AVK

Advent Convertible and Income Fund AVK

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
Parametric Portfolio Associates LLC Delaware. 268030 0 1504244 1504244 4.3 % 12/02/2024
Morgan Stanley Delaware. 268030 0 1504244 1504244 4.3 % 12/02/2024
Parametric Portfolio Associates LLC Delaware. 0 502819 0 2587416 2587416 7.5 % 08/02/2023
Morgan Stanley Delaware. 0 502819 0 2587416 2587416 7.5 % 08/02/2023
Morgan Stanley Delaware. 0 1453399 0 3898868 3898868 11.3 % 09/02/2022
Parametric Portfolio Associates LLC Delaware. 0 1453399 0 3898868 3898868 11.3 % 09/02/2022
Parametric Portfolio Associates LLC Delaware. 0 720179 0 3889630 3889630 11.3 % 10/12/2021
Morgan Stanley Delaware. 0 720179 0 3889630 3889630 11.3 % 10/12/2021
Eaton Vance Management United States of America 1233586 0 4127924 0 4127924 11.96 % 12/04/2021
Eaton Vance Management United States of America 1233586 0 4127924 0 4127924 11.96 % 12/04/2021
RIVERNORTH CAPITAL MANAGEMENT, LLC 751247 2.75 % 14/02/2018
Boaz R. Weinstein 555844 2.77 % 12/02/2018
Saba Capital Management, L.P. 555844 2.77 % 12/02/2018
Saba Capital Management, L.P. 555844 2.77 % 12/02/2018
Boaz R. Weinstein 555844 2.77 % 12/02/2018
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 242762 373503 1.86 % 31/01/2018
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 242762 373503 1.86 % 31/01/2018
Saba Capital Management, L.P. Delaware 0 1335383 0 1335383 1335383 6.66 % 19/09/2017
Saba Capital Management, L.P. Delaware 0 1335383 0 1335383 1335383 6.66 % 19/09/2017
Boaz R. Weinstein United States 0 1335383 0 1335383 1335383 6.66 % 19/09/2017
Boaz R. Weinstein United States 0 1335383 0 1335383 1335383 6.66 % 19/09/2017
RIVERNORTH CAPITAL MANAGEMENT, LLC 1835716 5.7 % 14/02/2017
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 1506555 1596156 6.77 % 23/01/2017
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 1506555 1596156 6.77 % 23/01/2017
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2099638 2165549 9.18 % 09/09/2016
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2099638 2165549 9.18 % 09/09/2016
Boaz R. Weinstein United States 0 1244823 1244823 5.28 % 14/04/2016
Saba Capital Management, L.P. Delaware 0 1244823 1244823 5.28 % 14/04/2016
Boaz R. Weinstein United States 0 1244823 1244823 5.28 % 14/04/2016
Saba Capital Management, L.P. Delaware 0 1244823 1244823 5.28 % 14/04/2016
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3573703 3630591 15.4 % 14/01/2016
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3573703 3630591 15.4 % 14/01/2016
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3684587 3743164 15.87 % 10/12/2015
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3684587 3743164 15.87 % 10/12/2015
Ft Trust Portfolios L.P.: Ft Trust Advisors L.P.: The Charger Corporation: Illinois USA 0 0 0 5052860 5108432 21.66 % 13/02/2015
Ft Trust Portfolios L.P.: Ft Trust Advisors L.P.: The Charger Corporation: Illinois USA 0 0 0 5052860 5108432 21.66 % 13/02/2015
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 4223402 4266057 18.09 % 31/01/2014
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 4223402 4266057 18.09 % 31/01/2014
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2986779 2986779 12.67 % 25/01/2013
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2986779 2986779 12.67 % 25/01/2013
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 0 0 0 0 0 0 % 04/01/2013
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3238143 3238143 13.73 % 10/12/2012
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3238143 3238143 13.73 % 10/12/2012
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 4567891 4567891 19.4 % 06/02/2012
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 4567891 4567891 19.4 % 06/02/2012
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. #161290558 New York 1246 0 1246 0 1246 11.89 % 03/02/2012
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. #161290558 New York 1105 0 1105 0 1105 10.5 % 10/11/2011
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 5645625 5645625 23.9 % 08/04/2011
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 5645625 5645625 23.9 % 08/04/2011
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 4214382 4214382 17.9 % 11/01/2011
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 4214382 4214382 17.9 % 11/01/2011
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3876748 3876748 16.4 % 09/12/2010
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 3876748 3876748 16.4 % 09/12/2010
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2446466 2446466 10.4 % 09/07/2010
First Trust Advisors L.P. The Charger Corporation Illinois, U.S.A. 0 0 0 2446466 2446466 10.4 % 09/07/2010
Bank of America Corporation Delaware 0 3964 0 3964 3964 37.9 % 12/03/2010
Merrill Lynch, Pierce, Fenner & Smith, Inc. Delaware 101 0 101 0 101 1 % 12/03/2010
Bank of America, N.A. United States 0 22 0 22 22 0.2 % 12/03/2010
Blue Ridge Investments, L.L.C. Delaware 3841 0 3841 0 3841 36.7 % 12/03/2010
First Trust Advisors L.P. Illinois, U.S.A. 0 1228725 0 1228725 1228725 5.2 % 10/02/2010
First Trust Portfolios L.P. Illinois, U.S.A. 0 1228725 0 1228725 1228725 5.2 % 10/02/2010
The Charger Corporation Illinois, U.S.A. 0 1228725 0 1228725 1228725 5.2 % 10/02/2010
Wetherby Asset Management, Inc. California, United States 1742 0 11057 0 11057 0.05 % 28/01/2010
Wetherby Asset Management, Inc. California, United States 1742 0 11057 0 11057 0.05 % 28/01/2010
Merrill Lynch, Pierce, Fenner & Smith, Inc. Delaware 0 0 3942 3942 18.8 % 20/01/2010
Bank of America, N.A. United States 0 0 3863 3863 18.4 % 20/01/2010
Bank of America Corporation Delaware 0 0 7805 7805 37.2 % 20/01/2010
Merrill Lynch, Pierce, Fenner & Smith, Inc. Delaware 0 0 4999 4999 36.8 % 20/01/2010
Bank of America, N.A. United States 0 0 4948 4948 36.4 % 20/01/2010
Bank of America Corporation Delaware 0 0 9947 9947 73.2 % 20/01/2010

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District