0000940400-17-000276.txt : 20170523
0000940400-17-000276.hdr.sgml : 20170523
20170523141404
ACCESSION NUMBER: 0000940400-17-000276
CONFORMED SUBMISSION TYPE: NSAR-A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170523
DATE AS OF CHANGE: 20170523
EFFECTIVENESS DATE: 20170523
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ELLSWORTH GROWTH & INCOME FUND LTD
CENTRAL INDEX KEY: 0000793040
IRS NUMBER: 133345139
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: NSAR-A
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-04656
FILM NUMBER: 17863433
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
NSAR-A
1
gElls.fil
PAGE 1
000 A000000 03/31/2017
000 C000000 0000793040
000 D000000 N
000 E000000 NF
000 F000000 Y
000 G000000 N
000 H000000 N
000 I000000 6.1
000 J000000 A
001 A000000 Ellsworth Growth and Income Fund Ltd.
001 B000000 811-04656
001 C000000 9149215100
002 A000000 One Corporate Center
002 B000000 Rye
002 C000000 NY
002 D010000 10580
002 D020000 1422
003 000000 N
004 000000 N
005 000000 N
006 000000 N
007 A000000 N
007 B000000 0
007 C010100 1
008 A000001 GABELLI FUNDS, LLC
008 B000001 A
008 C000001 801-37706
008 D010001 RYE
008 D020001 NY
008 D030001 10580
008 D040001 1422
010 A000001 GABELLI FUNDS, LLC
010 B000001 801-37706
010 C010001 RYE
010 C020001 NY
010 C030001 10580
010 C040001 1422
010 A000002 BNY MELLON INVESTMENT SERVICING (US) INC.
010 B000002 84-01761
010 C010002 WILMINGTON
010 C020002 DE
010 C030002 19809
012 A000001 AMERICAN STOCK TRANSFER & TRUST COMPANY
012 B000001 84-00416
012 C010001 NEW YORK
012 C020001 NY
012 C030001 10038
013 A000001 TAIT, WELLER & BAKER, LLP
013 B010001 PHILADELPHIA
013 B020001 PA
013 B030001 19103
PAGE 2
013 B040001 3659
014 A000001 G.research, LLC
014 B000001 8-21373
014 A000002 G.distributors, LLC
014 B000002 8-68697
015 A000001 STATE STREET BANK AND TRUST COMPANY
015 B000001 C
015 C010001 BOSTON
015 C020001 MA
015 C030001 02110
015 E010001 X
018 000000 Y
019 A000000 Y
019 B000000 37
019 C000000 GABELLIGRP
020 A000001 J.P. MORGAN SECURITIES INC.
020 B000001 13-3379014
020 C000001 2
020 A000002 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
020 B000002 13-5674085
020 C000002 1
020 A000003 NOMURA SECURITIES INTERNATIONAL, INC.
020 B000003 13-2642206
020 C000003 1
020 A000004 BNY CONVERGEX EXECUTION SOLUTIONS LLC
020 B000004 13-3989198
020 C000004 0
020 A000005 G.RESEARCH, LLC
020 B000005 13-2885006
020 C000005 0
021 000000 5
022 A000001 OPPENHEIMER & CO., INC.
022 B000001 13-5657518
022 C000001 4160
022 D000001 3747
022 A000002 BARCLAYS CAPITAL, INC.
022 B000002 06-1031656
022 C000002 3232
022 D000002 988
022 A000003 MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
022 B000003 13-5674085
022 C000003 2059
022 D000003 1258
022 A000004 GOLDMAN, SACHS & CO.
022 B000004 13-5108880
022 C000004 1288
022 D000004 1830
022 A000005 LEERINK SWANN & CO., INC.
022 B000005 42-1738148
022 C000005 2500
022 D000005 465
PAGE 3
022 A000006 JPMORGAN SECURITIES LLC
022 B000006 13-3299429
