0001752724-21-185429.txt : 20210825 0001752724-21-185429.hdr.sgml : 20210825 20210825142842 ACCESSION NUMBER: 0001752724-21-185429 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210825 PERIOD START: 20210930 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ELLSWORTH GROWTH & INCOME FUND LTD CENTRAL INDEX KEY: 0000793040 IRS NUMBER: 133345139 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-04656 FILM NUMBER: 211205914 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 FUND LTD DATE OF NAME CHANGE: 20060330 FORMER COMPANY: FORMER CONFORMED NAME: ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC DATE OF NAME CHANGE: 19920703 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2095425.00000000 1.031177702227 Long DBT CORP US N 2 2026-06-01 Fixed 4.00000000 N N N N Y PETIQ INC PetIQ Inc USD XXXX N N N PEBBLEBROOK HOTEL TRUST 5493004Q1NNH6JXCSI52 Pebblebrook Hotel Trust 70509VAA8 340000.00000000 PA USD 387260.00000000 0.190574168469 Long DBT CORP US N 2 2026-12-15 Fixed 1.75000000 N N N N Y Pebblebrook Hotel Trust Pebblebrook Hotel Trust USD XXXX N N N SQUARE INC 549300OHIIUWSTIZME52 Square Inc 852234AD5 500000.00000000 PA USD 1566509.77000000 0.770893706596 Long DBT CORP US N 2 2023-05-15 Fixed 0.50000000 N N N N Y Square Inc Square Inc USD XXXX N N N BB 6 6/1/26 144A N/A BB 6 6/1/26 144A 000000000 2000000.00000000 PA USD 2000000.00000000 0.984218191753 Long DBT CORP US N 2 2026-06-01 Fixed 6.00000000 N N N N N N COUPA SOFTWARE INC 549300Q95ICR2GFL2K37 Coupa Software Inc 22266LAF3 1375000.00000000 PA USD 1593109.38000000 0.783983616624 Long DBT CORP US N 2 2026-06-15 Fixed 0.37500000 N N N N Y COUPA SOFTWARE INC Coupa Software Inc USD XXXX N N N IIP OPERATING PARTNER N/A IIP Operating Partnership LP 44988FAA8 1000000.00000000 PA USD 2941300.00000000 1.447440483702 Long DBT CORP US Y 2 2024-02-21 Fixed 3.75000000 N N N N N Innovative Industrial Properti Innovative Industrial Properties Inc USD XXXX N N N RINGCENTRAL INC 549300C8EH0H1614VE84 RingCentral Inc 76680RAF4 1000000.00000000 PA USD 1109375.00000000 0.545933528238 Long DBT CORP US N 2 2025-03-01 None 0.00000000 N N N N Y RingCentral Inc RingCentral Inc USD XXXX N N N Unilever PLC 549300MKFYEKVRWML317 Unilever PLC 904767704 24000.00000000 NS USD 1404000.00000000 0.690921170610 Long EC CORP GB N 1 N N N PROS HOLDINGS INC 549300LPE1KNL5RWKQ48 PROS Holdings Inc 74346YAF0 1330000.00000000 PA USD 1744793.75000000 0.858628874803 Long DBT CORP US Y 2 2027-09-15 Fixed 2.25000000 N N N N Y PROS Holdings Inc PROS Holdings Inc USD XXXX N N N Goodrich Pete Corp N/A Goodrich Pete Corp 000000000 1131.00000000 NS USD 0.00000000 0.000000 Long EC CORP US N 3 N N N TELADOC HEALTH INC 549300I2PVFBC9MFAC61 Teladoc Health Inc 87918AAF2 1870000.00000000 PA USD 2102628.00000000 1.034722364044 Long DBT CORP US N 2 2027-06-01 Fixed 1.25000000 N N N N Y Teladoc Health Inc Teladoc Health Inc USD XXXX N N N PAGERDUTY INC. 549300U1SB749EDAGH21 PagerDuty Inc 69553PAA8 1345000.00000000 PA USD 1756906.25000000 0.864589546227 Long DBT CORP US Y 2 2025-07-01 Fixed 1.25000000 N N N N Y PagerDuty Inc PagerDuty Inc USD