0000793040-15-000003.txt : 20150929 0000793040-15-000003.hdr.sgml : 20150929 20150929131514 ACCESSION NUMBER: 0000793040-15-000003 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150925 FILED AS OF DATE: 20150929 DATE AS OF CHANGE: 20150929 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ELLSWORTH GROWTH & INCOME FUND LTD CENTRAL INDEX KEY: 0000793040 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133345139 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 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 FUND LTD DATE OF NAME CHANGE: 20060330 FORMER COMPANY: FORMER CONFORMED NAME: ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DINSMORE THOMAS H CENTRAL INDEX KEY: 0001190030 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-04656 FILM NUMBER: 151130247 MAIL ADDRESS: STREET 1: C/O DINSMORE CAPITAL MANAGEMENT STREET 2: 65 MADISON AVE CITY: MORRISTOWN STATE: NJ ZIP: 07960 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2015-09-25 0 0000793040 ELLSWORTH GROWTH & INCOME FUND LTD ECF 0001190030 DINSMORE THOMAS H C/O DINSMORE CAPITAL MANAGEMENT 65 MADISON AVE MORRISTOWN NJ 07960 1 1 0 0 Chairman and CEO Shares of Beneficial Interest 2015-09-25 4 J 0 1661.93 0 D 70393.92 D Shares of Beneficial Interest 2015-09-28 4 P 0 1256 7.96 A 71649.92 D This 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. Includes 1,041.05 shares acquired on various dates in fiscal years 2009 through 2015 under the ECF dividend reinvestment plan. Includes 22,983.03 shares acquired on various dates in fiscal years 2009 through 2015 under the ECF dividend reinvestment plan. In 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. This 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. /s/ Gary I. Levine, attorney-in-fact 2015-09-29