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4//SEC Filing

LAKE H TUCKER JR 4

Accession 0000793040-03-000028

CIK 0000793040other
View on SEC.govCompany Profile

Filed

Nov 5, 7:00 PM ET

Accepted

Nov 6, 2:10 PM ET

Size

16.4 KB

Accession

0000793040-03-000028

Insider Transaction Report

Form 4
Period: 2003-11-05
ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INCECF
LAKE H TUCKER JR
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

  • Common Stock

    (indirect: By Spouse)
    11,251
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

2 files

Issuer

ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC

CIK 0000793040

→
Entity typeother

Related Parties

1
  • filerCIK 0001190034

Filing Metadata

Form type
4
Filed
Nov 5, 7:00 PM ET
Accepted
Nov 6, 2:10 PM ET
Size
16.4 KB
View on SEC.gov