AVK · Advent Convertible & Income Fund · Insider Trading
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 4 and 5. Form 3 supplies initial ownership rather than a trade; Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2025-05-01 | Stuebe Nancy E. |
Director |
Buy↑
|
Common Stock
|
600 |
| 2025-02-14 | Stuebe Nancy E. |
Director |
Buy↑
|
Common Stock
|
500 |
| 2024-10-17 | SEIZERT GERALD L |
Director |
Buy↑
Filing footnotes — Common Stock (Indirect)
The Price and Shares listed are pursuant to the exercise of a rights offering. |
Common Stock
(I)
|
1,221 |
| 2024-10-17 | SEIZERT GERALD L |
Director |
Buy↑
Filing footnotes — Common Stock (Indirect)
The Price and Shares listed are pursuant to the exercise of a rights offering. |
Common Stock
(I)
|
1 |
| 2024-10-17 | Black Daniel |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The Price and Shares listed are pursuant to the exercise of a rights offering. |
Common Stock
|
1,000 |
| 2024-10-17 | MAITLAND TRACY V |
Director, CHAIRMAN, PRESIDENT & CEO |
Buy↑
Filing footnotes — Common Stock (Direct)
The Price and Shares listed are pursuant to the exercise of a rights offering. |
Common Stock
|
11,362 |
| 2024-10-17 | SEIZERT GERALD L |
Director |
Buy↑
Filing footnotes — Common Stock (Indirect)
The Price and Shares listed are pursuant to the exercise of a rights offering. |
Common Stock
(I)
|
1 |
| 2024-10-17 | SEIZERT GERALD L |
Director |
Buy↑
Filing footnotes — Common Stock (Indirect)
The Price and Shares listed are pursuant to the exercise of a rights offering. |
Common Stock
(I)
|
2 |
| 2024-10-17 | MAITLAND TRACY V |
Director, CHAIRMAN, PRESIDENT & CEO |
Buy↑
Filing footnotes — Common Stock (Direct)
The Price and Shares listed are pursuant to the exercise of a rights offering. |
Common Stock
|
1,817 |
| 2024-10-17 | SEIZERT GERALD L |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The Price and Shares listed are pursuant to the exercise of a rights offering. |
Common Stock
|
1 |
| 2024-10-17 | SEIZERT GERALD L |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The Price and Shares listed are pursuant to the exercise of a rights offering. |
Common Stock
|
1 |
| 2024-10-17 | Stuebe Nancy E. |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The Price and Shares listed are pursuant to the exercise of a rights offering. |
Common Stock
|
1,576 |
| 2024-10-17 | Huang Tony |
V.P. & Assistant Secretary |
Buy↑
Filing footnotes — Common Stock (Direct)
The Price and Shares listed are pursuant to the exercise of a rights offering. |
Common Stock
|
2,300 |
| 2024-10-17 | NYBERG RONALD |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The Price and Shares listed are pursuant to the exercise of a rights offering. |
Common Stock
|
3,671 |
| 2024-10-17 | Barnes Randall C |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The Price and Shares listed are pursuant to the exercise of a rights offering. |
Common Stock
|
3,785 |
| 2024-05-02 | Stuebe Nancy E. |
Director |
Buy↑
|
Common Stock
|
500 |
| 2024-02-02 | Stuebe Nancy E. |
Director |
Buy↑
|
Common Stock
|
400 |
| 2023-12-20 | MAITLAND TRACY V |
Director, CHAIRMAN, PRESIDENT & CEO |
Sell↓
|
Common Stock
|
7,163 |
| 2023-11-08 | Stuebe Nancy E. |
Director |
Buy↑
|
Common Stock
|
400 |
| 2023-08-02 | Stuebe Nancy E. |
Director |
Buy↑
|
Common Stock
|
375 |
| 2023-07-18 | ADVENT CAPITAL MANAGEMENT /DE/ |
Insider |
Sell↓
|
Common Stock
|
19,048 |
| 2023-07-18 | MAITLAND TRACY V |
Director, CHAIRMAN, PRESIDENT & CEO |
Sell↓
Filing footnotes — Common Stock (Direct)
Common Shares disposed of Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent. Totals include 41,250 shares which are directly held by Mr. Maitland. |
Common Stock
|
19,048 |
| 2023-07-17 | ADVENT CAPITAL MANAGEMENT /DE/ |
Insider |
Sell↓
|
Common Stock
