-----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, FfUtgcRRkaC55/OO+NITLW0xI0JnP8OhWYj7+DgCoKjGycWtcmyYr+UDO5tPEcMQ RaqDzf0dIx3F/dOBSxcQfQ== 0000793040-03-000042.txt : 20031201 0000793040-03-000042.hdr.sgml : 20031201 20031201153630 ACCESSION NUMBER: 0000793040-03-000042 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031107 FILED AS OF DATE: 20031201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DINSMORE THOMAS H CENTRAL INDEX KEY: 0001190030 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 811-04656 FILM NUMBER: 031030021 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/A 1 primary_doc.xml PRIMARY DOCUMENT X0201 4/A 2003-11-07 2003-11-07 0 0000793040 ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC ECF 0001190030 DINSMORE THOMAS H C/O DAVIS-DINSMORE MANAGEMENT 65 MADISON AVE MORRISTOWN NJ 07960 1 1 0 0 Chairman of the Board Common Stock 2003-11-07 4 X 0 4157 7.76 A 31347 D Common Stock 2003-11-07 4 X 0 432 7.76 A 3022 I Spouse Common Stock 2003-11-07 4 X 0 55 7.76 A 381 I By son's Trust Common Stock 2003-11-07 4 X 0 64 7.76 A 447 I By daughter's Trust Subscription Rights (Right to buy) 7.76 2003-11-07 4 X 0 24942 0 D 2003-10-17 2003-11-19 Common Stock 4157 2262 D Subscription Rights (Right to buy) 7.76 2003-11-07 4 X 0 2592 0 D 2003-10-17 2003-11-19 Common Stock 432 0 I Spouse Subscription Rights (Right to buy) 7.76 2003-11-07 4 X 0 330 0 D 2003-10-17 2003-11-19 Common Stock 55 0 I By son's Trust Subscription Rights (Right to buy) 7.76 2003-11-07 4 X 0 384 0 D 2003-10-17 2003-11-19 Common Stock 64 0 I By daughter'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 (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. Includes 2082 shares acquired on various dates in fiscal years 2002 and 2003 under the ECF dividend reinvestment plan. Includes 222 shares acquired on various dates in fiscal years 2002 and 2003 under the ECF dividend reinvestment plan. 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. Uniform Transfer to Minors Act (NJ) Includes 32 shares acquired on various dates in fiscal years 2002 and 2003 under the ECF dividend reinvestment plan. /s/ Gary I. Levine, attorney-in-fact 2003-12-01 -----END PRIVACY-ENHANCED MESSAGE-----