Rivernorth Capital Management, LLC Advent Convertible & Income Fund Transaction History

Rivernorth Capital Management, LLC

$1.8 Billion
Q3 2024

Shares

15 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q1 2021 May 17, 2021	SELL	$16.28 - $17.92 $5.98 Million - $6.58 Million	-367,156 Closed	0 $0
Q4 2020 Feb 16, 2021	BUY	$13.62 - $16.64 $758,347 - $926,498	55,679 Added 17.88%	367,156 $6.07 Million
Q3 2020 Nov 16, 2020	SELL	$13.1 - $14.57 $21,104 - $23,472	-1,611 Reduced 0.51%	311,477 $4.3 Million
Q2 2020 Aug 14, 2020	SELL	$9.7 - $13.94 $452,757 - $650,663	-46,676 Reduced 12.97%	313,088 $4.1 Million
Q1 2020 May 18, 2020	SELL	$8.04 - $16.17 $993,205 - $2 Million	-123,533 Reduced 25.56%	359,764 $3.83 Million
Q4 2019 Feb 14, 2020	SELL	$14.35 - $15.55 $2.71 Million - $2.94 Million	-189,191 Reduced 28.13%	483,297 $7.52 Million
Q3 2019 Nov 14, 2019	SELL	$14.08 - $15.11 $949,766 - $1.02 Million	-67,455 Reduced 9.12%	672,488 $9.81 Million
Q2 2019 Aug 14, 2019	SELL	$14.02 - $15.14 $1.76 Million - $1.9 Million	-125,253 Reduced 14.48%	739,943 $11.1 Million
Q1 2019 May 15, 2019	SELL	$12.5 - $14.76 $1.06 Million - $1.25 Million	-84,759 Reduced 8.92%	865,196 $12.8 Million
Q4 2018 Feb 14, 2019	BUY	$12.12 - $15.82 $3.75 Million - $4.9 Million	309,685 Added 48.37%	949,955 $11.9 Million
Q3 2018 Nov 15, 2018	BUY	$15.27 - $15.87 $5.61 Million - $5.83 Million	367,219 Added 134.49%	640,270 $10 Million
Q2 2018 Aug 14, 2018	SELL	$14.86 - $15.73 $1.87 Million - $1.98 Million	-126,028 Reduced 31.58%	273,051 $4.18 Million
Q1 2018 May 15, 2018	SELL	$15.01 - $16.5 $1.47 Million - $1.62 Million	-97,990 Reduced 19.71%	399,079 $6.02 Million
Q4 2017 Feb 14, 2018	BUY	$15.47 - $16.44 $103,432 - $109,917	6,686 Added 1.36%	497,069 $7.89 Million
Q3 2017 Nov 14, 2017	BUY	$15.85 - $16.68 $7.77 Million - $8.18 Million	490,383	490,383 $7.96 Million

Others Institutions Holding AVK

# of Institutions

97

Shares Held

10.7M

Call Options Held

0

Put Options Held

0

Morgan Stanley New York, NY

1.57M
Shares

$18.5 Million
0.0% of portfolio
Penserra Capital Management LLC Orinda, CA

996K
Shares

$11.7 Million
0.25% of portfolio
Wells Fargo & Company San Francisco, CA

745K
Shares

$8.79 Million
0.0% of portfolio
Guggenheim Capital LLC Chicago, IL

670K
Shares

$7.9 Million
0.06% of portfolio
Arete Wealth Advisors, LLC Chicago, IL

600K
Shares

$7.07 Million
0.31% of portfolio

About ADVENT CONVERTIBLE & INCOME FUND

Ticker AVK
Exchange NYSE
Sector Financial Services
Industry Asset Management
Description
Advent Claymore Convertible Securities and Income Fund is a closed-ended fixed income mutual fund launched and managed by Advent Capital Management, LLC. The fund primarily invests in the fixed income markets of the United States. It seeks to invest in securities of companies operating across the diversified sectors. The fund invests approximate...

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