|
10,000 |
| 2023-07-17 | MAITLAND TRACY V |
Director, CHAIRMAN, PRESIDENT & CEO |
Sell↓
Filing footnotes — Common Stock (Indirect)
Common Shares disposed of Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent. Totals include 41,250 shares which are directly held by Mr. Maitland. |
Common Stock
(I)
|
10,000 |
| 2023-07-14 | MAITLAND TRACY V |
Director, CHAIRMAN, PRESIDENT & CEO |
Sell↓
Filing footnotes — Common Stock (Indirect)
Common Shares disposed of Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent. Totals include 41,250 shares which are directly held by Mr. Maitland. |
Common Stock
(I)
|
30,000 |
| 2023-07-14 | ADVENT CAPITAL MANAGEMENT /DE/ |
Insider |
Sell↓
|
Common Stock
|
30,000 |
| 2023-05-16 | Stuebe Nancy E. |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The amount previously reported included a clerical error. This is the corrected amount following this transaction. |
Common Stock
|
345 |
| 2023-05-16 | Stuebe Nancy E. |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The amount previously reported included a clerical error. This is the corrected amount following this transaction. |
Common Stock
|
0 |
| 2023-01-26 | Stuebe Nancy E. |
Director |
Buy↑
|
Common Stock
|
400 |
| 2022-10-24 | Stuebe Nancy E. |
Director |
Buy↑
|
Common Stock
|
450 |
| 2022-05-13 | Stuebe Nancy E. |
Director |
Buy↑
|
Common Stock
|
275 |
| 2022-03-11 | Stuebe Nancy E. |
Director |
Buy↑
|
Common Stock
|
258 |
| 2022-03-11 | Stuebe Nancy E. |
Director |
Buy↑
|
Common Stock
|
0 |
| 2022-01-13 | Barnes Randall C |
Director |
Buy↑
|
Common Stock
|
1,370 |
| 2022-01-10 | Barnes Randall C |
Director |
Buy↑
|
Common Stock
|
1,000 |
| 2022-01-05 | SEIZERT GERALD L |
Director |
Other↑
Filing footnotes — Common Stock (Direct)
This transaction is a transfer in beneficial ownership. Change in beneficial ownership: 1,500 Shares were acquired from the Gerald Lee Seizert Inherited IRA Account and are being transferred into the Gerald Lee Seizert Trust. |
Common Stock
|
1,500 |
| 2022-01-04 | Barnes Randall C |
Director |
Buy↑
|
Common Stock
|
1,000 |
| 2021-12-30 | Stuebe Nancy E. |
Director |
Buy↑
|
Common Stock
|
195 |
| 2021-12-30 | Barnes Randall C |
Director |
Buy↑
|
Common Stock
|
1,000 |
| 2021-12-29 | MAITLAND TRACY V |
Director, CHAIRMAN, PRESIDENT & CEO |
Sell↓
Filing footnotes — Common Stock (Indirect)
Common Shares acquired by Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent. Totals include 41,250 shares which are directly held by Mr. Maitland. |
Common Stock
(I)
|
19,000 |
| 2021-12-29 | ADVENT CAPITAL MANAGEMENT /DE/ |
Insider |
Sell↓
|
Common Stock
|
19,000 |
| 2021-12-28 | MAITLAND TRACY V |
Director, CHAIRMAN, PRESIDENT & CEO |
Sell↓
Filing footnotes — Common Stock (Indirect)
Common Shares acquired by Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent. Totals include 41,250 shares which are directly held by Mr. Maitland. |
Common Stock
(I)
|
25,000 |
| 2021-12-28 | ADVENT CAPITAL MANAGEMENT /DE/ |
Insider |
Sell↓
|
Common Stock
|
25,000 |
| 2021-12-27 | MAITLAND TRACY V |
Director, CHAIRMAN, PRESIDENT & CEO |
Sell↓
Filing footnotes — Common Stock (Indirect)
Common Shares acquired by Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent. Totals include 41,250 shares which are directly held by Mr. Maitland. |
Common Stock
(I)
|
50,000 |
| 2021-12-27 | ADVENT CAPITAL MANAGEMENT /DE/ |
Insider |
Sell↓
|
Common Stock
|
50,000 |
| 2021-11-22 | SEIZERT GERALD L |
Director |
Sell↓
|
Common Stock
(I)
|
5,000 |
| 2021-11-22 | SEIZERT GERALD L |
Director |
Sell↓
|
Common Stock
(I)
|
5,000 |
| 2021-11-22 | SEIZERT GERALD L |
Director |
Sell↓
|
Common Stock
(I)
|
700 |
| 2021-11-22 | SEIZERT GERALD L |
Director |
Sell↓
|
Common Stock
|
13,190 |
| 2021-09-20 | Stuebe Nancy E. |
Director |
Buy↑
|
Common Stock
|
185 |