SEC Form 4 · accession 0001179110-16-033505
Advent Claymore Convertible Securities & Income Fund II · AGC
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
Dec 23, 2016
Accepted (ET)
Dec 28, 2016 · 12:01 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001391461
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common SharesF1,F2 | Dec 23, 2016 | P | 42,000 | $5.8503 | A | 367,600 | I | By Advent Capital Management, LLC. See footnotes. |
| Common SharesF1,F2 | Dec 27, 2016 | P | 31,300 | $5.8643 | A | 398,900 | 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 16,000 shares which are directly held by Mr. Maitland.