Form 4 for AVK ADVENT CONVERTIBLE & INCOME FUND

Accepted 2021-12-29 00:00:00 ET · period of report 2021-12-27 · accession 0001415889-21-006279 · SEC index · Original document

Summary rows

Aggregated the way they appear in lists: one row per insider, transaction code and security table.

X	Filed	Traded	Ticker	Insider	Title	Type	Price	Qty	Owned	ΔOwn	Value
MI	2021-12-29	2021-12-27+	AVK	MAITLAND TRACY V	COB, Pres, CEO, Dir, TRUSTEE	S - Sale	$17.82	-94.0K	144.3K	-39%	-$1.67M

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2021-12-29	S	D	19,000	$17.77	100,298	I By Advent Capital Management, LLC. See Footnotes.	—	—	(F1) Common 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. (F2) Totals include 41,250 shares which are directly held by Mr. Maitland.
2	Common	Common Stock	2021-12-28	S	D	25,000	$17.70	119,298	I By Advent Capital Management, LLC. See Footnotes.	—	—	(F1) Common 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. (F2) Totals include 41,250 shares which are directly held by Mr. Maitland.
3	Common	Common Stock	2021-12-27	S	D	50,000	$17.89	144,298	I By Advent Capital Management, LLC. See Footnotes.	—	—	(F1) Common 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. (F2) Totals include 41,250 shares which are directly held by Mr. Maitland.