organization · Reporting owner
ADVENT CAPITAL MANAGEMENT /DE/
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ADVENT CONVERTIBLE & INCOME FUNDAVK · Entity 8886 | INVESTMENT MANAGER | July 14, 2023 | July 18, 2023 |
| Advent Claymore Convertible Securities & Income Fund IIAGC · Entity 12770 | Investment Manager | 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 July 14, 2023 · Filed July 18, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2023-07-18 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2023-07-14 · Sale · Disposed 30,000 · Balance 29,048 Row 2 · 2023-07-17 · Sale · Disposed 10,000 · Balance 19,048 Row 3 · 2023-07-18 · Sale · Disposed 19,048 · Balance 0 |
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 | Direct | 0 |
Reported balance
After 2017-11-13 transaction · row 1
1 source rowRow 1 · 2017-11-13 · Sale · Disposed 10,000 · Balance 0 |
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 |
|---|---|---|---|---|---|---|
| July 18, 2023 Filed Jul 18, 2023 20:47 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 19,048 | $11.72 | $223,191.13 |
DisclosureSEC 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 17, 2023 Filed Jul 18, 2023 20:47 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 10,000 | $11.68 | $116,780.00 |
DisclosureSEC 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 14, 2023 Filed Jul 18, 2023 20:47 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 30,000 | $11.68 | $350,310.00 |
DisclosureSEC 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 |
| December 29, 2021 Filed Dec 29, 2021 21:57 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 19,000 | $17.77 | $337,586.30 |
DisclosureSEC 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 28, 2021 Filed Dec 29, 2021 21:57 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 25,000 | $17.70 | $442,545.00 |
DisclosureSEC 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 27, 2021 Filed Dec 29, 2021 21:57 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | SaleCommon Stock | 50,000 | $17.89 | $894,370.00 |
DisclosureSEC 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 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: 0001179110-19-000783 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 136,000 Read SEC document |
| January 16, 2019 Filed Dec 23, 2019 14:51 UTC Amendment | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 21,000 | $13.61 | $285,761.70 |
DisclosureSEC source: 0001179110-19-013107 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 151,508.387 F1 · 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: 0001179110-19-000692 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 115,000 Read SEC document |
| October 10, 2018 Filed Oct 12, 2018 17:24 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 20,000 | $14.70 | $293,958.00 |
DisclosureSEC source: 0001179110-18-012150 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Read SEC document |
| September 27, 2018 Filed Oct 1, 2018 20:13 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 6,000 | $15.69 | $94,153.80 |
DisclosureSEC source: 0001179110-18-011767 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,000 Read SEC document |
| September 10, 2018 Filed Sep 11, 2018 15:09 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 12,000 | $15.71 | $188,463.60 |
DisclosureSEC source: 0001179110-18-011268 · edgar.xml · nonDerivative · entry 2 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,000 Read SEC document |
| September 07, 2018 Filed Sep 11, 2018 15:09 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 12,000 | $15.70 | $188,370.00 |
DisclosureSEC source: 0001179110-18-011268 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,000 Read SEC document |
| September 06, 2018 Filed Sep 6, 2018 21:39 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 38,000 | $15.68 | $595,976.80 |
DisclosureSEC source: 0001179110-18-011166 · edgar.xml · nonDerivative · entry 2 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Read SEC document |
| September 05, 2018 Filed Sep 6, 2018 21:39 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 12,000 | $15.69 | $188,265.60 |
DisclosureSEC source: 0001179110-18-011166 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Read SEC document |
| November 13, 2017 Filed Nov 14, 2017 14:44 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 10,000 | $6.02 | $60,194.00 |
DisclosureSEC source: 0001179110-17-014071 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| September 15, 2017 Filed Sep 15, 2017 20:23 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 74,393 | $6.01 | $446,938.27 |
DisclosureSEC source: 0001179110-17-012325 · edgar.xml · nonDerivative · entry 4 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Read SEC document |
| September 14, 2017 Filed Sep 15, 2017 20:23 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 150,000 | $6.02 | $903,465.00 |
DisclosureSEC source: 0001179110-17-012325 · edgar.xml · nonDerivative · entry 3 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 84,393 Read SEC document |
| September 13, 2017 Filed Sep 15, 2017 20:23 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 156,151 | $6.49 | $1,013,045.23 |
