-----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, IY4/7dx7avRJ8Eh0d3i5hXkUfy9hRWGTYNSKupruKLyOWZEp0w8CerzsFphMZ3R0 4GreH8yVGCgbpqjBml5m5A== 0000793040-03-000045.txt : 20031202 0000793040-03-000045.hdr.sgml : 20031202 20031202155054 ACCESSION NUMBER: 0000793040-03-000045 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031128 FILED AS OF DATE: 20031202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: AHALT GORDON F CENTRAL INDEX KEY: 0001041813 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-04656 FILM NUMBER: 031032713 BUSINESS ADDRESS: STREET 1: 13430 NW FRWY STREET 2: STE 350 CITY: HOUSTON STATE: TX ZIP: 77040 MAIL ADDRESS: STREET 1: 13430 NW FRWY STREET 2: STE 350 CITY: HOUSTON STATE: TX ZIP: 77040 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 2003-11-28 0 0000793040 ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC ECF 0001041813 AHALT GORDON F 13430 NW FRWY STE 350 HOUSTON TX 77040 1 0 0 0 Common Stock 2003-11-28 4 A 0 66 7.53 A 2400 D Common Stock 2003-11-28 4 A 0 33 7.53 A 1200 I Spouse These shares were acquired in the Fund's 2003 Rights Offering pursuant to the Over-Subscription Privilege. Only shareholders who subscribed for all shares allocated to them in the Primary Subscription were able to participate in the Over-Subscription Privilege. The 2003 Rights Offering was approved by the Fund's Board of Directors. Based on the 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 November 20, 2003 and the four preceding trading days. 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. The previous Form 4 filed on Dec. 2, 2003 inadvertently reported "P" as the transaction code. /s/ Gary I. Levine, attorney-in-fact 2003-12-02 -----END PRIVACY-ENHANCED MESSAGE-----