0000793040-16-000008.txt : 20160229 0000793040-16-000008.hdr.sgml : 20160229 20160229081552 ACCESSION NUMBER: 0000793040-16-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160229 FILED AS OF DATE: 20160229 DATE AS OF CHANGE: 20160229 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: LEVINE GARY I CENTRAL INDEX KEY: 0001183191 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-04656 FILM NUMBER: 161464904 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 2016-02-29 1 0000793040 ELLSWORTH GROWTH & INCOME FUND LTD ECF 0001183191 LEVINE GARY I C/O DINSMORE CAPITAL MANAGEMENT 65 MADISON AVE MORRISTOWN NJ 07960 0 0 0 1 former Exec. VP and CFO Shares of Beneficial Interest 2016-02-29 4 J 0 0 0 A 5064.705 D This filing is being made for the sole reason that the reporting person is no longer an officer of the Registrant. In 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. /s/ Gary I. Levine 2016-02-29