SEC Form 4 · accession 0001179110-17-012326
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
Sep 13, 2017
Accepted (ET)
Sep 15, 2017 · 4:24 pm EDT
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 StockF1,F2 | Sep 13, 2017 | S | 88,456 | $6.1077 | D | 406,544 | I | By Advent Capital Management, LLC. See Footnotes. |
| Common StockF1,F2 | Sep 13, 2017 | S | 156,151 | $6.4876 | D | 250,393 | I | By Advent Capital Management, LLC. See Footnotes. |
| Common StockF1,F2 | Sep 14, 2017 | S | 150,000 | $6.0231 | D | 100,393 | I | By Advent Capital Management, LLC. See Footnotes. |
| Common StockF1,F2 | Sep 15, 2017 | S | 74,393 | $6.0078 | D | 26,000 | 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.