DINSMORE THOMAS H 4/A

Accession 0000793040-03-000042

CIK 0000793040other

Filed

Nov 30, 7:00 PM ET

Accepted

Dec 1, 3:36 PM ET

Size

20.8 KB

Accession

0000793040-03-000042

Form 4/AAmended

Period: 2003-11-07

DirectorChairman and CEOOther

Transactions

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
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
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
Common Stock
2003-11-07$7.76/sh+432$3,352→ 3,022 total(indirect: By Spouse)
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)
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)

Footnotes (6)

[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]The reporting person disclaims beneficial ownership of these securities, and 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.
[F5]Uniform Transfer to Minors Act (NJ)
[F6]Includes 32 shares acquired on various dates in fiscal years 2002 and 2003 under the ECF dividend reinvestment plan.

Documents

1 file

ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC

CIK 0000793040

Entity typeother