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Ellsworth Growth and Income Fund (ECF) NPORT-PEllsworth Growth & Income Fund Ltd (Jun 2024 report)

Filed: 29 Aug 24, 12:35pm

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1

Ellsworth

Growth

and

Income

Fund

Ltd.

Schedule

of

Investments

—

June

30,

2024

(Unaudited)

Principal

Amount

Market

Value

CONVERTIBLE

CORPORATE

BONDS

—

68

.7

%

Aerospace

and

Defense

—

1

.1

%

$

1,575,000‌

Rocket

Lab

USA

Inc.

,

4.250

%

,

02/01/29

(a)

.............

$

1,843,734‌

Automotive:

Parts

and

Accessories

—

1

.2

%

2,250,000‌

Rivian

Automotive

Inc.

,

3.625

%

,

10/15/30

(a)

.............

1,948,408‌

Business

Services

—

3

.3

%

2,000,000‌

BigBear.ai

Holdings

Inc.

,

6.000

%

,

12/15/26

(a)

.............

1,449,510‌

3,000,000‌

MicroStrategy

Inc.

,

2.250

%

,

06/15/32

(a)

.............

2,853,059‌

1,000,000‌

Zillow

Group

Inc.

,

1.375

%

,

09/01/26

...............

1,215,611‌

5,518,180‌

Cable

and

Satellite

—

0

.5

%

1,415,000‌

fuboTV

Inc.

,

3.250

%

,

02/15/26

...............

850,769‌

Communications

Equipment

—

1

.2

%

2,000,000‌

Lumentum

Holdings

Inc.

,

1.500

%

,

12/15/29

...............

1,952,568‌

Computer

Software

and

Services

—

10

.0

%

2,500,000‌

Akamai

Technologies

Inc.

,

1.125

%

,

02/15/29

(a)

.............

2,376,149‌

400,000‌

Alibaba

Group

Holding

Ltd.

,

0.500

%

,

06/01/31

(a)

.............

387,100‌

2,000,000‌

Cardlytics

Inc.

,

4.250

%

,

04/01/29

(a)

.............

1,627,000‌

2,500,000‌

CSG

Systems

International

Inc.

,

3.875

%

,

09/15/28

(a)

.............

2,328,750‌

1,250,000‌

PagerDuty

Inc.

,

1.500

%

,

10/15/28

(a)

.............

1,348,724‌

1,000,000‌

PAR

Technology

Corp.

,

2.875

%

,

04/15/26

...............

1,278,000‌

1,000,000‌

Parsons

Corp.

,

2.625

%

,

03/01/29

(a)

.............

1,072,500‌

2,600,000‌

Progress

Software

Corp.

,

3.500

%

,

03/01/30

(a)

.............

2,656,117‌

1,430,000‌

PROS

Holdings

Inc.

,

2.250

%

,

09/15/27

...............

1,397,110‌

2,170,000‌

Veritone

Inc.

,

1.750

%

,

11/15/26

...............

783,402‌

1,250,000‌

Vertex

Inc.

,

0.750

%

,

05/01/29

(a)

.............

1,495,452‌

16,750,304‌

Principal

Amount

Market

Value

Consumer

Products

—

0

.1

%

$

150,000‌

Spectrum

Brands

Inc.

,

3.375

%

,

06/01/29

(a)

.............

$

145,200‌

Consumer

Services

—

3

.7

%

2,800,000‌

Live

Nation

Entertainment

Inc.

,

3.125

%

,

01/15/29

...............

3,102,181‌

1,600,000‌

Stride

Inc.

,

1.125

%

,

09/01/27

...............

2,294,400‌

640,000‌

Uber

Technologies

Inc.

,

Ser.

2028

,

0.875

%

,

12/01/28

(a)

.............

762,560‌

6,159,141‌

Energy

and

Utilities

—

16

.0

%

2,026,000‌

Array

Technologies

Inc.

,

1.000

%

,

12/01/28

...............

