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ELLSWORTH GROWTH AND INCOME FU COM
ELLSWORTH GROWTH AND INCOME FU COM. Institutional holdings reported to the SEC.

Institutional Holders (2015Q4)
Portfolio Summary: 35 Institutional holders with a total value of $35,500,601.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,063,994 8,246,000 23.23%
2 UBS Group AG 788,245 6,109,000 17.21%
3 Advisors Asset Management, Inc. 404,252 3,137,000 8.84%
4 GUGGENHEIM CAPITAL LLC 251,513 1,951,000 5.50%
5 1607 Capital Partners, LLC 251,667 1,950,000 5.49%
6 RELATIVE VALUE PARTNERS GROUP, LLC 228,639 1,772,000 4.99%
7 SIT INVESTMENT ASSOCIATES INC 200,098 1,551,000 4.37%
8 Raymond James Financial Services Advisors, Inc. 199,017 1,542,000 4.34%
9 WELLS FARGO & COMPANY/MN 179,096 1,388,000 3.91%
10 MSI Financial Services Inc 145,444 1,127,000 3.17%
11 Gramercy Funds Management LLC 109,957 852,000 2.40%
12 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 102,605 795,000 2.24%
13 Concert Wealth Management Inc. 78,787 612,000 1.72%
14 RAYMOND JAMES & ASSOCIATES 78,201 606,000 1.71%
15 HighTower Advisors, LLC 57,723 447,000 1.26%
16 GEODE CAPITAL MANAGEMENT, LLC 56,516 438,000 1.23% PRN
17 Bulldog Investors, LLP 50,078 388,000 1.09%
18 SENTINEL TRUST CO LBA 47,100 365,000 1.03%
19 Curi Capital, LLC 40,149 311,000 0.88%
20 Invesco Ltd. 34,467 267,000 0.75%
21 Coe Capital Management, LLC 34,013 263,601 0.74%
22 DOLIVER ADVISORS, LP 29,775 231,000 0.65%
23 MERIDIAN INVESTMENT COUNSEL INC. 25,157 195,000 0.55%
24 Aviance Capital Partners, LLC 24,300 188,000 0.53%
25 Investors Capital Advisory Services 19,557 151,000 0.43%
26 BANK OF AMERICA CORP /DE/ 14,281 111,000 0.31%
27 SIGNET FINANCIAL MANAGEMENT, LLC 13,555 105,000 0.30%
28 ROYAL BANK OF CANADA 13,337 103,000 0.29%
29 Shaker Financial Services, LLC 13,127 102,000 0.29%
30 IFP ADVISORS, INC 10,926 85,000 0.24%
31 CITIGROUP INC 9,643 75,000 0.21%
32 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,443 19,000 0.05%
33 Creative Planning 1,362 11,000 0.03%
34 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 621 5,000 0.01%
35 AUSDAL FINANCIAL PARTNERS, INC. 286 2,000 0.01%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.