AVK - Advent Convertible & Income Fund - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	13	90	-0	1	1	1	2	3	1
P	%wins				74	67	61	63	67	53	64
S	%ret	1	7	25	0	0	-2	-2	-3	-7	-3
S	%wins				72	68	60	48	48	80	63

Filing Date	T Date	Ticker	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
5/2/24 15:24	5/2/24	AVK	Fund	CEF	Closed-End Funds	Stuebe Nancy E.	IL	DH	TRUSTEE	P	6	11.71	0	1	12	5	D
2/2/24 13:11	2/2/24	AVK	Fund	CEF	Closed-End Funds	Stuebe Nancy E.	IL	DH	TRUSTEE	P	5	11.86	0	0	11	4	D
12/22/23 11:56	12/20/23	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	DOH	CB,P,CEO	S	-80	11.17	0	-7	-17	34	D
11/8/23 12:16	11/8/23	AVK	Fund	CEF	Closed-End Funds	Stuebe Nancy E.	IL	DH	TRUSTEE	P	4	10.25	0	0	13	3	D
8/2/23 10:12	8/2/23	AVK	Fund	CEF	Closed-End Funds	Stuebe Nancy E.	IL	DH	TRUSTEE	P	4	11.84	0	0	15	3	D
7/18/23 16:50	7/14/23	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	DOH	CB,P,CEO	S.m	-690	11.69	0	-59	-37	102	M
7/18/23 16:47	7/14/23	AVK	Fund	CEF	Closed-End Funds	Advent Capital Management /De/	NY	H	INVESTME	S.m	-690	11.69	0	-59	-100	0	D
6/13/23 16:49	5/16/23	AVK	Fund	CEF	Closed-End Funds	Stuebe Nancy E.	IL	DH	TRUSTEE	P.a	4	11.59	0	0	16	2	D
5/17/23 10:53	5/16/23	AVK	Fund	CEF	Closed-End Funds	Stuebe Nancy E.	IL	DH	TRUSTEE	P	4	11.59	0	0	14	3	D
1/26/23 16:00	1/26/23	AVK	Fund	CEF	Closed-End Funds	Stuebe Nancy E.	IL	DH	TRUSTEE	P	5	12.36	0	0	24	2	D
10/24/22 11:04	10/24/22	AVK	Fund	CEF	Closed-End Funds	Stuebe Nancy E.	IL	DH	TRUSTEE	P	5	10.71	0	0	39	2	D
5/13/22 10:16	5/13/22	AVK	Fund	CEF	Closed-End Funds	Stuebe Nancy E.	IL	DH	TRUSTEE	P	4	12.84	0	0	33	1	D
3/14/22 10:19	3/11/22	AVK	Fund	CEF	Closed-End Funds	Stuebe Nancy E.	IL	DH	TRUSTEE	P	4	14.68	0	0	46	1	D
1/13/22 12:48	1/13/22	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	P	24	17.87	0	1	14	11	D
1/11/22 10:31	1/10/22	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	P	18	18.20	0	1	11	10	D
1/7/22 16:57	6/7/21	AVK	Fund	CEF	Closed-End Funds	Stuebe Nancy E.	IL	DH	TRUSTEE	P.m	10	18.74	0	1	New	1	D
1/5/22 11:11	1/4/22	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	P	18	18.25	0	1	13	9	D
12/30/21 10:25	12/30/21	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	P	18	17.75	0	1	14	8	D
12/29/21 17:00	12/27/21	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	DOH	CB,P,CEO	S.m	-1,675	17.81	0	-94	-48	100	I
12/29/21 16:57	12/27/21	AVK	Fund	CEF	Closed-End Funds	Advent Capital Management /De/	NY	H	INVESTME	S.m	-1,675	17.81	0	-94	-61	59	D
11/24/21 14:42	11/22/21	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	S	-443	18.52	0	-24	-49	25	M
7/20/21 10:32	7/19/21	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	P	12	18.17	0	1	10	7	D
2/5/20 16:39	1/31/20	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	S	-441	15.48	0	-29	-46	34	M
1/31/20 15:41	1/29/20	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	S.m	-927	15.54	0	-60	-55	49	M
