Ellsworth director sells 3,309 ECF shares

Ellsworth Growth & Income Fund director Anthonie C. van Ekris reported two indirect open-market sales of Common Shares.

Rhea-AI Filing Summary

Ellsworth Growth & Income Fund director Anthonie C. van Ekris reported two indirect open-market sales of Common Shares. On October 16, 2025, a trust account for his son sold 1,309 shares at $12.2776 per share, and a trust account for his daughter sold 2,000 shares at $12.2520 per share. Both trust accounts, for which he serves as trustee, each held 1,000 shares following the transactions. No derivative securities were reported.

Insider Trade Summary

Net Seller: 3,309 shares

Net Sell 2 txns

Insider VANEKRIS ANTHONIE C

Role Director

Sold 3,309 shs ($41K)

Type	Security	Shares	Price	Value
Sale	Common Shares	2,000	$12.252	$25K
Sale	Common Shares	1,309	$12.2776	$16K

Holdings After Transaction: Common Shares — 1,000 shares (Indirect, Trust account for daughter); Common Shares — 1,000 shares (Indirect, Trust account for son)

Footnotes (2)

1. F1. The shares reported are held in a trust account for the daughter of Mr. van Ekris. Mr. van Ekris also serves as the trustee on the account.
2. F2. The shares reported are held in a trust account for the son of Mr. van Ekris. Mr. van Ekris also serves as the trustee on the account.

Key Figures

Shares sold from son’s trust: 1,309 shares at $12.2776 Shares sold from daughter’s trust: 2,000 shares at $12.2520 Total shares sold: 3,309 shares +2 more

5 metrics

Shares sold from son’s trust 1,309 shares at $12.2776 Common Shares sold on October 16, 2025

Shares sold from daughter’s trust 2,000 shares at $12.2520 Common Shares sold on October 16, 2025

Total shares sold 3,309 shares Net open-market sales reported in Form 4

Shares remaining in son’s trust 1,000 shares Holdings after October 16, 2025 transaction

Shares remaining in daughter’s trust 1,000 shares Holdings after October 16, 2025 transaction

Key Terms

open-market sale, indirect ownership, trust account, Common Shares

4 terms

open-market sale financial

"transaction_action": "open-market sale""

An open-market sale is when a shareholder sells existing shares directly on a public exchange to any willing buyer, rather than through a private deal. Think of it like putting goods on a busy market stall where price is set by supply and demand; for investors it matters because such sales increase available supply, can put short-term downward pressure on the stock price, and signal changes in liquidity or investor confidence.

indirect ownership financial

""ownership_type": "indirect""

trust account financial

"held in a trust account for the daughter of Mr. van Ekris"

A trust account is a special bank or brokerage account where assets are held and managed by a designated person or firm (the trustee) for the benefit of another person or group (the beneficiary). It matters to investors because it separates assets from personal or corporate funds, can protect assets, control how and when money is used, and may affect tax or legal rights—think of it as a locked drawer opened only under agreed rules.

Common Shares financial

""security_title": "Common Shares""

Common shares are the basic units of ownership in a company that give holders a claim on profits and a right to vote on key matters, like electing the board. Think of them as membership cards in a club: they let you share in successes and losses, but in a bankruptcy or liquidation they are paid after creditors and preferred shareholders, so their value can swing more and matters for assessing risk and potential return.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did ELLSWORTH GROWTH & INCOME FUND LTD (ECF) report?

Ellsworth Growth & Income Fund reported that director Anthonie C. van Ekris executed two indirect open-market sales of Common Shares totaling 3,309 shares on October 16, 2025, through trust accounts for his son and daughter.

How many ECF shares were sold in the family trust accounts on October 16, 2025?

A total of 3,309 Ellsworth Growth & Income Fund Common Shares were sold: 1,309 shares from a trust account for the son and 2,000 shares from a trust account for the daughter, both on October 16, 2025.

At what prices were the ECF shares sold in Anthonie C. van Ekris’s Form 4 filing?

The trust for Mr. van Ekris’s son sold 1,309 Ellsworth Growth & Income Fund Common Shares at $12.2776 each, while the trust for his daughter sold 2,000 shares at $12.2520 each, both as open-market sales.

What are the remaining ECF share holdings in the family trusts after these sales?

Following the reported transactions, each trust account—one for the son and one for the daughter—held 1,000 Ellsworth Growth & Income Fund Common Shares, with Mr. van Ekris serving as trustee for both accounts.

Are the ECF share sales by Anthonie C. van Ekris direct or indirect transactions?

The reported Ellsworth Growth & Income Fund share sales are indirect transactions. The shares are held in trust accounts for Mr. van Ekris’s son and daughter, where he acts as trustee, rather than being held directly in his own name.

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Accepted by SEC EDGAR 06/02/2026 - 05:19 PM EDT Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

VANEKRIS ANTHONIE C

(Last) (First) (Middle)

C/O GAMCO INVESTORS, INC.

ONE CORPORATE CENTER

(Street)

RYE NEW YORK 10580

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
ELLSWORTH GROWTH & INCOME FUND LTD [ ECF ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/16/2025

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Shares	10/16/2025		S		2,000	D	$12.252	1,000	I	Trust account for daughter(1)
Common Shares	10/16/2025		S		1,309	D	$12.2776	1,000	I	Trust account for son(2)

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

1. The shares reported are held in a trust account for the daughter of Mr. van Ekris. Mr. van Ekris also serves as the trustee on the account.

2. The shares reported are held in a trust account for the son of Mr. van Ekris. Mr. van Ekris also serves as the trustee on the account.

	John C. Ball as Attorney-in-Fact for Anthonie C. van Ekris	06/02/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)