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.
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.