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

Institutional Holders (2016Q2)
Portfolio Summary: 36 Institutional holders with a total value of $37,601,404.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 MORGAN STANLEY 1,131,719 8,916,000 23.71%
2 UBS Group AG 765,105 6,028,000 16.03%
3 Advisors Asset Management, Inc. 365,197 2,867,000 7.62%
4 SIT INVESTMENT ASSOCIATES INC 292,010 2,301,000 6.12%
5 GUGGENHEIM CAPITAL LLC 269,182 2,113,000 5.62%
6 Raymond James Financial Services Advisors, Inc. 250,653 1,975,000 5.25%
7 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 210,057 1,655,000 4.40%
8 WELLS FARGO & COMPANY/MN 202,620 1,596,000 4.24%
9 MSI Financial Services Inc 141,915 1,118,000 2.97%
10 Shaker Financial Services, LLC 113,080 891,000 2.37%
11 Gramercy Funds Management LLC 109,957 866,000 2.30%
12 RAYMOND JAMES & ASSOCIATES 102,308 806,000 2.14%
13 ALTFEST L J & CO INC 92,879 732,000 1.95%
14 Saba Capital Management, L.P. 91,857 721,000 1.92%
15 Concert Wealth Management Inc. 83,699 660,000 1.76%
16 HighTower Advisors, LLC 55,599 442,000 1.18%
17 Aviance Capital Partners, LLC 55,133 434,000 1.15%
18 CITIGROUP INC 53,342 419,000 1.11%
19 RELATIVE VALUE PARTNERS GROUP, LLC 51,935 409,000 1.09%
20 Curi Capital, LLC 48,848 385,000 1.02%
21 SENTINEL TRUST CO LBA 47,100 371,000 0.99%
22 Bulldog Investors, LLP 35,123 277,000 0.74%
23 Coe Capital Management, LLC 32,665 257,345 0.68%
24 GEODE CAPITAL MANAGEMENT, LLC 32,331 253,000 0.67% PRN
25 Invesco Ltd. 30,700 242,000 0.64%
26 DOLIVER ADVISORS, LP 26,785 212,000 0.56%
27 MERIDIAN INVESTMENT COUNSEL INC. 25,157 198,000 0.53%
28 Investors Capital Advisory Services 19,557 154,000 0.41%
29 ROYAL BANK OF CANADA 13,337 105,000 0.28%
30 BANK OF AMERICA CORP /DE/ 13,389 105,000 0.28%
31 IFP ADVISORS, INC 5,567 44,000 0.12%
32 FineMark National Bank & Trust 4,700 37,000 0.10%
33 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 621 5,000 0.01%
34 Iowa State Bank 689 5,000 0.01%
35 WOLVERINE TRADING LP /BD 263 2,059 0.01%
36 LADENBURG THALMANN FINANCIAL SERVICES INC. 27 0 0.00%

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.