-----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, IzFhxkWKjDmER3ASw76uuGIVT2rnHk4MnGI6mJzlbrq5OjJdvq8swb+tEgTMDsRH QSIzTwqS8jgsEQ1/o7nvJg== 0000793040-06-000008.txt : 20060405 0000793040-06-000008.hdr.sgml : 20060405 20060405161739 ACCESSION NUMBER: 0000793040-06-000008 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060404 FILED AS OF DATE: 20060405 DATE AS OF CHANGE: 20060405 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ELLSWORTH FUND LTD CENTRAL INDEX KEY: 0000793040 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133345139 STATE OF INCORPORATION: DE 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 FORMER COMPANY: FORMER CONFORMED NAME: ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LAKE H TUCKER JR CENTRAL INDEX KEY: 0001190034 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-04656 FILM NUMBER: 06742296 MAIL ADDRESS: STREET 1: C/O DAVIS-DINSMORE MANAGEMENT STREET 2: 65 MADISON AVE CITY: MORRISTOWN STATE: NJ ZIP: 07960 4 1 primary_doc.xml PRIMARY DOCUMENT X0202 4 2006-04-04 0 0000793040 ELLSWORTH FUND LTD ECF 0001190034 LAKE H TUCKER JR C/O DAVIS-DINSMORE MANAGEMENT 65 MADISON AVE MORRISTOWN NJ 07960 0 1 0 0 Vice President Beneficial Shares 2006-04-04 4 J 0 187 0 D 14635 I UTMA Trust This report is filed to report a disposition of 187 shares gifted to the reporting person's daughter. The shares were previously held by a Uniform Transfer to Minors Act NJ (UTMA) trust for the benefit of Mr. Lake's daughter. Includes 14 shares acquired on various dates in fiscal years 2005 and 2006 under the ECF dividend reinvestment plan. Includes 11,726 shares owned by Mr. Lake's wife. On various dates in fiscal years 2005 and 2006, 475 shares were acquired under the ECF dividend reinvestment plan. Mr. Lake's shares also include 433 shares acquired on various dates in fiscal years 2005 and 2006 under the ECF dividend reinvestment plan. On February 17, 2006, Ellsworth Fund Ltd., a Delaware statutory trust, became the successor to Ellsworth Convertible Growth and Income Fund, Inc., a Maryland corporation, pursuant to a merger. The merger had the effect of changing the domicile of Ellsworth Convertible Growth and Income Fund, Inc., but did not alter the proportionate interests of security holders. /s/ Gary I. Levine, attorney-in-fact 2006-04-05 -----END PRIVACY-ENHANCED MESSAGE-----