-----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, IG8C9dS94FoSEDTXgdnFrL6aGXRztQq/s3BFv3R1PO53Cmozk9FyPfG0/yHnPqLu p7rO+lhE2QgmgC1fK4JFww== 0000793040-09-000005.txt : 20090715 0000793040-09-000005.hdr.sgml : 20090715 20090715125241 ACCESSION NUMBER: 0000793040-09-000005 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090715 DATE AS OF CHANGE: 20090715 EFFECTIVENESS DATE: 20090715 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: 09945448 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 enpx0809.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 B. King, Esq. Ballard Spahr Andrews & Ingersoll, LLP 1735 Market Street, 51st Floor Philadelphia, PA 19103-7599 Registrant's telephone number, including area code: 973-631-1177 Date of fiscal year end: September 30, 2009 Date of reporting period: June 30, 2009 Item 1. Proxy Voting Record Issuer: AT&T Inc. Ticker symbol: T CUSIP: 00206R102 Meeting date: 04/24/2009
For/ Proposed Voted Vote Against Matter Voted On By (Yes or No) Cast Mgmt. - -------------------------------------------------------------------------------------------- 1-01. Election of Director: Randall L. Stephenson Management YES FOR FOR 1-02. Election of Director: William F. Aldinger III Management YES FOR FOR 1-03. Election of Director: Gilbert F. Amelio Management YES FOR FOR 1-04. Election of Director: Reuben V. Anderson Management YES FOR FOR 1-05. Election of Director: James H. Blanchard Management YES FOR FOR 1-06. Election of Director: August A. Busch III Management YES FOR FOR 1-07. Election of Director: Jaime Chico Pardo Management YES FOR FOR 1-08. Election of Director: James P. Kelly Management YES FOR FOR 1-09. Election of Director: Jon C. Madonna Management YES FOR FOR 1-10. Election of Director: Lynn M. Martin Management YES FOR FOR 1-11. Election of Director: John B. McCoy Management YES FOR FOR 1-12. Election of Director: Mary S. Metz Management YES FOR FOR 1-13. Election of Director: Joyce M. Roche Management YES FOR FOR 1-14. Election of Director: Laura D'Andrea Tyson Management YES FOR FOR 1-15. Election of Director: Patricia P. Upton Management YES FOR FOR 2. Ratification of the appointment of Management YES FOR FOR independent auditors for 2009 3. Amendment To Increase Authorized Shares Management YES FOR FOR 4. Report On Political Contributions Management YES ABSTAIN N/A 5. Special Stockholder Meetings Management YES ABSTAIN N/A 6. Cumulative Voting Management YES ABSTAIN N/A 7. Bylaw Requiring Independent Chairman Management YES AGAINST FOR 8. Advisory Vote On Compensation Management YES FOR AGAINST 9. Pension Credit Policy Management YES ABSTAIN N/A
================================================================================ Issuer: Fifth Third Bancorp Ticker symbol: FITB CUSIP: 316773209 Meeting date: 04/21/2009
For/ Proposed Voted Vote Against Matter Voted On By (Yes or No) Cast Mgmt. - -------------------------------------------------------------------------------------------- 2. To Amend Article Fourth, Section (A)(2)(D) Management YES FOR FOR of The Second Amended Articles of Incorporation, As Amended, To Revise The Terms of the Authorized, Unissued Shares of Preferred Stock, Without Par Value.
================================================================================ Issuer: Johnson & Johnson Ticker symbol: JNJ CUSIP: 478160104 Meeting date: 04/23/2009
For/ Proposed Voted Vote Against Matter Voted On By (Yes or No) Cast Mgmt. - -------------------------------------------------------------------------------------------- 1-01. Election of Director: Mary Sue 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: William D. Perez Management YES FOR FOR 1-08. Election of Director: Charles Prince Management YES FOR FOR 1-09. Election of Director: David Satcher Management YES FOR FOR 1-10. Election of Director: William C. Weldon Management YES FOR FOR 2. Ratification of the appointment of Management YES FOR FOR independent auditors for 2009 3. Advisory Vote On Executive Compensation Management YES FOR AGAINST Policies and Disclosure
================================================================================ Issuer: XL Capital Ticker symbol: XL CUSIP: G98255105 Meeting date: 04/24/2009 (Voted Abstained because we no longer owned the security as of the meeting date)
For/ Proposed Voted Vote Against Matter Voted On By (Yes or No) Cast Mgmt. - -------------------------------------------------------------------------------------------- 1-01. Election of Director: Dale R. Comey Management YES ABSTAIN N/A 1-02. Election of Director: Robert R. Glauber Management YES ABSTAIN N/A 1-03. Election of Director: G. Thompson Hutton Management YES ABSTAIN N/A 2. To approve the amendment and restatement of Management YES ABSTAIN N/A the Company's 1991 Performance Incentive Program 3. To approve the amendment and restatement of Management YES ABSTAIN N/A the Company's Directors Stock & Option Plan 4. Ratification of the appointment of Management YES ABSTAIN N/A independent auditors for 2009
================================================================================ 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: July 15, 2009 -----END PRIVACY-ENHANCED MESSAGE-----