FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND [ LCM ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 03/10/2014 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 03/11/2014 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 03/10/2014 | J | 584(1) | A | $10.416 | 31,954(3) | D | |||
Common Stock | 03/10/2014 | J | 584(2) | D | $10.404 | 31,370 | D |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. My original filing inadvertently omitted an explanatory statement for this transaction and used the incorrect transaction code. On March 10, 2014, I sold 584 shares of LCM held in my Credit Suisse account and simultaneously purchased 584 shares of LCM for my IRA account. These transactions did not result in any change in my continuous beneficial ownership of 584 shares of LCM. The effect of these transactions was to transfer legal ownership (but not beneficial ownership) of 584 shares of LCM from my Credit Suisse Account to my IRA account. The correct transaction code for my purchase of 584 shares for my IRA account was "J" for "other acquisition or disposition." |
2. My original filing inadvertently omitted an explanatory statement for this transaction and used the incorrect transaction code. On March 10, 2014, I sold 584 shares of LCM held in my Credit Suisse account and simultaneously purchased 584 shares of LCM for my IRA account. These transactions did not result in any change in my continuous beneficial ownership of 584 shares of LCM. The effect of these transactions was to transfer legal ownership (but not beneficial ownership) of 584 shares of LCM from my Credit Suisse Account to my IRA account. The correct transaction code for my sale of 584 shares of LCM held in my Credit Suisse account was "J" for "other acquisition or disposition." |
3. The total after purchase of 584 shares was inadvertently deducted and reported as 30,786 when it should have been added to bring the total shares to 31,954. |
/s/ Doug Teresko by Mark E. Mathiasen pursuant to Power of Atty | 03/14/2014 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |