Sigma Planning Corp Advent Convertible & Income Fund Transaction History

Sigma Planning Corp

$3.22 Billion
Q3 2024

Shares

11 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q4 2021 Feb 02, 2022	SELL	$17.37 - $19.39 $184,069 - $205,475	-10,597 Closed	0 $0
Q3 2021 Oct 28, 2021	SELL	$17.98 - $19.81 $21,036 - $23,177	-1,170 Reduced 9.94%	10,597 $191,000
Q3 2020 Nov 03, 2020	SELL	$13.1 - $14.57 $13,100 - $14,570	-1,000 Reduced 7.83%	11,767 $163,000
Q3 2019 Nov 01, 2019	BUY	$14.08 - $15.11 $20,697 - $22,211	1,470 Added 13.01%	12,767 $186,000
Q2 2019 Aug 01, 2019	SELL	$14.02 - $15.14 $3,827 - $4,133	-273 Reduced 2.36%	11,297 $170,000
Q1 2019 May 01, 2019	BUY	$12.5 - $14.76 $4,100 - $4,841	328 Added 2.92%	11,570 $171,000
Q4 2018 Jan 31, 2019	SELL	$12.12 - $15.82 $1,405 - $1,835	-116 Reduced 1.02%	11,242 $141,000
Q3 2018 Nov 07, 2018	SELL	$15.27 - $15.87 $2,305 - $2,396	-151 Reduced 1.31%	11,358 $178,000
Q2 2018 Aug 02, 2018	BUY	$14.86 - $15.73 $356 - $377	24 Added 0.21%	11,509 $176,000
Q1 2018 May 11, 2018	SELL	$15.01 - $16.5 $32,676 - $35,920	-2,177 Reduced 15.93%	11,485 $173,000
Q4 2017 Feb 07, 2018	BUY	$15.47 - $16.44 $211,351 - $224,603	13,662	13,662 $217,000

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

$18.6 Million
0.0% of portfolio
Penserra Capital Management LLC Orinda, CA

996K
Shares

$11.8 Million
0.25% of portfolio
Wells Fargo & Company San Francisco, CA

745K
Shares

$8.85 Million
0.0% of portfolio
Guggenheim Capital LLC Chicago, IL

670K
Shares

$7.96 Million
0.06% of portfolio
Arete Wealth Advisors, LLC Chicago, IL

600K
Shares

$7.12 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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