Form 4 for AVK ADVENT CONVERTIBLE & INCOME FUND

Accepted 2023-07-18 00:00:00 ET · period of report 2023-07-14 · accession 0001415889-23-011242 · 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
	2023-07-18	2023-07-18	AVK	MAITLAND TRACY V	COB, Pres, CEO, Dir, TRUSTEE	S - Sale	$11.72	-19.0K	41.2K	-32%	-$223.2K
MI	2023-07-18	2023-07-14+	AVK	MAITLAND TRACY V	COB, Pres, CEO, Dir, TRUSTEE	S - Sale	$11.68	-40.0K	60.3K	-40%	-$467.2K

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	2023-07-18	S	D	19,048	$11.72	41,250	D	—	—	(F1) Common Shares disposed of 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	2023-07-14	S	D	30,000	$11.68	70,298	I By Advent Capital Management, LLC. See Footnotes.	—	—	(F1) Common Shares disposed of 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	2023-07-17	S	D	10,000	$11.68	60,298	I By Advent Capital Management, LLC. See Footnotes.	—	—	(F1) Common Shares disposed of 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.