Stock Transactions — ELLSWORTH GROWTH & INCOME FD

Total Bought
541,550
17 transactions
Total Sold
441,518
28 transactions
Net
+100,032
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
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Change in Shares
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Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
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Change in Weight (%)
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Type
Saba Capital Management, L.P.662,4161,084,019+421,6030.120.20+0.08buy
AQR Arbitrage LLC141,194171,124+29,9300.040.04-0.00buy
MORGAN STANLEY239,686269,437+29,7510.000.00+0.00buy
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC46,56065,050+18,4900.080.11+0.03buy
Shaker Financial Services, LLC97,238111,018+13,7800.310.37+0.06buy
Cornerstone Advisors, LLC337,023346,675+9,6520.110.12+0.00buy
Bulldog Investors, LLP77,73483,179+5,4450.210.26+0.05buy
LPL Financial LLC16,85121,746+4,8950.000.00+0.00buy
ROYAL BANK OF CANADA32,27334,106+1,8330.000.00+0.00buy
Private Advisor Group, LLC21,52422,971+1,4470.000.00+0.00buy
Invesco Ltd.99,186100,425+1,2390.000.00+0.00buy
LANDSCAPE CAPITAL MANAGEMENT, L.L.C.84,69385,834+1,1410.060.06-0.00buy
WELLS FARGO & COMPANY/MN1,048,7931,049,861+1,0680.000.00-0.00buy
UBS Group AG31,97832,854+8760.000.00-0.00buy
Steward Partners Investment Advisory, LLC0250+2500.000.00+0.00buy
Aviance Capital Partners, LLC29,44929,595+1460.040.03-0.00buy
BESSEMER GROUP INC417421+40.000.00-0.00buy
MERIDIAN INVESTMENT COUNSEL INC.11,10011,10000.030.03-0.00hold
CAPTRUST FINANCIAL ADVISORS25,28725,28700.000.00-0.00hold
IFP Advisors, Inc868600.000.00-0.00hold
Matisse Capital26,17626,17600.100.11+0.00hold
Parallel Advisors, LLC2200.000.00+0.00hold
GPS Wealth Strategies Group, LLC37737700.000.00-0.00hold
CEERA INVESTMENTS, LLC10,21910,21900.040.04-0.00hold
RPO LLC35,66435,66400.430.24-0.19hold
OAK HARBOR WEALTH PARTNERS, LLC14,62614,62600.040.04+0.00hold
Ruggaard & Associates LLC18,77218,77200.070.07-0.00hold
GAMMA Investing LLC151500.000.00-0.00hold
ALTFEST L J & CO INC11,63611,63600.010.01-0.00hold
CONCOURSE FINANCIAL GROUP SECURITIES, INC.0000.000.000.00hold
FIRST MANHATTAN CO. LLC.500-500.000.00-0.00sell
COMERICA BANK3,7963,734-620.000.00-0.00sell
US BANCORP \DE\1250-1250.000.00-0.00sell
PRINCIPAL SECURITIES, INC.3300-3300.000.00-0.00sell
HighTower Advisors, LLC16,09115,550-5410.000.00-0.00sell
Institute for Wealth Management, LLC.60,68559,965-7200.060.07+0.00sell
Baird Financial Group, Inc.140,115139,259-8560.000.00-0.00sell
Cetera Investment Advisers11,35510,423-9320.000.00-0.00sell
COMMONWEALTH EQUITY SERVICES, LLC22,14120,958-1,1830.000.00-0.00sell
Cambridge Investment Research Advisors, Inc.22,81221,594-1,2180.000.00-0.00sell
WNY Asset Management, LLC167,797166,297-1,5000.210.18-0.03sell
Avior Wealth Management, LLC2,1900-2,1900.000.00-0.00sell
NewEdge Advisors, LLC64,23761,865-2,3720.000.00-0.00sell
CoreCap Advisors, LLC4,7150-4,7150.000.00-0.00sell
Pathstone Holdings, LLC92,75886,894-5,8640.000.00-0.00sell
Old Port Advisors28,77921,798-6,9810.070.05-0.02sell
OSAIC HOLDINGS, INC.29,58620,917-8,6690.000.00-0.00sell
AMERIPRISE FINANCIAL INC372,281362,653-9,6280.000.00-0.00sell
STIFEL FINANCIAL CORP10,7000-10,7000.000.00-0.00sell
GUGGENHEIM CAPITAL LLC237,353226,373-10,9800.010.01-0.00sell
PNC FINANCIAL SERVICES GROUP, INC.15,0220-15,0220.000.00-0.00sell
TWIN FOCUS CAPITAL PARTNERS, LLC18,6000-18,6000.030.00-0.03sell
Modera Wealth Management, LLC22,2940-22,2940.000.00-0.00sell
Advisors Asset Management, Inc.281,333248,434-32,8990.040.04-0.00sell
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC317,034283,568-33,4660.010.01-0.00sell
Logan Stone Capital, LLC52,0360-52,0360.090.00-0.09sell
WOLVERINE ASSET MANAGEMENT LLC93,85012,406-81,4440.010.00-0.01sell
FourThought Financial Partners, LLC116,1410-116,1410.110.00-0.11sell
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