0001752724-24-001222.txt : 20240110 0001752724-24-001222.hdr.sgml : 20240110 20240110160655 ACCESSION NUMBER: 0001752724-24-001222 CONFORMED SUBMISSION TYPE: N-CEN PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231031 FILED AS OF DATE: 20240110 DATE AS OF CHANGE: 20240110 EFFECTIVENESS DATE: 20240110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT CONVERTIBLE & INCOME FUND CENTRAL INDEX KEY: 0001219120 ORGANIZATION NAME: IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: N-CEN SEC ACT: 1940 Act SEC FILE NUMBER: 811-21309 FILM NUMBER: 24526646 BUSINESS ADDRESS: STREET 1: 227 W. MONROE STREET CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-827-0100 MAIL ADDRESS: STREET 1: 227 W. MONROE STREET CITY: CHICAGO STATE: IL ZIP: 60606 FORMER COMPANY: FORMER CONFORMED NAME: ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND DATE OF NAME CHANGE: 20030219 N-CEN 1 primary_doc.xml X0404 N-CEN LIVE 0001219120 XXXXXXXX 811-21309 false false false N-2 Advent Convertible & Income Fund 811-21309 0001219120 ZEFY1K43K8JK66NIVK50 888 Seventh Ave, 31st Floor New York 10019 US-NY US 212-482-1600 The Bank of New York Mellon 225 Liberty Street New York 10286 212-495-1784 Records of the Fund's securities and cash N N N N-2 Y Nancy E. Stuebe N/A N Randall C. Barnes 004411270 N Daniel L. Black N/A N Michael A. Smart N/A N Tracy V. Maitland N/A Y Gerald L. Seizert 002107061 N Derek Medina N/A N Ronald A. Nyberg N/A N Stephen Ellwood N/A 888 Seventh Ave New York 10019 XXXXXX Y N N N N N N PricewaterhouseCoopers LLP 238 5493002GVO7EO8RNNS37 N N N N N N Advent Convertible & Income Fund ZEFY1K43K8JK66NIVK50 N N/A N N N N N/A N/A N/A Rule 32a-4 (17 CFR 270.32a-4) Rule 18f-4(f)(17 CFR 270.18f-4(f)) Rule 18f-4 (17 CFR 270.18f-4) Rule 18f-4(d)(ii) (17 CFR 270.18f-4(d)(ii)) N N N N Advent Capital Management, LLC 801-60263 000113013 JON937H5HNZFJ4QPF387 N Computershare Inc. 084-05925 254900Y7PP3ZED9AUY94 N N N ICE Data Services 5493000NQ9LYLDBCTL34 N Refinitiv US LLC 213800HQORQAP68CJJ04 N Bloomberg 549300B56MD0ZC402L06 N Markit Ltd. 549300HLPTRASHS0E726 GB N N The Bank of New York Mellon HPFHU0OQ28E4N0NFVK49 N N Bank - section 17(f)(1) (15 U.S.C. 80a-17(f)(1)) N Guggenheim Funds Distributors, LLC 549300YLHACOJHH3DN20 N N N MUFG Investor Services (US), LLC 084-05475 SEC File Number N N N GOLDMAN SACHS & CO. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 555.00000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 179133.27000000 Macro Risk Advisors, LLC 8-67973 000148143 254900MJHRL6XM3JXB53 11883.80000000 191572.07000000 Nomura Securities International, Inc. 8-15255 000004297 OXTKY6Q8X53C9ILVV871 37351479.61000000 BOFA SECURITIES, INC. 8-69787 000283942 549300HN4UKV1E2R3U73 212535903.47000000 GOLDMAN SACHS & CO. LLC 8-129 000000361 FOR8UP27PHTHYVLBNG30 84514662.31999999 WELLS FARGO SECURITIES, LLC 8-65876 000126292 VYVVCKR63DVZZN70PB21 54160642.32000000 Citigroup Global Markets Inc. 8-8177 000007059 MBNUM2BPBDO7JBLYG310 104805941.90000000 JEFFERIES LLC 8-15074 000002347 58PU97L1C0WSRCWADL48 103138400.50000000 BARCLAYS CAPITAL INC. 8-41342 000019714 AC28XWWI3WIBK2824319 175434673.24000001 RBC Capital Markets, LLC 8-45411 000031194 549300LCO2FLSSVFFR64 15397288.56000000 J.P. MORGAN SECURITIES LLC 8-35008 000000079 ZBUT11V806EZRVTWT807 224374478.40000000 Morgan Stanley & Co. LLC 8-15869 000008209 9R7GPTSO7KV3UQJZQ078 103044014.23000000 1308572811.72000000 Y 427160287.22166700 0.00000000 Common stock Common stock N N N N N N 0.98000000 5.73000000 9.48000000 10.80000000 false false true false false false false false false false false INTERNAL CONTROL RPT 2 Auditletteravk.htm AUDIT LETTER

Report of Independent Registered Public Accounting Firm

To the Board of Trustees and shareholders of Advent Convertible and Income Fund

In planning and performing our audit of the financial statements of Advent Convertible and Income Fund (the “Fund”) as of and for the year ended October 31, 2023, in accordance with the standards of the Public Company Accounting Oversight Board (United States) (PCAOB), we considered the Fund’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-CEN, but not for the purpose of expressing an opinion on the effectiveness of the Fund’s internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the Fund's internal control over financial reporting.

The management of the Fund is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.

Our consideration of the Fund’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control over financial reporting that might be material weaknesses under standards established by the PCAOB. However, we noted no deficiencies in the Fund’s internal control over financial reporting and its operation, including controls over safeguarding securities, that we consider to be a material weakness as defined above as of October 31, 2023.

This report is intended solely for the information and use of the Board of Trustees of Advent Convertible and Income Fund and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

/s/PricewaterhouseCoopers LLP

New York, New York

December 21, 2023