Statistik Asas
| CIK | 1278460 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Advent Claymore Convertible Securities and Income Fund II
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| October 12, 2018 |
LCM / Advent Claymore Convertible Securities and Income Fund II LCM SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8F APPLICATION FOR DEREGISTRATION OF CERTAIN REGISTERED INVESTMENT COMPANIES I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): ☒ Merger ☐ Liquidation ☐ Abandonment of Registration ☐ Election of status as a Business Development Company 2. Name of fu |
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| September 28, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 888 Seventh Ave, 31st Floor, New York, NY 10019 (Address of principal executive offices) (Zip code) Robert White, Treasurer 888 Seventh Ave, 31st Floor, New York, NY 10019 (Name and address of agent for service) Registrant’s telephone number, including area code: (212) 482-1600 Date of fiscal year end: October 31 Date of reporting period: May 1, 2018 – July 31, 2018 Item 1. |
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| September 28, 2018 |
EX-99.CERT 2 ex99cert.htm CERTIFICATIONS CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such s |
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| August 29, 2018 |
LCM / Advent Claymore Convertible Securities and Income Fund II LCM SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8F APPLICATION FOR DEREGISTRATION OF CERTAIN REGISTERED INVESTMENT COMPANIES I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descriptions, see Instruction 1 above): ☒ Merger ☐ Liquidation ☐ Abandonment of Registration ☐ Election of status as a Business Development Company 2. Name of fu |
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| August 27, 2018 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on September 7, 2018, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 29, 2018 |
AVK / Advent Claymore Convertible Securities & Income Fund AVK LCM (Prospectus) ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND II (“AGC”) ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND (“LCM”) ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND (“AVK”) June 22, 2018 Dear Valued Shareholder, Thank you for being an investor in the Advent Claymore Funds. |
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| June 13, 2018 |
AVK / Advent Claymore Convertible Securities & Income Fund 425 (Prospectus) 425 1 avklcm.htm 425 Advent Claymore Funds Call Script (CONFIRM RECEIPT OF PROXY MATERIAL) Good (morning, afternoon, evening), my name is (AGENT’S FULL NAME). May I please speak with (SHAREHOLDER’S FULL NAME)? (Re-Greet If Necessary) I am calling on a recorded line regarding your current investment with the Advent Claymore Funds. I wanted to confirm that you have received the proxy material for th |
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| May 31, 2018 |
AVK / Advent Claymore Convertible Securities & Income Fund 425 (Prospectus) Advent/Claymore Closed-End Funds Merger Q&A Closed-End Funds (AGC, LCM, AVK) Advent Claymore Convertible Securities and Income Fund (AVK), Advent Claymore Convertible Securities and Income Fund II (AGC), and Advent/ Claymore Enhanced Growth & Income Fund (LCM), each a closed-end fund (together, the “Funds”) recently announced certain proposals that affect the Funds. |
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| March 29, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor, New York, NY 10020 (Address of principal executive offices) (Zip code) Robert White 1271 Avenue of the Americas, 45th Floor New York, NY 10020 (Name and address of agent for service) Registrant’s telephone number, including area code: (212) 482-1600 Date of fiscal year end: October 31 Date of reporting period: November 1, 2017 – January 31, 2018 Item 1. |
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| March 29, 2018 |
CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with |
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| March 13, 2018 |
Fifth Amended and Restated By-Laws of Advent/Claymore Enhanced Growth & Income Fund FIFTH AMENDED AND RESTATED BY-LAWS OF ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND TABLE OF CONTENTS Page ARTICLE I Shareholder Meetings Section 1. |
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| March 13, 2018 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 chisr01a-1014234xv3xform8.htm LCM FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 13, 2018 (March 7, 2018) Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in its charter) De |
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| March 6, 2018 |
AGC / Advent Claymore Convertible Securities & Income Fund II CORRESP [Advent Funds Letterhead] March 6, 2018 U.S. Securities and Exchange Commission 100 F Street N.E. Washington DC 20549 RE: Advent Claymore Convertible Securities and Income Fund (811-21309) Advent Claymore Convertible Securities and Income Fund II (811-22022) Advent/Claymore Enhanced Growth & Income Fund (811-21504) Ladies and Gentlemen: Thank you for your telephonic comments concerning the annual |
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| February 14, 2018 |