XXXX N N N STRIDE INC 254900BRWS3AFONWU277 Stride Inc 48273UAA0 2105000.00000000 PA USD 1960176.00000000 0.964620439119 Long DBT CORP US Y 2 2027-09-01 Fixed 1.12500000 N N N N Y K12 Inc K12 Inc USD XXXX N N N Goodrich Petroleum Corp 5493000G2GU65EVWSF15 Goodrich Petroleum Corp 382410843 132.00000000 NS USD 1970.76000000 0.000969828921 Long EC CORP US N 1 N N N KAMAN CORP 5493003YK076OLTEQF95 Kaman Corp 483548AF0 1638000.00000000 PA USD 1736342.52000000 0.854469947649 Long DBT CORP US N 2 2024-05-01 Fixed 3.25000000 N N N N Y Kaman Corp Kaman Corp USD XXXX N N N CLOUDFLARE INC 5493007DY18BGNLDWU14 Cloudflare Inc 18915MAB3 695000.00000000 PA USD 1982487.50000000 0.975600131211 Long DBT CORP US N 2 2025-05-15 Fixed 0.75000000 N N N N Y CLOUDFLARE INC Cloudflare Inc USD XXXX N N N PayPal Holdings Inc 5493005X2GO78EFZ3E94 PayPal Holdings Inc 70450Y103 13000.00000000 NS USD 3789240.00000000 1.864719470459 Long EC CORP US N 1 N N N COLONY CAPITAL OPERATING 5493003D7P9HVU22YM89 Colony Capital Operating Co LLC 19626LAA5 1025000.00000000 PA USD 3619582.50000000 1.781229471526 Long DBT CORP US Y 2 2025-07-15 Fixed 5.75000000 N N N N N Colony Capital Inc Colony Capital Inc USD XXXX N N N ENCORE CAPITAL GROUP INC 5493000UVC6H49CIH830 Encore Capital Group Inc 292554AK8 1000000.00000000 PA USD 1132500.00000000 0.557313551080 Long DBT CORP US N 2 2022-03-15 Fixed 3.25000000 N N N N Y Encore Capital Group Inc Encore Capital Group Inc USD XXXX N N N ESPERION THERAPEUTICS 549300OFU56UKEWVUS92 Esperion Therapeutics Inc 29664WAA3 1360000.00000000 PA USD 1172867.44000000 0.577178735481 Long DBT CORP US Y 2 2025-11-15 Fixed 4.00000000 N N N N Y Esperion Therapeutics Inc Esperion Therapeutics Inc USD XXXX N N N 1LIFE HEALTHCARE INC N/A 1Life Healthcare Inc 68269GAB3 1545000.00000000 PA USD 1704629.40000000 0.838863632838 Long DBT CORP US N 2 2025-06-15 Fixed 3.00000000 N N N N Y 1LIFE HEALTHCARE INC 1Life Healthcare Inc USD XXXX N N N JETBLUE AIRWAYS CORP 54930070J9H97ZO93T57 JetBlue Airways Corp 477143AN1 1505000.00000000 PA USD 1507257.50000000 0.741735125578 Long DBT CORP US Y 2 2026-04-01 Fixed 0.50000000 N N N N N JetBlue Airways Corp JetBlue Airways Corp USD XXXX N N N FARFETCH LTD 549300QFQ74Z0F96NS78 Farfetch Ltd 30744WAD9 750000.00000000 PA USD 2437500.00000000 1.199515921199 Long DBT CORP KY N 2 2027-05-01 Fixed 3.75000000 N N N N N Farfetch Ltd Farfetch Ltd USD XXXX N N N SPLUNK INC 549300XGDSGBP6UEI867 Splunk Inc 848637AD6 2000000.00000000 PA USD 2445000.00000000 1.203206739418 Long DBT CORP US N 2 2025-09-15 Fixed 1.12500000 N N N N Y Splunk Inc Splunk Inc USD XXXX N N N PACIRA BIOSCIENCES INC N/A Pacira BioSciences Inc 695127AD2 629000.00000000 PA USD 688361.88000000 0.338749142402 Long DBT CORP US N 2 2022-04-01 Fixed 2.37500000 N N N N Y Pacira BioSciences Inc Pacira BioSciences Inc USD XXXX N N N Microsoft Corp INR2EJN1ERAN0W5ZP974 Microsoft Corp 594918104 14300.00000000 NS USD 3873870.00000000 1.906366663243 Long EC CORP US N 1 N N N NICE LTD 254900YTY4EF5Z4W0A51 Nice Ltd 653656AA6 515000.00000000 PA USD 552590.87000000 0.271934993425 Long DBT CORP IL Y 2 2025-09-15 