LAKE H TUCKER JR 4

4 · ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC · Filed Nov 6, 2003

Form 4

Period: 2003-11-05

Vice President

Transactions

Exercise of In-Money
Common Stock
2003-11-05$7.76/sh+24$186→ 173 total(indirect: By Trust)
Exercise of In-Money
Subscription Rights (Right to buy)
2003-11-05−732→ 1,812 total
Exercise: $7.76From: 2003-10-17Exp: 2003-11-19→ Common Stock (122 underlying)
Exercise of In-Money
Common Stock
2003-11-05$7.76/sh+122$947→ 2,663 total
Exercise of In-Money
Subscription Rights (Right to buy)
2003-11-05−144→ 0 total(indirect: By Trust)
Exercise: $7.76From: 2003-10-17Exp: 2003-11-19→ Common Stock (24 underlying)

Holdings

Footnotes (5)

[F1]Based on an estimated subscription price per share of 95% of the average of the volume-weighted average sales prices of a share of the ECF's Common Stock on the American Stock Exchange ("AMEX") on October 14, 2003 and the four preceding trading days. The actual subscription price per share will be the lesser of 95% of (A) the net asset value per share of the ECF's Common Stock on the AMEX on November 20, 2003, or (B) the average of the volume-weighted average sales prices of a share of the ECF's Common Stock on the AMEX on November 20, 2003 and the four preceding trading days.
[F2]Includes 611 shares acquired on various dates in fiscal years 2001, 2002 and 2003 under the ECF dividend reinvestment plan.
[F3]Includes 2,071 shares acquired on various dates in fiscal years 2001, 2002 and 2003 under the ECF dividend reinvestment plan.
[F4]Includes 36 shares acquired on various dates in fiscal years 2001, 2002 and 2003 under the ECF dividend reinvestment plan.
[F5]Uniform Transfer to Minors Act (NJ)

Documents

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