0001014776-13-000020.txt : 20130625 0001014776-13-000020.hdr.sgml : 20130625 20130625113941 ACCESSION NUMBER: 0001014776-13-000020 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130624 FILED AS OF DATE: 20130625 DATE AS OF CHANGE: 20130625 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DINSMORE THOMAS H CENTRAL INDEX KEY: 0001190030 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-04656 FILM NUMBER: 13931199 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 2013-06-24 0 0000793040 ELLSWORTH FUND LTD ECF 0001190030 DINSMORE THOMAS H C/O DINSMORE CAPITAL MANAGEMENT 65 MADISON AVE MORRISTOWN NJ 07960 1 1 0 1 Chairman and CEO Director of Investment Adviser Shares of Beneficial Interest 2013-06-24 4 P 0 800 7.472 A 64062.5787 D Shares of Beneficial Interest 2013-06-24 4 P 0 400 7.479 A 64462.5787 D Includes 809.0197 shares acquired on various dates in fiscal year 2013 under the ECF dividend reinvestment plan. In addition, the reporting person is the indirect beneficial owner of 6,823.7018 additional shares. These additional shares consist of: (i) 5,161.7701 shares owned by his wife, which the reporting person disclaims beneficial ownership of. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Includes 82.0151 shares acquired on various dates in fiscal year 2013 under the ECF dividend reinvestment plan, and (ii) 1,661.9317 shares held by a New Jersey Uniform Transfers to Minors Act trust for his daughter's benefit. /s/ Gary I. Levine, attorney-in-fact 2013-06-25