None 0.00000000 N N N N N Nice Ltd Nice Ltd USD XXXX N N N INFINERA CORP 549300ZOF66WPV3H0H17 Infinera Corp 45667GAE3 1250000.00000000 PA USD 1903453.54000000 0.936706800612 Long DBT CORP US N 2 2027-03-01 Fixed 2.50000000 N N N N Y Infinera Corp Infinera Corp USD XXXX N N N SPIRE INC 549300NXSY15DRY2R511 Spire Inc 84857L606 16290.00000000 NS USD 880800.30000000 0.433449839280 Long EP CORP US N 1 N N N FORD MOTOR COMPANY 20S05OYHG0MQM4VUIC57 Ford Motor Co 345370CY4 1500000.00000000 PA USD 1665937.50000000 0.819822996912 Long DBT CORP US Y 2 2026-03-15 None 0.00000000 N N N N Y Ford Motor Co Ford Motor Co USD XXXX N N N JOHN BEAN TECHNOLOGIES C 5493007CT6ATBZ2L6826 John Bean Technologies Corp 477839AA2 340000.00000000 PA USD 362440.00000000 0.178360020709 Long DBT CORP US Y 2 2026-05-15 Fixed 0.25000000 N N N N Y John Bean Technologies Corp John Bean Technologies Corp USD XXXX N N N NY COMMUNITY CAP TRUST V N/A New York Community Capital Trust V 64944P307 24000.00000000 NS USD 1247040.00000000 0.613679726922 Long EP CORP US N 1 N N N ON SEMICONDUCTOR CORP ZV20P4CNJVT8V1ZGJ064 ON Semiconductor Corp 682189AR6 385000.00000000 PA USD 402556.00000000 0.198101469199 Long DBT CORP US Y 2 2027-05-01 None 0.00000000 N N N N Y ON Semiconductor Corp ON Semiconductor Corp USD XXXX N N N CHART INDUSTRIES INC EM7QGKC1GYOF3LSZSL80 Chart Industries Inc 16115QAD2 750000.00000000 PA USD 1901718.75000000 0.935853094674 Long DBT CORP US Y 2 2024-11-15 Fixed 1.00000000 N N N N Y Chart Industries Inc Chart Industries Inc USD XXXX N N N LIMELIGHT NETWORKS INC 529900BNCMDQGEKW5M59 Limelight Networks Inc 53261MAA2 2185000.00000000 PA USD 1986126.30000000 0.977390817789 Long DBT CORP US Y 2 2025-08-01 Fixed 3.50000000 N N N N Y Limelight Networks Inc Limelight Networks Inc USD XXXX N N N Verizon Communications Inc 2S72QS2UO2OESLG6Y829 Verizon Communications Inc 92343V104 25000.00000000 NS USD 1400750.00000000 0.689321816049 Long EC CORP US N 1 N N N CALLAWAY GOLF CO 5493005UB0KFRKBPCU72 Callaway Golf Co 131193AE4 1050000.00000000 PA USD 2145281.25000000 1.055712416338 Long DBT CORP US N 2 2026-05-01 Fixed 2.75000000 N N N N Y Callaway Golf Co Callaway Golf Co USD XXXX N N N VERINT SYSTEMS INC 549300KEQJS5FRVUCO94 Verint Systems Inc 92343XAB6 2190000.00000000 PA USD 2158344.84000000 1.062141127802 Long DBT CORP US Y 2 2026-04-15 Fixed 0.25000000 N N N N Y Verint Systems Inc Verint Systems Inc USD XXXX N N N AT&T Inc 549300Z40J86GGSTL398 AT&T Inc 00206R102 30000.00000000 NS USD 863400.00000000 0.424886993379 Long EC CORP US N 1 N N N VOCERA COMMUNICATIONS 5493006D2J6NPNZ60K83 Vocera Communications Inc 92857FAB3 900000.00000000 PA USD 1229625.00000000 0.605109647017 Long DBT CORP US N 2 2023-05-15 Fixed 1.50000000 N N N N Y Vocera Communications Inc Vocera Communications Inc USD XXXX N N N Equinix Inc 549300EVUN2BTLJ3GT74 Equinix Inc 29444U700 5000.00000000 NS USD 4013000.00000000 1.974833801753 Long EC CORP US N 1 N N N 2021-08-23 Ellsworth Growth & Income Fund Ltd John C. Ball John C. Ball Treasurer XXXX NPORT-EX 2 GB45EllsworthGthIncFdLtd.htm
1
Ellsworth
Growth
and
Income
Fund
Ltd.
