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AVK on NYSE

ADVENT CONVERTIBLE & INCOME FUND

ADVENT CONVERTIBLE & INCOME FUND is a fund registered in the United States, based in New York, active since 2003.2 Its shares trade on NYSE under the symbol AVK.2

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Last updated Oct 21, 2026.

Overview

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  • TickerAVK on NYSE2
  • HeadquartersNew York, United States2
  • Incorporated inDE3
  • Business address227 W. Monroe Street, Chicago, Il 606063
  • Legal formFund2
  • Kind of organizationFund2
  • LEIZEFY1K43K8JK66NIVK502
  • StatusActive2
  • LEI statusIssued and current2
  • Registered addressC/O THE CORPORATION TRUST COMPANY, 19801 Wilmington, United States2
  • Registered withSecurities and Exchange Commission, 00012191202

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Corporate structure

ADVENT CONVERTIBLE & INCOME FUND sits at the top of its group. 1 entity, 1 country on record. Switch between the flow chart and the network, and select any entity to see its details.

Major holders of ADVENT CONVERTIBLE & INCOME FUND

  • SIT INVESTMENT ASSOCIATES INC Filed SCHEDULE 13G/A on ADVENT CONVERTIBLE & INCOME FUND, latest Apr 6, 2026 (2 filings since Jan 3, 2025)
  • Morgan Stanley Filed SC 13G on ADVENT CONVERTIBLE & INCOME FUND, latest Feb 12, 2024 (4 filings since Dec 10, 2021)
  • ADVENT CONVERTIBLE & INCOME FUND New York, New York, United States

Built from parent and subsidiary links from GLEIF, the Global Legal Entity Identifier Foundation (CC0); major holders from Schedules 13D and 13G. Each entity in the chart links to its source.

Leadership

Who has led ADVENT CONVERTIBLE & INCOME FUND, and when. Pick a name to see everywhere that person has worked.

Chief executive

  1. Tracy Maitland V.2008–now

Chair

  1. Tracy Maitland V.2018–now

President

  1. Tracy Maitland V.2008–now
2010201520202025
Board members and other officers (13)

Former names

  • ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUNDFeb 19, 2003 to Apr 15, 20193

Timeline

  1. Dec 18, 20258-K Entered a material agreement; Ended a material agreement17
  2. Sep 23, 20248-K Entered a material agreement; Other events18
  3. Sep 18, 20248-K Regulation FD disclosure19
  4. Dec 19, 2008New chief executive Tracy Maitland V. becomes CEO4
  5. Feb 19, 2003Founded ADVENT CONVERTIBLE & INCOME FUND is founded2

Filings

104 filings to the SEC since October 2021: 3 major events, 33 insider forms, 6 large holders, 62 other. The latest 20:

  1. Sep 29, 2026NPORT-P EDGAR
  2. Aug 24, 2026N-PX EDGAR
  3. Aug 19, 2026DEF 14A AVK EDGAR
  4. Jul 1, 2026N-CSRS AVK EDGAR
  5. Jun 26, 2026NPORT-P EDGAR
  6. Apr 6, 2026SCHEDULE 13G/A EDGAR
  7. Mar 31, 2026NPORT-P EDGAR
  8. Jan 13, 2026N-CEN EDGAR
  9. Dec 29, 2025N-CSR AVK EDGAR
  10. Dec 29, 2025NPORT-P EDGAR
  11. Dec 18, 20258-K AVK EDGAR
  12. Sep 26, 2025NPORT-P EDGAR
  13. Aug 26, 2025N-PX EDGAR
  14. Aug 15, 2025DEF 14A AVK EDGAR
  15. Jul 2, 2025N-CSRS AVK EDGAR
  16. Jun 26, 2025NPORT-P EDGAR
  17. May 1, 20254 EDGAR
  18. Mar 28, 2025NPORT-P EDGAR
  19. Feb 14, 20254 EDGAR
  20. Jan 10, 2025N-CEN EDGAR

The 104 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

38 open-market trades by officers, directors and large owners since October 2021: 24 buys and 14 sales. Grants, option exercises and gifts are left out.

DateWhoTradeSharesPriceValueFiling
May 1, 2025Stuebe Nancy E.DirectorBuy600$11.21$6.7KForm 4
Feb 14, 2025Stuebe Nancy E.DirectorBuy500$12.28$6.1KForm 4
Oct 17, 2024SEIZERT GERALD LDirectorBuy1,227$11.28$13.8KForm 4
Oct 17, 2024Stuebe Nancy E.DirectorBuy1,576$11.28$17.8KForm 4
Oct 17, 2024NYBERG RONALDTrusteeBuy3,671$11.28$41.4KForm 4
Oct 17, 2024MAITLAND TRACY VCHAIRMAN, PRESIDENT & CEOBuy13,179$11.28$148.7KForm 4
Oct 17, 2024Barnes Randall CDirectorBuy3,785$11.28$42.7KForm 4
Oct 17, 2024Black DanielDirectorBuy1,000$11.28$11.3KForm 4
Oct 17, 2024Huang TonyV.P. & Assistant SecretaryBuy2,300$11.28$25.9KForm 4
May 2, 2024Stuebe Nancy E.DirectorBuy500$11.71$5.9KForm 4
Feb 2, 2024Stuebe Nancy E.DirectorBuy400$11.86$4.7KForm 4
Dec 20, 2023MAITLAND TRACY VCHAIRMAN, PRESIDENT & CEOSale7,163$11.17$80.0KForm 4
Nov 8, 2023Stuebe Nancy E.DirectorBuy400$10.25$4.1KForm 4
Aug 2, 2023Stuebe Nancy E.DirectorBuy375$11.84$4.4KForm 4
Jul 18, 2023MAITLAND TRACY VCHAIRMAN, PRESIDENT & CEOSale19,048$11.72$223.2KForm 4
Jul 18, 2023ADVENT CAPITAL MANAGEMENT /DE/Sale19,048$11.72$223.2KForm 4
Jul 17, 2023MAITLAND TRACY VCHAIRMAN, PRESIDENT & CEOSale10,000$11.68$116.8KForm 4
Jul 17, 2023ADVENT CAPITAL MANAGEMENT /DE/Sale10,000$11.68$116.8KForm 4
Jul 14, 2023MAITLAND TRACY VCHAIRMAN, PRESIDENT & CEOSale30,000$11.68$350.4KForm 4
Jul 14, 2023ADVENT CAPITAL MANAGEMENT /DE/Sale30,000$11.68$350.4KForm 4

All 38 trades can be filtered by person here when JavaScript is on.

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 100. Change is in shares since the quarter before.

FundSharesValueShare of the fundChange
Raymond James Financial Inc1,780,142$23.3M0.0%+181,443
Wells Fargo & Company/mn881,999$11.6M0.0%+21,935
Guggenheim Capital LLC801,115$10.5M0.1%+58,052
Advisors Asset Management, Inc.777,357$10.2M0.2%+86,808
LPL Financial LLC528,821$6.9M0.0%−7,484
Morgan Stanley516,337$6.8M0.0%−26,774
Koshinski Asset Management, Inc.481,591$6.3M0.3%+8,774
Wolverine Asset Management LLC361,758$4.7M0.2%+208,760
Arete Wealth Advisors, LLC319,601$4.2M0.3%+1,913
Baird Financial Group, Inc.285,983$3.7M0.0%−794
Fca Corp /tx254,832$3.3M0.8%+15,752
Steward Partners Investment Advisory, LLC248,369$3.3M0.0%+21,557
Rockefeller Capital Management L.P.190,980$2.5M0.0%+183,096
Commonwealth Equity Services, LLC159,498$2.1M0.0%−4,626
Cyndeo Wealth Partners, LLC153,126$2.0M0.1%No change
Creative Planning140,156$1.8M0.0%−808
Osaic Holdings, Inc.117,641$1.5M0.0%+17,549
UBS Group AG109,792$1.4M0.0%+5,492
NewEdge Advisors, LLC96,524$1.3M0.0%+29,770
&partners71,383$933.2K0.0%−1,663
Absolute Investment Advisers, LLC68,584$898.5K0.1%+193
Sanctuary Advisors, LLC67,558$885.0K0.0%+1,293
NWF Advisory Services Inc.67,113$879.2K0.1%−1,974
Bank Of America Corp /de/65,016$851.7K0.0%+4,558
Stifel Financial Corp63,232$828.3K0.0%+6,963

13F reports cover disclosed long positions in U.S. stocks only.

SEC filer profile

How ADVENT CONVERTIBLE & INCOME FUND is registered with the Securities and Exchange Commission, from its EDGAR record and the cover page of its latest annual report.

  • Name on EDGARADVENT CONVERTIBLE & INCOME FUND1
  • CIK0001219120
  • Incorporated inDelaware1
  • Fiscal year endsOctober 311
  • Business address227 W. Monroe Street, Chicago, IL 606061
  • Phone312-827-01001
  • On EDGAR sinceFeb 19, 20031
  • Filings512 in all: 4 (172), N-Q (30), SC 13G/A (30), NPORT-P (28), N-CSR (23), N-CSRS (23), N-PX (23), DEF 14A (22)1
    All 47 form types

    40-17G (16), NSAR-B (15), 3 (14), NSAR-A (13), 4/A (11), SC 13G (9), N-CEN (8), 8-K (7), CORRESP (7), 425 (6), N-2/A (6), SC 13D/A (6), 497 (4), N-2 (4), NPORT-P/A (3), SC 13D (3), 144 (2), 5 (2), EFFECT (2), N-23C-2 (2), SC TO-I (2), SC TO-I/A (2), 3/A (1), 424B2 (1), 497AD (1), 8-A12B (1), CERTNYS (1), DEFA14A (1), N-14 8C (1), N-14 8C/A (1), N-8A (1), N-CSRS/A (1), NPORT-EX (1), POS EX (1), PRE 14A (1), SC TO-C (1), SCHEDULE 13G (1), SCHEDULE 13G/A (1), UPLOAD (1)

  • Latest filingsProxy statement (DEF 14A) Aug 19, 2026
    Latest 8-K (8-K) Dec 18, 2025

Sources

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