基本數據
| LEI | 549300GYFOXHCDQTI772 |
| CIK | 793040 |
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 Ellsworth Growth and Income Fund Ltd.
SEC Filings (Chronological Order)
本頁面提供了一個完整的、按時間順序排列的美國證券交易委員會（SEC）申報文件列表，不包括我們在其他地方提供的所有權申報。
| March 19, 2026 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 19, 2026 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 19, 2025 |
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) May 19, 2025 Ellsworth Growth and Income Fund Ltd. (Exact name of registrant as specified in its charter) Delaware 811-04656 13-3345139 (State or other jurisdiction of incorporation) ( |
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| May 19, 2025 |
Ellsworth Growth and Income Fund Ltd. 8-K Exhibit 3.1 ELLSWORTH GROWTH AND INCOME FUND LTD. STATEMENT OF PREFERENCES OF SERIES B CUMULATIVE PREFERRED SHARES AMENDMENT NO. 2 Ellsworth Growth and Income Fund Ltd., a Delaware statutory trust (the “Trust”), hereby certifies that: FIRST: The Board of Trustees of the Trust (the “Board of Trustees”), at a meeting duly convened and held on August 24, 2017 |
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| March 20, 2025 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 20, 2025 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| August 6, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 4)* ELLSWORTH GROWTH & INCOME FUND LTD (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 289074106 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212 |
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| July 19, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* ELLSWORTH GROWTH & INCOME FUND LTD (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 289074106 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212 |
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| June 21, 2024 |
SC 13D/A 1 formsc13da.htm FORM SC 13D/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* ELLSWORTH GROWTH & INCOME FUND LTD (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 289074106 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, N |
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| June 10, 2024 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* ELLSWORTH GROWTH & INCOME FUND LTD (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 289074106 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 Attention: Michael D'Angelo (212 |
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| May 13, 2024 |
SC 13D 1 formsc13d.htm FORM SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. )* ELLSWORTH GROWTH & INCOME FUND LTD (Name of Issuer) Common Shares, $0.01 par value (Title of Class of Securities) 289074106 (CUSIP Number) Saba Capital Management, L.P. 405 Lexington Avenue 58th Floor New York, NY 10174 |
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| May 13, 2024 |
JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k) EX-1 2 exhibit1.htm EXHIBIT 1 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 agree |
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| April 3, 2024 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 21, 2024 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 21, 2024 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 6, 2024 |
ECF / Ellsworth Growth and Income Fund Ltd. / WELLS FARGO & COMPANY/MN Passive Investment SC 13G 1 wfellsworthgrowth289074106.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) Ellsworth Growth and Income (Name of Issuer) Closed-End Fund (Title of Class of Securities) 289074106 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box |
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| January 29, 2024 |
SC 13G/A 1 formsc13ga.htm FORM SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.2)* ELLSWORTH GROWTH & INCOME FUND LTD (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 289074106 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) C |
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| June 29, 2023 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) Ellsworth Growth & Income Fund Ltd. (Name of Issuer) Series A & Series B Preferred Shares (“Preferred Shares”) (Title of Class of Securities) 289074205 & 289074304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 92 |
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| April 5, 2023 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| April 5, 2023 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 1, 2023 |
1 Ellsworth Growth and Income Fund Ltd. Schedule of Investments — December 31, 2022 (Unaudited) Principal Amount Market Value CONVERTIBLE CORPORATE BONDS — 63.5% Airlines — 1.3% $ 2,000,000 Southwest Airlines Co., 1.250%, 05/01/25 ............... $ 2,409,500 Automotive — 1.6% 3,000,000 Ford Motor Co., Zero Coupon, 03/15/26 ........... 2,845,500 Business Services — 1.6% 2,000,000 BigBear.ai Ho |
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| February 14, 2023 |
ECF / Ellsworth Fund, Ltd. / Saba Capital Management, L.P. - FORM SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No.1)* ELLSWORTH GROWTH & INCOME FUND LTD (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 289074106 (CUSIP Number) December 31, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate th |
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| August 29, 2022 |
1 Ellsworth Growth and Income Fund Ltd. Schedule of Investments — June 30, 2022 (Unaudited) Principal Amount Market Value CONVERTIBLE CORPORATE BONDS — 69.8% Airlines — 1.4% $ 2,000,000 Southwest Airlines Co., 1.250%, 05/01/25 ............... $ 2,362,500 Automotive — 1.7% 3,000,000 Ford Motor Co., Zero Coupon, 03/15/26 ........... 2,751,000 Business Services — 4.2% 2,000,000 BigBear.ai Holdin |
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| August 25, 2022 |
As filed with the Securities and Exchange Commission on August 24, 2022 As filed with the Securities and Exchange Commission on August 24, 2022 Securities Act File No. |
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| August 25, 2022 |
Statement of Preferences for Series B Cumulative Preferred Shares ** ELLSWORTH GROWTH AND INCOME FUND LTD. STATEMENT OF PREFERENCES OF SERIES B CUMULATIVE PREFERRED SHARES Ellsworth Growth and Income Fund Ltd., a Delaware statutory trust (the ?Trust?), hereby certifies that: FIRST: The Board of Trustees of the Trust (the ?Board of Trustees?), at a meeting duly convened and held on August 24, 2017, pursuant to authority expressly vested in it by Article III of the A |
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| August 25, 2022 |
(ii) Amendment No. 1 to Amended and Restated By-Laws of Registrant ** AMENDMENT NO. 1 TO AMENDED AND RESTATED BY-LAWS OF ELLSWORTH GROWTH AND INCOME FUND LTD. Effective: August 17, 2022 On August 17, 2022, the Board of Trustees of Ellsworth Growth and Income Fund Ltd. (the ?Fund?), in accordance with the Fund?s Amended and Restated By-Laws (the ?By-Laws?) and the Amended and Restated Agreement and Declaration of Trust, approved and adopted the following amendment to |
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| July 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* Ellsworth Growth & Income Fund Ltd. (Name of Issuer) Series A & Series B Preferred Shares (“Preferred Shares”) (Title of Class of Securities) 289074205 & 289074304 (CUSIP Number) July 1, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate bo |
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| July 11, 2022 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Ellsworth Growth & Income Fund Ltd. (Name of Issuer) Series A & Series B Preferred Shares (?Preferred Shares?) (Title of Class of Securities) 289074205 & 289074304 (CUSIP Number) David Goldman GAMCO Investors, Inc. One Corporate Center Rye, New York 10580-1435 (914) 921-5000 (Name, Addr |
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| July 11, 2022 |
ECF / Ellsworth Fund, Ltd. / MORGAN STANLEY - MS AMENDMENT Passive Investment SC 13G/A 1 EllsworthECF.txt MS AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.7)* ELLSWORTH GROWTH & INCOME FUND LTD - (Name of Issuer) Common Stock - (Title of Class of Securities) 289074106 - (CUSIP Number) June 30th, 2022 - (Date Of Event which Requires Filing of this Statement) Check the app |
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| July 11, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* Ellsworth Growth & Income Fund Ltd. (Name of Issuer) Series A & Series B Preferred Shares (?Preferred Shares?) (Title of Class of Securities) 289074205 & 289074304 (CUSIP Number) July 1, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate bo |
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| June 10, 2022 |