1,641,992‌

Bloom

Energy

Corp.

1,950,000‌

3.000

%

,

06/01/28

...............

1,895,857‌

200,000‌

3.000

%

,

06/01/29

...............

177,100‌

2,000,000‌

CMS

Energy

Corp.

,

3.375

%

,

05/01/28

...............

1,967,000‌

700,000‌

Kosmos

Energy

Ltd.

,

3.125

%

,

03/15/30

(a)

.............

734,125‌

1,950,000‌

Nabors

Industries

Inc.

,

1.750

%

,

06/15/29

...............

1,421,550‌

2,500,000‌

NextEra

Energy

Partners

LP

,

2.500

%

,

06/15/26

(a)

.............

2,290,633‌

2,000,000‌

Northern

Oil

&

Gas

Inc.

,

3.625

%

,

04/15/29

...............

2,309,500‌

2,000,000‌

Ormat

Technologies

Inc.

,

2.500

%

,

07/15/27

...............

1,986,000‌

2,634,000‌

PG&E

Corp.

,

4.250

%

,

12/01/27

(a)

.............

2,659,682‌

3,000,000‌

PNM

Resources

Inc.

,

5.750

%

,

06/01/54

(a)

.............

2,944,500‌

3,000,000‌

PPL

Capital

Funding

Inc.

,

2.875

%

,

03/15/28

...............

2,880,750‌

1,500,000‌

Stem

Inc.

,

4.250

%

,

04/01/30

(a)

.............

627,600‌

1,990,000‌

Sunnova

Energy

International

Inc.

,

2.625

%

,

02/15/28

...............

721,723‌

2,450,000‌

WEC

Energy

Group

Inc.

,

4.375

%

,

06/01/29

(a)

.............

2,440,200‌

26,698,212‌

Entertainment

—

1

.0

%

1,500,000‌

Liberty

Media

Corp.-Liberty

Formula

One

,

2.250

%

,

08/15/27

...............

1,598,493‌

Financial

Services

—

4

.7

%

1,500,000‌

Bread

Financial

Holdings

Inc.

,

4.250

%

,

06/15/28

...............

2,011,242‌

2

Ellsworth

Growth

and

Income

Fund

Ltd.

Schedule

of

Investments

(Continued)

—

June

30,

2024

(Unaudited)

Principal

Amount

Market

Value

CONVERTIBLE

CORPORATE

BONDS

(Continued)

Financial

Services

(Continued)

$

1,000,000‌

Coinbase

Global

Inc.

,

0.250

%

,

04/01/30

(a)

.............

$

968,000‌

1,900,000‌

Global

Payments

Inc.

,

1.500

%

,

03/01/31

(a)

.............

1,748,950‌

1,000,000‌

HCI

Group

Inc.

,

4.750

%

,

06/01/42

...............

1,306,300‌

2,000,000‌

SoFi

Technologies

Inc.

,

1.250

%

,

03/15/29

(a)

.............

1,868,000‌

7,902,492‌

Food

and

Beverage

—

1

.3

%

2,000,000‌

The

Chefs'

Warehouse

Inc.

,

2.375

%

,

12/15/28

...............

2,228,722‌

Health

Care

—

11

.6

%

2,000,000‌

Amphastar

Pharmaceuticals

Inc.

,

2.000

%

,

03/15/29

(a)

.............

1,917,578‌

1,500,000‌

Coherus

Biosciences

Inc.

,

1.500

%

,

04/15/26

...............

1,102,504‌

750,000‌

Dexcom

Inc.

,

0.375

%

,

05/15/28

...............

736,500‌

2,175,000‌

Evolent

Health

Inc.

,

3.500

%

,

12/01/29

(a)

.............

1,967,831‌

1,950,000‌

Exact

Sciences

Corp.

,

2.000

%

,

03/01/30

(a)

.............

1,729,650‌

1,500,000‌

Haemonetics

Corp.

,

2.500

%

,

06/01/29

(a)

.............