022 C000006 2959
022 D000006 0
022 A000007 MITSUBISHI UFJ SECURITIES (USA), INC.
022 B000007 13-3498732
022 C000007 0
022 D000007 2229
022 A000008 WELLS FARGO SECURITIES LLC
022 B000008 56-2326000
022 C000008 0
022 D000008 1728
022 A000009 JEFFERIES & COMPANY, INC.
022 B000009 95-2622990
022 C000009 606
022 D000009 1082
022 A000010 DEUTSCHE BANK SECURITIES, INC.
022 B000010 13-2730828
022 C000010 865
022 D000010 803
023 C000000 21085
023 D000000 17555
024 000000 Y
025 A000001 WELLS FARGO & CO.
025 B000001 94-1347393
025 C000001 E
025 D000001 1856
026 A000000 N
026 B000000 Y
026 C000000 N
026 D000000 Y
026 E000000 N
026 F000000 Y
026 G010000 N
026 G020000 N
026 H000000 N
027 000000 N
028 A010000 0
028 A020000 0
028 A030000 0
028 A040000 0
028 B010000 0
028 B020000 0
028 B030000 0
028 B040000 0
028 C010000 0
028 C020000 0
028 C030000 0
028 C040000 0
028 D010000 0
028 D020000 0
PAGE 4
028 D030000 0
028 D040000 0
028 E010000 0
028 E020000 0
028 E030000 0
028 E040000 0
028 F010000 0
028 F020000 0
028 F030000 0
028 F040000 0
028 G010000 0
028 G020000 0
028 G030000 0
028 G040000 0
028 H000000 0
030 A000000 0
030 B000000 0.00
030 C000000 0.00
031 A000000 0
031 B000000 0
032 000000 0
033 000000 0
035 000000 0
036 B000000 0
038 000000 0
042 A000000 0
042 B000000 0
042 C000000 0
042 D000000 0
042 E000000 0
042 F000000 0
042 G000000 0
042 H000000 0
043 000000 0
044 000000 0
045 000000 Y
046 000000 Y
047 000000 Y
048 000000 0.000
048 A010000 100000
048 A020000 0.800
048 B010000 0
048 B020000 0.000
048 C010000 0
048 C020000 0.000
048 D010000 0
048 D020000 0.000
048 E010000 0
048 E020000 0.000
048 F010000 0
048 F020000 0.000
PAGE 5
048 G010000 0
048 G020000 0.000
048 H010000 0
048 H020000 0.000
048 I010000 0
048 I020000 0.000
048 J010000 0
048 J020000 0.000
048 K010000 100000
048 K020000 0.550
049 000000 N
050 000000 N
051 000000 N
052 000000 N
053 A000000 Y
053 B000000 Y
053 C000000 N
054 A000000 Y
054 B000000 Y
054 C000000 Y
054 D000000 N
054 E000000 N
054 F000000 N
054 G000000 N
054 H000000 Y
054 I000000 N
054 J000000 Y
054 K000000 N
054 L000000 N
054 M000000 Y
054 N000000 N
054 O000000 N
055 A000000 N
055 B000000 N
056 000000 Y
057 000000 N
058 A000000 N
059 000000 Y
060 A000000 Y
060 B000000 Y
061 000000 0
062 A000000 N
062 B000000 0.0
062 C000000 0.0
062 D000000 0.0
062 E000000 0.0
062 F000000 0.0
062 G000000 0.0
062 H000000 0.0
062 I000000 0.0
062 J000000 0.0
PAGE 6
062 K000000 0.0
062 L000000 0.0
062 M000000 0.0
062 N000000 0.0
062 O000000 0.0
062 P000000 0.0
062 Q000000 0.0
062 R000000 0.0
063 A000000 0
063 B000000 0.0
066 A000000 Y
066 B000000 N
066 C000000 N
066 D000000 N
066 E000000 Y
066 F000000 N
066 G000000 N
067 000000 N
068 A000000 N
068 B000000 N
069 000000 N
070 A010000 Y
070 A020000 N
070 B010000 Y
070 B020000 N
070 C010000 Y
070 C020000 N
070 D010000 Y
070 D020000 N
070 E010000 N
070 E020000 N
070 F010000 N
070 F020000 N
070 G010000 N
070 G020000 N
070 H010000 Y
070 H020000 N
070 I010000 N
070 I020000 N
070 J010000 Y