ECF / Ellsworth Fund, Ltd. / Saba Capital Management, L.P. - FORM SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ELLSWORTH GROWTH & INCOME FUND LTD (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 289074106 (CUSIP Number) June 2, 2022 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| March 24, 2022 |
? SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 24, 2022 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 1, 2022 |
1 Ellsworth Growth and Income Fund Ltd. Schedule of Investments — December 31, 2021 (Unaudited) Principal Amount Market Value CONVERTIBLE CORPORATE BONDS — 68.8% Airlines — 1.3% $ 1,505,000 JetBlue Airways Corp., 0.500%, 04/01/26(a) ............. $ 1,410,513 1,000,000 Southwest Airlines Co., 1.250%, 05/01/25 ............... 1,336,750 2,747,263 Automotive — 1.9% 3,000,000 Ford Motor Co., Zero |
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| February 10, 2022 |
ECF / Ellsworth Fund, Ltd. / MORGAN STANLEY - MS AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.6)* ELLSWORTH GROWTH & INCOME FUND LTD - (Name of Issuer) Common Stock - (Title of Class of Securities) 289074106 - (CUSIP Number) December 31, 2021 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| November 5, 2021 |
ECF / Ellsworth Fund, Ltd. / Advisors Asset Management, Inc. - FORM SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 4 )* Ellsworth Growth & Income Fund Ltd - (NAME OF ISSUER) Common Stock - (TITLE OF CLASS OF SECURITIES) 289074106 - (CUSIP NUMBER) October 31, 2021 - (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) Check the appropriate box to designate the rule pur |
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| August 25, 2021 |
1 Ellsworth Growth and Income Fund Ltd. Schedule of Investments — June 30, 2021 (Unaudited) Principal Amount Market Value CONVERTIBLE CORPORATE BONDS — 71 .2 % Aerospace — 0 .7 % $ 1,638,000 Kaman Corp. , 3.250 % , 05/01/24 ............. $ 1,736,342 Airlines — 1 .3 % 1,505,000 JetBlue Airways Corp. , 0.500 % , 04/01/26 (a) ........... 1,507,257 1,000,000 Southwest Airlines Co. , 1.250 % , 05/ |
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| April 28, 2021 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 500 BOYLSTON STREET BOSTON, MASSACHUSETTS 02116 DIRECT DIAL 617-573-4836 DIRECT FAX 617-305-4836 EMAIL ADDRESS KENNETH. |
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| March 29, 2021 |
- ELLSWORTH GROWTH & INCOME FUND (ECF)_DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 29, 2021 |
? SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 26, 2021 |
Ellsworth Growth and Income Fund Ltd. Schedule of Investments — December 31, 2020 (Unaudited) Principal Amount Market Value CONVERTIBLE CORPORATE BONDS — 70.9% Aerospace — 1.7% $ 1,000,000 Aerojet Rocketdyne Holdings Inc., 2.250%, 12/15/23 $ 2,032,998 1,638,000 Kaman Corp., 3.250%, 05/01/24 1,902,942 3,935,940 Airlines — 0.6% 930,000 Southwest Airlines Co., 1.250%, 05/01/25 1,355,475 Business Serv |
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| February 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3) ELLSWORTH GROWTH & INCOME FD (Name of Issuer) COM (Title of Class of Securities) 289074106 (CUSIP Number) December 31, 2020 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sche |
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| February 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.5)* ELLSWORTH GROWTH & INCOME FUND LTD - (Name of Issuer) Common Stock - (Title of Class of Securities) 289074106 - (CUSIP Number) December 31, 2020 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| February 4, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 3 )* Ellsworth Growth & Income Fund Ltd - (NAME OF ISSUER) Common Stock - (TITLE OF CLASS OF SECURITIES) 289074106 - (CUSIP NUMBER) December 31, 2020 - (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) Check the appropriate box to designate the rule pu |
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| November 24, 2020 |
ELLSWORTH GROWTH & INCOME FUND LTD ELLSWORTH GROWTH AND INCOME FUND LTD. One Corporate Center Rye, New York 10580-1422 November 24, 2020 VIA EDGAR AND ELECTRONIC MAIL David Orlic Division of Investment Management U.S. Securities and Exchange Commission 100 F Street N.E. Washington, DC 20549 RE: Ellsworth Growth and Income Fund Ltd. (File Nos. 333-248511 and 811-04656) Dear Mr. Orlic: Pursuant to R |
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| November 20, 2020 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP DIRECT DIAL 617-573-4836 DIRECT FAX 617-305-4836 EMAIL ADDRESS KENNETH. |
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| August 27, 2020 |
FOR VALIDATION PURPOSES ONLY - [52292.TX] Ellsworth Growth and Income Fund Ltd. Schedule of Investments — June 30, 2020 (Unaudited) Principal Amount Market Value CONVERTIBLE CORPORATE BONDS — 64.4% Aerospace — 1.9% $ 1,000,000 Aerojet Rocketdyne Holdings Inc., 2.250%, 12/15/23 $ 1,603,495 2,038,000 Kaman Corp., 3.250%, 05/01/24 1,958,210 3,561,705 Airlines — 0.6% 930,000 Southwest Airlines Co., 1. |
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| May 4, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 1, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 26, 2020 |
ECF / Ellsworth Fund, Ltd. DEFA14A - - DEFA 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 26, 2020 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 5, 2020 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Consent of Independent Registered Public Accounting Firm Exhibit (n)(i) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We hereby consent to the incorporation by reference in this Registration Statement on Form N-2 of Ellsworth Growth and Income Fund Ltd. |
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| March 5, 2020 |
CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Consent of Independent Registered Public Accounting Firm Exhibit (n)(ii) CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM We consent to the references to our firm in the Post-Effective Amendment No. |
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| March 5, 2020 |
ECF / Ellsworth Fund, Ltd. POS 8C - - ELLSWORTH GROWTH AND INCOME FUND LTD. ELLSWORTH GROWTH AND INCOME FUND LTD. As filed with the Securities and Exchange Commission on March 5, 2020 Securities Act File No. 333-219322 Investment Company Act File No. 811-04656 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form N-2 (Check Appropriate Box or Boxes) REGISTRATION STATEMENT UNDER ☒ THE SECURITIES ACT OF 1933 ☐ Pre-Effective Amendment No. ☒ Post-Effectiv |
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| February 28, 2020 |
HTML Ellsworth Growth and Income Fund Ltd. Schedule of Investments — December 31, 2019 (Unaudited) Principal Amount Market Value CONVERTIBLE CORPORATE BONDS — 57.6% Aerospace — 2.3% $1,000,000 Aerojet Rocketdyne Holdings Inc., 2.250%, 12/15/23 $ 1,818,770 2,038,000 Kaman Corp., 3.250%, 05/01/24 2,449,676 4,268,446 Automotive — 0.4% 500,000 Tesla Inc., 2.000%, 05/15/24 757,161 Business Services — 1 |
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| February 27, 2020 |
CORRESP SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 500 BOYLSTON STREET BOSTON, MASSACHUSETTS 02116 FIRM/AFFILIATE OFFICES - CHICAGO HOUSTON LOS ANGELES NEW YORK PALO ALTO WASHINGTON, D. |
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| February 13, 2020 |
ECF / Ellsworth Fund, Ltd. / Advisors Asset Management, Inc. - FORM SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2 )* Ellsworth Growth & Income Fund Ltd - (NAME OF ISSUER) Common Stock - (TITLE OF CLASS OF SECURITIES) 289074106 - (CUSIP NUMBER) December 31, 2019 - (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) Check the appropriate box to designate the rule pu |
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| February 12, 2020 |
ECF / Ellsworth Fund, Ltd. / MORGAN STANLEY - MS AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.4)* ELLSWORTH GROWTH & INCOME FUND LTD - (Name of Issuer) Common Stock - (Title of Class of Securities) 289074106 - (CUSIP Number) December 31, 2019 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| February 11, 2020 |
ECF / Ellsworth Fund, Ltd. / UBS Group AG - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4) Ellsworth Growth & Income Fund Ltd. (Name of Issuer) Common Stock (Title of Class of Securities) 289074106 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pu |
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| February 5, 2020 |
ECF / Ellsworth Fund, Ltd. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) ELLSWORTH GRWTH AND INCOME L (Name of Issuer) COM (Title of Class of Securities) 289074106 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| January 9, 2020 |
