埃爾斯沃斯成長與收入基金有限公司
US ˙ NYSEAM ˙ US2890741067

SecurityECF / Ellsworth Growth and Income Fund Ltd.
InstitutionUBS Group AG
UBS Group AG ownership in ECF / Ellsworth Growth and Income Fund Ltd.
Institutional Ownership: 13D/G Filings

This table shows a history of the 13D/G filings made by the investor and/or investor group. Note that the share values in this table are not directly comparable to any numbers shown in the 13F table (if any).

File
Date		Effective
Date		Form Prev
Shares		 Latest
Shares		 ΔShares
(Percent)		 Ownership
(Percent)		 ΔOwnership
(Percent)
2020-02-11 2020-02-11 13G/A 673,524
2019-02-15 2019-02-15 13G/A 835,718 673,524 -19.41 5.17 -20.09
2018-02-13 2018-02-13 13G/A 850,722 835,718 -1.76 6.47 -2.71
2017-02-07 2017-02-07 13G/A 788,245 850,722 7.93 6.65 7.95
2016-02-09 2016-02-09 13G 788,245 6.16

Important Note: One of the primary uses of the 13D/G filings is to evaluate the ability of a firm to control a company (ie, the "beneficial ownership"). To that end, firms are required to report not just direct holdings in companies, but indirect holdings that they control. For investment firms, these indirect holdings can include shares in funds they manage, advisory accounts, and in the case of activist campaigns, pledged votes. Therefore, share counts listed in 13D/G filings can differ significantly than share counts listed in 13F filings.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2026-05-05 2026-03-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 12,097 1,470 13.83 135 8.94 0.0000
2026-01-29 2025-12-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 10,627 486 4.79 124 5.13 0.0000
2025-11-13 2025-09-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 10,141 -8,032 -44.20 118 -37.10 0.0000
2025-08-14 2025-06-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 18,173 4,626 34.15 186 51.22 0.0000
2025-05-13 2025-03-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 13,547 -11,368 -45.63 123 -48.96 0.0000
2025-02-14 2024-12-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 24,915 1,249 5.28 241 13.68 0.0000
2024-11-14 2024-09-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 23,666 -9,188 -27.97 213 -21.48 0.0000
2024-08-14 2024-06-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 32,854 876 2.74 271 4.25 0.0001
2024-05-13 2024-03-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 31,978 -2,740 -7.89 260 -7.50 0.0001
2024-02-09 2023-12-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 34,718 1,726 5.23 281 5.66 0.0001
2023-11-09 2023-09-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 32,992 -1,144 -3.35 266 -9.56 0.0001
2023-08-11 2023-06-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 34,136 -876 -2.50 294 3.53 0.0001
2023-05-12 2023-03-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 35,012 -6,917 -16.50 284 -15.27 0.0001
2023-02-08 2022-12-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 41,929 -9,579 -18.60 335 -19.13 0.0001
2022-11-10 2022-09-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 51,508 -4,119 -7.40 413 -12.87 0.0002
2022-08-10 2022-06-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 55,627 -16 -0.03 474 -19.52 0.0002
2022-05-16 2022-03-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 55,643 29,911 116.24 589 85.22 0.0002
2022-02-14 2021-12-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 25,732 1,438 5.92 318 -2.15 0.0001
2021-11-15 2021-09-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 24,294 2,167 9.79 325 -0.31 0.0001
2021-08-13 2021-06-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 22,127 577 2.68 326 12.03 0.0001
2021-05-12 2021-03-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 21,550 -28,046 -56.55 291 -57.70 0.0001
2021-02-11 2020-12-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 49,596 2,871 6.14 688 27.41 0.0002
2020-11-12 2020-09-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 46,725 -334 -0.71 540 -0.18 0.0002
2020-07-31 2020-06-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 47,059 -39,745 -45.79 541 -27.38 0.0002
2020-05-01 2020-03-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 86,804 -445,794 -83.70 745 -88.10 0.0004
2020-02-14 2019-12-31 13F ELLSWORTH GRWTH AND INCOME L COM 289074106 532,598 1,524 0.29 6,263 12.42 0.0022
2019-11-14 2019-09-30 13F ELLSWORTH GRWTH AND INCOME L COM 289074106 531,074 -7,536 -1.40 5,571 0.81 0.0021
2019-08-14 2019-06-30 13F ELLSWORTH GRWTH AND INCOME L COM 289074106 538,610 -71,419 -11.71 5,526 -5.64 0.0021
2019-05-14 2019-03-31 13F ELLSWORTH GRWTH AND INCOME L COM 289074106 610,029 -23,475 -3.71 5,856 7.61 0.0024
2019-02-14 2018-12-31 13F ELLSWORTH GRWTH AND INCOME L COM 289074106 633,504 6,151 0.98 5,442 -15.86 0.0025
2018-11-14 2018-09-30 13F ELLSWORTH GRWTH AND INCOME L COM 289074106 627,353 -17,726 -2.75 6,468 6.21 0.0026
2018-08-14 2018-06-30 13F ELLSWORTH GRWTH AND INCOME L COM 289074106 645,079 -125,162 -16.25 6,090 -13.59 0.0026
2018-05-15 2018-03-31 13F ELLSWORTH GRWTH AND INCOME L COM 289074106 770,241 -55,316 -6.70 7,048 -9.28 0.0030
2018-02-14 2017-12-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 825,557 -6,354 -0.76 7,769 0.84 0.0032
2017-11-14 2017-09-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 831,911 -12,587 -1.49 7,704 -0.41 0.0036
2017-11-14 2017-06-30 13F/A-1 ELLSWORTH GROWTH & INCOME FD COM 289074106 844,498 7,937 0.95 7,736 7.16 0.0040
2017-08-14 2017-06-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 844,498 7,937 7,736
2017-11-14 2017-03-31 13F/A-1 ELLSWORTH GROWTH & INCOME FD COM 289074106 836,561 26,311 3.25 7,219 7.73 0.0039
2017-05-12 2017-03-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 836,561 26,311 7,219
2017-02-14 2016-12-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 810,250 -9,604 -1.17 6,701 -0.21 0.0037
2016-11-14 2016-09-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 819,854 54,749 7.16 6,715 11.40 0.0040
2016-08-12 2016-06-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 765,105 -275 -0.04 6,028 3.63 0.0038
2016-05-12 2016-03-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 765,380 -22,865 -2.90 5,817 -4.78 0.0039
2016-02-16 2015-12-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 788,245 41,088 5.50 6,109 4.53 0.0040
2015-11-13 2015-09-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 747,157 -5,969 -0.79 5,844 -12.12 0.0041
2015-08-14 2015-06-30 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 753,126 3,863 0.52 6,650 1.31 0.0044
2015-05-14 2015-03-31 13F ELLSWORTH GROWTH & INCOME FD COM 289074106 749,263 19,108 2.62 6,564 3.21 0.0045
2015-02-17 2014-12-31 13F ELLSWORTH FUND COM 289074106 730,155 730,155 6,360 0.0044
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.