ELLSWORTH GROWTH & INCOME FUND LTD 4
4 · ELLSWORTH GROWTH & INCOME FUND LTD · Filed Sep 29, 2015
Insider Transaction Report
Form 4
DINSMORE THOMAS H
DirectorChairman and CEOOther
Transactions
- Other
Shares of Beneficial Interest
2015-09-25−1,661.93→ 70,393.92 total - Purchase
Shares of Beneficial Interest
2015-09-28$7.96/sh+1,256$9,998→ 71,649.92 total
Footnotes (5)
- [F1]This report is filed, in part, to report the disposition of 1,661.93 shares to the reporting person's daughter. The shares were previously held in a New Jersey Uniform Transfer to Minors Act (UTMA) trust for the benefit of the reporting person's daughter, who is now considered to be the sole beneficiary of the shares.
- [F2]Includes 1,041.05 shares acquired on various dates in fiscal years 2009 through 2015 under the ECF dividend reinvestment plan.
- [F3]Includes 22,983.03 shares acquired on various dates in fiscal years 2009 through 2015 under the ECF dividend reinvestment plan.
- [F4]In addition, the reporting person is the indirect beneficial owner of 5,780.64 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 1,586.06 shares acquired on various dates in fiscal years 2009 through 2015 under the ECF dividend reinvestment plan.
- [F5]This form is being filed, in part, to record a private transaction between the reporting person and Dinsmore Capital Management Co., the Issuer's investment adviser.