1
Ellsworth
Growth
and
Income
Fund
Ltd.
Schedule
of
Investments
—
June
30,
2023
(Unaudited)
Principal
Amount
Market
Value
CONVERTIBLE
CORPORATE
BONDS
 —
71.0%
Airlines
 —
1.3%
$
1,930,000‌
Southwest
Airlines
Co.,
1.250%,
05/01/25
...............
$
2,219,983‌
Automotive:
Parts
and
Accessories
 —
0.6%
1,000,000‌
Rivian
Automotive
Inc.,
4.625%,
03/15/29(a)
.............
1,098,688‌
Business
Services
 —
1.7%
2,000,000‌
BigBear.ai
Holdings
Inc.,
6.000%,
12/15/26(a)
.............
1,406,959‌
2,000,000‌
Perficient
Inc.,
0.125%,
11/15/26
...............
1,650,175‌
3,057,134‌
Cable
and
Satellite
 —
1.7%
DISH
Network
Corp.
2,100,000‌
Zero
Coupon,
12/15/25
...........
1,120,980‌
2,000,000‌
3.375%,
08/15/26
...............
1,025,000‌
1,415,000‌
fuboTV
Inc.,
3.250%,
02/15/26
...............
817,985‌
2,963,965‌
Communications
Equipment
 —
2.2%
1,700,000‌
Kaleyra
Inc.,
6.125%,
06/01/26(a)
.............
1,662,980‌
Lumentum
Holdings
Inc.
2,000,000‌
0.500%,
12/15/26
...............
1,774,752‌
395,000‌
1.500%,
12/15/29(a)
.............
410,405‌
3,848,137‌
Computer
Hardware
 —
0.9%
2,000,000‌
3D
Systems
Corp.,
Zero
Coupon,
11/15/26
...........
1,521,250‌
Computer
Software
and
Services
 —
12.2%
1,700,000‌
Akamai
Technologies
Inc.,
0.375%,
09/01/27
...............
1,650,258‌
3,000,000‌
Bandwidth
Inc.,
0.250%,
03/01/26
...............
2,374,240‌
1,625,000‌
Cardlytics
Inc.,
1.000%,
09/15/25
...............
916,175‌
1,915,000‌
Edgio
Inc.,
3.500%,
08/01/25
...............
1,621,598‌
2,590,000‌
i3
Verticals
LLC,
1.000%,
02/15/25
...............
2,394,131‌
2,000,000‌
Match
Group
Financeco
3
Inc.,
2.000%,
01/15/30(a)
.............
1,804,947‌
1,750,000‌
PAR
Technology
Corp.,
2.875%,
04/15/26
...............
1,871,844‌
2,000,000‌
Progress
Software
Corp.,
1.000%,
04/15/26
...............
2,200,000‌
Principal
Amount
Market
Value
$
1,430,000‌
PROS
Holdings
Inc.,
2.250%,
09/15/27
...............
$
1,437,150‌
2,000,000‌
Shift4
Payments
Inc.,
Zero
Coupon,
12/15/25
...........
2,182,000‌
2,170,000‌
Veritone
Inc.,
1.750%,
11/15/26
...............
1,421,210‌
1,150,000‌
Workiva
Inc.,
1.125%,
08/15/26
...............
1,621,320‌
21,494,873‌
Consumer
Services
 —
5.3%
1,550,000‌
Live
Nation
Entertainment
Inc.,
3.125%,
01/15/29(a)
.............
1,711,975‌
2,350,000‌
Marriott
Vacations
Worldwide
Corp.,
3.250%,
12/15/27(a)
.............
2,230,150‌
NCL
Corp.
Ltd.
720,000‌
5.375%,
08/01/25
...............
990,000‌
682,000‌
1.125%,
02/15/27
...............
631,914‌
600,000‌
Royal
Caribbean
Cruises
Ltd.,
6.000%,
08/15/25(a)
.............
1,321,800‌
2,505,000‌
Stride
Inc.,
1.125%,
09/01/27
...............
2,407,886‌
9,293,725‌
Diversified
Industrial
 —
0.7%
450,000‌
Chart
Industries
Inc.,
1.000%,
11/15/24
...............
1,235,925‌
Energy
and
Utilities
 —
13.0%
1,900,000‌
Alliant
Energy
Corp.,
3.875%,
03/15/26(a)
.............
1,896,200‌
2,026,000‌
Array
Technologies
Inc.,
1.000%,
12/01/28
...............
2,322,809‌
800,000‌
Bloom
Energy
Corp.,
3.000%,
06/01/28(a)
.............
913,133‌
2,000,000‌
CMS
Energy
Corp.,
3.375%,
05/01/28(a)
.............