Schedule
of
Investments
—
June
30,
2021
(Unaudited)
Principal
Amount
Market
Value
CONVERTIBLE
CORPORATE
BONDS
—
71
.2
%
Aerospace
—
0
.7
%
$
1,638,000‌
Kaman
Corp.
,
3.250
%
,
05/01/24
.............
$
1,736,342‌
Airlines
—
1
.3
%
1,505,000‌
JetBlue
Airways
Corp.
,
0.500
%
,
04/01/26
(a)
...........
1,507,257‌
1,000,000‌
Southwest
Airlines
Co.
,
1.250
%
,
05/01/25
.............
1,519,375‌
3,026,632‌
Automotive
—
0
.7
%
1,500,000‌
Ford
Motor
Co.
,
Zero
Coupon
,
03/15/26
(a)
.......
1,665,937‌
Business
Services
—
2
.5
%
2,000,000‌
MicroStrategy
Inc.
,
Zero
Coupon
,
02/15/27
(a)
.......
1,502,000‌
2,000,000‌
Perficient
Inc.
,
1.250
%
,
08/01/25
(a)
...........
3,293,800‌
1,000,000‌
RingCentral
Inc.
,
Zero
Coupon
,
03/01/25
.........
1,109,375‌
5,905,175‌
Cable
and
Satellite
—
2
.2
%
DISH
Network
Corp.
1,750,000‌
Zero
Coupon
,
12/15/25
(a)
.......
2,046,625‌
1,000,000‌
3.375
%
,
08/15/26
.............
1,023,000‌
2,095,000‌
fuboTV
Inc.
,
3.250
%
,
02/15/26
(a)
...........
2,077,978‌
5,147,603‌
Communications
Equipment
—
3
.9
%
1,000,000‌
Harmonic
Inc.
,
2.000
%
,
09/01/24
.............
1,186,900‌
1,870,000‌
InterDigital
Inc.
,
2.000
%
,
06/01/24
.............
2,081,544‌
1,300,000‌
Kaleyra
Inc.
,
6.125
%
,
06/01/26
(a)
...........
1,327,373‌
2,000,000‌
Lumentum
Holdings
Inc.
,
0.500
%
,
12/15/26
.............
2,167,600‌
Vocera
Communications
Inc.
900,000‌
1.500
%
,
05/15/23
.............
1,229,625‌
1,355,000‌
0.500
%
,
09/15/26
(a)
...........
1,287,250‌
9,280,292‌
Computer
Software
and
Services
—
22
.5
%
Bandwidth
Inc.
1,500,000‌
0.250
%
,
03/01/26
.............
2,440,500‌
1,175,000‌
0.500
%
,
04/01/28
(a)
...........
1,213,187‌
2,000,000‌
Big
Bear
Inc.
,
6.000
%
,
06/01/26
.............
2,000,000‌
Blackline
Inc.
700,000‌
0.125
%
,
08/01/24
.............
1,126,125‌
Principal
Amount
Market
Value
$
1,340,000‌
Zero
Coupon
,
03/15/26
(a)
.......
$
1,293,100‌
1,875,000‌
Cardlytics
Inc.
,
1.000
%
,
09/15/25
(a)
...........
3,112,500‌
695,000‌
Cloudflare
Inc.
,
0.750
%
,
05/15/25
.............
1,982,488‌
Coupa
Software
Inc.
870,000‌
0.125
%
,
06/15/25
.............
1,507,797‌
1,375,000‌
0.375
%
,
06/15/26
.............
1,593,109‌
3,000,000‌
CSG
Systems
International
Inc.
,
4.250
%
,
03/15/36
.............
3,106,800‌
335,000‌
Dropbox
Inc.
,
Zero
Coupon
,
03/01/28
(a)
.......
368,500‌
2,030,000‌
Everbridge
Inc.
,
0.125
%
,
12/15/24
.............
2,779,831‌
2,000,000‌
i3
Verticals
LLC
,
1.000
%
,
02/15/25
.............
