UBS Group AG - Nov 3, 2022 Form 4 Insider Report for Virtus Convertible & Income Fund (NCV)

Role
10%+ Owner
Signature
By: /s/ Rollins Simmons, UBS Group AG
Stock symbol
NCV
Transactions as of
Nov 3, 2022
Transactions value $
$0
Form type
4
Date filed
11/8/2022, 10:49 AM
Previous filing
May 7, 2021
Next filing
Feb 2, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction NCV Auction Preferred Stock Other -8.06K -100% 0 Nov 3, 2022 By subsidiary F1, F2, F3, F4
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

UBS Group AG is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.

Explanation of Responses:

Id Content
F1 This Statement is filed jointly by UBS Group AG for the benefit and on behalf of UBS Securities LLC and UBS Financial Services Inc., two wholly owned subsidiaries of UBS Group AG to which UBS Group AG has delegated portions of its performance obligations with respect to the Auction Rate Securities Rights issued by UBS Group AG to certain clients and pursuant to which the securities reported herein have been purchased from such clients.
F2 This filing reports holdings of the Series of Auction Preferred Stock identified in Item 1 of this Table I on an aggregated basis.
F3 97.95% of par
F4 (Cusip Nos 92838X201, 92838X300, 92838X409, 92838X508, 92838X607)

Remarks:

The relevant APS was redeemed by the issuer.