Stock Transactions — ELLSWORTH GROWTH & INCOME FD

Total Bought
380,792
19 transactions
Total Sold
282,912
21 transactions
Net
+97,880
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
SIT INVESTMENT ASSOCIATES INC772,042888,713+116,6710.170.21+0.04buy
Pathstone Holdings, LLC274,636390,077+115,4410.010.02+0.01buy
Advisors Asset Management, Inc.170,355227,875+57,5200.030.04+0.01buy
Invesco Ltd.161,109198,189+37,0800.000.00+0.00buy
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC161,032185,809+24,7770.280.33+0.05buy
Creative Planning011,118+11,1180.000.00+0.00buy
Saba Capital Management, L.P.1,627,2211,635,252+8,0310.450.63+0.17buy
Cetera Investment Advisers10,75612,807+2,0510.000.00-0.00buy
Sunbelt Securities, Inc.02,000+2,0000.000.00+0.00buy
OSAIC HOLDINGS, INC.15,35617,342+1,9860.000.00-0.00buy
UHLMANN PRICE SECURITIES, LLC66,68067,837+1,1570.490.48-0.01buy
RAYMOND JAMES FINANCIAL INC79,54280,538+9960.000.00+0.00buy
Baird Financial Group, Inc.145,155146,144+9890.000.00+0.00buy
COMMONWEALTH EQUITY SERVICES, LLC18,69419,393+6990.000.00+0.00buy
Aviance Capital Partners, LLC30,09530,228+1330.040.04+0.00buy
Global Retirement Partners, LLC7,2677,365+980.000.00+0.00buy
Institute for Wealth Management, LLC.55,85855,884+260.060.07+0.00buy
Private Advisor Group, LLC24,23724,249+120.000.00+0.00buy
AdvisorNet Financial, Inc3,0073,014+70.000.00-0.00buy
MAI Capital Management2,0002,00000.000.00+0.00hold
CAPSTONE INVESTMENT ADVISORS, LLC81,49081,49000.010.01+0.00hold
MERIDIAN INVESTMENT COUNSEL INC.11,10011,10000.030.03+0.00hold
K2 PRINCIPAL FUND, L.P.23,78523,78500.040.03-0.02hold
Bulldog Investors, LLP312,463312,46300.810.84+0.03hold
CAPTRUST FINANCIAL ADVISORS22,19822,19800.000.00+0.00hold
Kovitz Investment Group Partners, LLC32,00632,00600.000.00+0.00hold
Parallel Advisors, LLC2200.000.00+0.00hold
GPS Wealth Strategies Group, LLC38238200.000.00+0.00hold
OAK HARBOR WEALTH PARTNERS, LLC11,53611,53600.030.03+0.00hold
Cape Investment Advisory, Inc.1,7671,76700.010.02+0.01hold
Ruggaard & Associates LLC18,77218,77200.080.08+0.00hold
GAMMA Investing LLC151500.000.00-0.00hold
Beckerman Institutional, LLC12,79412,79400.090.09+0.00hold
ALTFEST L J & CO INC11,63611,63600.010.02+0.00hold
VALLEY NATIONAL ADVISERS INC33333300.000.00-0.00hold
COMERICA BANK8967-220.000.00-0.00sell
Steward Partners Investment Advisory, LLC2530-2530.000.00-0.00sell
HighTower Advisors, LLC10,86810,514-3540.000.00-0.00sell
NewEdge Advisors, LLC75,40774,910-4970.000.00-0.00sell
Old Port Advisors15,59615,082-5140.040.04+0.00sell
Cambridge Investment Research Advisors, Inc.19,41918,862-5570.000.00-0.00sell
Cornerstone Advisors, LLC7720-7720.000.00-0.00sell
Flaharty Asset Management, LLC1,8590-1,8590.000.00-0.00sell
AMERIFLEX GROUP, INC.1,9440-1,9440.010.00-0.01sell
Waverly Advisors, LLC42,42339,807-2,6160.000.00-0.00sell
WELLS FARGO & COMPANY/MN920,341916,262-4,0790.000.00+0.00sell
ROYAL BANK OF CANADA47,84942,780-5,0690.000.00-0.00sell
GUGGENHEIM CAPITAL LLC148,511141,718-6,7930.010.01-0.00sell
MORGAN STANLEY174,315166,147-8,1680.000.00+0.00sell
Shaker Financial Services, LLC108,00799,201-8,8060.400.39-0.01sell
WNY Asset Management, LLC69,82258,519-11,3030.080.07-0.01sell
LPL Financial LLC18,3290-18,3290.000.00-0.00sell
WOLVERINE ASSET MANAGEMENT LLC136,527112,334-24,1930.020.02-0.00sell
AQR Arbitrage LLC51,83124,981-26,8500.010.01-0.01sell
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC133,50678,042-55,4640.000.00-0.00sell
AMERIPRISE FINANCIAL INC245,858141,388-104,4700.000.00-0.00sell
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