0001014776-13-000012.txt : 20130226 0001014776-13-000012.hdr.sgml : 20130226 20130226161724 ACCESSION NUMBER: 0001014776-13-000012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081023 FILED AS OF DATE: 20130226 DATE AS OF CHANGE: 20130226 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: FINNICAN SALLY J CENTRAL INDEX KEY: 0001269051 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-04656 FILM NUMBER: 13642899 MAIL ADDRESS: STREET 1: C/O DINSMORE CAPITAL MANAGEMENT STREET 2: 65 MADISON AVENUE CITY: MORRISTOWN STATE: NJ ZIP: 07960 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ELLSWORTH 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 CONVERTIBLE GROWTH & INCOME FUND INC DATE OF NAME CHANGE: 19920703 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2008-10-23 0 0000793040 ELLSWORTH FUND LTD ECF 0001269051 FINNICAN SALLY J C/O DINSMORE CAPITAL MANAGEMENT 65 MADISON AVENUE MORRISTOWN NJ 07960 0 0 0 1 Director of Investment Adviser Shares of Beneficial Interest 2008-10-23 4 P 0 5000 4.71 A 13159 D Shares of Beneficial Interest 2013-01-11 4 G 0 1000 0 A 1000 I By daughter's trust Shares of Beneficial Interest 2013-01-11 4 G 0 1000 0 A 2212 I By son's trust Includes 1,096 shares acquired on various dates in fiscal years 2003 through 2008 under the ECF dividend reinvestment plan. These shares were gifts to the reporting person's son and daughter. Connecticut Uniform Transfers to Minors Act. Includes 268 shares acquired on various dates in fiscal years 2003 through 2012 under the ECF dividend reinvestment plan. This report is filed to amend the balance of shares shown in Column 5 of Table I, as well as footnote 3, of Ms. Finnican's Form 4 filed on 1/15/2013. /s/ Gary I. Levine, attorney-in-fact 2013-02-26