12/23/19 09:51	1/16/19	AVK	Fund	CEF	Closed-End Funds	Advent Capital Management /de/	NY	H	Investme	P.a	286	13.61	0	21	16	152	D
12/23/19 09:48	1/16/19	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	DOH	CB,P,CEO	P.a	286	13.61	0	21	12	193	I
9/10/19 16:09	9/10/19	AVK	Fund	CEF	Closed-End Funds	Smart Michael A	IL	DH	Trustee	P	0	14.24	0	0	0	5	D
9/3/19 19:04	9/3/19	AVK	Fund	CEF	Closed-End Funds	Smart Michael A	IL	DH	Trustee	P	67	14.24	0	5	999%	5	D
4/15/19 10:29	4/11/19	AVK	Fund	CEF	Closed-End Funds	Smart Michael A	IL	DH	Trustee	S.m	-21	14.99	0	-1	-93	0	D
2/13/19 15:44	2/13/19	AVK	Fund	CEF	Closed-End Funds	Smart Michael A	IL	DH	Trustee	S	-22	14.50	0	-2	-50	2	D
1/16/19 17:13	1/16/19	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	DOH	CB,P,CEO	P	286	13.61	0	21	13	177	I
1/16/19 17:13	1/16/19	AVK	Fund	CEF	Closed-End Funds	Advent Capital Management /de/	NY	H	Investme	P	286	13.61	0	21	18	136	D
1/11/19 16:18	1/9/19	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	DOH	CB,P,CEO	P	203	13.53	0	15	11	156	I
1/11/19 16:18	1/9/19	AVK	Fund	CEF	Closed-End Funds	Advent Capital Management /de/	NY	H	Investme	P	203	13.53	0	15	15	115	D
12/31/18 15:03	12/28/18	AVK	Fund	CEF	Closed-End Funds	Smart Michael A	IL	DH	Trustee	S	-2	12.43	0	0	-4	3	D
12/28/18 17:21	12/28/18	AVK	Fund	CEF	Closed-End Funds	Medina Derek	NY	DH	Trustee	P	51	12.56	0	4	141	7	D
12/27/18 16:45	12/26/18	AVK	Fund	CEF	Closed-End Funds	Smart Michael A	IL	DH	Trustee	S.m	-6	12.27	0	-1	-14	3	D
10/12/18 13:25	10/10/18	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	DOH	CB,P,CEO	P	294	14.70	0	20	16	141	I
10/12/18 13:24	10/10/18	AVK	Fund	CEF	Closed-End Funds	Advent Capital Management /de/	NY	H	Investme	P	294	14.70	0	20	25	100	D
10/1/18 16:14	9/27/18	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	DOH	CB,P,CEO	P	94	15.69	0	6	5	121	I
10/1/18 16:13	9/27/18	AVK	Fund	CEF	Closed-End Funds	Advent Capital Management /de/	NY	H	Investme	P	94	15.69	0	6	8	80	D
9/11/18 11:09	9/7/18	AVK	Fund	CEF	Closed-End Funds	Advent Capital Management /de/	NY	H	Investme	P.m	377	15.70	0	24	48	74	D
9/11/18 11:05	9/7/18	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	DOH	CB,P,CEO	P.m	377	15.70	0	24	12	219	I
9/7/18 16:58	9/6/18	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P	372	15.68	0	24	4	551	M
9/6/18 17:40	9/5/18	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	DOH	CB,P,CEO	P.m	784	15.68	0	50	121	91	I
9/6/18 17:39	9/5/18	AVK	Fund	CEF	Closed-End Funds	Advent Capital Management /de/	NY	H	Investme	P.m	784	15.68	0	50	New	50	D
9/5/18 15:19	9/5/18	AVK	Fund	CEF	Closed-End Funds	Huang Tony	NY	O	VP,Assis	P	32	15.66	0	2	41	7	D
9/5/17 11:40	8/30/17	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		S.m	-963	16.11	0	-60	-2	2,358	I
8/30/17 11:18	8/28/17	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		S.m	-699	16.02	0	-44	-2	2,418	I
