Every SEC Form 3/4/5 on record for this filer (CIK 1631552) — 3 issuers, 6 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 | V.P. & Assistant Secretary | 2018-08-28 → 2024-10-18 | 3 | $58,298 |
| AGC | Advent Claymore Convertible Securities & Income Fund II | V.P. & Assistant Secretary · lapsed | 2017-08-23 → 2017-08-23 | 1 | −$49,200 |
| LCM | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND | V.P. & Assistant Secretary · lapsed | 2017-08-21 → 2017-08-21 | 1 | $28,840 |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| AVK | 2024-10-17 | Buy | 2,300 | $11.28 | $25,944 | 9,400 |
| AVK | 2018-09-05 | Buy | 2,066 | $15.66 | $32,354 | 7,100 |
| AGC | 2017-08-23 | Sell | 8,000 | $6.15 | $49,200 | 2,000 |
| LCM | 2017-08-21 | Buy | 3,500 | $8.24 | $28,840 | 8,500 |