144: Filer Information
Filer CIK | 0001097278 |
Filer CCC | XXXXXXXX |
Is this a LIVE or TEST Filing? | LIVE TEST |
Submission Contact Information | |
Name | |
Phone | |
E-Mail Address |
Form 144 Filer Information |
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144
NOTICE OF PROPOSED SALE OF SECURITIES
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 | |
FORM 144 |
Filer CIK | 0001097278 |
Filer CCC | XXXXXXXX |
Is this a LIVE or TEST Filing? | LIVE TEST |
Submission Contact Information | |
Name | |
Phone | |
E-Mail Address |
Name of Issuer | ADVENT CONVERTIBLE & INCOME FUND |
SEC File Number | 811-21309 |
Address of Issuer | 888 7th Avenue, 31st Floor New York NEW YORK 10106 |
Phone | 212-482-1600 |
Name of Person for Whose Account the Securities are To Be Sold | ADVENT CAPITAL MANAGEMENT /DE/ |
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account
the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given
as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales
for the account of the person filing this notice.
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Relationship to Issuer | See Note |
Title of the Class of Securities To Be Sold | Name and Address of the Broker | Number of Shares or Other Units To Be Sold | Aggregate Market Value | Number of Shares or Other Units Outstanding | Approximate Date of Sale | Name the Securities Exchange |
---|---|---|---|---|---|---|
Common Shares of Beneficial Interest | BNY Mellon Capital Markets, LLC 101 Barclay St. New York NY 10286 | 59048 | 699719 | 34593769 | 07/14/2023 | NYSE |
Title of the Class | Date you Acquired | Nature of Acquisition Transaction | Name of Person from Whom Acquired | Is this a Gift? | Date Donor Acquired | Amount of Securities Acquired | Date of Payment | Nature of Payment * |
---|---|---|---|---|---|---|---|---|
Common Shares of Beneficial Interest | 10/10/2018 | Purchase | Open Market Purchase | 6000 | 10/12/2018 | Cash | ||
Common Shares of Beneficial Interest | 01/09/2019 | Purchase | Open Market Purchase | 15000 | 01/11/2019 | Cash | ||
Common Shares of Beneficial Interest | 01/16/2019 | Purchase | Open Market Purchase | 21000 | 01/16/2019 | Cash | ||
Common Shares of Beneficial Interest | 04/29/2003 | Founder shares/Dividend Reinvestment | Dividend Reinvestment Program | 17048 | 04/29/2003 | Dividend Reinvest |
Nothing to Report |
Remarks | : 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. |
Date of Notice | 07/14/2023 |
ATTENTION: | |
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date. | |
Signature | /s/ Stephen Ellwood |
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |