SEC Form 4
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
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
  
 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
  
 Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
MAITLAND TRACY V
(Last) (First) (Middle)
888 7TH AVENUE
31ST FLOOR
(Street)
NEW YORK NY 10019
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ADVENT CONVERTIBLE & INCOME FUND [ AVK ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) X Other (specify below)
CHAIRMAN, PRESIDENT & CEO TRUSTEE
3. Date of Earliest Transaction (Month/Day/Year)
10/17/2024
4. If Amendment, Date of Original Filed (Month/Day/Year)
 6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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 10/17/2024 P 11,362(1) A $11.28 45,449 D
Common Stock 5,451(2) D
Common Stock 10/17/2024 P 1,817(3) A $11.28 7,268 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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. The Price and Shares listed are pursuant to the exercise of a rights offering.
2. Due to administrative oversight this account has not been previously reported.
3. The Price and Shares listed are pursuant to the exercise of a rights offering.
/s/ Tracy V. Maitland by Mark E. Mathiasen Pursuant to a Power of Attorney 10/21/2024
** 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.

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





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





Advent Convertible and I... (NYSE:AVK)
Historical Stock Chart
From Nov 2024 to Dec 2024 Click Here for more Advent Convertible and I... Charts.
Advent Convertible and I... (NYSE:AVK)
Historical Stock Chart
From Dec 2023 to Dec 2024 Click Here for more Advent Convertible and I... Charts.