ADVENT CONVERTIBLE & INCOME FUND — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| MAITLAND TRACY V | Chairman, President & CEO | Purchase | 6,000 | $15.69 | $94,140 | 121,250 | Sep 27, 2018 |
| ADVENT CAPITAL MANAGEMENT /DE/ | — | Purchase | 6,000 | $15.69 | $94,140 | 80,000 | Sep 27, 2018 |
| MAITLAND TRACY V | Chairman, President & CEO | Purchase | 12,000 | $15.70 | $188,400 | 103,250 | Sep 10, 2018 |
| ADVENT CAPITAL MANAGEMENT /DE/ | — | Purchase | 12,000 | $15.71 | $188,520 | 74,000 | Sep 7, 2018 |
| SEIZERT GERALD L | — | Purchase | 1,500 | $15.65 | $23,475 | 134,081 | Sep 6, 2018 |
| ADVENT CAPITAL MANAGEMENT /DE/ | — | Purchase | 12,000 | $15.69 | $188,280 | 12,000 | Sep 6, 2018 |
| MAITLAND TRACY V | Chairman, President & CEO | Purchase | 38,000 | $15.68 | $595,840 | 91,250 | Sep 5, 2018 |
| Huang Tony | V.P. & Assistant Secretary | Purchase | 2,066 | $15.66 | $32,354 | 7,100 | Sep 5, 2018 |
| MAITLAND TRACY V | Chairman, President & CEO | Other | 5,808 | $0.36 | $2,091 | 21,445 | Aug 27, 2018 |
| MEDINA DEREK | — | Other | 891 | $0.50 | $446 | 2,902 | Aug 27, 2018 |
| SEIZERT GERALD L | — | Other | 35,741 | $0.36 | $12,867 | 90,635 | Aug 27, 2018 |
| SMART MICHAEL A | — | Other | 1,162 | $0.36 | $418 | 2,412 | Aug 27, 2018 |
| LATRONICA PAUL | — | Other | 2,700 | $0.36 | $972 | 3,088 | Aug 27, 2018 |
| Huang Tony | V.P. & Assistant Secretary | Other | 726 | $0.36 | $261 | 826 | Aug 27, 2018 |
| Black Daniel | — | Other | 2,837 | $0.50 | $1,418 | 10,874 | Aug 27, 2018 |
| NYBERG RONALD | — | Other | 567 | $0.36 | $204 | 2,482 | Aug 27, 2018 |
| Barnes Randall C | — | Other | 1,895 | $0.50 | $948 | 6,346 | Aug 27, 2018 |
| Saba Capital Management, L.P. | — | Sale | 6,609 | $16.21 | $107,132 | 2,357,824 | Aug 30, 2017 |
| Weinstein Boaz | — | Sale | 41,399 | $16.02 | $663,212 | 2,417,600 | Aug 28, 2017 |
| Saba Capital Management, L.P. | — | Sale | 9,800 | $16.07 | $157,486 | 2,461,199 | Aug 24, 2017 |
| Weinstein Boaz | — | Sale | 16,554 | $15.98 | $264,533 | 2,479,119 | Aug 22, 2017 |
| Saba Capital Management, L.P. | — | Sale | 1,063 | $16.00 | $17,008 | 2,503,732 | Aug 21, 2017 |
| Weinstein Boaz | — | Sale | 7,210 | $16.04 | $115,648 | 2,504,795 | Aug 17, 2017 |
| Saba Capital Management, L.P. | — | Sale | 8,500 | $16.18 | $137,530 | 2,512,005 | Aug 10, 2017 |
| Saba Capital Management, L.P. | — | Sale | 36,803 | $16.39 | $603,201 | 2,520,505 | Aug 8, 2017 |
| Saba Capital Management, L.P. | — | Sale | 2,000 | $16.42 | $32,840 | 2,557,308 | Aug 4, 2017 |
| Weinstein Boaz | — | Sale | 30,684 | $16.71 | $512,730 | 2,594,645 | Aug 2, 2017 |
| Saba Capital Management, L.P. | — | Purchase | 1,899 | $15.03 | $28,542 | 2,625,329 | Jan 17, 2017 |
| Saba Capital Management, L.P. | — | Purchase | 11,012 | $15.26 | $168,043 | 2,623,430 | Jan 6, 2017 |
| Weinstein Boaz | — | Purchase | 2,900 | $14.96 | $43,384 | 2,608,106 | Jan 4, 2017 |
| Weinstein Boaz | — | Purchase | 1,600 | $14.66 | $23,456 | 2,594,506 | Dec 29, 2016 |
| Weinstein Boaz | — | Purchase | 13,329 | $14.66 | $195,403 | 2,589,383 | Dec 21, 2016 |
| Saba Capital Management, L.P. | — | Purchase | 27,701 | $14.66 | $406,097 | 2,576,054 | Dec 15, 2016 |
| Weinstein Boaz | — | Purchase | 2,609 | $14.48 | $37,778 | 2,494,384 | Dec 14, 2016 |
| Weinstein Boaz | — | Purchase | 6,672 | $14.45 | $96,410 | 2,491,775 | Dec 9, 2016 |
| Saba Capital Management, L.P. | — | Purchase | 24,739 | $14.42 | $356,736 | 2,469,562 | Dec 8, 2016 |
| SEIZERT GERALD L | — | Purchase | 200 | $13.42 | $2,684 | 8,829 | Nov 4, 2016 |
| Weinstein Boaz | — | Purchase | 1,243 | $13.62 | $16,930 | 2,444,823 | Nov 2, 2016 |
| Weinstein Boaz | — | Purchase | 1,400 | $15.19 | $21,266 | 2,443,580 | Sep 1, 2016 |
| Weinstein Boaz | — | Purchase | 4,883 | $14.69 | $71,731 | 2,423,531 | Aug 11, 2016 |
| Black Daniel | — | Purchase | 2,000 | $13.71 | $27,420 | 4,031 | Jan 5, 2016 |
| SEIZERT GERALD L | — | Purchase | 3,900 | $14.55 | $56,745 | 45,500 | Aug 26, 2015 |
| SEIZERT GERALD L | — | Purchase | 30,912 | $15.55 | $480,678 | 41,600 | Aug 14, 2015 |
| SEIZERT GERALD L | — | Purchase | 30,912 | $15.55 | $480,678 | 61,671 | Aug 14, 2015 |
| Huang Tony | V.P. & Assistant Secretary | Purchase | — | — | — | 100 | Jan 16, 2015 |
| Huang Tony | V.P. & Assistant Secretary | Purchase | 10,000 | $6.27 | $62,700 | 10,000 | Jan 16, 2015 |
| LATRONICA PAUL | — | Sale | 300 | $16.22 | $4,866 | — | Jan 12, 2015 |
| LATRONICA PAUL | — | Sale | 300 | $16.22 | $4,866 | — | Jan 12, 2015 |
| SEIZERT GERALD L | — | Purchase | 2,500 | $16.24 | $40,600 | 30,759 | Dec 30, 2014 |
| SEIZERT GERALD L | — | Purchase | 2,000 | $16.25 | $32,500 | 28,259 | Dec 30, 2014 |