Welcome to our dedicated page for Ellsworth Growth and Income SEC filings (Ticker: ECF), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
This page aggregates U.S. regulatory filings and related disclosures for Ellsworth Growth and Income Fund Ltd (NYSE American: ECF), a diversified, closed-end management investment company. While specific SEC forms are not listed here, the fund’s public communications outline key topics that typically appear in its regulatory and shareholder documents.
Ellsworth Growth and Income Fund states that it invests primarily in convertible securities and common stock across multiple sectors, and that its objectives are to provide income and the potential for capital appreciation. Formal filings and reports expand on these points by describing portfolio composition, sector allocations, and the balance between income generation and capital appreciation potential.
The fund’s distribution policy is another central element of its regulatory disclosures. The fund has explained that it intends to pay the greater of an annual distribution equal to 5% of its trailing 12‑month average month‑end market price or an amount that satisfies the minimum distribution requirement for regulated investment companies under the Internal Revenue Code. Filings and shareholder reports typically describe how this policy is applied, how the Board of Trustees reviews distributions each quarter, and how any year‑end adjusting distribution is determined.
Tax‑related sections of the fund’s documents discuss how distributions may be classified among long‑term capital gains, qualified dividend income, investment company taxable income, and return of capital. They also explain that if distributions exceed earnings, the excess is treated as return of capital and reduces shareholder cost basis. These details are ultimately reflected in annual tax reporting such as Form 1099‑DIV.
Ellsworth Growth and Income Fund has also disclosed the issuance of Series B Cumulative Preferred Shares with a specified liquidation value and distribution rate. Information about these preferred shares, including their terms, put and call features, and impact on the fund’s capital structure, is typically documented in formal offering materials and related filings.
On Stock Titan, AI‑powered tools can help users interpret lengthy regulatory texts by highlighting how ECF describes its investment objectives, distribution practices, capital structure, and risk disclosures. This makes it easier to connect the fund’s official language with practical questions about income, capital appreciation potential, and the treatment of common and preferred shareholders.
Saba Capital Management, L.P., a 10% owner of Ellsworth Growth & Income Fund Ltd, reported an open-market sale of common stock. On 02/11/2026, it sold 14,110 shares at a price of $12.24 per share. After this transaction, Saba Capital Management, L.P. indirectly beneficially owned 1,632,468 shares of the fund’s common stock.
Saba Capital Management, L.P., a 10% owner of Ellsworth Growth & Income Fund Ltd., reported two open-market sales of the fund’s common stock. On February 5, 2026, it sold 7,824 shares at
Wells Fargo & Company has reported beneficial ownership of 946,404 common shares of beneficial interest of Ellsworth Growth and Income, representing 7% of the class as of 12/31/2025.
Wells Fargo has sole dispositive power over all 946,404 shares and sole voting power over 1 share, with no shared voting or dispositive power. The filing states the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control of Ellsworth Growth and Income. The report is made by Wells Fargo & Company on its own behalf and on behalf of its broker-dealer subsidiaries Wells Fargo Advisors Financial Network, LLC and Wells Fargo Clearing Services, LLC.
Ellsworth Growth & Income Fund Ltd. reported an insider share purchase by President and Director James A. Dinsmore. On 12/17/2025, he acquired 200 common shares in an open-market purchase at a price of $11.60 per share. Following this transaction, he beneficially owned 12,292 common shares, held directly.
Saba Capital Management filed Amendment No. 6 to Schedule 13D/A on Ellsworth Growth and Income Fund (ECF), reporting beneficial ownership of 1,680,620 common shares, representing 12.29% of the class based on 13,676,849 shares outstanding as of 3/31/25. The filing lists shared voting and dispositive power over 1,680,620 shares and no sole power.
Saba reports that approximately $14,070,900 was paid in total to acquire the reported shares, funded by investor subscriptions, capital appreciation, and ordinary-course margin borrowings. The amendment states that recent transactions within sixty days prior to 11/07/25 were open-market trades detailed in Schedule A. Item 4 (Purpose of Transaction) is marked not applicable. The amendment updates Items 3, 5, and 7 and identifies the reporting persons as Saba Capital Management, L.P., Saba Capital Management GP, LLC, and Boaz R. Weinstein.
Ellsworth Growth & Income Fund Ltd. (ECF) reported an insider Form 4 showing an open-market purchase. On 11/07/2025, the reporting person bought 33,764 shares of common stock at $12.15 per share (transaction code P).
After the transaction, the reporting person beneficially owned 1,680,620 shares, held indirectly as disclosed. The filing was made by one reporting person.
Saba Capital Management, L.P., a director and 10% owner of Ellsworth Growth & Income Fund (ECF), reported a purchase of 11,604 common shares at $12.28 on 10/28/2025 (transaction code P). Following the trade, the reporting person beneficially owned 1,646,856 shares, held indirectly.
Wells Fargo & Company filed a Schedule 13G/A (Amendment No. 5) reporting beneficial ownership in Ellsworth Growth and Income (ECF).
The filing states ownership of 916,262 common shares, representing 6.7% of the class, with a date of event of 09/30/2025. Reported powers include sole voting power: 1 share, shared voting power: 0, sole dispositive power: 916,262 shares, and shared dispositive power: 0.
The certification notes the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control.
Saba Capital Management, L.P. and individual reporting person Boaz Weinstein reported purchases of common stock of Ellsworth Growth & Income Fund Ltd (ECF). On 08/19/2025 Saba (indirect) acquired 8,031 shares at $10.69 per share, bringing the total beneficial ownership reported to 1,635,252 shares (indirect). The Form 4 was signed and dated 08/21/2025 by authorized signatories.