NCV · Virtus Convertible & Income Fund
Trades by corporate insiders — officers, directors and holders of more than 10% of the shares — disclosed to the SEC on Forms 3, 4 and 5. Form 4 must be filed within two business days of the trade.
| Date | Insider | Role | Type | Security | Shares |
|---|---|---|---|---|---|
| 2025-06-16 | MCDANIEL CONNIE D |
Director |
Buy↑
|
Common Stock
|
367 |
| 2024-01-10 | Toms Matthew |
Insider |
Other↑
|
No Securities Owned
|
0 |
| 2023-10-06 | Oberto David J. |
Insider |
Other↓
|
Virtus Convertible & Income Fund
|
138 |
| 2023-05-23 | MCDANIEL CONNIE D |
Director |
Other↑
|
No Securities Owned
|
0 |
| 2023-05-22 | MCNAMARA GERALDINE M |
Director |
Other↑
|
No Securities Owned
|
0 |
| 2022-11-03 | UBS Group AG |
10% Owner |
Other↓
Filing footnotes — Auction Preferred Stock (Indirect)
(Cusip Nos 92838X201, 92838X300, 92838X409, 92838X508, 92838X607) 97.95% of par This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis. This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two wholly owned subsidiaries of UBS Group AG to which UBS Group AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS Group AG to certain clients and pursuant to which the securities reported herein have been purchased from such clients. |
Auction Preferred Stock
(I)
|
8,056 |
| 2022-07-25 | Hurtsellers Christine |
See Remarks |
Other↑
|
No Securities Owned
|
0 |
| 2022-07-25 | VOYA INVESTMENT MANAGEMENT CO |
Insider |
Other↑
|
No Securities Owned
|
0 |
| 2022-07-25 | Costa Vincent J |
Insider |
Other↑
|
No Securities Owned
|
0 |
| 2022-07-25 | Zemsky Paul |
Insider |
Other↑
|
No Securities Owned
|
0 |
| 2022-07-12 | WALTON R KEITH |
Director |
Other↑
|
No Securities Owned
|
0 |
| 2022-03-03 | DeCotis Deborah A |
Director |
Buy↑
|
Common Stock
|
989 |
| 2022-03-01 | YEE MICHAEL |
Portfolio Manager |
Other↑
|
No Securities Owned
|
0 |
| 2022-02-25 | McLoughlin Philip R |
Director |
Buy↑
|
Common Stock
|
2,100 |
| 2022-01-01 | McLoughlin Philip R |
Director |
Other↑
|
No Securities Owned
|
0 |
| 2021-12-21 | AYLWARD GEORGE R |
Director, Director, CEO and President |
Buy↑
Filing footnotes — Common Stock (Direct)
The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $5.66 to $5.68 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
Common Stock
|
8,821 |
| 2021-10-01 | MACLEOD JAMES S |
Director |
Buy↑
Filing footnotes — Common Stock (Direct)
The reported price in Column 4 is a weighted average sale price. These shares were purchased in multiple transactions at prices ranging from $5.93 to $5.95 per share. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote. |
Common Stock
|
12,892 |
| 2021-06-22 | Smirl Richard W |
EVP & Chief Operating Officer |
Other↑
|
No Securities Owned
|
0 |
| 2021-04-29 | Drummond F Ford |
Director |
Buy↑
|
Common Stock
|
1,715 |
| 2021-04-27 | Rappaport Alan |
Director |
Buy↑
|
Common Stock
|
1,000 |
| 2021-02-05 | UBS Group AG |
10% Owner |
Buy↑
Filing footnotes — Common Shares (Indirect)
This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS AG London Branch and UBS Securities LLC, two wholly owned subsidiaries of UBS Group. |
Common Shares
(I)
|
241 |
| 2021-02-05 | UBS Group AG |
10% Owner |
Buy↑
Filing footnotes — Common Shares (Indirect)
This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS AG London Branch and UBS Securities LLC, two wholly owned subsidiaries of UBS Group. |
Common Shares
(I)
|
159 |
| 2021-02-05 | UBS Group AG |
10% Owner |
Buy↑
Filing footnotes — Common Shares (Indirect)
This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS AG London Branch and UBS Securities LLC, two wholly owned subsidiaries of UBS Group. |
Common Shares
(I)
|
50 |
| 2021-02-01 | WALTMAN FRANCIS G |
EVP, Product Management |
Other↑
|
No Securities Owned
|
0 |
| 2021-02-01 | BRADLEY WILLIAM PATRICK III |
EVP, Fund Services |
Other↑
|
No Securities Owned
|
0 |
| 2021-02-01 | AYLWARD GEORGE R |
Director, Director, CEO and President |
Other↑
|
No Securities Owned
|
0 |