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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)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| 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 |
(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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| 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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| 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 |
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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| 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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| 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 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 |
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 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 |
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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| 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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| 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 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 |
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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| 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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| 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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| 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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| 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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| 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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| 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 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 |
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 |
(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 |
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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| 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 |
(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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| 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 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 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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| 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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| 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 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 |
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 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 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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| 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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| 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 |
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 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 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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| 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 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 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 |
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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| 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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| 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 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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| 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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| 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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| 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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| 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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| 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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| 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 |
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, 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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| 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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| 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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| 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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| 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 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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| 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 |
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 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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| 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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| 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. |
