Every SEC Form 3/4/5 on record for this filer (CIK 1097278) — 2 issuers, 41 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
This filer is an entity, not a person. This reporting owner's name carries a corporate/fund legal form, so it is an ENTITY filing under Section 16 — typically a fund with a board-designation right or a 10% holder — not an individual. Its 'director' rows are the entity's designation right, not a person's board seat.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| AVK | ADVENT CONVERTIBLE & INCOME FUND | Filer · lapsed | 2018-09-06 → 2023-07-18 | 10 | −$41,323 |
| AGC | Advent Claymore Convertible Securities & Income Fund II | Filer · lapsed | 2016-08-31 → 2017-11-14 | 18 | −$184,139 |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| AVK | 2023-07-18 | Sell | 19,048 | $11.72 | $223,243 | — |
| AVK | 2023-07-17 | Sell | 10,000 | $11.68 | $116,800 | 19,048 |
| AVK | 2023-07-14 | Sell | 30,000 | $11.68 | $350,400 | 29,048 |
| AVK | 2021-12-29 | Sell | 19,000 | $17.77 | $337,630 | 59,048 |
| AVK | 2021-12-28 | Sell | 25,000 | $17.70 | $442,500 | 78,048 |
| AVK | 2021-12-27 | Sell | 50,000 | $17.89 | $894,500 | 103,048 |
| AVK | 2019-01-16 | Buy | 21,000 | $13.61 | $285,810 | 136,000 |
| AVK | 2019-01-16 | Buy | 21,000 | $13.61 | $285,810 | 151,508 |
| AVK | 2019-01-09 | Buy | 15,000 | $13.53 | $202,950 | 115,000 |
| AVK | 2018-10-10 | Buy | 20,000 | $14.70 | $294,000 | 100,000 |