Code of Ethics of the Fund and the Investment Adviser(8) Code of Ethics of the Fund and the Investment Adviser Exhibit (r) Code of Ethics Gabelli Funds, LLC GAMCO Asset Management Inc. |
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| January 9, 2020 |
ECF / Ellsworth Fund, Ltd. POS 8C - - ELLSWORTH GROWTH AND INCOME FUND LTD. ELLSWORTH GROWTH AND INCOME FUND LTD. As filed with the Securities and Exchange Commission on January 9, 2020 Securities Act File No. 333-219322 Investment Company Act File No. 811-04656 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form N-2 (Check Appropriate Box or Boxes) REGISTRATION STATEMENT UNDER ☒ THE SECURITIES ACT OF 1933 ☐ Pre-Effective Amendment No. ☒ Post-Effect |
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| August 27, 2019 |
ECF / Ellsworth Fund, Ltd. NPORT-EX - - NPORT-EX 1 GabelliGrowthIncomeFund.htm Ellsworth Growth and Income Fund Ltd. Schedule of Investments — June 30, 2019 (Unaudited) Principal Amount Market Value CONVERTIBLE CORPORATE BONDS — 61.9% Aerospace — 2.3% $ 1,000,000 Aerojet Rocketdyne Holdings Inc., 2.250%, 12/15/23 $ 1,780,988 2,038,000 Kaman Corp., 3.250%, 05/01/24 2,399,776 4,180,764 Automotive — 1.1% 1,000,000 NIO Inc., 4.500%, 02/01/2 |
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| March 28, 2019 |
ECF / Ellsworth Fund, Ltd. DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 28, 2019 |
ECF / Ellsworth Fund, Ltd. DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 27, 2019 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James A. |
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| February 27, 2019 |
ELLSWORTH GROWTH & INCOME FUND LTD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 15, 2019 |
ECF / Ellsworth Fund, Ltd. / UBS Group AG - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Ellsworth Growth & Income Fund Ltd. (Name of Issuer) Common Stock (Title of Class of Securities) 289074106 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| February 13, 2019 |
ECF / Ellsworth Fund, Ltd. / MORGAN STANLEY - MS AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.3)* ELLSWORTH GROWTH & INCOME FUND LTD - (Name of Issuer) Common Stock - (Title of Class of Securities) 289074106 - (CUSIP Number) December 31, 2018 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| February 11, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO.1)* Ellsworth Growth & Income Fund Ltd - (NAME OF ISSUER) Common Stock - (TITLE OF CLASS OF SECURITIES) 289074106 - (CUSIP NUMBER) December 31, 2018 - (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) Check the appropriate box to designate the rule purs |
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| January 16, 2019 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 16, 2019 |
ECF / Ellsworth Fund, Ltd. / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Ellsworth Growth and Income Fund Ltd. - (Name of Issuer) Common - (Title of Class of Securities) 289074106 - (CUSIP Number) December 31, 2018 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| August 15, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act EX-99.CERT 2 d617436dex99cert.htm 302 CERTIFICATIONS Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James A. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Growth and Income Fund Ltd.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fa |
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| August 15, 2018 |
N-Q 1 d617436dnq.htm ELLSWORTH GROWTH & INCOME FUND LTD. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04656 Ellsworth Growth and Income Fund Ltd. (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-14 |
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| July 10, 2018 |
ECF / Ellsworth Fund, Ltd. / Advisors Asset Management, Inc. - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* Ellsworth Growth & Income Fund Ltd - (NAME OF ISSUER) Common Stock - (TITLE OF CLASS OF SECURITIES) 289074106 - (CUSIP NUMBER) June 30, 2018 - (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) Check the appropriate box to designate the rule pursuant |
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| June 5, 2018 |
ECF / Ellsworth Fund, Ltd. CORRESP CORRESP June 5, 2018 VIA EDGAR Mr. Kenneth Ellington Staff Accountant Disclosure Review Office Division of Investment Management Securities and Exchange Commission 100 F Street N.E. Washington, DC 20549 RE: Gabelli Closed-End Funds Dear Mr. Ellington: Thank you for your oral comments provided May 8, 2018, regarding your Sarbanes-Oxley review of the 2017 annual reports (the “Annual Reports”) for th |
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| March 28, 2018 |
ECF / Ellsworth Fund, Ltd. DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 28, 2018 |
ECF / Ellsworth Fund, Ltd. DEF 14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 27, 2018 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James A. |
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| February 27, 2018 |
ELLSWORTH GROWTH & INCOME FUND LTD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 13, 2018 |
ECF / Ellsworth Fund, Ltd. / UBS Group AG - SC 13G/A Passive Investment SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Ellsworth Growth & Income Fund Ltd. (Name of Issuer) Common Stock (Title of Class of Securities) 289074106 (CUSIP Number) December 29, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule p |
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| February 12, 2018 |
ECF / Ellsworth Fund, Ltd. / MORGAN STANLEY - MS AMENDMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.2)* ELLSWORTH GROWTH & INCOME FUND LTD - (Name of Issuer) Common Stock - (Title of Class of Securities) 289074106 - (CUSIP Number) December 29, 2017 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| January 26, 2018 |
ECF / Ellsworth Fund, Ltd. / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ellsworth Growth and Income Fund Ltd. - (Name of Issuer) Common - (Title of Class of Securities) 289074106 - (CUSIP Number) December 31, 2017 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| January 26, 2018 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| September 15, 2017 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 ELLSWORTH GROWTH AND INCOME FUND LTD. (Exact Name of Registrant as Specified in its Charter) Delaware 13-3345139 (State of Incorporation or Organization) (I.R.S. Employer Identification No.) One Corporate Cent |
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| September 14, 2017 |
EX-99.2H DISTR CONTR 3 exhi.htm EXHIBIT (H)(I) TO POS EX Exhibit (h)(i) ELLSWORTH GROWTH AND INCOME FUND LTD. (a Delaware Statutory Trust) 1,200,000 Shares of 5.25% Series A Cumulative Preferred Shares UNDERWRITING AGREEMENT September 13, 2017 Morgan Stanley & Co. LLC As Representative of the several Underwriters Listed on Schedule A hereto c/o Morgan Stanley & Co. LLC 1585 Broadway New York, NY 1 |
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| September 14, 2017 |
(ii) Addendum to Registrar, Transfer Agency and Services Agreement (7) Exhibit (k)(ii) ADDENDUM TO REGISTRAR, TRANSFER AGENCY AND SERVICE AGREEMENT This Addendum (this ? Addendum?), is made as of September 14, 2017, by and between Ellsworth Growth and Income Fund Ltd. |
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| September 14, 2017 |
(iv) Statement of Preferences for 5.25% Series A Cumulative Preferred Shares(7) Exhibit (a)(iv) ELLSWORTH GROWTH AND INCOME FUND LTD. STATEMENT OF PREFERENCES OF 5.25% SERIES A CUMULATIVE PREFERRED SHARES Ellsworth Growth and Income Fund Ltd., a Delaware statutory trust (the ? Trust?), hereby certifies that: FIRST: The Board of Trustees of the Trust, at a meeting duly convened and held on August 24, 2017, (i) pursuant to authority expressly vested in it by the Amended and Res |
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| September 14, 2017 |
EX-99.2H DISTR CONTR 5 exhiii.htm EXHIBIT (H)(III) TO POS EX Exhibit (h)(iii) Morgan Stanley & Co. LLC MASTER SELECTED DEALERS AGREEMENT REGISTERED SEC OFFERINGS AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES) June 1, 2011 This Master Selected Dealers Agreement (this “Master SDA”), dated as of June 1, 2011, is by and between Morgan Stanley & Co. LLC (including its successors an |
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| September 14, 2017 |
Ellsworth Fund POS EX FOR ELLSWORTH GROWTH & INCOME FUND LTD. As filed with the Securities and Exchange Commission on September 14, 2017 Securities Act File No. |
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| September 14, 2017 |
