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ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC·4

Nov 7, 1:44 PM ET

DINSMORE THOMAS H 4

4 · ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC · Filed Nov 7, 2003

Insider Transaction Report

Form 4
Period: 2003-11-07
ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INCECF
DINSMORE THOMAS H
DirectorChairman and CEOOther
Transactions
  • Exercise of In-Money

    Subscription Rights (Right to buy)

    2003-11-07−2,592→ 0 total(indirect: By Spouse)
    Exercise: $7.76From: 2003-10-17Exp: 2003-11-19→ Common Stock (432 underlying)
  • Exercise of In-Money

    Subscription Rights (Right to buy)

    2003-11-07−330→ 0 total(indirect: By Trust)
    Exercise: $7.76From: 2003-10-17Exp: 2003-11-19→ Common Stock (55 underlying)
  • Exercise of In-Money

    Subscription Rights (Right to buy)

    2003-11-07−24,942→ 2,262 total
    Exercise: $7.76From: 2003-10-17Exp: 2003-11-19→ Common Stock (4,157 underlying)
  • Exercise of In-Money

    Common Stock

    2003-11-07$7.76/sh+432$3,352→ 3,012 total(indirect: By Spouse)
  • Exercise of In-Money

    Subscription Rights (Right to buy)

    2003-11-07−384→ 0 total(indirect: By Trust)
    Exercise: $7.76From: 2003-10-17Exp: 2003-11-19→ Common Stock (64 underlying)
  • Exercise of In-Money

    Common Stock

    2003-11-07$7.76/sh+4,157$32,258→ 31,347 total
  • Exercise of In-Money

    Common Stock

    2003-11-07$7.76/sh+55$427→ 381 total(indirect: By Trust)
  • Exercise of In-Money

    Common Stock

    2003-11-07$7.76/sh+64$497→ 447 total(indirect: By Trust)
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 (A) 95% of the net asset value per share of the ECF's Common Stock on the AMEX on November 20, 2003, or (B) 95% of 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 2082 shares acquired on various dates in fiscal years 2002 and 2003 under the ECF dividend reinvestment plan.
  • [F3]Includes 222 shares acquired on various dates in fiscal years 2002 and 2003 under the ECF dividend reinvestment plan.
  • [F4]Uniform Transfer to Minors Act (NJ)
  • [F5]Includes 32 shares acquired on various dates in fiscal years 2002 and 2003 under the ECF dividend reinvestment plan.

Documents

2 files