1,977,000‌
2,000,000‌
Duke
Energy
Corp.,
4.125%,
04/15/26(a)
.............
1,958,000‌
950,000‌
Nabors
Industries
Inc.,
1.750%,
06/15/29(a)
.............
715,825‌
2,500,000‌
NextEra
Energy
Partners
LP,
2.500%,
06/15/26(a)
.............
2,251,237‌
2,000,000‌
Northern
Oil
and
Gas
Inc.,
3.625%,
04/15/29(a)
.............
2,240,443‌
1,375,000‌
Ormat
Technologies
Inc.,
2.500%,
07/15/27(a)
.............
1,491,188‌
2,000,000‌
PPL
Capital
Funding
Inc.,
2.875%,
03/15/28(a)
.............
1,920,000‌
1,500,000‌
Stem
Inc.,
4.250%,
04/01/30(a)
.............
1,508,250‌
1,990,000‌
Sunnova
Energy
International
Inc.,
2.625%,
02/15/28(a)
.............
1,634,072‌
2
Ellsworth
Growth
and
Income
Fund
Ltd.
Schedule
of
Investments
(Continued)
—
June
30,
2023
(Unaudited)
Principal
Amount
Market
Value
CONVERTIBLE
CORPORATE
BONDS
(Continued)
Energy
and
Utilities
(Continued)
$
2,000,000‌
The
Southern
Co.,
3.875%,
12/15/25(a)
.............
$
2,005,000‌
22,833,157‌
Entertainment
 —
1.1%
1,815,000‌
Liberty
Media
Corp.-Liberty
Formula
One,
2.250%,
08/15/27(a)
.............
1,958,385‌
Financial
Services
 —
4.2%
1,500,000‌
Bread
Financial
Holdings
Inc.,
4.250%,
06/15/28(a)
.............
1,541,582‌
900,000‌
Envestnet
Inc.,
2.625%,
12/01/27(a)
.............
948,600‌
1,250,000‌
HCI
Group
Inc.,
4.750%,
06/01/42
...............
1,235,625‌
2,750,000‌
LendingTree
Inc.,
0.500%,
07/15/25
...............
2,145,000‌
2,100,000‌
SoFi
Technologies
Inc.,
Zero
Coupon,
10/15/26(a)
.........
1,631,700‌
7,502,507‌
Food
and
Beverage
 —
2.1%
600,000‌
Freshpet
Inc.,
3.000%,
04/01/28(a)
.............
709,950‌
1,325,000‌
Post
Holdings
Inc.,
2.500%,
08/15/27(a)
.............
1,342,490‌
1,500,000‌
The
Chefs'
Warehouse
Inc.,
2.375%,
12/15/28(a)
.............
1,581,099‌
3,633,539‌
Health
Care
 —
9.3%
2,235,000‌
Coherus
Biosciences
Inc.,
1.500%,
04/15/26
...............
1,391,287‌
2,125,000‌
CONMED
Corp.,
2.250%,
06/15/27
...............
2,382,125‌
Cutera
Inc.
1,000,000‌
2.250%,
03/15/26
...............
843,660‌
1,145,000‌
4.000%,
06/01/29(a)
.............
723,640‌
Exact
Sciences
Corp.
1,000,000‌
0.375%,
03/01/28
...............
1,028,176‌
1,200,000‌
2.000%,
03/01/30(a)
.............
1,662,600‌
2,300,000‌
Halozyme
Therapeutics
Inc.,
1.000%,
08/15/28(a)
.............
2,104,500‌
1,500,000‌
Insulet
Corp.,
0.375%,
09/01/26
...............
2,067,750‌
234,000‌
Integer
Holdings
Corp.,
2.125%,
02/15/28(a)
.............
276,822‌
1,015,000‌
Invacare
Corp.,
Escrow,
Zero
Coupon,
05/08/28
...........
0‌
2,390,000‌
PetIQ
Inc.,
4.000%,
06/01/26
...............
2,213,678‌
Principal
Amount
Market
Value
$
1,500,000‌
TransMedics
Group
Inc.,
1.500%,
06/01/28(a)
.............
$
1,714,547‌
16,408,785‌
Materials
 —
0.1%
345,000‌
Danimer
Scientific
Inc.,
3.250%,
12/15/26(a)
.............
144,486‌
Real
Estate
Investment
Trusts
 —
1.8%
375,000‌
Braemar
Hotels
&
Resorts
Inc.,
4.500%,
06/01/26
...............
345,717‌
1,000,000‌
Pebblebrook
Hotel
Trust,
1.750%,
12/15/26
...............
849,124‌
1,000,000‌
Redwood
Trust
Inc.,
7.750%,
06/15/27
...............
