| Date | Name | Symbol | Type | Security | Shares | Price | Value | Ownership | Reported |
| 12/29/2021 | ADVENT CONVERTIBLE & INCOME FUND | AVK | Sale | Common Stock | 19k | $17.77 | $337.6k | By Advent Capital Management, LLC. See Footnotes. | 12/27/2021 |
| 12/28/2021 | ADVENT CONVERTIBLE & INCOME FUND | AVK | Sale | Common Stock | 25k | $17.70 | $442.5k | By Advent Capital Management, LLC. See Footnotes. | 12/27/2021 |
| 12/27/2021 | ADVENT CONVERTIBLE & INCOME FUND | AVK | Sale | Common Stock | 50k | $17.89 | $894.4k | By Advent Capital Management, LLC. See Footnotes. | 12/27/2021 |
| 01/16/2019 | ADVENT CONVERTIBLE & INCOME FUND | AVK | Purchase | Common Stock | 21k | $13.61 | $285.8k | By Advent Capital Management, LLC. See Footnotes. | 01/16/2019 |
| 01/09/2019 | ADVENT CONVERTIBLE & INCOME FUND | AVK | Purchase | Common Stock | 15k | $13.53 | $203k | By Advent Capital Management, LLC. See Footnotes. | 01/09/2019 |
| 10/10/2018 | ADVENT CONVERTIBLE & INCOME FUND | AVK | Purchase | Common Stock | 20k | $14.70 | $294k | By Advent Capital Management, LLC. See Footnotes. | 10/10/2018 |
| 09/27/2018 | ADVENT CONVERTIBLE & INCOME FUND | AVK | Purchase | Common Stock | 6k | $15.69 | $94.2k | By Advent Capital Management, LLC. See Footnotes. | 09/27/2018 |
| 09/10/2018 | ADVENT CONVERTIBLE & INCOME FUND | AVK | Purchase | Common Stock | 12k | $15.71 | $188.5k | By Advent Capital Management, LLC. See Footnotes. | 09/07/2018 |
| 09/07/2018 | ADVENT CONVERTIBLE & INCOME FUND | AVK | Purchase | Common Stock | 12k | $15.70 | $188.4k | By Advent Capital Management, LLC. See Footnotes. | 09/07/2018 |
| 09/06/2018 | ADVENT CONVERTIBLE & INCOME FUND | AVK | Purchase | Common Stock | 38k | $15.68 | $596k | By Advent Capital Management, LLC. See Footnotes. | 09/05/2018 |
| 09/05/2018 | ADVENT CONVERTIBLE & INCOME FUND | AVK | Purchase | Common Stock | 12k | $15.69 | $188.3k | By Advent Capital Management, LLC. See Footnotes. | 09/05/2018 |
| 08/27/2018 | ADVENT CONVERTIBLE & INCOME FUND | AVK | Other (acquisition) | Common Stock | 19.8k | $0.50 | $9.8k | | 08/27/2018 |
| 08/27/2018 | ADVENT CONVERTIBLE & INCOME FUND | AVK | Other (acquisition) | Common Stock | 5.8k | $0.36 | $2.1k | | 08/27/2018 |
| 11/13/2017 | Advent Claymore Convertible Securities & Income Fund II | AGC | Sale | Common Stock | 10k | $6.02 | $60.2k | By Advent Capital Management, LLC. See Footnotes. | 11/13/2017 |
| 09/15/2017 | Advent Claymore Convertible Securities & Income Fund II | AGC | Sale | Common Stock | 74.4k | $6.01 | $446.9k | By Advent Capital Management, LLC. See Footnotes. | 09/13/2017 |
| 09/14/2017 | Advent Claymore Convertible Securities & Income Fund II | AGC | Sale | Common Stock | 150k | $6.02 | $903.5k | By Advent Capital Management, LLC. See Footnotes. | 09/13/2017 |
| 09/13/2017 | Advent Claymore Convertible Securities & Income Fund II | AGC | Sale | Common Stock | 156.2k | $6.49 | $1M | By Advent Capital Management, LLC. See Footnotes. | 09/13/2017 |
| 09/13/2017 | Advent Claymore Convertible Securities & Income Fund II | AGC | Sale | Common Stock | 88.5k | $6.11 | $540.3k | By Advent Capital Management, LLC. See Footnotes. | 09/13/2017 |
| 01/28/2013 | Advent Claymore Convertible Securities & Income Fund II | AGC | Purchase | Common Stock | 4k | $7.01 | $28k | Taxable - Tracy V. Maitland | 01/28/2013 |
| 01/28/2013 | Advent Claymore Convertible Securities & Income Fund II | AGC | Purchase | Common Stock | 6k | $7.02 | $42.1k | Taxable - Tracy V. Maitland | 01/28/2013 |
| 01/28/2013 | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND | LCM | Purchase | Common Stock | 1000 | $9.98 | $10k | IRA - Tracy V. Maitland | 01/28/2013 |
| 01/28/2013 | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND | LCM | Purchase | Common Stock | 1000 | $9.98 | $10k | IRA - Tracy V. Maitland | 01/28/2013 |
| 01/28/2013 | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND | LCM | Purchase | Common Stock | 1000 | $9.97 | $10k | IRA - Tracy V. Maitland | 01/28/2013 |
| 01/28/2013 | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND | LCM | Purchase | Common Stock | 8.7k | $9.99 | $86.9k | taxable - Tracy V. Maitland | 01/28/2013 |
| 01/28/2013 | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND | LCM | Purchase | Common Stock | 3k | $9.98 | $29.9k | Taxable - Tracy V. Maitland | 01/28/2013 |
| 01/28/2013 | ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND | LCM | Purchase | Common Stock | 3.3k | $9.98 | $32.9k | Taxable - Tracy V. Maitland | 01/28/2013 |