8/28/17 12:04	8/24/17	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		S.m	-287	16.03	0	-18	-1	2,461	I
8/24/17 11:42	8/22/17	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		S.m	-393	15.98	0	-25	-1	2,479	I
8/22/17 14:55	8/21/17	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		S	-17	16.00	0	-1	0	2,504	I
8/18/17 11:52	8/17/17	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		S	-116	16.04	0	-7	0	2,505	I
8/14/17 12:37	8/10/17	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		S	-138	16.18	0	-9	0	2,512	I
8/10/17 13:09	8/8/17	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		S	-603	16.39	0	-37	-1	2,521	I
8/8/17 12:21	8/4/17	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		S.m	-69	16.45	0	-4	0	2,557	I
8/3/17 16:36	8/1/17	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		S.m	-1,059	16.59	0	-64	-2	2,561	I
1/19/17 14:09	1/17/17	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	29	15.03	1	2	0	2,625	I	10	40	11	10	10	4	1	0	0	0	6	3
1/10/17 10:19	1/6/17	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	234	15.26	1	15	1	2,623	I	9	26	12	9	7	4	4	2	1	-1	5	3
1/6/17 14:14	1/4/17	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	202	14.89	1	14	1	2,608	I	10	21	13	6	5	4	2	3	1	2	6	4
1/3/17 10:44	12/29/16	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	23	14.66	1	2	0	2,595	I	5	18	9	3	5	2	0	-1	0	4	6	8
12/22/16 11:34	12/19/16	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	247	14.66	1	17	1	2,593	I	6	19	9	2	9	6	2	0	0	0	6	6
12/19/16 11:24	12/15/16	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	903	14.64	1	62	2	2,576	I	6	20	10	4	11	3	3	1	0	1	5	5
12/15/16 10:42	12/13/16	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	330	14.60	1	23	1	2,514	I	6	21	10	3	9	2	4	1	0	1	4	8
12/13/16 11:47	12/9/16	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	321	14.46	1	22	1	2,492	I	2	19	8	2	4	1	3	1	1	2	7	9
12/9/16 11:16	12/8/16	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	357	14.42	1	25	1	2,470	I	1	15	5	2	3	2	1	2	0	2	8	9
11/7/16 14:51	11/4/16	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P	134	13.42	1	10	64	26	M	-10	0	2	-7	-8	-6	-6	-4	2	2	7	22	26
11/3/16 14:20	11/2/16	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P	17	13.62	1	1	0	2,445	I	-9	3	3	-5	-7	-4	-5	-3	-1	0	4	19	24
9/6/16 11:50	9/1/16	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	70	15.11	1	5	0	2,444	I	-7	15	23	9	6	4	2	2	-1	-4	-4	-7	8
8/15/16 13:13	8/10/16	AVK	Fund	CEF	Closed-End Funds	Saba Capital Management, L.P.	NY	T		P.m	242	14.68	1	16	1	2,424	I	-11	3	36	11	6	2	2	1	0	1	-1	-7	14
1/5/16 15:33	1/5/16	AVK	Fund	CEF	Closed-End Funds	Black Daniel	IL	DH	Trustee	P	27	13.71	2	2	98	4	D	-16	-11	-13	6	0	3	1	0	1	-4	-9	-1	7	18
8/27/15 14:19	8/26/15	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P	95	14.55	1	7	16	48	D	-4	-19	-12	-14	-10	-8	-6	-2	1	0	-5	-4	-11	12