SC 13G/A 1 sc13ga021418.htm SCHEDULE 13G AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common (Title of Class of Securities) 00765E104 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statemen |
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| February 12, 2018 |
Saba Capital Management, L.P. Form SC 13G/A - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00765E104 (CUSIP Number) December 31, 2017 (D |
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| September 29, 2017 |
CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with |
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| September 29, 2017 |
Advent/claymore Enhanced Growth & Income Fund - LCM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor, New York, NY 10020 (Address of principal executive offices) (Zip code) Robert White 1271 Avenue of the Americas, 45th Floor New York, NY 10020 (Name and address of agent for service) Registrant's telephone number, including area code: ( 212) 482-1600 Date of fiscal year end: October 31 Date of reporting period: May 1, 2017 ? July 31, 2017 Item 1. |
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| August 24, 2017 |
Advent Claymore Convertible Securities & Income Fund II AVK AGC LCM ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND (NYSE: AVK) ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND II (NYSE: AGC) ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND (NYSE: LCM) 888 Seventh Avenue, 31 st Floor New York, NY 10019 NOTICE OF JOINT ANNUAL MEETING OF SHAREHOLDERS To be held on September 27, 2017 Notice is hereby given to the shareholders of each of Advent Claymore Conv |
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| July 21, 2017 |
Saba Capital Management, L.P. - Schedule 13G/A - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00765E104 (CUSIP Number) July 18, 2017 (Da |
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| July 18, 2017 |
EX-99.(A)(5)(VI) 3 lcmtenderfinalresultspr.htm EXHIBIT (A)(5)(VI) - FINAL RESULTS PRESS RELEASE Advent/Claymore Enhanced Growth & Income Fund Announces Final Results of Tender Offer New York, NY – July 17, 2017 – Advent/Claymore Enhanced Growth & Income Fund (NYSE: LCM) (the “Fund”) announced today the final results for its tender offer for up to 4,420,984 common shares (“Shares”) of the Fund (app |
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| July 18, 2017 |
lcmtenderpreliminaryresu Advent/Claymore Enhanced Growth & Income Fund Announces Expiration and Preliminary Results of Tender Offer New York, NY – July 11, 2017 – Advent/Claymore Enhanced Growth & Income Fund (NYSE: LCM) (the “Fund”) announced today the expiration and preliminary results for its tender offer for up to 4,420,984 common shares (“Shares”) of the Fund (approximately 32. |
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| July 18, 2017 |
Advent Claymore Convertible Securities and Income Fund II SC TO-I/A Document As filed with the Securities and Exchange Commission on July 18, 2017. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Advent/Claymore Enhanced Growth & Income Fund (Name of Subject Company (issuer)) Advent/Claymore Enhanced Growth & Income Fund (Name of Filing Person (of |
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| June 23, 2017 |
Advent Claymore Convertible Securities and Income Fund II WD APP WD 1 appwd.htm Skadden, Arps, Slate, Meagher & Flom llp 155 NORTH WACKER DRIVE CHICAGO, ILLINOIS 60606-1720 TEL: (312) 407-0700 FAX: (312) 407-0411 www.skadden.com June 23, 2017 FIRM/AFFILIATE OFFICES - BOSTON HOUSTON LOS ANGELES NEW YORK PALO ALTO WASHINGTON, D.C. WILMINGTON - BEIJING BRUSSELS FRANKFURT HONG KONG LONDON MOSCOW MUNICH PARIS SÃO PAULO SEOUL SHANGHAI SINGAPORE TOKYO TORONTO Robe |
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| June 12, 2017 |
NNNN N NNN NNN NN . NNNNNNNNNNNN + Advent/Claymore Enhanced Growth & Income Fund MR A SAMPLE DESIGNATION (IF ANY) ADD 1 ADD 2 ADD 3 Georgeson LLC 1290 Avenue of the Americas, 9th Floor New York, NY 10104 NNNNNN ADD 4 ADD 5 ADD 6 C 1234567890 N Tax ID certification on file: TOTAL SHARES 12345678901234 LETTER OF TRANSMITTAL TO TENDER SHARES OF ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND Pursuant t |
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| June 12, 2017 |
Exhibit Offer to Purchase Up to 4,420,984 of the Issued and Outstanding Common Shares of Advent/Claymore Enhanced Growth & Income Fund at 98% of Net Asset Value Per Common Share by Advent/Claymore Enhanced Growth & Income Fund in Exchange for Cash THE OFFER TO PURCHASE WILL EXPIRE AT 5:00 P. |
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| June 12, 2017 |
Exhibit |
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| June 12, 2017 |
Advent/Claymore Enhanced Growth & Income Fund Announces Tender Offer Exhibit Advent/Claymore Enhanced Growth & Income Fund Announces Tender Offer New York, NY ? June 12, 2017 ? Advent/Claymore Enhanced Growth & Income Fund (NYSE: LCM) (the ?Fund?) announced today that the tender offer (the ?Tender Offer?) to purchase for cash up to 32. |
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| June 12, 2017 |