070 J020000 Y
070 K010000 Y
070 K020000 N
070 L010000 Y
070 L020000 Y
070 M010000 N
070 M020000 N
070 N010000 Y
070 N020000 N
070 O010000 Y
070 O020000 N
PAGE 7
070 P010000 Y
070 P020000 N
070 Q010000 N
070 Q020000 N
070 R010000 Y
070 R020000 N
071 A000000 21217
071 B000000 20622
071 C000000 121916
071 D000000 17
072 A000000 6
072 B000000 726
072 C000000 1308
072 D000000 0
072 E000000 0
072 F000000 466
072 G000000 0
072 H000000 30
072 I000000 9
072 J000000 5
072 K000000 0
072 L000000 35
072 M000000 60
072 N000000 0
072 O000000 0
072 P000000 0
072 Q000000 23
072 R000000 18
072 S000000 2
072 T000000 0
072 U000000 0
072 V000000 0
072 W000000 17
072 X000000 665
072 Y000000 1
072 Z000000 1370
072AA000000 2715
072BB000000 0
072CC010000 3599
072CC020000 0
072DD010000 822
072DD020000 0
072EE000000 2012
073 A010000 0.0600
073 A020000 0.0000
073 B000000 0.1600
073 C000000 0.0000
074 A000000 2482
074 B000000 0
074 C000000 5178
074 D000000 65918
PAGE 8
074 E000000 23809
074 F000000 31083
074 G000000 0
074 H000000 0
074 I000000 0
074 J000000 0
074 K000000 0
074 L000000 599
074 M000000 2
074 N000000 129071
074 O000000 438
074 P000000 105
074 Q000000 0
074 R010000 0
074 R020000 0
074 R030000 0
074 R040000 66
074 S000000 0
074 T000000 128462
074 U010000 12876
074 U020000 0
074 V010000 9.98
074 V020000 0.00
074 W000000 0.0000
074 X000000 4934
074 Y000000 0
075 A000000 0
075 B000000 124493
076 000000 8.63
077 A000000 Y
077 B000000 N
077 C000000 N
077 D000000 N
077 E000000 N
077 F000000 N
077 G000000 N
077 H000000 N
077 I000000 N
077 J000000 N
077 K000000 N
077 L000000 N
077 M000000 N
077 N000000 N
077 O000000 N
077 P000000 N
077 Q010000 N
077 Q020000 Y
077 Q030000 N
078 000000 N
080 C000000 0
081 B000000 0
PAGE 9
082 B000000 0
083 B000000 0
084 B000000 0
086 A010000 80
086 A020000 647
086 B010000 114
086 B020000 940
086 C010000 0
086 C020000 0
086 D010000 0
086 D020000 0
086 E010000 0
086 E020000 0
086 F010000 0
086 F020000 0
087 A010000 COMMON STOCK
087 A020000 289074106
087 A030000 ECF
088 A000000 N
088 B000000 N
088 C000000 N
088 D000000 N
SIGNATURE JOHN C. BALL
TITLE TREASURER
EX-99.77Q2 ITEM 405
2
gElls77q2.txt
SUB-ITEM 77Q2:
Section 16(a) Beneficial Ownership Reporting Compliance
Section 30(h) of the 1940 Act and Section 16(a) of the
Securities Exchange Act of 1934 require the Fund's executive
officers, Trustees and 10% shareholders (collectively,
"Reporting Persons"), to file with the SEC and the New York
Stock Exchange initial reports of ownership and reports of
changes in ownership of equity securities of the Fund. Reporting
Persons are required by SEC regulations to furnish the Fund with
copies of all Section 16(a) forms they file. To the Fund's
knowledge, based solely on review of the copies of such reports
furnished to the Fund during the fiscal year ended March 31,
2017, all Section 16(a) filing requirements applicable to the
Reporting Persons were complied with, except that the Fund's
Trustee Kuni Nakamura did not timely file a Form 4.