-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, N29IGudZ9otXnNQfBo3V8ZgLPqMJu4WDp3DD1rVk1MHRISaSI3Th+in39BXAFx7E /n+15OjSGUQ/JrFwFhH81Q== 0001014776-03-000011.txt : 20031104 0001014776-03-000011.hdr.sgml : 20031104 20031104150136 ACCESSION NUMBER: 0001014776-03-000011 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031104 FILED AS OF DATE: 20031104 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LEVINE GARY I CENTRAL INDEX KEY: 0001183191 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-04656 FILM NUMBER: 03975956 MAIL ADDRESS: STREET 1: C/O DAVIS DINSMORE MANAGEMENT STREET 2: 65 MADISON AVE CITY: MORRISTOWN STATE: NJ ZIP: 07960 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC CENTRAL INDEX KEY: 0000793040 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133345139 STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 BUSINESS ADDRESS: STREET 1: 65 MADISON AVENUE STREET 2: SUITE 550 CITY: MORRISTOWN STATE: NJ ZIP: 07960 BUSINESS PHONE: (973) 631-1177 MAIL ADDRESS: STREET 1: 65 MADISON AVE STREET 2: SUITE 550 CITY: MORRISTOWN STATE: NJ ZIP: 07960 4 1 primary_doc.xml PRIMARY DOCUMENT X0201 4 2003-11-04 0 0000793040 ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC ECF 0001183191 LEVINE GARY I C/O DAVIS DINSMORE MANAGEMENT 65 MADISON AVE MORRISTOWN NJ 07960 0 1 0 0 Vice President and Treasurer Common Stock 2003-11-04 4 X 0 45 7.76 A 311 D Common Stock 2003-11-04 4 X 0 237 7.76 A 1655 I Spouse Common Stock 2003-11-04 4 X 0 49 7.76 A 338 I By son's Trust Common Stock 162 I By daughter's Trust Subscription Rights (Right to buy) 7.76 2003-11-04 4 X 0 270 0 D 2003-10-17 2003-11-19 Common Stock 45 0 D Subscription Rights (Right to buy) 7.76 2003-11-04 4 X 0 1422 0 D 2003-10-17 2003-11-19 Common Stock 237 0 I Spouse Subscription Rights (Right to buy) 7.76 2003-11-04 4 X 0 294 0 D 2003-10-17 2003-11-19 Common Stock 49 0 I By son's Trust 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. Includes 32 shares acquired on various dates in fiscal years 2001, 2002 and 2003 under the ECF dividend reinvestment plan. Includes 163 shares acquired on various dates in fiscal years 2001, 2002 and 2003 under the ECF dividend reinvestment plan. Includes 33 shares acquired on various dates in fiscal years 2001, 2002 and 2003 under the ECF dividend reinvestment plan. Uniform Transfer to Minors Act NJ Includes 17 shares acquired on various dates in fiscal years 2001, 2002 and 2003 under the ECF dividend reinvestment plan. /s/ Gary I. Levine, Vice President and Treasurer 2003-11-04 -----END PRIVACY-ENHANCED MESSAGE-----