Advent Claymore Convertible Securities and Income Fund II LCM SC TO-I Document As filed with the Securities and Exchange Commission on June 12, 2017. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Advent/Claymore Enhanced Growth & Income Fund (Name of Subject Company (issuer)) Advent/Claymore Enhanced Growth & Income Fund (Name of Filing Person (of |
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| June 12, 2017 |
Exhibit Instructions for Withdrawal of Previously Tendered Common Shares of Beneficial Interest of Advent/Claymore Enhanced Growth & Income Fund If you tendered to Advent/Claymore Enhanced Growth & Income Fund, a Delaware statutory trust (the ?Fund?), in connection with the offer by the Fund to purchase for cash up to 4,420,984 (approximately 32. |
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| June 12, 2017 |
Exhibit OFFER BY Advent/Claymore Enhanced Growth & Income Fund TO PURCHASE FOR CASH UP TO 32. |
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| June 12, 2017 |
Exhibit OFFER BY Advent/Claymore Enhanced Growth & Income Fund TO PURCHASE FOR CASH UP TO 32. |
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| June 8, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 6)1 Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 00765E104 (CUSIP Number) A |
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| May 15, 2017 |
Exhibit 99.1 AMENDMENT NO. 1 TO AGREEMENT Amendment No. 1 (the “Amendment”), dated as of May 12, 2017, to that certain Agreement, dated July 22, 2016 (including the exhibits thereto, the “Agreement”), by and among Arthur D. Lipson, Robert Ferguson, Western Investment LLC, Western Investment Hedged Partners L.P., Western Investment Total Return Partners L.P., Benchmark Plus Institutional Partners L |
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| May 15, 2017 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00765E104 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D’Ange |
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| May 15, 2017 |
Advent Claymore Convertible Securities and Income Fund II LCM As filed with the Securities and Exchange Commission on May 15, 2017. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Advent/Claymore Enhanced Growth & Income Fund (Name of Subject Company (issuer)) Advent/Claymore Enhanced Growth & Income Fund (Name of Filing Person (offeror)) Co |
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| May 15, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 5)1 Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 00765E104 (CUSIP Number) A |
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| May 4, 2017 |
SC 13D/A 1 p17-1138sc13da.htm SABA CAPITAL MANAGEMENT, L.P. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00765E104 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Av |
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| May 2, 2017 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00765E104 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D’Ange |
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| May 1, 2017 |
Advent Claymore Convertible Securities and Income Fund II LCM As filed with the Securities and Exchange Commission on April 28, 2017. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE TO Tender Offer Statement Under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 Advent/Claymore Enhanced Growth & Income Fund (Name of Subject Company (issuer)) Advent/Claymore Enhanced Growth & Income Fund (Name of Filing Person (offeror)) |
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| March 27, 2017 |
EX-99.CERT 2 ex99cert.htm CERTIFICATIONS CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such s |
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| March 27, 2017 |
Advent/claymore Enhanced Growth & Income Fund - LCM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor, New York, NY 10020 (Address of principal executive offices) (Zip code) Robert White 1271 Avenue of the Americas, 45th Floor New York, NY 10020 (Name and address of agent for service) Registrant?s telephone number, including area code: ( 212) 482-1600 Date of fiscal year end: October 31 Date of reporting period: November 1, 2016 ? January 31, 2017 Item 1. |
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| February 14, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common (Title of Class of Securities) 00765E104 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| January 11, 2017 |
Saba Capital Management, L.P. Form SC 13D/A- Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1) Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock (Title of Class of Securities) 00765E104 (CUSIP Number) Saba Capital Management, L. P. 405 Lexington Avenu |
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| September 27, 2016 |
CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with |
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| September 27, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor, New York, NY 10020 (Address of principal executive offices) (Zip code) Robert White 1271 Avenue of the Americas, 45th Floor New York, NY 10020 (Name and address of agent for service) Registrant’s telephone number, including area code: ( 212) 482-1600 Date of fiscal year end: October 31 Date of reporting period: May 1, 2016 – July 31, 2016 Item 1. |
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| August 26, 2016 |
ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND (NYSE: AVK) ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND II (NYSE: AGC) ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND (NYSE: LCM) 1271 Avenue of the Americas, 45th floor New York, New York 10020 NOTICE OF JOINT ANNUAL MEETING OF SHAREHOLDERS To be held on September 28, 2016 Notice is hereby given to the shareholders of each of Advent |
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| August 26, 2016 |
ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND (NYSE: AVK) ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND II (NYSE: AGC) ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND (NYSE: LCM) 1271 Avenue of the Americas, 45th floor New York, New York 10020 NOTICE OF JOINT ANNUAL MEETING OF SHAREHOLDERS To be held on September 28, 2016 Notice is hereby given to the shareholders of each of Advent |
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| July 25, 2016 |
[Signatures appear on next page] Exhibit 99.1 AGREEMENT This Agreement is entered into as of July 22, 2016 (including the exhibits hereto, the “Agreement”), by and among Arthur D. Lipson, Robert Ferguson, Western Investment LLC, Western Investment Hedged Partners L.P., Western Investment Total Return Partners L.P., Benchmark Plus Institutional Partners L.L.C. and Benchmark Plus Management, L.L.C., and all of their respective dire |
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| July 25, 2016 |
Exhibit 99.2 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, $0.001 par value, of Advent/Claymore Enhanced Growth & Income Fund, a Delaw |
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| July 25, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 4)1 Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 00765E104 (CUSIP Number) A |
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| July 11, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 3)1 Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 00765E104 (CUSIP Number) A |
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| July 5, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 2)1 Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 00765E104 (CUSIP Number) A |
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| July 5, 2016 |
JOINT FILING AND SOLICITATION AGREEMENT Exhibit 99.1 JOINT FILING AND SOLICITATION AGREEMENT WHEREAS, certain of the undersigned are shareholders, direct or beneficial, of Advent/Claymore Enhanced Growth & Income Fund, a Delaware business trust (the “Fund”); WHEREAS, Western Investment Hedged Partners L.P., a Delaware limited partnership, Western Investment Total Return Partners L.P., a Delaware limited partnership, Western Investment L |
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| July 5, 2016 |
Exhibit 99.3 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints Arthur D. Lipson the undersigned’s true and lawful attorney-in-fact to take any and all action in connection with (i) the undersigned’s beneficial ownership of, or participation in a group with respect to, securities of Advent/Claymore Enhanced Growth & Income Fund, a Delaware business t |
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| July 5, 2016 |
WESTERN INVESTMENT LLC P.O. Box 71279 Salt Lake City, UT 84171 EX-99.2 3 ex992to13da206290060070516.htm FORM INDEMNIFICATION LETTER AGREEMENT Exhibit 99.2 WESTERN INVESTMENT LLC P.O. Box 71279 Salt Lake City, UT 84171 , 2016 Re: Advent/Claymore Enhanced Growth & Income Fund Dear : Thank you for agreeing to serve as a nominee for election to the Board of Trustees of Advent/Claymore Enhanced Growth & Income Fund (the “Fund”) in connection with the proxy solicit |
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| April 28, 2016 |
Exhibit 99.1 Proposal RESOLVED, that the shareholders of Advent/Claymore Enhanced Growth & Income Fund (“LCM”) hereby request that the Board of Trustees of LCM (the “Board”) take the necessary steps to declassify the Board so that all trustees are elected on an annual basis. Such declassification shall be completed in a manner that does not affect the unexpired terms of the previously elected trus |
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| April 28, 2016 |
SC 13D/A 1 sc13da10629006004282016.htm AMENDMENT NO. 1 TO THE SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1)1 Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock, |
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| April 26, 2016 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. [])* Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00765E104 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angel |
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| April 26, 2016 |
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) EXHIBIT 1 JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) The undersigned acknowledge and agree that the foregoing statement on Schedule 13D is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13D shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. |
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| March 29, 2016 |