EX-99.2H DISTR CONTR 4 exhii.htm EXHIBIT (H)(II) TO POS EX Exhibit (h)(ii) Morgan Stanley & Co. LLC MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGS (INCLUDING MULTIPLE SYNDICATE OFFERINGS) AND EXEMPT OFFERINGS (OTHER THAN OFFERINGS OF MUNICIPAL SECURITIES) July 15, 2014 This Master Agreement Among Underwriters (this “Master AAU”), dated as of July 15, 2014, is by and between Morgan St |
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| September 14, 2017 |
Exhibit (l)(ii) September 14, 2017 Ellsworth Growth and Income Fund Ltd. One Corporate Center Rye, New York 10580-1422 Re: Ellsworth Growth and Income Fund Ltd. Preferred Shares Shelf Takedown Ladies and Gentlemen: We have acted as special counsel to Ellsworth Growth and Income Fund Ltd., a statutory trust (the ?Trust?) created under the Delaware Statutory Trust Act (the ?DSTA?), in connection wit |
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| August 31, 2017 |
ECF / Ellsworth Fund, Ltd. ESP Ellsworth Growth and Income Fund Ltd. [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] August 31, 2017 VIA EDGAR Anu Dubey Kenneth Ellington Division of Investment Management Disclosure Review Office Securities and Exchange Commission 100 F Street N.E. Washington, DC 20549 RE: Ellsworth Growth and Income Fund Ltd. (File Nos. 333-219322 & 811-04656) Dear Ms. Dubey and Mr. Ellington: Thank y |
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| August 31, 2017 |
ECF / Ellsworth Fund, Ltd. ESP Ellsworth Growth and Income Fund Ltd. Ellsworth Growth and Income Fund Ltd. One Corporate Center Rye, New York 10580-1422 August 31, 2017 VIA EDGAR AND ELECTRONIC MAIL Anu Dubey Division of Investment Management Disclosure Review Office U.S. Securities and Exchange Commission 100 F Street N.E. Washington, DC 20549 RE: Ellsworth Growth and Income Fund Ltd. (File Nos. 333-219322 and 811-04656) Dear |
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| August 18, 2017 |
Ellsworth Growth & Income Fund Ltd - ELLSWORTH GROWTH & INCOME FUND LTD. Ellsworth Growth & Income Fund Ltd. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04656 Ellsworth Growth and Income Fund Ltd. (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of princi |
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| August 18, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James A. |
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| June 7, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant T 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)) ? Definitive |
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| May 23, 2017 |
SUB-ITEM 77Q2: Section 16(a) Beneficial Ownership Reporting Compliance Section 30(h) of the 1940 Act and Section 16(a) of the Securities Exchange Act of 1934 require the Fund's executive officers, Trustees and 10% shareholders (collectively, "Reporting Persons"), to file with the SEC and the New York Stock Exchange initial reports of ownership and reports of changes in ownership of equity securities of the Fund. |
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| May 18, 2017 |
Ellsworth Fund DEFA14A FOR ELLSWORTH GROWTH AND INCOME FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? 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)) ? Definitive |
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| April 3, 2017 |
Skadden, Arps, Slate, Meagher & Flom llp 500 Boylston Street Boston, Massachusetts 02116 TEL: (617) 573-4800 FAX: (617) 573-4822 www. |
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| April 3, 2017 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 22, 2017 |
Skadden, Arps, Slate, Meagher & Flom llp Skadden, Arps, Slate, Meagher & Flom llp DIRECT DIAL 617-573-4836 DIRECT FAX 617-305-4836 EMAIL ADDRESS KENNETH. |
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| March 22, 2017 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 24, 2017 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James A. |
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| February 24, 2017 |
Ellsworth Growth & Income Fund Ltd - ELLSWORTH GROWTH & INCOME FUND LTD. Ellsworth Growth & Income Fund Ltd. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04656 Ellsworth Growth and Income Fund Ltd. (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-1422 (Address of princi |
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| February 14, 2017 |
ECF / Ellsworth Fund, Ltd. / MORGAN STANLEY - MSSB 13GA NO 377 Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.1)* ELLSWORTH GROWTH & INCOME FUND LTD - (Name of Issuer) Common Stock - (Title of Class of Securities) 289074106 - (CUSIP Number) December 31, 2016 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule purs |
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| February 7, 2017 |
Ellsworth Fund SC 13G/A (Passive Acquisition of More Than 5% of Shares) SC 13G/A 1 d284306dsc13ga.htm SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Information to be included in Statements filed pursuant to Rules 13d-1(b), (c) and (d) and amendments thereto filed pursuant to Rule 13d-2(b) (Amendment No. 1) Ellsworth Growth & Income Fund Ltd (Name of Issuer) Common Stock (Title of Class of Securities) 289074106 (CUSIP Num |
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| January 27, 2017 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 27, 2017 |
ECF / Ellsworth Fund, Ltd. / FIRST TRUST PORTFOLIOS LP - SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Ellsworth Growth & Income Fund Ltd. - (Name of Issuer) Common - (Title of Class of Securities) 289074106 - (CUSIP Number) December 31, 2016 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| August 26, 2016 |
Ellsworth Fund ELLSWORTH GROWTH & INCOME FUND LTD. (Quarterly Schedule of Portfolio Holdings) N-Q 1 d203516dnq.htm ELLSWORTH GROWTH & INCOME FUND LTD. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-04656 Ellsworth Growth and Income Fund LTD. (Exact name of registrant as specified in charter) One Corporate Center Rye, New York 10580-14 |
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| August 26, 2016 |
Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act 302 Certifications Certification Pursuant to Rule 30a-2(a) under the 1940 Act and Section 302 of the Sarbanes-Oxley Act I, James A. |
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| May 24, 2016 |
Investment Advisory Agreement between Registrant and Gabelli Funds, LLC(3) EX-99.77Q1 OTHR EXHB 4 ellsworth77q12.txt Exhibit 77(Q)(1)(e) INVESTMENT ADVISORY AGREEMENT November 1, 2015 Gabelli Funds, LLC One Corporate Center Rye, New York 10580 Dear Sir: Ellsworth Growth and Income Fund Ltd. (the "Fund"), a statutory trust organized under the laws of the state of Delaware, confirms its investment advisory agreement with Gabelli Funds, LLC (the "Adviser"), as follows: 1. I |
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| May 24, 2016 |
Ellsworth Growth and Income Fund Ltd. (the "Fund" or the "Registrant") EXHIBIT TO ITEM 77C At Registrant's Special Meeting of Shareholders held on October 19, 2015, a proposal to approve a new Investment Advisory Agreement between the Registrant and Gabelli Funds, LLC, was voted upon and approved. There were 5,639,248 affirmative votes and 575,341 negative votes cast for this proposal, with 153,14 |
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| May 24, 2016 |
Amended and Restated By-Laws of Registrant(3) AMENDED AND RESTATED BY-LAWS OF ELLSWORTH GROWTH AND INCOME FUND LTD. TABLE OF CONTENTS Page ARTICLE I Shareholder Meetings 6 Section 1.1 Chairman 6 Section 1.2 Voting 6 Section 1.3 Fixing Record Dates 7 Section 1.4 Inspectors of Election 7 Section 1.5 Special Meetings of Shareholders 7 Section 1.6 Place of Meetings 9 Section 1.7 Notice of Meetings 9 Section 1.8 Nature of Business at Annual Meetin |
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| March 29, 2016 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| March 29, 2016 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| February 29, 2016 |
Ellsworth Fund FORM N-Q (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 811-04656 Ellsworth Growth and Income Fund Ltd. |
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| February 29, 2016 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, James A. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Growth and Income Fund Ltd.; 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 stat |
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| February 11, 2016 |
ECF / Ellsworth Fund, Ltd. / MORGAN STANLEY - ST MSSB INITIAL Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* ELLSWORTH GROWTH & INCOME FUND LTD - (Name of Issuer) Common Stock - (Title of Class of Securities) 289074106 - (CUSIP Number) December 31, 2015 - (Date Of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| February 9, 2016 |
