Form 4 for ECF ELLSWORTH GROWTH & INCOME FUND LTD
Accepted 2023-06-29 00:00:00 ET · period of report 2023-06-26 · accession 0001271163-23-000016 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2023-06-29 | 2023-06-26 | ECF | GABELLI MARIO J | Dir, Control Person of Adviser | J - Other | $10.00 | -25.0K | 150.0K | -14% | -$250.0K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Series B Cumulative Preferred Shares | 2023-06-26 | J | D | 25,000 | $10.00 | 125,000 | I Associated Capital Group, Inc. | — | — | (F2) The shares reported reflect the total shares owned by Associated Capital Group, Inc. (ACG). Mario J. Gabelli is the Executive Chair and controlling shareholder of ACG. Mr. Gabelli has less than a 100% interest in ACG and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
| 2 | Common | Series B Cumulative Preferred Shares | 2023-06-26 | J | A | 150,000 | $10.00 | 0 | I GGCP, Inc. | — | — | (F3) The shares reported reflect the total shares owned by GGCP, Inc. (GGCP). Mario J. Gabelli is the Chief Executive Officer, a director, and the controlling shareholder of GGCP. Mr. Gabelli has less than a 100% interest in GGCP and disclaims beneficial ownership of the shares held by it which are in excess of his indirect pecuniary interest. |
| 3 | Common | Series B Cumulative Preferred Shares | 2023-06-26 | J | D | 100,000 | $10.00 | 0 | I MJG Associates | — | — | (F5) MJG Associates provides advisory services to private investment partnerships and offshore funds. Mario Gabelli is the sole shareholder, director and employee of MJG Associates. Mr. Gabelli disclaims beneficial ownership of the shares held which are in excess of his indirect pecuniary interest. |
| 4 | Common | Series B Cumulative Preferred Shares | 2023-06-26 | J | D | 50,000 | $10.00 | 150,000 | I GPJ Retirement Partners | — | — | (F4) The shares reported reflect the total shares owned by GPJ Retirement Partners, LLC, a limited liability company. Mr. Gabelli has less than a 100% interest in the entity and disclaims beneficial ownership of the shares held by this entity which are in excess of his indirect pecuniary interest. |