Rockefeller Capital Management L.P. Advent Convertible & Income Fund Transaction History

Rockefeller Capital Management L.P.

$36.3 Billion
Q3 2024

Shares

15 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q1 2024 May 14, 2024	SELL	$11.08 - $12.1 $52,208 - $57,015	-4,712 Reduced 20.22%	18,594 $222,000
Q4 2023 Feb 14, 2024	SELL	$9.27 - $11.5 $51,949 - $64,446	-5,604 Reduced 19.38%	23,306 $265,000
Q3 2023 Nov 14, 2023	BUY	$10.39 - $11.96 $3,678 - $4,233	354 Added 1.24%	28,910 $303,000
Q2 2023 Aug 14, 2023	BUY	$11.01 - $11.88 $18,948 - $20,445	1,721 Added 6.41%	28,556 $334,000
Q1 2023 May 17, 2023	BUY	$11.06 - $13.13 $2,975 - $3,531	269 Added 1.01%	26,835 $310,000
Q4 2022 Mar 06, 2023	BUY	$10.43 - $12.32 $2,847 - $3,363	273 Added 1.04%	26,566 $289,000
Q3 2022 Nov 02, 2022	SELL	$10.63 - $14.7 $31,432 - $43,467	-2,957 Reduced 10.11%	26,293 $279,000
Q2 2022 Aug 12, 2022	BUY	$11.75 - $15.91 $30,890 - $41,827	2,629 Added 9.88%	29,250 $352,000
Q1 2022 May 13, 2022	SELL	$14.45 - $18.43 $17,267 - $22,023	-1,195 Reduced 4.3%	26,621 $416,000
Q4 2021 Feb 14, 2022	BUY	$17.37 - $19.39 $226,904 - $253,291	13,063 Added 88.54%	27,816 $513,000
Q3 2021 Nov 12, 2021	BUY	$17.98 - $19.81 $64,386 - $70,939	3,581 Added 32.05%	14,753 $265,000
Q2 2021 Aug 10, 2021	BUY	$17.74 - $19.72 $13,695 - $15,223	772 Added 7.42%	11,172 $215,000
Q1 2021 May 11, 2021	BUY	$16.28 - $17.92 $47,212 - $51,968	2,900 Added 38.67%	10,400 $183,000
Q4 2020 Feb 12, 2021	BUY	$13.62 - $16.64 $68,100 - $83,200	5,000 Added 200.0%	7,500 $123,000
Q2 2020 Aug 12, 2020	BUY	$9.7 - $13.94 $24,250 - $34,850	2,500 New	2,500 $33,000

Others Institutions Holding AVK

# of Institutions

95

Shares Held

11.2M

Call Options Held

0

Put Options Held

0

Morgan Stanley New York, NY

1.57M
Shares

$19.1 Million
0.0% of portfolio
Penserra Capital Management LLC Orinda, CA

996K
Shares

$12.1 Million
0.25% of portfolio
Absolute Investment Advisers LLC

797K
Shares

$9.67 Million
1.21% of portfolio
Wells Fargo & Company San Francisco, CA

745K
Shares

$9.04 Million
0.0% of portfolio
Guggenheim Capital LLC Chicago, IL

670K
Shares

$8.13 Million
0.06% 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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