2,037,500‌
2,185,000‌
Limelight
Networks
Inc.
,
3.500
%
,
08/01/25
(a)
...........
1,986,126‌
1,250,000‌
LivePerson
Inc.
,
0.750
%
,
03/01/24
.............
2,186,349‌
1,500,000‌
Match
Group
Financeco
3
Inc.
,
2.000
%
,
01/15/30
(a)
...........
3,055,350‌
1,000,000‌
MercadoLibre
Inc.
,
2.000
%
,
08/15/28
.............
3,535,000‌
1,750,000‌
PAR
Technology
Corp.
,
2.875
%
,
04/15/26
.............
3,174,489‌
2,000,000‌
Progress
Software
Corp.
,
1.000
%
,
04/15/26
(a)
...........
2,031,144‌
1,330,000‌
PROS
Holdings
Inc.
,
2.250
%
,
09/15/27
(a)
...........
1,744,794‌
1,735,000‌
Q2
Holdings
Inc.
,
0.750
%
,
06/01/26
.............
2,276,320‌
1,000,000‌
Shift4
Payments
Inc.
,
Zero
Coupon
,
12/15/25
(a)
.......
1,353,100‌
2,000,000‌
Splunk
Inc.
,
1.125
%
,
09/15/25
.............
2,445,000‌
1,045,000‌
Varonis
Systems
Inc.
,
1.250
%
,
08/15/25
.............
2,050,813‌
1,650,000‌
Workiva
Inc.
,
1.125
%
,
08/15/26
.............
2,519,771‌
52,919,693‌
Consumer
Products
—
3
.0
%
1,050,000‌
Callaway
Golf
Co.
,
2.750
%
,
05/01/26
.............
2,145,282‌
515,000‌
Cracker
Barrel
Old
Country
Store
Inc.
,
0.625
%
,
06/15/26
(a)
...........
519,506‌
750,000‌
Farfetch
Ltd.
,
3.750
%
,
05/01/27
.............
2,437,500‌
1,045,000‌
National
Vision
Holdings
Inc.
,
2.500
%
,
05/15/25
.............
1,845,078‌
6,947,366‌
2
Ellsworth
Growth
and
Income
Fund
Ltd.
Schedule
of
Investments
(Continued)
—
June
30,
2021
(Unaudited)
Principal
Amount
Market
Value
CONVERTIBLE
CORPORATE
BONDS
(Continued)
Consumer
Services
—
5
.5
%
$
1,470,000‌
NCL
Corp.
Ltd.
,
5.375
%
,
08/01/25
(a)
...........
$
2,680,545‌
Royal
Caribbean
Cruises
Ltd.
430,000‌
4.250
%
,
06/15/23
(a)
...........
588,057‌
685,000‌
2.875
%
,
11/15/23
(a)
...........
862,234‌
685,000‌
Shopify
Inc.
,
0.125
%
,
11/01/25
.............
895,295‌
Square
Inc.
500,000‌
0.500
%
,
05/15/23
.............
1,566,510‌
1,000,000‌
0.250
%
,
11/01/27
(a)
...........
1,165,000‌
2,105,000‌
Stride
Inc.
,
1.125
%
,
09/01/27
(a)
...........
1,960,176‌
865,000‌
Vroom
Inc.
,
0.750
%
,
07/01/26
(a)
...........
897,870‌
2,060,000‌
Wayfair
Inc.
,
0.625
%
,
10/01/25
(a)
...........
2,204,200‌
12,819,887‌
Diversified
Industrial
—
1
.0
%
750,000‌
Chart
Industries
Inc.
,
1.000
%
,
11/15/24
(a)
...........
1,901,719‌
340,000‌
John
Bean
Technologies
Corp.
,
0.250
%
,
05/15/26
(a)
...........
362,440‌
2,264,159‌
Energy
and
Utilities
—
1
.5
%
1,155,000‌
Bloom
Energy
Corp.
,
2.500
%
,
08/15/25
(a)
...........
2,064,447‌
1,700,000‌
Cheniere
Energy
Inc.
,
4.250
%
,
03/15/45
.............
1,448,753‌
3,513,200‌
Financial
Services
—
4
.6
%
875,000‌
Chimera
Investment
Corp.
,
7.000
%
,
04/01/23
.............
2,005,938‌
1,025,000‌
Digitalbridge
Operating
Co.
