0001014776-13-000014.txt : 20130227
0001014776-13-000014.hdr.sgml : 20130227
20130227135411
ACCESSION NUMBER: 0001014776-13-000014
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20081023
FILED AS OF DATE: 20130227
DATE AS OF CHANGE: 20130227
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Finnican Peter M
CENTRAL INDEX KEY: 0001566947
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-04656
FILM NUMBER: 13646018
MAIL ADDRESS:
STREET 1: C/O DINSMORE CAPITAL MANAGEMENT CO.
STREET 2: 65 MADISON AVENUE, SUITE 550
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
0001566947
Finnican Peter M
C/O DINSMORE CAPITAL MANAGEMENT CO.
65 MADISON AVENUE, SUITE 550
MORRISTOWN
NJ
07960
0
0
0
1
Adviser's marketing director
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 801 shares acquired on various dates in fiscal years 2007 and 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 193 shares acquired on various dates in fiscal years 2007 through 2012 under the ECF dividend reinvestment plan.
Late Form 4 to report Mr. Finnican's changes in beneficial ownership of securities after he became the Marketing Director of the investment adviser of Ellsworth Fund on 7/1/07.
/s/ Gary I. Levine, attorney-in-fact
2013-02-27