SEC Form 4 · accession 0001179110-18-011266
ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND · AVK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tracy V Maitland
Officer — Chairman, President & CEO · Director · Other
Period of report
Sep 7, 2018
Accepted (ET)
Sep 11, 2018 · 11:05 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001219120
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Sep 7, 2018 | P | 12,000 | $15.6975 | A | 103,250 | I | By Advent Capital Management, LLC. See Footnotes. |
| Common StockF1,F2 | Sep 10, 2018 | P | 12,000 | $15.7053 | A | 115,250 | I | By Advent Capital Management, LLC. See Footnotes. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Common 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.
- F2Totals include 41,250 shares which are directly held by Mr. Maitland.