Every SEC Form 3/4/5 on record for this filer (CIK 1251345) — 3 issuers, 47 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 | CHAIRMAN, PRESIDENT & CEO · Director | 2018-08-29 → 2024-10-21 | 13 | $27,326 |
| AGC | Advent Claymore Convertible Securities & Income Fund II | Director · lapsed | 2016-08-31 → 2017-11-14 | 18 | −$184,139 |
| LCM | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND | Director · lapsed | 2015-07-16 → 2015-07-16 | 1 | $138,600 |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| AVK | 2024-10-17 | Buy | 1,817 | $11.28 | $20,496 | 7,268 |
| AVK | 2024-10-17 | Buy | 11,362 | $11.28 | $128,163 | 45,449 |
| AVK | 2023-12-20 | Sell | 7,163 | $11.17 | $80,011 | 34,087 |
| AVK | 2023-07-18 | Sell | 19,048 | $11.72 | $223,243 | 41,250 |
| AVK | 2023-07-17 | Sell | 10,000 | $11.68 | $116,800 | 60,298 |
| AVK | 2023-07-14 | Sell | 30,000 | $11.68 | $350,400 | 70,298 |
| AVK | 2021-12-29 | Sell | 19,000 | $17.77 | $337,630 | 100,298 |
| AVK | 2021-12-28 | Sell | 25,000 | $17.70 | $442,500 | 119,298 |
| AVK | 2021-12-27 | Sell | 50,000 | $17.89 | $894,500 | 144,298 |
| AVK | 2019-01-16 | Buy | 21,000 | $13.61 | $285,810 | 177,250 |
