Every SEC Form 3/4/5 on record for this filer (CIK 1251344) — 3 issuers, 57 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| AVK | ADVENT CONVERTIBLE & INCOME FUND | Director | 2015-08-27 → 2024-10-21 | 13 | −$234,842 |
| LCM | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND | Filer · lapsed | 2015-08-27 → 2017-06-05 | 4 | $775,119 |
| AGC | Advent Claymore Convertible Securities & Income Fund II | Filer · lapsed | 2015-08-27 → 2016-11-07 | 4 | $702,829 |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| AVK | 2024-10-17 | Buy | 1 | $11.28 | $11 | 6,739 |
| AVK | 2024-10-17 | Buy | 1 | $11.28 | $11 | 1,001 |
| AVK | 2024-10-17 | Buy | 1 | $11.28 | $11 | 4,024 |
| AVK | 2024-10-17 | Buy | 1 | $11.28 | $11 | 6,116 |
| AVK | 2024-10-17 | Buy | 1,221 | $11.28 | $13,773 | 1,221 |
| AVK | 2024-10-17 | Buy | 2 | $11.28 | $23 | 3,757 |
| AVK | 2021-11-22 | Sell | 13,190 | $18.52 | $244,279 | 10,763 |
| AVK | 2021-11-22 | Sell | 5,000 | $18.52 | $92,600 | 6,816 |
| AVK | 2021-11-22 | Sell | 5,000 | $18.52 | $92,600 | 6,115 |
