Thomas J. Herzfeld Advisors, Inc. Advent Convertible & Income Fund Transaction History

Thomas J. Herzfeld Advisors, Inc.

$300 Billion
Q3 2024

Shares

12 transactions

Quarter	Operation	Price Per share	shares change	shares Held	SEC Form
Q4 2021 Feb 14, 2022	SELL	$17.37 - $19.39 $97,028 - $108,312	-5,586 Closed	0 $0
Q3 2021 Nov 12, 2021	SELL	$17.98 - $19.81 $2.67 Million - $2.95 Million	-148,675 Reduced 96.38%	5,586 $100,000
Q2 2021 Aug 16, 2021	SELL	$17.74 - $19.72 $811,409 - $901,973	-45,739 Reduced 22.87%	154,261 $2.97 Million
Q1 2021 May 14, 2021	BUY	$16.28 - $17.92 $3.26 Million - $3.58 Million	200,000 New	200,000 $3.53 Million
Q3 2020 Nov 12, 2020	SELL	$13.1 - $14.57 $804,693 - $894,991	-61,427 Closed	0 $0
Q2 2020 Aug 12, 2020	SELL	$9.7 - $13.94 $482,720 - $693,724	-49,765 Reduced 44.76%	61,427 $854,000
Q1 2020 May 13, 2020	BUY	$8.04 - $16.17 $363,721 - $731,514	45,239 Added 68.59%	111,192 $1.18 Million
Q4 2019 Feb 14, 2020	BUY	$14.35 - $15.55 $573,985 - $621,984	39,999 Added 154.11%	65,953 $1.03 Million
Q2 2019 Aug 13, 2019	SELL	$14.02 - $15.14 $212,501 - $229,476	-15,157 Reduced 36.87%	25,954 $391,000
Q1 2019 May 14, 2019	BUY	$12.5 - $14.76 $140,550 - $165,961	11,244 Added 37.65%	41,111 $607,000
Q4 2018 Feb 14, 2019	BUY	$12.12 - $15.82 $217,578 - $284,000	17,952 Added 150.67%	29,867 $375,000
Q3 2018 Nov 14, 2018	BUY	$15.27 - $15.87 $181,942 - $189,091	11,915 New	11,915 $187,000

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

$18.7 Million
0.0% of portfolio
Penserra Capital Management LLC Orinda, CA

996K
Shares

$11.9 Million
0.25% of portfolio
Wells Fargo & Company San Francisco, CA

745K
Shares

$8.88 Million
0.0% of portfolio
Guggenheim Capital LLC Chicago, IL

670K
Shares

$7.98 Million
0.06% of portfolio
Arete Wealth Advisors, LLC Chicago, IL

600K
Shares

$7.15 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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