Delaware
|
13-3345139
|
|
(State of Incorporation or Organization)
|
(I.R.S. Employer Identification No.)
|
One Corporate Center
Rye, New York |
10580-1422
|
|
(Address of principal executive offices)
|
(zip code)
|
Title of each class to be so registered
|
Name of each exchange on which each class is to be registered
|
|
5.25% Series A Cumulative Preferred Shares
(Liquidation Preference $25.00 per share)
|
NYSE AMERICAN LLC
|
Item 1.
|
Description of Registrant’s Securities to be Registered
|
The sections captioned “Summary of the Terms of the Series A Preferred Shares,” “Description of the Series A Preferred Shares” and “Special Characteristics and Risks of the Series A Preferred Shares” in the Registrant’s Prospectus Supplement that was filed pursuant to Rule 497 under the Securities Act of 1933 (File No. 333-219322) on September 14, 2017, is incorporated herein by reference.
|
|
Item 2.
|
Exhibits
|
(1)
|
(i) Amended and Restated Agreement and Declaration of Trust of Registrant (1)
|
(ii) Amendment No. 1 to Amended and Restated Agreement and Declaration of Trust of Registrant (2)
|
|
(iii) Amendment No. 2 to Amended and Restated Agreement and Declaration of Trust of Registrant (2)
|
|
(2)
|
Amended and Restated By-Laws of Registrant (3)
|
(3)
|
Statement of Preferences for 5.25% Series A Cumulative Preferred Shares (4)
|
(1)
|
Incorporated by reference to the Registrant’s Form N-SAR, filed with the Commission on May 30, 2006.
|
(2)
|
Incorporated by reference to the Registrant’s Registration Statement on Form N-2, File Nos. 333-219322 and 811-04656, as filed with the Commission on July 17, 2017.
|
(3)
|
Incorporated by reference to the Registrant’s Form N-SAR, filed with the Commission on May 24, 2016.
|
(4)
|
Incorporated by reference to Post-Effective Amendment No. 1 the Registrant’s Registration Statement on Form N-2, File Nos. 333-219322 and 811-04656, as filed with the Commission on September 14, 2017.
|
ELLSWORTH GROWTH & INCOME FUND LTD.
|
|||
By:
|
/s/ Andrea R. Mango
|
||
Name:
|
Andrea R. Mango
|
||
Title:
|
Secretary and Vice President
|