LLC
,
5.750
%
,
07/15/25
(a)
(b)
.........
3,619,582‌
1,000,000‌
Encore
Capital
Group
Inc.
,
3.250
%
,
03/15/22
.............
1,132,500‌
750,000‌
GOL
Equity
Finance
SA
,
3.750
%
,
07/15/24
(a)
...........
675,469‌
1,000,000‌
IIP
Operating
Partnership
LP
,
3.750
%
,
02/21/24
(a)
...........
2,941,300‌
335,000‌
Repay
Holdings
Corp.
,
Zero
Coupon
,
02/01/26
(a)
.......
333,325‌
10,708,114‌
Food
and
Beverage
—
0
.2
%
485,000‌
The
Cheesecake
Factory
Inc.
,
0.375
%
,
06/15/26
.............
479,847‌
Principal
Amount
Market
Value
Health
Care
—
11
.3
%
$
1,545,000‌
1Life
Healthcare
Inc.
,
3.000
%
,
06/15/25
.............
$
1,704,629‌
735,000‌
Coherus
Biosciences
Inc.
,
1.500
%
,
04/15/26
.............
754,908‌
1,000,000‌
Collegium
Pharmaceutical
Inc.
,
2.625
%
,
02/15/26
.............
1,081,368‌
1,000,000‌
CONMED
Corp.
,
2.625
%
,
02/01/24
.............
1,616,250‌
1,180,000‌
Cutera
Inc.
,
2.250
%
,
03/15/26
(a)
...........
1,929,300‌
Dexcom
Inc.
375,000‌
0.750
%
,
12/01/23
.............
975,469‌
1,020,000‌
0.250
%
,
11/15/25
.............
1,070,363‌
1,360,000‌
Esperion
Therapeutics
Inc.
,
4.000
%
,
11/15/25
(a)
...........
1,172,867‌
1,960,000‌
Exact
Sciences
Corp.
,
0.375
%
,
03/15/27
.............
2,603,125‌
1,500,000‌
Insulet
Corp.
,
0.375
%
,
09/01/26
.............
2,046,562‌
Invacare
Corp.
500,000‌
4.500
%
,
06/01/22
.............
470,625‌
1,015,000‌
4.250
%
,
03/15/26
(a)
...........
1,017,936‌
629,000‌
Pacira
BioSciences
Inc.
,
2.375
%
,
04/01/22
.............
688,362‌
1,390,000‌
PetIQ
Inc.
,
4.000
%
,
06/01/26
.............
2,095,425‌
1,254,000‌
Supernus
Pharmaceuticals
Inc.
,
0.625
%
,
04/01/23
.............
1,239,109‌
2,000,000‌
Tabula
Rasa
HealthCare
Inc.
,
1.750
%
,
02/15/26
.............
2,052,600‌
1,870,000‌
Teladoc
Health
Inc.
,
1.250
%
,
06/01/27
.............
2,102,628‌
1,500,000‌
Theravance
Biopharma
Inc.
,
3.250
%
,
11/01/23
.............
1,428,750‌
500,000‌
Travere
Therapeutics
Inc.
,
2.500
%
,
09/15/25
.............
425,334‌
26,475,610‌
Real
Estate
Investment
Trusts
—
1
.2
%
375,000‌
Braemar
Hotels
&
Resorts
Inc.
,
4.500
%
,
06/01/26
(a)
...........
450,321‌
340,000‌
Pebblebrook
Hotel
Trust
,
1.750
%
,
12/15/26
.............
387,260‌
675,000‌
Realogy
Group
LLC/Realogy
Co.-
Issuer
Corp.
,
0.250
%
,
06/15/26
(a)
...........
680,746‌
1,180,000‌
Summit
Hotel
Properties
Inc.
,
1.500
%
,
02/15/26
.............
1,221,890‌
2,740,217‌
Security
Software
—
5
.0
%
1,395,000‌
2U
Inc.
,
2.250
%
,
05/01/25
.............
2,301,053‌
3
Ellsworth
Growth
and
Income
Fund
Ltd.
Schedule
of
Investments
(Continued)
—
June
30,
2021
(Unaudited)
Principal
Amount
Market
Value
CONVERTIBLE
CORPORATE
BONDS
(Continued)
Security
Software
(Continued)
$
1,500,000‌
CyberArk
Software
Ltd.
,
Zero
Coupon
,
11/15/24
.........
