SEC Form 4 · accession 0000793040-15-000003
ELLSWORTH GROWTH & INCOME FUND LTD · ECF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Thomas H Dinsmore
Officer — Chairman and CEO · Director
Period of report
Sep 25, 2015
Accepted (ET)
Sep 29, 2015 · 1:15 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,F4 | Sep 25, 2015 | J | 1,662 | $0.00 | D | 70,394 | D | |
| Shares of Beneficial Interest | Sep 28, 2015 | P | 1,256 | $7.96 | A | 71,650 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This report is filed, in part, to report the disposition of 1,661.93 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 1,041.05 shares acquired on various dates in fiscal years 2009 through 2015 under the ECF dividend reinvestment plan.
- F3Includes 22,983.03 shares acquired on various dates in fiscal years 2009 through 2015 under the ECF dividend reinvestment plan.
- F4In addition, the reporting person is the indirect beneficial owner of 5,780.64 shares owned by his wife, which the reporting person disclaims beneficial ownership of. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Includes 1,586.06 shares acquired on various dates in fiscal years 2009 through 2015 under the ECF dividend reinvestment plan.
- F5This form is being filed, in part, to record a private transaction between the reporting person and Dinsmore Capital Management Co., the Issuer's investment adviser.