, Seizert Capital Partners Disclosed balance after: 14,289.68 Read SEC document |
| January 29, 2020 Filed Jan 31, 2020 20:41 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 18,249 | $15.64 | $285,357.79 |
DisclosureSEC source: 0001219120-20-000001 · primary_doc.xml · nonDerivative · entry 1 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| January 29, 2019 Filed Jan 30, 2019 21:24 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | OtherCommon Stock | 22,356 | $13.72 | $306,724.32 |
DisclosureSEC source: 0001179110-19-001079 · edgar.xml · nonDerivative · entry 2 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Seivest LLC, a family partnership Disclosed balance after: 24,940 F1 · kind: Mr. Seizert is transferring 22,356 Shares of AVK from the Gerald Lee Seizert Restated Trust (which now owns 0 shares of AVK) to Seivest LLC, a family partnership (which now owns 24,940 shares of AVK). Read SEC document |
| January 29, 2019 Filed Jan 30, 2019 21:24 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | OtherCommon Stock | 22,356 | $13.72 | $306,724.32 |
DisclosureSEC source: 0001179110-19-001079 · edgar.xml · nonDerivative · entry 1 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · The Gerald Lee Seizert Restated Trust Disclosed balance after: 0 F1 · kind: Mr. Seizert is transferring 22,356 Shares of AVK from the Gerald Lee Seizert Restated Trust (which now owns 0 shares of AVK) to Seivest LLC, a family partnership (which now owns 24,940 shares of AVK). Read SEC document |
| September 06, 2018 Filed Sep 7, 2018 20:58 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 1,700 | $15.66 | $26,616.73 |
DisclosureSEC source: 0001179110-18-011216 · edgar.xml · nonDerivative · entry 6 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Dean K Seizert Residuary Trust fbo Donna Henson (Sister) Disclosed balance after: 141,280.9467 Read SEC document |
| September 06, 2018 Filed Sep 7, 2018 20:58 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 3,500 | $15.65 | $54,775.00 |
DisclosureSEC source: 0001179110-18-011216 · edgar.xml · nonDerivative · entry 5 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Candace Seizert 2012 Gift Trust Disclosed balance after: 139,580.9467 Read SEC document |
| September 06, 2018 Filed Sep 7, 2018 20:58 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 2,000 | $15.66 | $31,319.80 |
DisclosureSEC source: 0001179110-18-011216 · edgar.xml · nonDerivative · entry 4 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Candace Seizert Trust Disclosed balance after: 136,080.9467 Read SEC document |
| September 06, 2018 Filed Sep 7, 2018 20:58 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 1,500 | $15.65 | $23,481.75 |
DisclosureSEC source: 0001179110-18-011216 · edgar.xml · nonDerivative · entry 3 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 134,080.9467 Read SEC document |
| September 06, 2018 Filed Sep 7, 2018 20:58 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 8,000 | $15.70 | $125,600.00 |
DisclosureSEC source: 0001179110-18-011216 · edgar.xml · nonDerivative · entry 2 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 132,580.9467 Read SEC document |
| September 06, 2018 Filed Sep 7, 2018 20:58 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 7,000 | $15.69 | $109,810.40 |
DisclosureSEC source: 0001179110-18-011216 · edgar.xml · nonDerivative · entry 1 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 124,580.9467 Read SEC document |
| August 27, 2018 Filed Aug 28, 2018 19:19 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | OtherCommon Stock | 26,945.9004 | $0.50 | $13,340.92 |
DisclosureSEC source: 0001179110-18-010958 · edgar.xml · nonDerivative · entry 2 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,580.9467 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 shares converted into AVK. Read SEC document |
| August 27, 2018 Filed Aug 28, 2018 19:19 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | OtherCommon Stock | 35,741.1563 | $0.36 | $12,974.04 |
DisclosureSEC source: 0001179110-18-010958 · edgar.xml · nonDerivative · entry 1 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,635.0463 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 shares converted into AVK. Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 13:14 UTC | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND LCM · Entity 173691 | SaleCommon Stock | 1,970 | $8.82 | $17,375.40 |
DisclosureSEC source: 0001179110-17-008504 · edgar.xml · nonDerivative · entry 3 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 13:14 UTC | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND LCM · Entity 173691 | SaleCommon Stock | 4,230 | $8.81 | $37,266.30 |
DisclosureSEC source: 0001179110-17-008504 · edgar.xml · nonDerivative · entry 2 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,970 Read SEC document |
| June 02, 2017 Filed Jun 5, 2017 13:14 UTC | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND LCM · Entity 173691 | SaleCommon Stock | 8,800 | $8.80 | $77,440.00 |
DisclosureSEC source: 0001179110-17-008504 · edgar.xml · nonDerivative · entry 1 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,200 Read SEC document |
| November 04, 2016 Filed Nov 7, 2016 19:51 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 5,000 | $13.42 | $67,114.50 |
DisclosureSEC source: 0001179110-16-031278 · edgar.xml · nonDerivative · entry 5 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · C & P Seizert Trustees GLS Irrev. Trust Disclosed balance after: 15,659 F1 · balance_after: Mr. Seizert has direct and indirect control of an aggregate amount of shares totaling 9,029 in Direct Ownership and 16,688 in Indirect Ownership. Read SEC document |
| November 04, 2016 Filed Nov 7, 2016 19:51 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 1,000 | $13.42 | $13,415.50 |
DisclosureSEC source: 0001179110-16-031278 · edgar.xml · nonDerivative · entry 4 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Candace Seizert Trust Disclosed balance after: 1,029 F1 · balance_after: Mr. Seizert has direct and indirect control of an aggregate amount of shares totaling 9,029 in Direct Ownership and 16,688 in Indirect Ownership. Read SEC document |
| November 04, 2016 Filed Nov 7, 2016 19:51 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 200 | $13.43 | $2,685.00 |
DisclosureSEC source: 0001179110-16-031278 · edgar.xml · nonDerivative · entry 3 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,029 F1 · balance_after: Mr. Seizert has direct and indirect control of an aggregate amount of shares totaling 9,029 in Direct Ownership and 16,688 in Indirect Ownership. Read SEC document |
| November 04, 2016 Filed Nov 7, 2016 19:51 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 200 | $13.42 | $2,684.00 |
DisclosureSEC source: 0001179110-16-031278 · edgar.xml · nonDerivative · entry 2 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,829 Read SEC document |
| November 04, 2016 Filed Nov 7, 2016 19:51 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 3,600 | $13.42 | $48,304.80 |
DisclosureSEC source: 0001179110-16-031278 · edgar.xml · nonDerivative · entry 1 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,629 Read SEC document |
| November 04, 2016 Filed Nov 7, 2016 14:58 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Stock | 8,000 | $5.35 | $42,792.00 |
DisclosureSEC source: 0001179110-16-031279 · edgar.xml · nonDerivative · entry 3 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · C & P Seizert Trustees GLS Irrev. Trust Disclosed balance after: 14,000 F1 · balance_after: Mr. Seizert has direct and indirect control of an aggregate amount of shares totaling 28,203 in Direct Ownership and 16,000 in Indirect Ownership. Read SEC document |
| November 04, 2016 Filed Nov 7, 2016 14:58 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Stock | 2,000 | $5.35 | $10,692.00 |
DisclosureSEC source: 0001179110-16-031279 · edgar.xml · nonDerivative · entry 2 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Candace Seizert Trust Disclosed balance after: 2,000 F1 · balance_after: Mr. Seizert has direct and indirect control of an aggregate amount of shares totaling 28,203 in Direct Ownership and 16,000 in Indirect Ownership. Read SEC document |
| November 04, 2016 Filed Nov 7, 2016 14:58 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Stock | 6,000 | $5.35 | $32,079.00 |
DisclosureSEC source: 0001179110-16-031279 · edgar.xml · nonDerivative · entry 1 SEIZERT GERALD L · CIK 0001251344 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,203 F1 · balance_after: Mr. Seizert has direct and indirect control of an aggregate amount of shares totaling 28,203 in Direct Ownership and 16,000 in Indirect Ownership. 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.