ECF / Ellsworth Fund, Ltd. / UBS Group AG - SC 13G Passive Investment SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Information to be included in Statements filed pursuant to Rules 13d-1(b), (c) and (d) and amendments thereto filed pursuant to Rule 13d-2(b) (Amendment No. ) Ellsworth Growth & Income Fund Ltd (Name of Issuer) Common Stock (Title of Class of Securities) 289074106 (CUSIP Number) December 31, 2015 (Date of E |
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| November 30, 2015 |
EX-99.1 2 v425529ex99-1.htm EXHIBIT 99.1 EX 99.1 TAIT, WELLER & BAKER LLP Certified Public Accountants REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Trustees Ellsworth Growth and Income Fund Ltd. Morristown, New Jersey In planning and performing our audit of the financial statements of the Ellsworth Growth and Income Fund Ltd. (formerly Ellsworth Fund Ltd.) (the |
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| November 30, 2015 |
EX-99.2 3 v425529ex99-2.htm EXHIBIT 99.2 EX 99.2 At Registrant's Special Meeting of Shareholders held on October 19, 2015, a proposal to approve a new Investment Advisory Agreement between the Registrant and Gabelli Funds, LLC, was voted upon and approved. There were 5,639,248 affirmative votes and 575,341 negative votes cast for this proposal, with 153,141 votes abstaining. There were 1,901,733 b |
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| September 14, 2015 |
CORRESP 1 filename1.htm Steven B. King Tel: 215.864.8604 Fax: 215.864.8999 [email protected] September 14, 2015 By Electronic Filing Ashley Vroman-Lee, Esq. Securities and Exchange Commission Division of Investment Management 100 F. Street, N.E. Washington, DC 20549 Re: Bancroft Fund Ltd. (File No.: 811-02151) and Ellsworth Growth & Income Fund Ltd. (File No.: 811-04656) Proxy Statement on Sc |
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| September 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION 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)( |
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| September 1, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION 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: x Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)( |
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| August 28, 2015 |
Ellsworth Fund FORM N-Q (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 811-04656 Ellsworth Growth and Income Fund Ltd. |
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| August 28, 2015 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Growth and Income Fund Ltd.; 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 sta |
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| May 29, 2015 |
EX 99.1 Sub-Item 77C: Matters submitted to a vote of security holders At Registrant's Annual Meeting of Shareholders held on February 9, 2015, the following proposals were voted upon: 1. All persons nominated were elected. Terms expiring in 2018 Shares voted for Shares withheld Kinchen C. Bizzell 10,888,899 1,088,961 Jane D. O'Keeffe 10,846,934 1,130,926 Trustees Elizabeth C. Bogan, Ph.D., Thomas |
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| February 27, 2015 |
Ellsworth Growth & Income Fund Ltd - 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 811-04656 Ellsworth Growth and Income Fund Ltd. |
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| February 27, 2015 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Growth and Income Fund Ltd.; 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 sta |
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| February 10, 2015 |
ECF / Ellsworth Fund, Ltd. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2) ELLSWORTH FUND LTD (Name of Issuer) COM (Title of Class of Securities) 289074106 (CUSIP Number) January 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fil |
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| February 5, 2015 |
ECF / Ellsworth Fund, Ltd. / WELLS FARGO & COMPANY/MN Passive Investment SC 13G/A 1 wfellsworthf-289074106.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) ELLSWORTH FUND LTD (Name of Issuer) COM (Title of Class of Securities) 289074106 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule |
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| December 29, 2014 |
ECF / Ellsworth Fund, Ltd. DEF 14A - - DEF 14A SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 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)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| August 28, 2014 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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, |
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| August 28, 2014 |
ECF / Ellsworth Fund, Ltd. N-Q - Quarterly Schedule of Portfolio Holdings - N-Q 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 811-04656 - Ellsworth Fund Ltd. |
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| February 28, 2014 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER EX-99 2 ellsworthncsr-ex99 Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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 |
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| February 28, 2014 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-04656 - Ellsworth Fund Ltd. |
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| February 12, 2014 |
ECF / Ellsworth Fund, Ltd. / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Ellsworth Fund Ltd. - (Name of Issuer) Common - (Title of Class of Securities) 289074106 - (CUSIP Number) December 31, 2013 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| February 12, 2014 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 27, 2014 |
ECF / Ellsworth Fund, Ltd. / WELLS FARGO & COMPANY/MN Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) ELLSWORTH FUND LTD (Name of Issuer) COM (Title of Class of Securities) 289074106 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is fil |
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| November 27, 2013 |
ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC. SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 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)) [X] Definitive Proxy Stat |
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| August 27, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-04656 Ellsworth Fund Ltd. |
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| August 27, 2013 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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, |
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| May 30, 2013 |
Sub-Item 77Q3: Other exhibits DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CUSTODIANS, THIS EXHIBIT PROVIDES ADDITIONAL INFORMATION FOR ITEMS 15A, 15B, 15C, 15D AND 15E. |
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| February 28, 2013 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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, |
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| February 28, 2013 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-04656 Ellsworth Fund Ltd. |
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| January 25, 2013 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| January 25, 2013 |
ECF / Ellsworth Fund, Ltd. / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Ellsworth Fund Ltd. - (Name of Issuer) Common - (Title of Class of Securities) 289074106 - (CUSIP Number) December 31, 2012 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| November 29, 2012 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 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)) [X]Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| August 29, 2012 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER EX-99 2 ellsworthncsr-ex99 Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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 |
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| August 29, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-04656 - Ellsworth Fund Ltd. |
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| May 29, 2012 |
Sub-Item 77Q3: Other exhibits DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CUSTODIANS, THIS EXHIBIT PROVIDES ADDITIONAL INFORMATION FOR ITEMS 15A, 15B, 15C, 15D AND 15E. |
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| March 8, 2012 |
ECF / Ellsworth Fund, Ltd. / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* Ellsworth Fund Ltd. - (Name of Issuer) Common - (Title of Class of Securities) 289074106 - (CUSIP Number) February 29, 2012 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| March 8, 2012 |