8/27/15 13:57	8/14/15	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P.a	481	15.55	1	31	289	42	D	-4	-19	-12	-14	-10	-8	-6	-2	1	0	-5	-4	-11	12
8/27/15 13:38	8/14/15	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P	481	15.55	1	31	100	62	D	-4	-19	-12	-14	-10	-8	-6	-2	1	0	-5	-4	-11	12
2/9/15 12:14	1/12/15	AVK	Fund	CEF	Closed-End Funds	Latronica Paul	NY	H	Portfoli	S.a	-5	16.22	1	0	-50	0	D	13	-2	-9	-1	5	4	2	1	0	2	2	5	-4	-25
2/9/15 12:14	1/12/15	AVK	Fund	CEF	Closed-End Funds	Latronica Paul	NY	H	Portfoli	P.a	5	16.24	1	0	New	0	D	13	-2	-9	-1	5	4	2	1	0	2	2	5	-4	-25
1/26/15 16:11	1/16/15	AVK	Fund	CEF	Closed-End Funds	Huang Tony	IL	O	VP,Assis	P.a	0	0.00	1	0	0	0	D	11	-6	-9	-1	2	3	2	2	0	-1	2	6	-2	-22
1/26/15 15:41	1/16/15	AVK	Fund	CEF	Closed-End Funds	Huang Tony	IL	O	VP,Assis	P	63	6.27	1	10	New	10	D	11	-6	-9	-1	2	3	2	2	0	-1	3	6	-2	-22
1/16/15 12:33	1/12/15	AVK	Fund	CEF	Closed-End Funds	Latronica Paul	NY	H	Portfoli	S	-5	16.22	2	0	-50	0	D	9	-8	-10	4	-3	0	1	0	1	3	5	9	4	-20
1/16/15 12:33	1/12/15	AVK	Fund	CEF	Closed-End Funds	Latronica Paul	NY	H	Portfoli	P	5	16.24	2	0	New	0	D	9	-8	-10	4	-3	0	1	0	1	3	5	9	4	-20
12/30/14 17:22	12/30/14	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P	41	16.24	2	3	9	31	D	17	-7	-11	-5	-4	-2	1	0	1	0	4	8	4	-10
12/30/14 17:18	12/30/14	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P	33	16.25	2	2	8	28	D	17	-7	-11	-5	-4	-2	1	0	1	0	4	8	4	-10
10/14/14 12:08	10/10/14	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	P	17	16.66	1	1	72	2	D	10	-2	-8	-12	-15	-10	-5	-7	-1	4	7	3	12	-8
2/20/14 12:47	2/18/14	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	S	-45	18.78	1	-2	-100	0	I	30	19	14	7	2	4	2	0	0	1	0	-2	4	-4
1/22/14 17:44	1/9/14	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	S.m	-94	18.75	1	-5	-68	2	I	37	18	10	7	6	2	1	0	0	-3	0	0	2	-7
1/2/14 15:17	1/2/14	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P	55	18.33	2	3	13	25	D	43	23	12	7	5	3	1	-1	0	0	0	2	5	-6
12/26/13 16:44	12/23/13	AVK	Fund	CEF	Closed-End Funds	Nyberg Ronald	IL	DH	Trustee	P	8	18.45	2	0	30	2	D	47	27	16	9	8	5	3	2	0	-1	-2	0	4	-8
1/14/13 18:27	1/14/13	AVK	Fund	CEF	Closed-End Funds	Smart Michael A	IL	DH	Trustee	P	4	16.89	2	0	25	1	D	8	14	13	2	4	5	4	1	0	1	1	2	7	18
12/27/12 13:55	12/27/12	AVK	Fund	CEF	Closed-End Funds	Smart Michael A	IL	DH	Trustee	P	9	15.82	2	1	150	1	D	4	15	8	-2	2	-1	0	-1	1	4	9	9	11	27
12/20/12 14:51	12/18/12	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P	24	15.96	2	2	7	22	D	7	19	8	0	-1	-1	1	1	0	0	8	7	9	23
12/11/12 14:40	12/11/12	AVK	Fund	CEF	Closed-End Funds	Black Daniel	IL	DH	Trustee	S	-43	16.04	2	-3	-60	2	D	6	16	10	1	-6	3	-2	-1	0	0	7	8	11	21
10/31/11 14:33	10/25/11	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		P	1	14.93	2	0		0	I	28	-4	-15	-10	4	13	9	7	-1	-3	-9	5	5	15
10/31/11 14:33	10/25/11	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		S	-1	14.99	2	0	-100	0	I	28	-4	-15	-10	4	13	9	7	-1	-3	-9	5	5	15