$
1,629,450‌
515,000‌
Nice
Ltd.
,
Zero
Coupon
,
09/15/25
(a)
.......
552,591‌
532,000‌
Nice
Systems
Inc.
,
1.250
%
,
01/15/24
.............
1,579,707‌
1,000,000‌
Okta
Inc.
,
0.375
%
,
06/15/26
.............
1,250,870‌
2,190,000‌
Verint
Systems
Inc.
,
0.250
%
,
04/15/26
(a)
...........
2,158,345‌
1,515,000‌
Zscaler
Inc.
,
0.125
%
,
07/01/25
(a)
...........
2,372,111‌
11,844,127‌
Semiconductors
—
0
.2
%
385,000‌
ON
Semiconductor
Corp.
,
Zero
Coupon
,
05/01/27
(a)
.......
402,556‌
Telecommunications
—
2
.6
%
2,060,000‌
8x8
Inc.
,
0.500
%
,
02/01/24
.............
2,560,980‌
1,250,000‌
Infinera
Corp.
,
2.500
%
,
03/01/27
.............
1,903,454‌
1,345,000‌
PagerDuty
Inc.
,
1.250
%
,
07/01/25
(a)
...........
1,756,906‌
6,221,340‌
Transportation
—
1
.3
%
1,700,000‌
Atlas
Air
Worldwide
Holdings
Inc.
,
1.875
%
,
06/01/24
.............
2,177,062‌
680,000‌
Seaspan
Corp.
,
3.750
%
,
12/15/25
(a)
...........
830,280‌
3,007,342‌
TOTAL
CONVERTIBLE
CORPORATE
BONDS
....................
167,105,439‌
Shares
CONVERTIBLE
PREFERRED
STOCKS
—
0
.6
%
Agriculture
—
0
.4
%
9,000‌
Bunge
Ltd.
,
4.875
%
....................
1,046,070‌
Business
Services
—
0
.2
%
809,253‌
Amerivon
Holdings
LLC
,
4.000
%
(c)
..................
436,035‌
272,728‌
Amerivon
Holdings
LLC,  common
equity
units
(c)
.......................
16,364‌
452,399‌
TOTAL
CONVERTIBLE
PREFERRED
STOCKS
...................
1,498,469‌
Shares
Market
Value
MANDATORY
CONVERTIBLE
SECURITIES
(d)
—
10
.6
%
Automotive:
Parts
and
Accessories
—
1
.3
%
17,100‌
Aptiv
plc
,
Ser. A
,
5.500
%
,
06/15/23
.............
$
3,057,822‌
Business
Services
—
0
.5
%
12,000‌
Clarivate
plc
,
Ser. A
,
5.250
%
,
06/01/24
.............
1,256,400‌
Diversified
Industrial
—
1
.2
%
15,000‌
Colfax
Corp.
,
5.750
%
,
01/15/22
.............
2,793,000‌
Energy
and
Utilities
—
2
.1
%
NextEra
Energy
Inc.
24,025‌
4.872
%
,
09/01/22
.............
1,349,004‌
27,900‌
5.279
%
,
03/01/23
.............
1,365,984‌
27,465‌
6.219
%
,
09/01/23
.............
1,356,771‌
16,290‌
Spire
Inc.
,
Ser. A
,
7.500
%
,
03/01/24
.............
880,800‌
4,952,559‌
Equipment
and
Supplies
—
0
.6
%
1,000‌
Danaher
Corp.
,
Ser. B
,
5.000
%
,
04/15/23
.............
1,475,270‌
Financial
Services
—
1
.5
%
1,730‌
2020
Cash
Mandatory
Exchangeable
Trust
,
5.250
%
,
06/01/23
.............
2,184,264‌
24,000‌
New
York
Community
Capital
Trust
V
,
6.000
%
,
11/01/51
.............
1,247,040‌
3,431,304‌
Health
Care
—
2
.1
%
25,445‌
Avantor
Inc.
,
Ser. A
,
6.250
%
,
05/15/22
.............
2,787,754‌
40,900‌
Elanco
Animal
Health
Inc.
,
5.000
%
,
02/01/23
.............
2,194,694‌
4,982,448‌
Semiconductors
—
1
.3
%
1,945‌
Broadcom
Inc.
,
Ser. A
,
8.000
%
,
09/30/22
.............
