-----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, JQDZiyARF34nwQhYBpN2Q5QtfZDo+2OpPVZiCutcbKNjFOokyGw84HJZzScZRhp2 U+Nmcq/czpElZEmOg0l/yQ== 0000793040-01-500016.txt : 20020411 0000793040-01-500016.hdr.sgml : 20020411 ACCESSION NUMBER: 0000793040-01-500016 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20010930 FILED AS OF DATE: 20011126 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC CENTRAL INDEX KEY: 0000793040 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133345139 STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-04656 FILM NUMBER: 1798923 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 NSAR-B 1 answer.fil PAGE 1 000 B000000 09/30/2001 000 C000000 0000793040 000 D000000 N 000 E000000 NF 000 F000000 Y 000 G000000 N 000 H000000 N 000 I000000 6.1 000 J000000 A 001 A000000 ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND, I 001 B000000 811-4656 001 C000000 9736311177 002 A000000 65 MADISON AVENUE, 5TH FLOOR 002 B000000 MORRISTOWN 002 C000000 NJ 002 D010000 07960 002 D020000 7308 003 000000 N 004 000000 N 005 000000 N 006 000000 N 007 A000000 N 007 B000000 0 007 C010100 1 007 C010200 2 007 C010300 3 007 C010400 4 007 C010500 5 007 C010600 6 007 C010700 7 007 C010800 8 007 C010900 9 007 C011000 10 008 A000001 DAVIS-DINSMORE MANAGEMENT COMPANY 008 B000001 A 008 C000001 801-08123 008 D010001 MORRISTOWN 008 D020001 NJ 008 D030001 07960 008 D040001 7308 012 A000001 THE BANK OF NEW YORK 012 B000001 85-5006 012 C010001 NEW YORK 012 C020001 NY 012 C030001 10286 012 C040001 1258 013 A000001 PRICEWATERHOUSECOOPERS LLP 013 B010001 NEW YORK 013 B020001 NY 013 B030001 10019 013 B040001 6013 PAGE 2 015 A000001 THE BANK OF NEW YORK 015 B000001 C 015 C010001 NEW YORK 015 C020001 NY 015 C030001 10006 015 E010001 X 018 000000 Y 019 A000000 N 019 B000000 0 020 A000001 GOLDMAN, SACHS & CO., INC. 020 B000001 13-5108880 020 C000001 5 020 A000002 SALOMON SMITH BARNEY,INC. 020 B000002 13-1912900 020 C000002 4 020 A000003 FIRST UNION CAPITAL MARKETS 020 B000003 56-1529080 020 C000003 3 020 A000004 JP MORGAN SECURITIES, INC. 020 B000004 13-3224016 020 C000004 3 020 A000005 MCMAHAN SECURITIES CO., LP 020 B000005 06-1229141 020 C000005 2 020 A000006 CANTOR FITZGERALD & CO. 020 B000006 13-3680184 020 C000006 1 020 A000007 UBS WARBURG LLC 020 B000007 13-3873456 020 C000007 1 020 A000008 CREDIT SUISSE FIRST BOSTON CORP. 020 B000008 13-5659485 020 C000008 1 020 A000009 MILLER TABAK ROBERTS SECURITIES 020 B000009 13-3086847 020 C000009 1 020 A000010 LEHMAN BROTHERS 020 B000010 12-2518466 020 C000010 1 021 000000 23 022 A000001 AMERICAN EXPRESS CREDIT CORP. 022 B000001 11-1988350 022 C000001 365602 022 D000001 0 022 A000002 GOLDMAN SACHS & CO., INC. 022 B000002 13-5108880 022 C000002 14834 022 D000002 14880 022 A000003 CREDIT SUISSE FIRST BOSTON CORP. 022 B000003 13-5659485 022 C000003 9966 PAGE 3 022 D000003 6587 022 A000004 LEHMAN BROTHERS 022 B000004 12-2518466 022 C000004 8887 022 D000004 4187 022 A000005 SALOMON SMITH BARNEY 022 B000005 13-1912900 022 C000005 7476 022 D000005 4566 022 A000006 BAIRD, PATRICK & CO., INC. 022 B000006 13-2766571 022 C000006 4555 022 D000006 5799 022 A000007 MERRILL LYNCH, PIERCE, FENNER 022 B000007 13-5674085 022 C000007 4855 022 D000007 3425 022 A000008 DEUTSCHE BANK ALEX. 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B000000 0 084 A000000 N 084 B000000 0 085 A000000 Y 085 B000000 N 086 A010000 0 086 A020000 0 086 B010000 0 086 B020000 0 086 C010000 0 086 C020000 0 086 D010000 0 086 D020000 0 086 E010000 0 086 E020000 0 086 F010000 0 086 F020000 0 087 A010000 COMMON STOCK 087 A020000 28-9074106 087 A030000 ECF 088 A000000 N 088 B000000 N 088 C000000 N 088 D000000 N PAGE 10 SIGNATURE GARY LEVINE TITLE TREASURER EX-99.77B ACCT LTTR 3 rpt-acct.txt N-SAR Exhibit 1 Report of Independent Accountants To the Board of Directors and Shareholders of Ellsworth Convertible Growth and Income Fund, Inc. In planning and performing our audit of the financial statements of Ellsworth Convertible Growth and Income Fund, Inc. (the "Fund") for the year ended September 30, 2001 we considered its internal control, including control activities for safeguarding securities, in order to determine our auditing procedures for the purpose of expressing our opinion on the financial statements and to comply with the requirements of Form N-SAR, not to provide assurance on internal control. The management of the Fund is responsible for establishing and maintaining internal control. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. Generally, controls that are relevant to an audit pertain to the entity's objective of preparing financial statements for external purposes that are fairly presented in conformity with generally accepted accounting principles. Those controls include the safeguarding of assets against unauthorized acquisition, use or disposition. Because of inherent limitations in internal control, errors or fraud may occur and not be detected. Also, projection of any evaluation of internal control to future periods is subject to the risk that controls may become inadequate because of changes in conditions or that the effectiveness of their design and operation may deteriorate. Our consideration of internal control would not necessarily disclose all matters in internal control that might be material weaknesses under standards established by the American Institute of Certified Public Accountants. A material weakness is a condition in which the design or operation of one or more of the internal control components does not reduce to a relatively low level the risk that misstatements caused by error or fraud in amounts that would be material in relation to the financial statements being audited may occur and not be detected within a timely period by employees in the normal course of performing their assigned functions. However, we noted no matters involving internal control and its operation, including controls for safeguarding securities, that we consider to be material weaknesses as defined above as of September 30, 2001. This report is intended solely for the information and use of the Board of Directors, management and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. PricewaterhouseCoopers LLP New York, New York October 12, 2001 -----END PRIVACY-ENHANCED MESSAGE-----