Advent/Claymore Enhanced Growth & Income Fund LCM (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor, New York, NY 10020 (Address of principal executive offices) (Zip code) Robert White 1271 Avenue of the Americas, 45th Floor New York, NY 10020 (Name and address of agent for service) Registrant’s telephone number, including area code: (212) 482-1600 Date of fiscal year end: October 31 Date of reporting period: November 1, 2015 – January 31, 2016 Item 1. |
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| March 29, 2016 |
/s/ Tracy V. Maitland Tracy V. Maitland President and Chief Executive Officer EX-99.CERT 2 ex99cert.htm CERTIFICATIONS CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such s |
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| February 11, 2016 |
Saba Capital Management, L.P.: Form SC 13G - Filed by newsfilecorp.com UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 00765E104 (CUSIP Number) January 29, 2016 (Date o |
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| February 1, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 Advent/Claymore Enhanced Growth & Income Fund (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 00765E104 (CUSIP Number) AD |
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| February 1, 2016 |
EX-99.1 2 ex991to13d0629006002012016.htm JOINT FILING AGREEMENT Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including additional amendments thereto) with respect to the shares of Common Stock, $0.001 par |
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| September 28, 2015 |
gug62649-nq.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor, New York, NY 10020 (Address of princi |
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| September 28, 2015 |
CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with |
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| August 28, 2015 |
Advent Claymore Convertible Securities & Income Fund AVK AGC LCM gug62845-def14a.htm ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND (NYSE: AVK) ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND II (NYSE: AGC) ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND (NYSE: LCM) 1271 Avenue of the Americas, 45th floor New York, New York 10020 NOTICE OF JOINT ANNUAL MEETING OF SHAREHOLDERS To be held on September 30, 2015 Notice is hereby given to the shareholde |
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| July 16, 2015 |
Advent Claymore Convertible Securities & Income Fund ESP Advent Funds SEC S-Ox Response Letter July 2015 [INSERT ADVENT LETTERHEAD] July 16, 2015 VIA EDGAR Division of Investment Management U. |
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| March 30, 2015 |
EX-99.CERT 2 ex99cert.htm CERTIFICATIONS CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such s |
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| March 30, 2015 |
gug61569-nq.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor, New York, NY 10020 (Address of princi |
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| September 29, 2014 |
EX-99.CERT 2 ex99cert.htm CERTIFICATIONS CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such s |
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| September 29, 2014 |
Advent/claymore Enhanced Growth & Income Fund - LCM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor, New York, NY 10020 (Address of principal executive offices) (Zip code) Robert White 1271 Avenue of the Americas, 45th Floor New York, NY 10020 (Name and address of agent for service) Registrant’s telephone number, including area code: (212) 482-1600 Date of fiscal year end: October 31 Date of reporting period: May 1, 2014 – July 31, 2014 Item 1. |
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| August 29, 2014 |
AVK / Advent Claymore Convertible Securities & Income Fund DEF 14A - - AVK AGC LCM ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND (NYSE: AVK) ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND II (NYSE: AGC) ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND (NYSE: LCM) 1271 Avenue of the Americas, 45th floor New York, New York 10020 NOTICE OF JOINT ANNUAL MEETING OF SHAREHOLDERS To be held on September 30, 2014 Notice is hereby given to the shareholders of each of Advent |
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| March 28, 2014 |
Quarterly Schedule of Portfolio Holdings - LCM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor, New York, NY 10020 (Address of principal executive offices) (Zip code) Robert White 1271 Avenue of the Americas, 45th Floor New York, NY 10020 (Name and address of agent for service) Registrant’s telephone number, including area code: (212) 482-1600 Date of fiscal year end: October 31 Date of reporting period: November 1, 2013 – January 31, 2014 Item 1. |
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| March 28, 2014 |
CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with |
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| December 24, 2013 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Board of Trustees and Shareholders of Advent/Claymore Enhanced Growth & Income Fund In planning and performing our audit of the financial statements of Advent/Claymore Enhanced Growth & Income Fund (the “Fund”) as of and for the year ended October 31, 2013, in accordance with the standards of the Public Company Accounting Oversight Boa |
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| September 26, 2013 |
