-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, NgK1QVBYGgkvZpfuZH1Qf1HjlbndFtb0mzssl831K4CVxAKPqepyQxu0wQpriYJ3 cQeqfISD77stLkVTjBj2HQ== 0001172661-09-000239.txt : 20090212 0001172661-09-000239.hdr.sgml : 20090212 20090212144735 ACCESSION NUMBER: 0001172661-09-000239 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090212 DATE AS OF CHANGE: 20090212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND CENTRAL INDEX KEY: 0001219120 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-81420 FILM NUMBER: 09594113 MAIL ADDRESS: STREET 1: 1065 AVENUE OF THE AMERICAS STREET 2: 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WETHERBY ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0001279627 IRS NUMBER: 943112753 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 417 MONTGOMERY STREET STREET 2: THIRD FL CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 415-399-9159 MAIL ADDRESS: STREET 1: 417 MONTGOMERY STREET STREET 2: THIRD FL CITY: SAN FRANCISCO STATE: CA ZIP: 94104 SC 13G 1 avk123108.txt SCHEDULE 13G HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Advent Claymore Convertible Securities and Income Fund (Name of Issuer) Common Stock (Title of Class of Securities) 00764C109 (CUSIP Number) December 31, 2008 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 00764C109 1. Names of Reporting Person Wetherby Asset Management, Inc. 2. Check the Appropriate Box if a Member Of a Group [ ] (a) [ ] (b) 3. SEC Use Only 4. Citizenship or Place of Organization California, United States 5. Sole Voting Power: 0 Number of Shares 6. Shared Voting Power: 1,020,826 Beneficially Owned by 7. Sole Dispositive Power: 1,264,944 Each Reporting Person With 8. Shared Dispositive Power: 0 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,264,944 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares 11. Percent of Class Represented by Amount in Row (9) 5.37% 12. Type of Reporting Person IA Item 1. (a) Issuer: Advent Claymore Convertible Securities and Income Fund (b) Address of Issuer's Principal Executive Offices: 1065 Avenue of the Americas 31st Floor New York, NY 10018 Item 2. (a) Name of Person Filing: Wetherby Asset Management, Inc. (b) Address of Principal Business Offices: 417 Montgomery Street Third Floor San Francisco, CA 94104 (c) Citizenship: Please refer to Item 4 on each cover sheet for each Reporting Person (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 00764C109 Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) |_| Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); (b) |_| Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); (c) |_| Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); (d) |_| Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8); (e) |X| An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E); (f) |_| An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); (g) |_| A parent holding company or control person in accordance with ss.240.13d- 1(b)(1)(ii)(G); (h) |_| A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) |_| A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) |_| A non-U.S. institution in accordance with ss.240.13d-1(b)(1)(ii)(J); (k) |_| Group, in accordance with ss.240.13d-1(b)(1)(ii)(K). Item 4. Ownership Please see Items 5 - 9 and 11 on each cover sheet for each Reporting Person Item 5. Ownership of Five Percent or Less of a Class Not Applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person Not Applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company Not Applicable Item 8. Identification and Classification of Members of the Group Not Applicable Item 9. Notice of Dissolution of Group Not Applicable Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 12, 2009 Wetherby Asset Management, Inc. By: /s/ Allan K. Jacobi -------------------------- Name: Allan K. Jacobi Title: Chief Compliance Officer -----END PRIVACY-ENHANCED MESSAGE-----