1,476,750‌

3,000,000‌

Halozyme

Therapeutics

Inc.

,

1.000

%

,

08/15/28

...............

3,342,270‌

1,000,000‌

Immunocore

Holdings

plc

,

2.500

%

,

02/01/30

(a)

.............

826,401‌

1,015,000‌

Invacare

Corp.,

Escrow

,

Zero

Coupon

,

05/08/28

(b)

.........

0‌

1,000,000‌

Jazz

Investments

I

Ltd.

,

2.000

%

,

06/15/26

...............

964,250‌

600,000‌

Pacira

BioSciences

Inc.

,

2.125

%

,

05/15/29

(a)

.............

597,900‌

3,000,000‌

Sarepta

Therapeutics

Inc.

,

1.250

%

,

09/15/27

...............

3,867,000‌

500,000‌

TransMedics

Group

Inc.

,

1.500

%

,

06/01/28

...............

878,696‌

19,407,330‌

Metals

and

Mining

—

0

.6

%

1,150,000‌

MP

Materials

Corp.

,

3.000

%

,

03/01/30

(a)

.............

1,038,730‌

Real

Estate

Investment

Trusts

—

2

.7

%

1,000,000‌

Redwood

Trust

Inc.

,

7.750

%

,

06/15/27

...............

971,875‌

Principal

Amount

Market

Value

$

1,125,000‌

Rexford

Industrial

Realty

LP

,

4.125

%

,

03/15/29

(a)

.............

$

1,099,125‌

2,680,000‌

Summit

Hotel

Properties

Inc.

,

1.500

%

,

02/15/26

...............

2,425,400‌

4,496,400‌

Security

Software

—

1

.2

%

2,175,000‌

Rapid7

Inc.

,

1.250

%

,

03/15/29

(a)

.............

2,061,742‌

Semiconductors

—

5

.0

%

600,000‌

Impinj

Inc.

,

1.125

%

,

05/15/27

...............

931,094‌

1,500,000‌

indie

Semiconductor

Inc.

,

4.500

%

,

11/15/27

(a)

.............

1,501,500‌

1,500,000‌

MKS

Instruments

Inc.

,

1.250

%

,

06/01/30

(a)

.............

1,604,530‌

2,000,000‌

ON

Semiconductor

Corp.

,

0.500

%

,

03/01/29

...............

1,923,500‌

4,275,000‌

Wolfspeed

Inc.

,

1.875

%

,

12/01/29

...............

2,376,900‌

8,337,524‌

Telecommunications

—

2

.7

%

2,075,000‌

Infinera

Corp.

,

3.750

%

,

08/01/28

...............

2,257,600‌

500,000‌

InterDigital

Inc.

,

3.500

%

,

06/01/27

...............

775,522‌

1,500,000‌

Liberty

Latin

America

Ltd.

,

2.000

%

,

07/15/24

...............

1,493,588‌

4,526,710‌

Transportation

—

0

.8

%

1,600,000‌

Air

Transport

Services

Group

Inc.

,

3.875

%

,

08/15/29

(a)

.............

1,361,544‌

TOTAL

CONVERTIBLE

CORPORATE

BONDS

.......................

114,826,203‌

Shares

CONVERTIBLE

PREFERRED

STOCKS

—

0

.4

%

Business

Services

—

0.0

%

809,253‌

Amerivon

Holdings

LLC

,

4.000

%

(b)

....................

0‌

272,728‌

Amerivon

Holdings

LLC,

common

equity

units

(b)

..........................

3‌

3‌

3

Ellsworth

Growth

and

Income

Fund

Ltd.

Schedule

of

Investments

(Continued)

—

June

30,

2024

(Unaudited)

Shares

Market

Value

CONVERTIBLE

PREFERRED

STOCKS

(Continued)

Health

Care

—

0

.4

%

31,218‌

Invacare

Holdings

Corp.

,

Ser.

A

,

9.000

%

(b)

....................