7/11/11 17:16	5/3/11	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		P.m	15	19.20	2	1		0	I	89	31	10	-3	2	5	3	0	-1	-2	-21	-25	-13	-10
7/11/11 17:16	5/3/11	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		S.m	-15	19.11	2	-1	-100	0	I	89	31	10	-3	2	5	3	0	-1	-2	-21	-25	-13	-10
7/11/11 17:15	5/24/11	AGC	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		P.m	9	9.40	1	1		0	I	71	17	3	-6	-2	3	2	0	-2	-2	-24	-29	-23	-19
7/11/11 17:15	5/24/11	AGC	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		S.m	-9	9.46	1	-1	-100	0	I	71	17	3	-6	-2	3	2	0	-2	-2	-24	-29	-23	-19
6/15/11 13:15	6/13/11	AVK	Fund	CEF	Closed-End Funds	Medina Derek	NY	DH	Trustee	P	11	18.02	1	1	109	1	D	76	23	7	-5	-6	-4	-3	0	0	3	2	-12	-15	-11
6/8/11 17:15	6/6/11	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		P	1	18.60	1	0		0	I	73	30	8	-8	-3	-4	-3	-2	0	0	6	-12	-15	-12
6/8/11 17:15	6/6/11	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		S	-1	18.60	1	0	-100	0	I	73	30	8	-8	-3	-4	-3	-2	0	0	6	-12	-15	-12
5/13/11 11:45	4/21/11	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		P	12	19.67	1	1		0	I	95	23	11	2	-2	1	0	1	0	-1	-7	-16	-20	-12
5/13/11 11:45	4/21/11	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		S	-12	19.18	1	-1	-100	0	I	95	23	11	2	-2	1	0	1	0	-1	-7	-16	-20	-12
5/3/11 10:22	3/28/11	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		P	3	19.87	1	0		0	I	87	20	13	5	-1	0	3	2	0	-1	-2	-6	-15	-11
5/3/11 10:22	3/28/11	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		S	-3	19.89	1	0	-100	0	I	87	20	13	5	-1	0	3	2	0	-1	-2	-6	-15	-11
5/3/11 10:19	1/3/11	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		P.m	43	18.72	1	2		0	I	87	20	13	5	-1	0	3	2	0	-1	-2	-6	-15	-11
5/3/11 10:19	1/3/11	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		S.m	-43	18.67	1	-2	-100	0	I	87	20	13	5	-1	0	3	2	0	-1	-2	-6	-15	-11
4/4/11 10:00	3/23/11	AVK	Fund	CEF	Closed-End Funds	Nyberg Ronald	IL	DH	Trustee	P	6	19.85	2	0	32	1	D	126	29	19	13	3	2	1	2	0	-1	-3	-4	-26	-12
3/17/11 17:40	12/4/09	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		P.m	164	15.01	2	11		0	I	141	25	16	12	2	-2	-5	-2	1	3	0	-5	-16	-6
3/17/11 17:40	12/4/09	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		S.m	-162	14.87	2	-11	-100	0	I	141	25	16	12	2	-2	-5	-2	1	3	0	-5	-16	-6
3/17/11 16:54	1/11/10	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		P.m	145	16.76	2	9		0	I	141	25	16	12	2	-2	-5	-2	1	3	0	-5	-16	-6
3/17/11 16:54	1/11/10	AVK	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		S.m	-143	16.52	2	-9	-100	0	I	141	25	16	12	2	-2	-5	-2	1	3	0	-5	-16	-6
3/17/11 16:51	12/7/09	AGC	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		P.m	33	8.14	1	4		0	I	143	23	10	7	2	1	-2	-3	1	4	-1	-7	-25	-23
3/17/11 16:51	12/7/09	AGC	Financ	NtBnk	National Commercial Banks	Bank of America Corp /de/	NC	T		S.m	-32	8.13	1	-4	-100	0	I	143	23	10	7	2	1	-2	-3	1	4	-1	-7	-25	-23
11/15/10 15:22	11/15/10	AVK	Fund	CEF	Closed-End Funds	Black Daniel	IL	DH	Trustee	S	-9	18.20	3	-1	-10	4	D	82	31	13	8	3	0	0	-2	0	-1	0	11	12	-9
11/12/10 11:53	11/11/10	AVK	Fund	CEF	Closed-End Funds	Black Daniel	IL	DH	Trustee	S	-9	18.31	3	-1	-9	5	D	77	31	14	10	4	1	2	0	-1	-1	-2	8	11	-11
11/10/10 15:44	11/10/10	AVK	Fund	CEF	Closed-End Funds	Black Daniel	IL	DH	Trustee	S	-9	18.25	3	-1	-8	5	D	64	32	12	11	5	2	2	1	0	-4	-2	9	11	-8
10/12/10 10:33	10/7/10	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	S	-178	17.76	3	-10	-31	22	M	109	30	8	13	8	2	2	1	1	0	3	5	16	-13
8/18/10 16:13	8/13/10	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	S	0	16.88	1	0	0	19	D	5	36	13	4	8	1	-1	0	0	0	4	9	21	4
8/13/10 15:33	8/12/10	AVK	Fund	CEF	Closed-End Funds	Medina Derek	NY	DH	Trustee	P	8	16.93	1	0	450	1	D	4	29	16	1	10	4	-1	-2	1	0	4	11	20	3
8/2/10 11:55	7/30/10	AVK	Fund	CEF	Closed-End Funds	Smart Michael A	IL	DH	Trustee	P	7	16.82	1	0	New	0	D	1	35	15	-3	4	6	5	1	1	2	0	10	18	16
6/9/10 18:05	6/3/10	AVK	Fund	CEF	Closed-End Funds	Smart Michael A	IL	DH	Trustee	S	-16	15.70	2	-1	-100	0	D	-20	33	8	-4	-12	-6	-2	-3	2	5	4	14	21	31
5/21/10 14:07	5/21/10	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP	P	5	15.47	2	0	3	12	D	-21	41	7	1	-9	-12	-6	-6	2	3	6	11	19	35
5/7/10 12:05	5/7/10	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP	P	5	15.87	2	0	3	12	D	-16	43	18	10	-2	-6	-8	-9	-1	6	-4	7	15	28
4/23/10 13:56	4/14/10	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P.m	47	17.35	2	3	19	17	D	-4	78	20	13	8	6	3	2	0	0	-10	-7	6	17
10/29/09 15:22	10/29/09	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	S	-36	14.55	1	-3	-8	31	M	-29	43	32	10	0	-2	-6	-5	2	0	3	7	27	35
8/14/09 13:21	8/13/09	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P	42	13.94	1	3	10	33	M	-25	-19	29	25	19	6	2	-1	-2	-2	1	9	12	30
3/19/09 13:54	3/18/09	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P	29	9.52	2	3	13	27	W									-1	9	21	28	60	91
1/12/09 10:56	1/8/09	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P	12	11.56	1	1	10	11	W									-1	0	0	-4	9	52
12/19/08 14:48	12/18/08	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	DOH	CEO,P	P	88	8.84	1	10	163	16	D	-62	-56	-58	-48	-33	-12	4	13	4	16	33	21	40	90
10/10/08 14:26	10/10/08	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP	P	2	7.94	2	0	2	11	D	-54	-55	-51	-49	-46	-42	-35	-24	-12	7	31	19	14	61
10/8/08 14:49	10/8/08	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP	P	4	10.86	2	0	4	11	D	-40	-43	-37	-35	-29	-21	-24	-14	-10	-11	4	-9	-14	24
9/8/08 16:26	9/8/08	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P	19	19.04	2	1	11	10	D	-14	-17	-12	-18	-5	-3	0	-4	-2	-2	-28	-54	-54	-19
7/17/08 11:22	7/16/08	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP	P	6	19.17	1	0	3	11	D	-4	-18	-10	-8	-15	-11	-5	-2	2	2	-2	-40	-38	-30