2,956,147‌
TOTAL
MANDATORY
CONVERTIBLE
SECURITIES
.................
24,904,950‌
COMMON
STOCKS
—
15
.8
%
Business
Services
—
1
.6
%
13,000‌
PayPal
Holdings
Inc.
†
..............
3,789,240‌
Communications
Equipment
—
0
.2
%
40,000‌
Kaleyra
Inc.
†
....................
489,600‌
Computer
Software
and
Services
—
1
.7
%
14,300‌
Microsoft
Corp.
..................
3,873,870‌
4
Ellsworth
Growth
and
Income
Fund
Ltd.
Schedule
of
Investments
(Continued)
—
June
30,
2021
(Unaudited)
(a)
Securities
exempt
from
registration
under
Rule
144A
of
the
Securities
Act
of
1933,
as
amended.
These
securities
may
be
resold
in
transactions
exempt
from
registration,
normally
to
qualified
institutional
buyers.
(b)
At
June
30,
2021,
the
Fund
held
an
investment
in
a
restricted
and
illiquid
security
amounting
to
$3,619,582
or
1.54%
of
total
investments,
which
was
valued
under
methods
approved
by
the
Board
of
Trustees
as
follows:
(c)
Security
is
valued
using
significant
unobservable
inputs
and
is
classified
as
Level
3
in
the
fair
value
hierarchy.
(d)
Mandatory
convertible
securities
are
required
to
be
converted
on
the
dates
listed;
they
generally
may
be
converted
prior
to
these
dates
at
the
option
of
the
holder.
†
Non-income
producing
security.
††
Represents
annualized
yields
at
dates
of
purchase.
Shares
Market
Value
COMMON
STOCKS
(Continued)
Consumer
Products
—
0
.6
%
24,000‌
Unilever
plc
,
ADR
.................
$
1,404,000‌
Energy
and
Utilities
—
0.0
%
132‌
Goodrich
Petroleum
Corp.
†
..........
1,971‌
Entertainment
—
0
.9
%
12,500‌
The
Walt
Disney
Co.
†
..............
2,197,125‌
Food
and
Beverage
—
0
.5
%
30,000‌
Conagra
Brands
Inc.
...............
1,091,400‌
Health
Care
—
2
.7
%
12,960‌
Eli
Lilly
&
Co.
....................
2,974,579‌
22,651‌
Merck
&
Co.
Inc.
..................
1,761,568‌
2,265‌
Organon
&
Co.
†
..................
68,539‌
40,000‌
Pfizer
Inc.
......................
1,566,400‌
6,371,086‌
Real
Estate
Investment
Trusts
—
5
.1
%
10,000‌
American
Tower
Corp.
..............
2,701,400‌
16,100‌
Crown
Castle
International
Corp.
.......
3,141,110‌
5,000‌
Equinix
Inc.
.....................
4,013,000‌
7,000‌
SBA
Communications
Corp.
..........
2,230,900‌
12,086,410‌
Semiconductors
—
0
.5
%
20,000‌
Intel
Corp.
......................
1,122,800‌
Telecommunications
—
2
.0
%
30,000‌
AT&T
Inc.
.......................
863,400‌
16,119‌
T-Mobile
US
Inc.
†
.................
2,334,515‌
25,000‌
Verizon
Communications
Inc.
.........
1,400,750‌
4,598,665‌
TOTAL
COMMON
STOCKS
...........
37,026,167‌
WARRANTS
—
0.0
%
Energy
and
Utilities
—
0.0
%
1,131‌
Goodrich
Petroleum
Corp.
,
expire
10/12/26
†
(c)
................
0‌
Principal
Amount
U.S.
GOVERNMENT
OBLIGATIONS
—
1
.8
%
$
4,190,000‌
U.S.
Treasury
Bills,
0.014
%
to
0.028
%
††
,
09/16/21
to
11/18/21
...................
4,189,471‌
TOTAL
INVESTMENTS
—
100.0%
(Cost
$
165,128,758
)
...........
$
234,724,496‌
Acquisition
Principal
Amount
Issuer
Acquisition
Dates
Acquisition
Cost
06/30/21
Carrying
Value
Per
Bond
$1,025,000
Digitalbridge
Operating
Co.
LLC
,
5.750
%
,
07/15/25
.....
07/17/20
-
11/11/20
$1,247,824
$3,531.30
ADR
American
Depositary
Receipt