SEC Form 4 · accession 0000793040-15-000002
ELLSWORTH GROWTH & INCOME FUND LTD · ECF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jane D O'Keeffe
Officer — President · Director · Other
Period of report
Mar 25, 2015
Accepted (ET)
Mar 25, 2015 · 1:56 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000793040
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Shares of Beneficial InterestF2,F3 | Mar 25, 2015 | J | 2,088 | $0.00 | D | 18,158 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This report is filed to report the disposition of 2,087.58 shares to the reporting person's daughter. The shares were previously held in a New Jersey Uniform Transfer to Minors Act (UTMA) trust for the benefit of the reporting person's daughter, who is now considered to be the sole beneficiary of the shares.
- F2Includes 1,417.52 shares acquired on various dates in fiscal years 2013 through 2015 under the ECF dividend reinvestment plan.
- F3In addition, the reporting person is the indirect owner of 2,087.58 shares held by an UTMA trust for the benefit of her son.