0001140361-23-034553.txt : 20230714 0001140361-23-034553.hdr.sgml : 20230714 20230714115645 ACCESSION NUMBER: 0001140361-23-034553 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20230714 DATE AS OF CHANGE: 20230714 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT CONVERTIBLE & INCOME FUND CENTRAL INDEX KEY: 0001219120 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 811-21309 FILM NUMBER: 231088484 BUSINESS ADDRESS: STREET 1: 227 W. MONROE STREET CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-827-0100 MAIL ADDRESS: STREET 1: 227 W. MONROE STREET CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND DATE OF NAME CHANGE: 20030219 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT CAPITAL MANAGEMENT /DE/ CENTRAL INDEX KEY: 0001097278 IRS NUMBER: 134168910 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: STREET 1: 888 SEVENTH AVENUE, 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2124821600 MAIL ADDRESS: STREET 1: 888 SEVENTH AVENUE, 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 144 1 primary_doc.xml 144 0001097278 XXXXXXXX LIVE 0001219120 ADVENT CONVERTIBLE & INCOME FUND 811-21309 888 7th Avenue, 31st Floor New York NY 10106 212-482-1600 ADVENT CAPITAL MANAGEMENT /DE/ See Note Common Shares of Beneficial Interest BNY Mellon Capital Markets, LLC

101 Barclay St. New York NY 10286

59048 699719 34593769 07/14/2023 NYSE Common Shares of Beneficial Interest 10/10/2018 Purchase Open Market Purchase N 6000 10/12/2018 Cash Common Shares of Beneficial Interest 01/09/2019 Purchase Open Market Purchase N 15000 01/11/2019 Cash Common Shares of Beneficial Interest 01/16/2019 Purchase Open Market Purchase N 21000 01/16/2019 Cash Common Shares of Beneficial Interest 04/29/2003 Founder shares/Dividend Reinvestment Dividend Reinvestment Program N 17048 04/29/2003 Dividend Reinvest Y : NOTE: Advent Capital Management, LLC ("Advent"), a Delaware limited liability company, is the entity that is selling the shares of the Issuer referenced herein (the "Shares"). Advent is the investment manager of the Issuer. Tracy V. Maitland is the managing member, President and Chief Investment Officer of Advent and the Chairman, President and Chief Executive Officer of the Issuer. Mr. Maitland may be deemed to indirectly beneficially own Shares owned by Advent, by virtue of his control of Advent, for certain purposes under the Securities Act of 1933, as amended (the "Securities Act"), and/or the Securities Exchange Act of 1934, as amended. 07/14/2023 /s/ Stephen Ellwood