EX-99.1 2 ex993.txt JOINT FILING AGREEMENT Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but n |
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| February 29, 2012 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER EX-99.CERT 2 d29179ex99-cert.htm EX-99.CERT Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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 circumst |
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| February 29, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q 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 811-04656 - Ellsworth Fund Ltd. |
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| February 6, 2012 |
ECF / Ellsworth Fund, Ltd. / FIRST TRUST PORTFOLIOS LP - AMENDED SCHEDULE 13G Passive Investment UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Ellsworth Fund Ltd. - (Name of Issuer) Common - (Title of Class of Securities) 289074106 - (CUSIP Number) December 31, 2011 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this |
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| February 6, 2012 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| November 30, 2011 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 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)) [X]Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| August 26, 2011 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER EX-99.CERT 2 d28574-ex99cert.htm EX-99.CERT Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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 circumst |
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| August 26, 2011 |
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: 811-04656 - Ellsworth Fund Ltd. |
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| June 10, 2011 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Ellsworth Fund Ltd. - (Name of Issuer) Common - (Title of Class of Securities) 289074106 - (CUSIP Number) May 31, 2011 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sched |
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| June 10, 2011 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| May 31, 2011 |
Sub-Item 77Q3: Other exhibits DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CUSTODIANS, THIS EXHIBIT PROVIDES ADDITIONAL INFORMATION FOR ITEMS 15A, 15B, 15C, 15D AND 15E. |
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| March 1, 2011 |
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: 811-04656 - Ellsworth Fund Ltd. |
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| March 1, 2011 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER EX-99.CERT 2 d27914-ex99cert.htm EX-99.CERT Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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 circumst |
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| February 11, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. ) * ELLSWORTH FUND LTD. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 289074106 (CUSIP Number) (Holdings as of December 31, 2010) Check the appropriate box to designate t |
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| January 11, 2011 |
UNITED STATES* SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Ellsworth Fund Ltd. - (Name of Issuer) Common Stock - (Title of Class of Securities) 289074106 - (CUSIP Number) December 31, 2010 - (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| January 11, 2011 |
Exhibit 99.1 EXHIBIT 99.1 - JOINT FILING AGREEMENT The undersigned hereby agree that they are filing this statement jointly pursuant to Rule 13d-1(k)(1). Each of them is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such person contained therein; but none of them is responsible for the complete |
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| November 29, 2010 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) xDefinitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Section 240. |
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| August 26, 2010 |
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: 811-04656 - Ellsworth Fund Ltd. |
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| August 26, 2010 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER HTML Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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 |
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| August 26, 2010 |
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: 811-04656 - Ellsworth Fund Ltd. |
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| August 26, 2010 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER HTML Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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 |
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| May 28, 2010 |
Sub-Item 77Q3: Other exhibits DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CUSTODIANS, THIS EXHIBIT PROVIDES ADDITIONAL INFORMATION FOR ITEMS 15A, 15B, 15C, 15D AND 15E. |
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| February 26, 2010 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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, |
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| February 26, 2010 |
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: 811-04656 - Ellsworth Fund Ltd. |
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| February 11, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. ) * ELLSWORTH FUND LTD. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 289074106 (CUSIP Number) (Holdings as of December 31, 2009) Check the appropriate box to designate the |
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| November 30, 2009 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Section 240. |
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| August 28, 2009 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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, |
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| August 28, 2009 |
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: 811-04656 - Ellsworth Fund Ltd. |
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| May 27, 2009 |
Sub-Item 77Q3: Other exhibits DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CUSTODIANS, THIS EXHIBIT PROVIDES ADDITIONAL INFORMATION FOR ITEMS 15A, 15B, 15C, 15D AND 15E. |
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| February 27, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-04656 Ellsworth Fund Ltd. (Exact name of registrant as specified in charter) 65 Madison Avenue, Morristown, New Jersey 07960-7308 (Address of principal executive offices) (Zip code) Thomas H. Di |
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| February 27, 2009 |
CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER Exhibit 99.CERT CERTIFICATION OF PRINCIPAL EXECUTIVE OFFICER I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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, |
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| February 10, 2009 |
OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response. |
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| November 26, 2008 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to Section 240. |
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| August 28, 2008 |
Sandoe, Christian T. From: Drayo, Michael J. (Phila) [[email protected]] Sent: Tuesday, November 15, 2005 5:18 PM To: Sandoe, Christian T. Cc: [email protected] Subject: Proxy Statement Ellsworth Convertible Growth and Income Fund, Inc. Page 1 of 1 Proxy Statement Ellsworth Convertible Growth and Income Fund, Inc. 8/28/2008 Hi Christian- I wanted to touch base with you regarding the |
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| August 28, 2008 |
1 Sandoe, Christian T. From: Drayo, Michael J. (Phila) [[email protected]] Sent: Monday, November 21, 2005 9:24 AM To: Sandoe, Christian T. Cc: Hays, Martha (Phila) Subject: Ellsworth Convertible Growth and Income Fund, Inc. proxy statement. Attachments: Rule 145(a)(2).pdf Rule 145(a)(2).pdf (1 MB) <> Hi Christian- I have attached a SEC Interpretative Release as well as two no-action letters |
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| August 22, 2008 |
EX-99.CERT EXHIBIT 99.CERT CERTIFICATION CERTIFICATIONS - I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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, no |
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| August 22, 2008 |
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-04656 - Ellsworth Fund Ltd. - - (Exact name of registrant as specified in charter) 65 Madison Avenue, Morristown, New Jersey 07960-7308 - - (Address of principal executive offices) (Zip code) Th |