Quarterly Schedule of Portfolio Holdings - LCM N-Q 1 gug57617-nq.htm LCM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor, New York, NY 10020 (Address |
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| September 26, 2013 |
CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with |
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| September 13, 2013 |
ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND (NYSE: AVK) ADVENT CLAYMORE CONVERTIBLE SECURITIES AND INCOME FUND II (NYSE: AGC) ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND (NYSE: LCM) 1271 Avenue of the Americas, 45th floor New York, New York 10020 NOTICE OF JOINT ANNUAL MEETING OF SHAREHOLDERS To be held on October 16, 2013 Notice is hereby given to the shareholders of each of Advent C |
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| March 27, 2013 |
Quarterly Schedule of Portfolio Holdings - LCM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor, New York, NY 10020 (Address of principal executive offices) (Zip code) Robert White 1271 Avenue of the Americas, 45th Floor New York, NY 10020 (Name and address of agent for service) Registrant’s telephone number, including area code: (212) 482-1600 Date of fiscal year end: October 31 Date of reporting period: November 1, 2012 – January 31, 2013 Item 1. |
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| March 27, 2013 |
CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with |
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| December 26, 2012 |
Results of Shareholder Votes The Annual Meeting of Shareholders of the Fund was held on October 24, 2012. |
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| December 26, 2012 |
Registered Public Accounting Firm Registered Public Accounting Firm To the Board of Trustees and Shareholders of Advent/Claymore Enhanced Growth & Income Fund In planning and performing our audit of the financial statements of Advent/Claymore Enhanced Growth & Income Fund (the “Fund”) as of and for the year ended October 31, 2012, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we |
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| September 28, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| September 26, 2012 |
Tracy V. Maitland, President and Chief Executive Officer CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with |
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| September 26, 2012 |
Quarterly Schedule of Portfolio Holdings - LCM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor, New York, NY 10020 (Address of principal executive offices) (Zip code) Robert White 1271 Avenue of the Americas, 45th Floor New York, NY 10020 (Name and address of agent for service) Registrant’s telephone number, including area code: (212) 482-1600 Date of fiscal year end: October 31 Date of reporting period: May 1, 2012 – July 31, 2012 Item 1. |
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| April 27, 2012 |
April 26th, 2012 Christina DiAngelo SEC SOX Review – AVK, AGC, LCM Ms. DiAngelo, Below please find our responses to your SOX review. In connection with our answers, we represent that: · The Fund is responsible for the adequacy and accuracy of the disclosure in the filings · Staff comments or changes to disclosure in response to staff comments in the filings reviewed by the staff do not foreclose t |
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| March 29, 2012 |
Quarterly Schedule of Portfolio Holdings - LCM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21504 Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in charter) 1271 Avenue of the Americas, 45th Floor, New York, NY 10020 (Address of principal executive offices) (Zip code) Robert White 1271 Avenue of the Americas, 45th Floor New York, NY 10020 (Name and address of agent for service) Registrant’s telephone number, including area code: (212) 482-1600 Date of fiscal year end: October 31 Date of reporting period: November 1, 2011 – January 31, 2012 Item 1. |
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| March 29, 2012 |
/s/ Tracy V. Maitland Tracy V. Maitland, President and Chief Executive Officer CERTIFICATIONS I, Tracy V. Maitland, certify that: 1. I have reviewed this report on Form N-Q of Advent/Claymore Enhanced Growth & Income Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with |
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| January 20, 2012 |
Regulation FD Disclosure, Financial Statements and Exhibits - LCM FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 20, 2012 (January 18, 2012) Advent/Claymore Enhanced Growth & Income Fund (Exact name of registrant as specified in its charter) Delaware 811-21504 20-2113086 (State or other |
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| January 20, 2012 |
FOURTH AMENDED AND RESTATED ENHANCED GROWTH & INCOME FUND TABLE OF CONTENTS Exhibit 3.1 FOURTH AMENDED AND RESTATED BY-LAWS OF ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND TABLE OF CONTENTS ARTICLE I Shareholder Meetings Section 1.1 Chairman 3 Section 1.2 Proxies; Voting 3 Section 1.3 Fixing Record Dates 3 Section 1.4 Inspectors of Election 3 Section 1.5 Records at Shareholder Meetings 3 Section 1.6 Notice of Shareholder Business and Nominations 4 Section 1.7 Special Sha |