6/18/08 16:22	6/18/08	AVK	Fund	CEF	Closed-End Funds	Nyberg Ronald	IL	DH	Trustee	S.a	-17	22.77	1	-1	-98	0	D	11	-10	3	12	-2	-2	-2	2	0	-2	-10	-22	-63	-41
6/18/08 16:12	6/18/08	AVK	Fund	CEF	Closed-End Funds	Nyberg Ronald	IL	DH	Trustee	P	17	22.77	1	1		0	D	11	-10	3	12	-2	-2	-2	2	0	-2	-10	-22	-63	-41
5/1/08 17:22	5/1/08	AVK	Fund	CEF	Closed-End Funds	Nyberg Ronald	IL	DH	Trustee	P	18	23.57	1	1	New	1	D	13	-8	-2	3	15	6	4	1	1	0	3	-12	-49	-45
12/28/07 13:38	12/28/07	AVK	Fund	CEF	Closed-End Funds	Black Daniel	IL	DH	Trustee	P	46	23.16	2	2	78	5	D	19	-11	-13	-8	-1	-4	2	2	-1	3	1	-5	2	-50
12/26/07 11:13	12/21/07	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	P	203	22.55	2	9	43	30	M	22	-11	-10	-5	0	-1	0	4	0	0	-2	-6	2	-52
12/21/07 16:39	12/21/07	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P	56	22.58	1	3	18	17	M	19	-13	-14	-9	-6	-4	-5	-1	4	1	-1	-4	5	-54
10/4/07 17:14	10/3/07	AVK	Fund	CEF	Closed-End Funds	Black Daniel	IL	DH	Trustee	P	20	25.62	1	1	45	3	D	22	2	-6	-7	4	4	0	-1	1	1	0	-4	-8	-33
8/15/07 17:32	8/14/07	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	P.m	159	22.65	3	7	58	19	M	6	-3	-14	-14	-17	-9	-1	-3	-3	7	8	6	8	-4
8/10/07 16:41	8/10/07	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP	P	7	23.53	3	0	3	10	D	12	-1	-13	-13	-12	-9	-4	2	0	-6	5	6	2	-6
8/9/07 16:00	8/7/07	AVK	Fund	CEF	Closed-End Funds	Seizert Gerald L	IL	DH	Trustee	P.m	60	23.95	3	3	63	7	D	15	1	-12	-13	-11	-8	-2	3	-2	-5	4	5	1	-9
7/25/07 14:25	7/24/07	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP	P	13	25.83	1	1	5	10	D	25	11	-4	-6	-3	-8	-6	-2	-2	-4	-4	-3	-11	-13
5/29/07 14:41	5/29/07	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	P	6	27.59	1	0	4	6	D	39	21	9	2	-1	-1	-1	0	0	1	-1	-8	-14	-5
3/30/07 11:59	3/29/07	AVK	Fund	CEF	Closed-End Funds	Black Daniel	IL	DH	Trustee	S	-42	27.84	1	-2	-46	2	D	45	21	9	2	0	5	5	1	0	2	1	1	-4	-17
1/30/07 11:37	1/30/07	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	P	41	28.10	2	1	38	5	I	35	23	15	6	1	2	3	1	0	1	-3	1	-9	-11
1/29/07 15:27	1/26/07	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	P	84	28.12	2	3	335	4	I	35	22	16	6	2	2	3	1	0	1	-4	2	-9	-11
1/3/07 13:06	1/3/07	AVK	Fund	CEF	Closed-End Funds	Black Daniel	IL	DH	Trustee	S	-14	28.26	2	-1	-13	3	D	29	37	21	8	9	2	1	1	-1	-2	1	1	4	-11
11/17/06 13:45	11/17/06	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	P	8	26.20	2	0	22	2	M	21	24	11	2	-1	-3	-1	1	0	2	8	7	10	-4
12/21/05 13:56	12/19/05	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP,Asst.	P	7	22.92	2	0	3	10	D	7	-5	-2	-8	-5	-3	-2	1	1	2	12	15	14	38
11/22/05 19:59	11/22/05	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP,Asst.	P	7	23.50	1	0	3	9	D	15	-2	3	-8	-4	0	-2	0	0	1	-1	12	12	24
11/21/05 12:39	11/17/05	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP,Asst.	P	7	23.47	1	0	4	9	D	15	-2	4	-8	-4	0	-2	-1	0	-1	-3	11	12	23
10/12/05 13:33	10/11/05	AVK	Fund	CEF	Closed-End Funds	Barnes Randall C	IL	DH	Trustee	P	15	24.91	1	1	New	1	D	23	6	10	1	-3	-2	-1	-2	-3	-4	-1	3	8	21
8/11/05 19:14	8/11/05	AVK	Fund	CEF	Closed-End Funds	Medina Derek	NY	D		P	3	26.30	2	0	New	0	D	38	18	5	14	9	6	3	4	-1	-1	0	-7	1	9
3/30/05 16:03	3/29/05	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP,Asst.	P	12	23.30	2	1	7	8	D		-2	-3	-10	-9	-9	-5	-1	1	1	-2	4	11	18
2/25/05 16:28	2/24/05	AVK	Fund	CEF	Closed-End Funds	Smart Michael A	NY	H	Trustee	P	25	25.22	2	1	New	1	D		7	9	-1	-3	-2	-2	1	0	1	-8	-5	6	10
5/11/04 10:19	5/10/04	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP,Asst.	P	11	22.34	3	1	8	7	D		-3	-7	-16	-16	-10	-8	-7	4	9	11	14	21	18
5/10/04 11:03	5/7/04	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP,Asst.	P	12	23.34	3	1	8	6	D		2	-1	-11	-10	-6	-4	-2	-5	4	6	8	16	12
5/3/04 14:01	4/30/04	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP,Asst.	P	12	23.70	3	1	9	6	D		4	1	-9	-10	-9	-2	-3	0	-2	5	8	11	8
4/30/04 20:12	4/15/04	AVK	Fund	CEF	Closed-End Funds	Latronica Paul	NY	O	Treasure	P.a	5	24.85	3	0	40	1	D		5	3	-7	-9	-8	-2	-1	0	1	4	6	11	7
4/30/04 19:54	4/15/04	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	OH	P	P.a	13	25.09	3	1	9	6	D		5	3	-7	-9	-8	-2	-1	0	1	4	6	11	7
4/22/04 15:43	4/21/04	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP,Assis	P	12	24.24	2	1	10	5	D			4	-8	-9	-9	-8	-4	2	0	1	3	9	6
4/16/04 21:12	4/15/04	AVK	Fund	CEF	Closed-End Funds	Baxter Rodd	NY	O	Secretar	P	12	24.90	2	1	New	1	D			7	-6	-7	-3	-6	-5	-1	-1	-3	1	5	0
4/16/04 21:06	4/15/04	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	OH	P	P	13	25.09	2	1	9	6	D			7	-6	-7	-3	-6	-5	-1	-1	-3	1	5	0
4/16/04 18:05	4/15/04	AVK	Fund	CEF	Closed-End Funds	Latronica Paul	NY	O	Treasure	P	5	24.85	2	0	40	1	D			7	-6	-7	-3	-6	-5	-1	-1	-3	1	5	0
3/18/04 15:58	3/17/04	AVK	Fund	CEF	Closed-End Funds	Nyberg Ronald	NY	D		P	13	26.67	2	1	New	1	D			18	7	0	1	-1	-2	0	-2	-5	-9	1	2
10/10/03 12:12	10/9/03	AVK	Fund	CEF	Closed-End Funds	Latronica Paul	NY	O	Treasure	P	12	24.40	2	1	New	1	D				0	4	1	2	0	1	2	4	15	15	18
8/1/03 11:36	7/28/03	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	OH	P	P.a	34	22.80	1	2	37	6	D				-6	-6	-5	-3	2	1	-1	2	8	20	19
7/30/03 17:12	7/30/03	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP,Assis	P	10	22.85	1	0	11	5	D					-7	-7	-6	-4	1	-1	1	9	20	18
7/29/03 12:55	7/28/03	AVK	Fund	CEF	Closed-End Funds	Nelson F Barry	NY	O	VP,Assis	P	3	22.85	1	0	4	4	D					-8	-7	-6	-4	0	2	2	11	21	19
7/29/03 12:42	7/28/03	AVK	Fund	CEF	Closed-End Funds	Maitland Tracy V	NY	OH	P	P	34	22.80	1	2	38	6	D					-8	-7	-6	-4	0	2	2	11	21	19

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

TC

Stat

Stk

Ins

Fil

+d

+w

+m

+q

+h

+y

avg

Filing Date

T Date

Ticker

Sector

Ind

Industry

Owner

oSt

Rel

Title

T

TVal

Price

L

Qty

oc

Own

H

r2y

r1y

r6m

r3m

r6w

r3w

r7d

r3d

f1d

f1w

f1m

f3m

f6m

f1y