SEC Form 4 · accession 0001510281-16-000194
ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND · AVK
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Dec 9, 2016
Accepted (ET)
Dec 13, 2016 · 11:47 am EST
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 | Dec 9, 2016 | P | 15,541 | $14.47 | A | 2,485,103 | I | See footnotes 1 and 2 |
| Common StockF1,F2 | Dec 12, 2016 | P | 6,672 | $14.45 | A | 2,491,775 | I | See footnotes 1 and 2 |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The securities reported herein are held by (i) Saba Capital Master Fund, Ltd., a Cayman Islands exempted company (ii) Saba II AIV, L.P., a Delaware limited partnership, (iii) Saba Capital Leveraged Master Fund, Ltd., a Cayman Islands exempted company, (iv) Saba Capital Series LLC Series 1, a Delaware series limited liability company, (v) Saba Capital CEF Opportunities 1 Ltd., a Cayman Islands exempted company, (vi) Saba Capital CEF Opportunities 2, Ltd., a Cayman Islands exempted company. Collectively, the "Saba Funds".
- F2Mr. Boaz R. Weinstein ("Mr. Weinstein") serves as the managing member of Saba Capital Management GP, LLC, the general partner of Saba Capital Management, L.P., a Delaware limited partnership ("Saba Capital"). Saba Capital serves as the investment manager of the Saba Funds. Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.