0001415889-21-006279.txt : 20211229 0001415889-21-006279.hdr.sgml : 20211229 20211229170018 ACCESSION NUMBER: 0001415889-21-006279 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211227 FILED AS OF DATE: 20211229 DATE AS OF CHANGE: 20211229 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MAITLAND TRACY V CENTRAL INDEX KEY: 0001251345 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-21309 FILM NUMBER: 211529579 MAIL ADDRESS: STREET 1: 10865 AVENUE OF THE AMERICAS, STREET 2: 31ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT CONVERTIBLE & INCOME FUND CENTRAL INDEX KEY: 0001219120 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 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 4 1 form4-12292021_021204.xml X0306 4 2021-12-27 0001219120 ADVENT CONVERTIBLE & INCOME FUND AVK 0001251345 MAITLAND TRACY V 888 7TH AVENUE 31ST FLOOR NEW YORK NY 10019 true true false true CHAIRMAN, PRESIDENT & CEO TRUSTEE Common Stock 2021-12-27 4 S 0 50000 17.8874 D 144298 I By Advent Capital Management, LLC. See Footnotes. Common Stock 2021-12-28 4 S 0 25000 17.7018 D 119298 I By Advent Capital Management, LLC. See Footnotes. Common Stock 2021-12-29 4 S 0 19000 17.7677 D 100298 I By Advent Capital Management, LLC. See Footnotes. Common Shares acquired by Advent Capital Management, LLC ("Advent"), the Fund's investment manager. Mr. Maitland may be deemed to indirectly beneficially own Common Shares owned by Advent, by virtue of his control of Advent. Totals include 41,250 shares which are directly held by Mr. Maitland. /s/ Tracy V. Maitland, by Mark Mathiasen pursuant to Power of Attorney 2021-12-29 EX-24 2 ex24-12292021_021204.htm ex24-12292021_021204.htm

POWER OF ATTORNEY


The undersigned, being a person required to file statements under Section 16(a) of the Securities Exchange Act of 1934 (the “1934 Act”) and Section 30(h) of the Investment Company Act of 1940 (the “1940 Act”) with respect to Advent Convertible and Income Fund (“AVK”), hereby authorizes, designates and appoints Amy J. Lee, Mark E. Mathiasen and Michael P. Megaris to act as such person’s true and lawful attorney-in-fact and agents, each with full power of substitution and resubstitution and full power to act alone and without the other, for the undersigned and in the undersigned’s name, place and stead, in any and all capacities, to execute, acknowledge, deliver and file any and all statements on Form 3, Form 4 and Form 5 and any successor forms adopted by the Securities Exchange Commission (the “Commission”), as required by the 1934 Act and the 1940 Act, and the rules and regulations thereunder, and to take such other actions as such attorney-in-fact may deem necessary or appropriate in connection with such statements (including without limitation, completing, executing and filing with the Commission an application for EDGAR codes (i.e., Central Index Key (“CIK”) and the CIK confirmation code (“CCC”)) on Form ID) hereby confirming and ratifying all actions that such attorney-in-fact has taken or may take in reliance hereon.  This power of attorney supersedes any previous versions of same, and shall be valid from the date hereof until the undersigned no longer has an obligation to file statements under the acts cited above with respect to AVK, or until specifically revoked by the undersigned, and shall be automatically revoked with respect to any attorney in the event that such attorney is no longer affiliated with AVK or its affiliates.


IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney on the 16th day of June, 2020.





Signature:




/s/ Tracy V. Maitland

Tracy V. Maitland, Interested Trustee