DisclosureSEC source: 0001179110-17-012325 · edgar.xml · nonDerivative · entry 2 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 234,393 Read SEC document |
| September 13, 2017 Filed Sep 15, 2017 20:23 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 88,456 | $6.11 | $540,262.71 |
DisclosureSEC source: 0001179110-17-012325 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 390,544 Read SEC document |
| August 11, 2017 Filed Aug 14, 2017 21:11 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 25,000 | $6.02 | $150,547.50 |
DisclosureSEC source: 0001179110-17-011461 · edgar.xml · nonDerivative · entry 2 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 479,000 Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 21:11 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | SaleCommon Stock | 50,000 | $6.14 | $306,805.00 |
DisclosureSEC source: 0001179110-17-011461 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 504,000 Read SEC document |
| February 13, 2017 Filed Feb 15, 2017 18:06 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Stock | 33,000 | $6.28 | $207,378.60 |
DisclosureSEC source: 0001179110-17-002442 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 554,000 Read SEC document |
| February 10, 2017 Filed Feb 13, 2017 18:31 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 21,000 | $6.28 | $131,966.10 |
DisclosureSEC source: 0001179110-17-002222 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 521,000 Read SEC document |
| December 30, 2016 Filed Jan 3, 2017 17:28 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Stock | 17,100 | $5.85 | $100,005.93 |
DisclosureSEC source: 0001179110-17-000036 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500,000 Read SEC document |
| December 29, 2016 Filed Dec 29, 2016 22:14 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Stock | 50,000 | $5.87 | $293,350.00 |
DisclosureSEC source: 0001179110-16-033570 · edgar.xml · nonDerivative · entry 2 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 482,900 Read SEC document |
| December 28, 2016 Filed Dec 29, 2016 22:14 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 50,000 | $5.87 | $293,650.00 |
DisclosureSEC source: 0001179110-16-033570 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 432,900 Read SEC document |
| December 27, 2016 Filed Dec 28, 2016 17:03 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 31,300 | $5.86 | $183,552.59 |
DisclosureSEC source: 0001179110-16-033506 · edgar.xml · nonDerivative · entry 2 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 382,900 Read SEC document |
| December 23, 2016 Filed Dec 28, 2016 17:03 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 42,000 | $5.85 | $245,712.60 |
DisclosureSEC source: 0001179110-16-033506 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 351,600 Read SEC document |
| November 30, 2016 Filed Dec 1, 2016 18:16 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 9,600 | $5.53 | $53,070.72 |
DisclosureSEC source: 0001179110-16-032257 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 309,600 Read SEC document |
| November 10, 2016 Filed Nov 14, 2016 19:03 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 31,029 | $5.31 | $164,633.67 |
DisclosureSEC source: 0001179110-16-031483 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Read SEC document |
| October 21, 2016 Filed Oct 24, 2016 18:19 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 10,000 | $5.60 | $56,000.00 |
DisclosureSEC source: 0001179110-16-030878 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 268,971 Read SEC document |
| October 11, 2016 Filed Oct 12, 2016 14:29 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 20,000 | $5.66 | $113,128.00 |
DisclosureSEC source: 0001179110-16-030660 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 258,971 Read SEC document |
| September 23, 2016 Filed Sep 26, 2016 19:43 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 20,000 | $5.83 | $116,554.00 |
DisclosureSEC source: 0001179110-16-030019 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 238,971 Read SEC document |
| September 20, 2016 Filed Sep 21, 2016 15:05 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 7,500 | $5.74 | $43,047.00 |
DisclosureSEC source: 0001179110-16-029884 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 218,971 Read SEC document |
| September 15, 2016 Filed Sep 16, 2016 16:43 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 7,500 | $5.75 | $43,087.50 |
DisclosureSEC source: 0001179110-16-029696 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 211,471 Read SEC document |
| September 12, 2016 Filed Sep 13, 2016 20:58 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 15,000 | $5.73 | $86,001.00 |
DisclosureSEC source: 0001179110-16-029604 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 203,971 Read SEC document |
| September 07, 2016 Filed Sep 12, 2016 15:34 UTC | Advent Claymore Convertible Securities & Income Fund II AGC · Entity 12770 | PurchaseCommon Shares | 16,900 | $5.91 | $99,851.96 |
DisclosureSEC source: 0001179110-16-029541 · edgar.xml · nonDerivative · entry 1 ADVENT CAPITAL MANAGEMENT /DE/ · CIK 0001097278 · Investment Manager 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 188,971 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.