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