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| May 28, 2008 |
Sub-Item 77Q3: Other exhibits DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CUSTODIANS, THIS EXHIBIT PROVIDES ADDITIONAL INFORMATION FOR ITEMS 15A, 15B, 15C, 15D AND 15E. |
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| February 29, 2008 |
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-04656 - Ellsworth Fund Ltd. - - (Exact name of registrant as specified in charter) 65 Madison Avenue, Morristown, New Jersey 07960-7308 - - (Address of principal executive offices) (Zip code) Th |
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| February 29, 2008 |
EX-99.CERT EXHIBIT 99.CERT CERTIFICATION CERTIFICATIONS - I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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, no |
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| February 15, 2008 |
OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response. |
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| November 26, 2007 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 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)) [X ]Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| August 31, 2007 |
EX-99.CERT EXHIBIT 99.CERT CERTIFICATION CERTIFICATIONS - I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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, no |
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| August 31, 2007 |
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-04656 - Ellsworth Fund Ltd. - - (Exact name of registrant as specified in charter) 65 Madison Avenue, Morristown, New Jersey 07960-7308 - - (Address of principal executive offices) (Zip code) Th |
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| May 29, 2007 |
Sub-Item 77Q3: Other exhibits DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CUSTODIANS, THIS EXHIBIT PROVIDES ADDITIONAL INFORMATION FOR ITEMS 15A, 15B, 15C, 15D AND 15E. |
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| February 28, 2007 |
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-04656 - Ellsworth Fund Ltd. - - (Exact name of registrant as specified in charter) 65 Madison Avenue, Morristown, New Jersey 07960-7308 - - (Address of principal executive offices) (Zip code) Th |
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| February 28, 2007 |
EX-99.CERT EXHIBIT 99.CERT CERTIFICATION CERTIFICATIONS - I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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, no |
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| December 4, 2006 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| November 28, 2006 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 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)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| August 28, 2006 |
EX-99.CERT EXHIBIT 99.CERT CERTIFICATION CERTIFICATIONS - I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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, no |
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| August 28, 2006 |
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-04656 - Ellsworth Fund Ltd. - - (Exact name of registrant as specified in charter) 65 Madison Avenue, Morristown, New Jersey 07960-7308 - - (Address of principal executive offices) (Zip code) Th |
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| May 30, 2006 |
Sub-item 77D: Policies with respect to security investments The Fund currently has a non-fundamental investment objective of investing primarily in convertible securities with the objectives of providing income and the potential for capital appreciation (which objectives the Fund considers to be relatively equal due to the nature of the securities in which it invests). |
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| May 30, 2006 |
Sub-Item 77Q1: Exhibits (g)(2) Legal Opinion on Merger [Letterhead of Ballard Spahr Andrews & Ingersoll, LLP] February 17, 2006 Ellsworth Fund, Inc. |
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| May 30, 2006 |
Sub-Item 77M: Mergers On February 17, 2006, Ellsworth Convertible Growth and Income Fund, Inc. |
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| May 30, 2006 |
(i) Amended and Restated Agreement and Declaration of Trust of Registrant(1) Sub-item 77Q1: Exhibits (a) Trust agreement and declaration of trust AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF ELLSWORTH FUND LTD. |
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| May 30, 2006 |
Sub-Item 77Q3: Other exhibits DUE TO THE RESTRICTIONS IN THE FORMAT OF FORM N-SAR TO ALLOW REPORTING OF INFORMATION FOR MULTIPLE CUSTODIANS, THIS EXHIBIT PROVIDES ADDITIONAL INFORMATION FOR ITEMS 15A, 15B, 15C, 15D AND 15E. |
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| May 30, 2006 |
Sub-Item 77Q1: Exhibits (e) Amended Advisory Agreement INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT is entered into this 16th day of February, 2006 by and between ELLSWORTH FUND LTD, a Delaware statutory trust (the "Trust"), and DAVIS-DINSMORE MANAGEMENT COMPANY, a Delaware corporation (the "Adviser"). |
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| May 30, 2006 |
Sub-Item 77Q1: Exhibits (g)(1) Merger Agreement ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC. |
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| May 30, 2006 |
Sub-item 77Q1: Exhibits (b) Amended bylaws AMENDED AND RESTATED BYLAWS OF ELLSWORTH FUND LTD. |
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| May 30, 2006 |
Sub-Item 77C: Submission of matters to a vote of security holders At Registrant's Annual Meeting of Shareholders held on January 13, 2006, the following proposals were voted upon: The proposal to approve a new Investment Advisory Agreement with Davis- Dinsmore Management Company passed, as 6,190,195 shares voted for, 967,567 shares voted against, 311,084 shares abstained, and 1,179,405 shares were broker non-votes. |
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| February 28, 2006 |
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-04656 - Ellsworth Fund Ltd. (successor to Ellsworth Convertible Growth and Income Fund, Inc.) - - (Exact name of registrant as specified in charter) 65 Madison Avenue, Morristown, New Jersey 079 |
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| February 28, 2006 |
EX-99.CERT EXHIBIT 99.CERT CERTIFICATION CERTIFICATIONS - I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Fund Ltd.; 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, no |
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| February 17, 2006 |
AMENDMENT TO NOTIFICATION OF REGISTRATION As filed with the Securities and Exchange Commission on February 17, 2006 811-4656 SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| February 17, 2006 |
EXHIBIT A: REPORT TO SECURITYHOLDERS. ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND [LOGO] 2005 ANNUAL REPORT SEPTEMBER 30, 2005 2005 ANNUAL REPORT SEPTEMBER 30, 2005 ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC. OPERATES AS A CLOSED-END, DIVERSIFIED MANAGEMENT INVESTMENT COMPANY AND INVESTS PRIMARILY IN CONVERTIBLE SECURITIES, WITH THE OBJECTIVES OF PROVIDING INCOME AND THE POTENTIAL FOR CAPI |
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| December 1, 2005 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 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)) /X/ Definitive Proxy Statement / / Definitive Additional Materials / / Soliciting Material Pursuant to Section 240. |
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| November 10, 2005 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant /X/ Filed by a party other than the Registrant / / Check the appropriate box: /X/ Preliminary Proxy Statement / / Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) / / Definitive Proxy Statement / / Definitive Additional Materials / / Soliciting Material Pursuant to Section 240. |
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| August 24, 2005 |
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-04656 - ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC. - - (Exact name of registrant as specified in charter) 65 Madison Avenue, Morristown, New Jersey 07960-7308 - - (Address of principal e |
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| August 24, 2005 |
EX-99.CERT EXHIBIT 99.CERT CERTIFICATION CERTIFICATIONS - I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Convertible Growth and Income Fund, Inc.; 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 whic |
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| June 14, 2005 |