$

702,405‌

TOTAL

CONVERTIBLE

PREFERRED

STOCKS

......................

702,408‌

MANDATORY

CONVERTIBLE

SECURITIES

(c)

—

5

.7

%

Diversified

Industrial

—

2

.1

%

60,606‌

Chart

Industries

Inc.

,

Ser.

B

,

6.750

%

,

12/15/25

...............

3,444,845‌

Energy

and

Utilities

—

0

.7

%

30,000‌

NextEra

Energy

Inc.

,

6.926

%

,

09/01/25

...............

1,244,700‌

Health

Care

—

1

.6

%

56,500‌

BrightSpring

Health

Services

Inc.

,

6.750

%

,

02/01/27

...............

2,659,455‌

Specialty

Chemicals

—

1

.3

%

45,000‌

Albemarle

Corp.

,

7.250

%

,

03/01/27

...............

2,099,700‌

TOTAL

MANDATORY

CONVERTIBLE

SECURITIES

...................

9,448,700‌

COMMON

STOCKS

—

20

.8

%

Business

Services

—

0

.5

%

13,000‌

PayPal

Holdings

Inc.

†

..............

754,390‌

Computer

Software

and

Services

—

2

.7

%

10,000‌

Microsoft

Corp.

..................

4,469,500‌

Consumer

Products

—

0

.8

%

24,000‌

Unilever

plc

,

ADR

.................

1,319,760‌

Energy

and

Utilities

—

0

.8

%

18,775‌

NextEra

Energy

Inc.

................

1,329,458‌

Entertainment

—

0

.7

%

12,500‌

The

Walt

Disney

Co.

...............

1,241,125‌

Health

Care

—

3

.0

%

13,970‌

Invacare

Holdings

Corp.

†

(b)

.........

0‌

22,651‌

Merck

&

Co.

Inc.

..................

2,804,194‌

80,000‌

Pfizer

Inc.

......................

2,238,400‌

5,042,594‌

Real

Estate

Investment

Trusts

—

5

.2

%

10,000‌

American

Tower

Corp.

..............

1,943,800‌

16,100‌

Crown

Castle

Inc.

.................

1,572,970‌

5,000‌

Equinix

Inc.

.....................

3,783,000‌

Shares

Market

Value

7,000‌

SBA

Communications

Corp.

..........

$

1,374,100‌

8,673,870‌

Semiconductors

—

2

.6

%

2,758‌

Broadcom

Inc.

...................

4,428,052‌

Telecommunications

—

4

.5

%

60,000‌

AT&T

Inc.

.......................

1,146,600‌

24,619‌

T-Mobile

US

Inc.

..................

4,337,375‌

50,000‌

Verizon

Communications

Inc.

.........

2,062,000‌

7,545,975‌

TOTAL

COMMON

STOCKS

...........

34,804,724‌

Principal

Amount

U.S.

GOVERNMENT

OBLIGATIONS

—

4

.4

%

$

7,455,000‌

U.S.

Treasury

Bills,

5.294

%

to

5.326

%

††

,

07/25/24

to

09/26/24

......................

7,396,769‌

TOTAL

INVESTMENTS

—

100

.0

%

.....

(Cost

$

153,481,781

)

.............

$

167,178,804‌

(a)

Securities

exempt

from

registration

under

Rule

144A

of

the

Securities

Act

of

1933,

as

amended.

These

securities

may

be

resold

in

transactions

exempt

from

registration,

normally

to

qualified

institutional

buyers.

(b)

Security

is

valued

using

significant

unobservable

inputs

and

is

classified

as

Level

3

in

the

fair

value

hierarchy.

(c)

Mandatory

convertible

securities

are

required

to

be

converted

on

the

dates

listed;

they

generally

may

be

converted

prior

to

these

dates

at

the

option

of

the

holder.

†

Non-income

producing

security.

††

Represents

annualized

yields

at

dates

of

purchase.

ADR

American

Depositary

Receipt

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