SEC Form 4 · accession 0000793040-16-000008
ELLSWORTH GROWTH & INCOME FUND LTD · ECF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gary I Levine
Other
Period of report
Feb 29, 2016
Accepted (ET)
Feb 29, 2016 · 8:15 am EST
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 | Feb 29, 2016 | J | 0 | $0.00 | A | 5,065 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This filing is being made for the sole reason that the reporting person is no longer an officer of the Registrant.
- F2In addition, the reporting person is the indirect beneficial owner of 4,428.652 additional shares. These additional shares consist of: (i) 3,404.53 shares held by his spouse, which shares the reporting person disclaims beneficial ownership of. This report shall not be deemed an admission that the reporting person was the beneficial owner of the securities for purposes of Section 16 or for any other purpose, (ii) 693.924 shares held by his son, which shares the reporting person disclaims beneficial ownership of. This report shall not be deemed an admission that the reporting person was the beneficial owner of the securities for purposes of Section 16 or for any other purpose, and (iii) 330.198 shares held by a New Jersey Uniform Transfers to Minors Act trust for his daughter's benefit. Includes 2,598.705 shares acquired on various dates in fiscal years 2004 through 2016 under the ECF dividend reinvestment plan.