Sub-Item 77Q1a: Other Exhibits PricewaterhouseCoopers LLP May 23, 2005 Securities and Exchange Commission 450 Fifth Street, N. |
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| June 14, 2005 |
Sub-Item 77L: Changes in Accounting Principles and Practices Changes in Method of Accounting For Bond Premium and Discount Amortization Effective October 1, 2004, the Fund began amortizing discounts and premiums on all debt securities. |
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| June 14, 2005 |
Sub-Item 77K: Changes in Registrant's certifying accountant: On March 17, 2005, PricewaterhouseCoopers LLP resigned as independent registered public accountants for Ellsworth Convertible Growth and Income Fund, Inc. |
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| June 14, 2005 |
Sub-Item 77C: Matters submitted to a vote of security holders At Registrant's Annual Meeting of Shareholders held on January 14, 2005, the following proposals were voted upon: The proposal to amend the Articles of Incorporation that would give shareholders the right to tender their shares during the current fiscal year did not pass, as 1,446,658 shares voted for, 3,534,137 shares voted against, 293,293 shares abstaining and 6,691,314 shares were broker non-votes. |
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| June 14, 2005 |
Sub-Item 77Q1b: Other Exhibits Tait, Weller & Baker Certified Public Accountants June 13, 2005 The Board of Directors Ellsworth Convertible Growth and Income Fund, Inc. |
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| June 10, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING | SEC FILE NUMBER | 811-04656 | | CUSIP NUMBER | 289074106 (Check one): [ ] Form 10-K [ ] Form 20-F [ ] Form 11-K [ ] Form 10-Q [ ] Form 10-D [ ] Form N-SAR [X] Form N-CSR For Period Ended: March 31, 2005 [ ] Transition Report on Form 10-K [ ] Transition Report on Form 20-F [ ] Transitio |
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| February 28, 2005 |
QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-04656 - ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC. - - (Exact name of registrant as specified in charter) 65 Madison Avenue, Morristown, New Jersey 07960-7308 - - (Address of principal e |
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| February 28, 2005 |
EX-99.CERT EXHIBIT 99.CERT CERTIFICATION CERTIFICATIONS - I, Thomas H. Dinsmore, certify that: 1. I have reviewed this report on Form N-Q of Ellsworth Convertible Growth and Income Fund, Inc.; 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 whic |
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| November 29, 2004 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 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)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| November 12, 2004 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant [X] Filed by a party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| May 27, 2004 |
Sub-Item 77C: Matters submitted to a vote of security holders At Registrant's Annual Meeting of Shareholders held on February 14, 2004, the following proposal was voted upon: The proposal to amend the Articles of Incorporation that would give shareholders the right to tender their shares during the current fiscal year did not pass, as 1,591,784 shares voted for, 3,733,521 shares voted against, 331,834 shares abstaining and 6,093,900 shares were broker non-votes. |
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| December 29, 2003 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 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)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| December 12, 2003 |
SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant [X] Filed by a party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| May 27, 2003 |
Exhibit 77D Policies with respect to security investment The Fund currently has a fundamental investment policy providing that under normal market conditions it will invest at least 65% of its total assets in convertible securities (that is, bonds, debentures, corporate notes or preferred stock that are convertible into common stock) and common stock received upon conversion or exchange of securities and retained in the Fund's portfolio to permit orderly disposition or to establish long- term holding periods for federal income tax purposes. |
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| May 27, 2003 |
Exhibit 77Q3:A As of May 21, 2003, an evaluation was performed under the supervision and with the participation of the officers of Ellsworth Convertible Growth and Income Fund, Inc. |
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| May 27, 2003 |
Exhibit 77Q3:C I, Gary I. Levine certify that: 1. I have reviewed this report on Form N-SAR of Ellsworth Convertible Growth and Income Fund, Inc.; 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 wi |
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| May 27, 2003 |
Exhibit 77Q3:B I, Thomas H. Dinsmore certify that: 1. I have reviewed this report on Form N-SAR of Ellsworth Convertible Growth and Income Fund, Inc.; 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 misleadin |
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| November 26, 2002 |
ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC. 65 MADISON AVENUE MORRISTOWN, NEW JERSEY 07960 NOTICE OF ANNUAL MEETING OF SHAREHOLDERS TO BE HELD FRIDAY, JANUARY 10, 2003 10:00 A.M., EASTERN TIME AT ATLANTIS GOLF CLUB 301 ORANGE TREE DRIVE ATLANTIS, FLORIDA 33462 To Shareholders of Ellsworth Convertible Growth and Income Fund, Inc.: We cordially invite you to attend our 2003 Annual Meeting of |
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| May 30, 2002 |
Sub-Item 77Q1: Exhibit A ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC. AUDIT COMMITTEES CHARTER (Effective October 15, 2001) 1. The membership of the Audit Committees shall consist of at least three directors who are generally knowledgeable in financial and auditing matters, including at least one member that has past employment experience in finance or accounting, or any other experience or |
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| May 30, 2002 |
Sub-Item 77Q1: Exhibit B ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC. NOMINATING AND ADMINISTRATION COMMITTEES CHARTER (Effective October 15, 2001) Nominating and Administration Committees Membership The Nominating and Administration Committees shall be composed entirely of independent directors (directors who are not "interested persons" of the Funds, as defined in the Investment Company Ac |
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| May 30, 2002 |
Sub-Item 77Q1: Exhibit C ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC. PRICING COMMITTEES CHARTER (Effective November 19, 2001) 1. The Pricing Committee for each Fund shall consist of at least three directors, at least one of whom is generally knowledgeable in financial matters, and either has past employment experience in finance or accounting, or has any other experience or background that |
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| November 26, 2001 |
SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 30, 2001 |
Sub-Item 77Q1: Attachment INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT is entered into this 12th day of January, 2001 by and between ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC. |
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| May 30, 2001 |
PAGE 1 000 A000000 03/31/2001 000 C000000 0000793040 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6. |
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| May 30, 2001 |
Sub-Item 77C: Matters submitted to a vote of security holders At Registrant's Annual Meeting of Shareholders held on January 12, 2001, the following proposals were voted upon: The proposed Investment Advisory Agreement with Davis-Dinsmore Management Company was approved, with 7,733,609 shares voted for, 836,057 shares voted against, and 112,638 shares abstaining. |
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| November 29, 2000 |
1 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| November 13, 2000 |
NOTICE AND PROXY FOR ELLSWORTH CONVERTIBLE GROWTH 1 SCHEDULE 14A (RULE 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(a) OF THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. |
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| June 19, 2000 |
PAGE 1 000 A000000 03/31/2000 000 C000000 0000793040 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 Y 000 H000000 N 000 I000000 6. |
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| June 19, 2000 |
Sub-Item 77Q1: Exhibit B SECOND AMENDED AND RESTATED BYLAWS OF ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC. |
