-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, JycLHCwYW8ePcQ4balntys4nloj9+9fI/SEdrPCiXMquepE3Rli9UTgLtoeLKCu8 so/EJi8yee9PBCawlvTgsQ== 0000793040-07-000009.txt : 20070808 0000793040-07-000009.hdr.sgml : 20070808 20070808111305 ACCESSION NUMBER: 0000793040-07-000009 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070630 FILED AS OF DATE: 20070808 DATE AS OF CHANGE: 20070808 EFFECTIVENESS DATE: 20070808 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ELLSWORTH FUND LTD CENTRAL INDEX KEY: 0000793040 IRS NUMBER: 133345139 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-04656 FILM NUMBER: 071034116 BUSINESS ADDRESS: STREET 1: 65 MADISON AVENUE STREET 2: SUITE 550 CITY: MORRISTOWN STATE: NJ ZIP: 07960 BUSINESS PHONE: (973) 631-1177 MAIL ADDRESS: STREET 1: 65 MADISON AVE STREET 2: SUITE 550 CITY: MORRISTOWN STATE: NJ ZIP: 07960 FORMER COMPANY: FORMER CONFORMED NAME: ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC DATE OF NAME CHANGE: 19920703 N-PX 1 enpx0807.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD 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. Dinsmore Ellsworth Fund Ltd. 65 Madison Avenue Morristown, New Jersey 07960-7308 (Name and address of agent for service) Copy to: Steven King, Esq. Ballard Spahr Andrews & Ingersoll, LLP 1735 Market Street Philadelphia, PA 19103-7599 Registrant's telephone number, including area code: 973-631-1177 Date of fiscal year end: September 30 Date of reporting period: June 30, 2007 Item 1. Proxy Voting Record Issuer: Cendant Corporation Ticker symbol: CD 151313103 Meeting date: 08/29/2006
For/ Proposed Voted Vote Against Matter Voted On By (Yes or No) Cast Mgmt. - -------------------------------------------------------------------------------------------- 1-01. Election of Director: Henry R. Silverman Management YES FOR FOR 1-02. Election of Director: Myra J. Biblowit Management YES FOR FOR 1-03. Election of Director: James E. Buckman Management YES FOR FOR 1-04. Election of Director: Leonard S. Coleman Management YES FOR FOR 1-05. Election of Director: Martin L. Edelman Management YES FOR FOR 1-06. Election of Director: George Herrera Management YES FOR FOR 1-07. Election of Director: Stephen P. Holmes Management YES FOR FOR 1-08. Election of Director: Louise T. Blouin MacBain Management YES FOR FOR 1-09. Election of Director: Cheryl D. Mills Management YES FOR FOR 1-10. Election of Director: Brian Mulroney Management YES FOR FOR 1-11. Election of Director: Robert E. Nederlander Management YES FOR FOR 1-12. Election of Director: Ronald L. Nelson Management YES FOR FOR 1-13. Election of Director: Robert W. Pittman Management YES FOR FOR 1-14. Election of Director: Pauline D.E. Richards Management YES FOR FOR 1-15. Election of Director: Sheli Z. Rosenberg Management YES FOR FOR 1-16. Election of Director: Robert F. Smith Management YES FOR FOR Set forth below are the nominees who will serve following completion of the Company's Separation Plan: 1-17. Election of Director: Ronald L. Nelson Management YES FOR FOR 1-18. Election of Director: Leonard S. Coleman Management YES FOR FOR 1-19. Election of Director: Martin L. Edelman Management YES FOR FOR 1-20. Election of Director: Sheli Z. Rosenberg Management YES FOR FOR 1-21. Election of Director: F. Robert Salerno Management YES FOR FOR 1-22. Election of Director: Stender E. Sweeney Management YES FOR FOR 2. Ratification of the appointment of Management YES FOR FOR independent auditors for 2007 3. Amend the Company's certificate of Management YES FOR FOR incorporation to effect a one-for-ten reverse stock split of its common stock 4. Amend the Company's certificate of Management YES FOR FOR incorporation to change the name of the Company to "Avis Budget Group, Inc." 5. Amend the Company's certificate of Management YES FOR FOR incorporation to redesignate the Company's series of common stock presently designated as "Cendant Corporation- CD Common Stock" to "Common Stock" and to remove references to the series of common stock defined as "Move.com Stock" 6. Amend the Company's amended and restated Management YES FOR FOR certificate of incorporation to decrease the number of authorized shares of the Company's common stock to 250 million shares 7. Stockholder proposal regarding non- Shareholder YES AGAINST FOR employee director compensation 8. Stockholder proposal regarding Shareholder YES AGAINST FOR severance agreements
================================================================================ Issuer: Johnson & Johnson Ticker symbol: JNJ CUSIP: 478160104 Meeting date: 04/26/2007
For/ Proposed Voted Vote Against Matter Voted On By (Yes or No) Cast Mgmt. - -------------------------------------------------------------------------------------------- 1-01. Election of Director: Mary S. Coleman Management YES FOR FOR 1-02. Election of Director: James G. Cullen Management YES FOR FOR 1-03. Election of Director: Michael M.E. Johns Management YES FOR FOR 1-04. Election of Director: Arnold G. Langbo Management YES FOR FOR 1-05. Election of Director: Susan L. Lindquist Management YES FOR FOR 1-06. Election of Director: Leo F. Mullin Management YES FOR FOR 1-07. Election of Director: Christine A. Poon Management YES FOR FOR 1-08. Election of Director: Charles Prince Management YES FOR FOR 1-09. Election of Director: Steven S. Reinemund Management YES FOR FOR 1-10. Election of Director: David Satcher Management YES FOR FOR 1-11. Election of Director: William C. Weldon Management YES FOR FOR 2. Ratification of the appointment of Management YES FOR FOR independent auditors for 2007 3. Majority voting requirements for director Shareholder YES ABSTAIN N/A noiminees 4. Supplemental retirement plan Shareholder YES ABSTAIN N/A
================================================================================ Issuer: LSB Industries, Inc. Ticker symbol: LXU CUSIP: 502160104 Meeting date: 06/14/2007
For/ Proposed Voted Vote Against Matter Voted On By (Yes or No) Cast Mgmt. - -------------------------------------------------------------------------------------------- 1-01. Election of Director: Charles A. Burtch Management YES FOR FOR 1-02. Election of Director: Jack E. Golsen Management YES FOR FOR 1-03. Election of Director: Horace G. Rhodes Management YES FOR FOR 2. Ratification of the appointment of Management YES FOR FOR independent auditors for 2007 3. Approval of the non-qualified stock options Management YES FOR FOR granted to two Climate Control Business employees
================================================================================ SIGNATURES Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. Ellsworth Fund Ltd. By /s/Thomas H. Dinsmore Thomas H. Dinsmore Principal Executive Officer Date: August 08, 2007 -----END PRIVACY-ENHANCED MESSAGE-----