Eagle Capital Growth Fund CFO buys 7,410 shares

The ownership record separately lists 60 shares held indirectly by the CFO's children.

Rhea-AI Filing Summary

Eagle Capital Growth Fund, Inc. (GRF) CFO, CCO, Secretary and Treasurer David C. Sims reported two direct common-stock purchases on October 16, 2026: 1,396 shares at $10.16 per share and 7,410 shares at $10.03 per share. His spouse separately purchased 1,981 shares at $10.16 per share; Sims disclaims beneficial ownership of those securities.

Insider Trade Summary

Net Buyer: 10,787 shares

Net Buy 4 txns

Insider Sims David C

Role CFO, CCO, Secretary, Treasurer

Bought 10,787 shs ($109K)

Type	Security	Shares	Price	Value
Purchase	Common Stock	1,396	$10.16	$14K
Purchase	Common Stock	7,410	$10.03	$74K
Purchase	Common Stock F1	1,981	$10.16	$20K
holding	Common Stock	--	--	--

Holdings After Transaction: Common Stock — 228,838.1 shares (Direct); Common Stock — 29,881.73 shares (Indirect, By Spouse); Common Stock — 60 shares (Indirect, By Children)

Footnotes (1)

1. F1. The reporting person disclaims ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or otherwise.

Key Figures

Direct purchase shares: 1,396 shares Purchase price: $10.16 per share Direct purchase shares: 7,410 shares +5 more

8 metrics

Direct purchase shares 1,396 shares October 16, 2026

Purchase price $10.16 per share Direct purchase on October 16, 2026

Direct purchase shares 7,410 shares October 16, 2026

Purchase price $10.03 per share Direct purchase on October 16, 2026

Spouse's purchase shares 1,981 shares Indirect purchase on October 16, 2026

Purchase price $10.16 per share Spouse's purchase on October 16, 2026

Spouse-attributed resulting position 29,882 shares Following the October 16, 2026 purchase

Shares held by children 60 shares Indirect holding listed on October 16, 2026

Key Terms

beneficial owner, Section 16, Rule 10b5-1 plan

3 terms

beneficial owner regulatory

"beneficial owner of these securities"

A beneficial owner is the person who ultimately owns or controls a financial asset or property, even if their name isn't directly on official documents. Think of it like someone who secretly holds the keys to a safe deposit box—others may appear to have access, but the true owner is the one who benefits from what's inside. Identifying beneficial owners helps ensure transparency and prevent illegal activities like money laundering or fraud.

Section 16 regulatory

"for purposes of Section 16"

Section 16 is a U.S. securities law rule that governs the trading and disclosure obligations of company insiders — typically officers, directors and large shareholders — to promote transparency and deter unfair profit-taking. It requires insiders to publicly report their stock trades and allows companies or the issuer to reclaim quick, short-term profits from certain insider trades, like a scoreboard and a refund policy that help investors see and limit possible insider advantage.

Rule 10b5-1 plan regulatory

"No Rule 10b5-1 plan is reported for the purchases"

A Rule 10b5-1 plan is a prearranged, written schedule that lets corporate insiders buy or sell company stock at set times or amounts, even if they later learn material nonpublic information. Think of it like setting an automatic thermostat for trades: it creates a clear record that trades were planned in advance, reducing the risk of insider-trading accusations and helping investors trust that insider transactions are routine rather than based on secret information.

FAQ

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

How many GRF shares did David C. Sims buy?

On October 16, 2026, David C. Sims reported direct purchases of 1,396 shares at $10.16 per share and 7,410 shares at $10.03 per share. His spouse separately purchased 1,981 shares at $10.16 per share. No Rule 10b5-1 plan is reported for the purchases.

What GRF share position was reported for Sims's spouse after the purchase?

The reported resulting position attributed to Sims's spouse was 29,882 shares after the 1,981-share purchase on October 16, 2026. Sims disclaimed beneficial ownership of those securities.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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Available on EDGAR 10/20/2026 - 01:19 PM EDT Accepted by SEC EDGAR 10/20/2026 - 01:18 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^*

Sims David C

(Last) (First) (Middle)

1661 N. WATER ST.

SUITE 205

(Street)

MILWAUKEE WISCONSIN 53202

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
EAGLE CAPITAL GROWTH FUND, INC. [ GRF ]

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

X	Director		10% Owner
X	Officer (give title below)		Other (specify below)
	CFO, CCO, Secretary, Treasurer

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
10/16/2026

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 Stock	10/16/2026		P		1,396	A	$10.16	221,428.1	D
Common Stock	10/16/2026		P		7,410	A	$10.03	228,838.1	D
Common Stock	10/16/2026		P		1,981	A	$10.16	29,881.73	I	By Spouse(1)
Common Stock								60	I	By Children

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 reporting person disclaims ownership of these securities and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or otherwise.

	Carrie Leahy, Attorney-in-Fact by Power of Attorney	10/20/2026
	** 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)