846,250‌
1,330,000‌
Summit
Hotel
Properties
Inc.,
1.500%,
02/15/26
...............
1,136,401‌
3,177,492‌
Security
Software
 —
3.6%
3,000,000‌
2U
Inc.,
2.250%,
05/01/25
...............
1,977,000‌
2,990,000‌
Verint
Systems
Inc.,
0.250%,
04/15/26
...............
2,649,888‌
1,515,000‌
Zscaler
Inc.,
0.125%,
07/01/25
...............
1,773,307‌
6,400,195‌
Semiconductors
 —
5.7%
1,750,000‌
Impinj
Inc.,
1.125%,
05/15/27
...............
1,900,945‌
1,500,000‌
indie
Semiconductor
Inc.,
4.500%,
11/15/27(a)
.............
1,998,000‌
1,125,000‌
ON
Semiconductor
Corp.,
0.500%,
03/01/29(a)
.............
1,276,132‌
2,500,000‌
Semtech
Corp.,
1.625%,
11/01/27(a)
.............
2,338,750‌
3,375,000‌
Wolfspeed
Inc.,
1.875%,
12/01/29(a)
.............
2,619,000‌
10,132,827‌
Telecommunications
 —
3.5%
2,060,000‌
8x8
Inc.,
0.500%,
02/01/24
...............
1,967,176‌
Infinera
Corp.
1,250,000‌
2.500%,
03/01/27
...............
1,161,894‌
325,000‌
3.750%,
08/01/28(a)
.............
325,487‌
2,000,000‌
InterDigital
Inc.,
3.500%,
06/01/27
...............
2,706,172‌
6,160,729‌
TOTAL
CONVERTIBLE
CORPORATE
BONDS
....................
125,085,782‌
3
Ellsworth
Growth
and
Income
Fund
Ltd.
Schedule
of
Investments
(Continued)
—
June
30,
2023
(Unaudited)
Shares
Market
Value
CONVERTIBLE
PREFERRED
STOCKS
 —
0.5%
Business
Services
 —
0.1%
809,253‌
Amerivon
Holdings
LLC,
4.000%(b)
....................
$
0‌
272,728‌
Amerivon
Holdings
LLC,
common
equity
units
(b)
..........................
3‌
3‌
Health
Care
 —
0.4%
31,218‌
Invacare
Holdings
Corp.,
Ser.
A,
9.000%
......................
780,444‌
TOTAL
CONVERTIBLE
PREFERRED
STOCKS
...................
780,447‌
MANDATORY
CONVERTIBLE
SECURITIES(c)
 —
3.0%
Diversified
Industrial
 —
1.5%
40,000‌
Chart
Industries
Inc.,
Ser.
B,
6.750%,
12/15/25
...............
2,605,600‌
Energy
and
Utilities
 —
1.5%
NextEra
Energy
Inc.
27,465‌
6.219%,
09/01/23
...............
1,346,609‌
30,000‌
6.926%,
09/01/25
...............
1,358,700‌
2,705,309‌
TOTAL
MANDATORY
CONVERTIBLE
SECURITIES
................
5,310,909‌
COMMON
STOCKS
 —
17.4%
Business
Services
 —
0.5%
13,000‌
PayPal
Holdings
Inc.†
..............
867,490‌
Communications
Equipment
 —
0.1%
11,429‌
Kaleyra
Inc.†
....................
77,031‌
Computer
Software
and
Services
 —
2.4%
12,300‌
Microsoft
Corp.
..................
4,188,642‌
Consumer
Products
 —
0.7%
24,000‌
Unilever
plc,
ADR
.................
1,251,120‌
Entertainment
 —
0.6%
12,500‌
The
Walt
Disney
Co.†
..............
1,116,000‌
Health
Care
 —
2.3%
13,971‌
Invacare
Holdings
Corp.†
............
0‌
22,651‌
Merck
&
Co.
Inc.
..................
2,613,699‌
40,000‌
Pfizer
Inc.
......................
1,467,200‌
4,080,899‌
Real
Estate
Investment
Trusts
 —
5.3%
10,000‌
American
Tower
Corp.
..............
1,939,400‌
16,100‌
Crown
Castle
Inc.
.................
1,834,434‌
Shares
Market
Value
5,000‌
Equinix
Inc.
.....................
$
3,919,700‌
7,000‌
SBA
Communications
Corp.
..........
1,622,320‌
9,315,854‌
Semiconductors
 —
2.0%
4,058‌
Broadcom
Inc.
...................
3,520,031‌
Telecommunications
 —
3.5%
60,000‌
AT&T
Inc.
.......................
957,000‌
24,619‌
T-Mobile
US
Inc.†
.................
3,419,579‌
50,000‌
Verizon
Communications
Inc.
.........
1,859,500‌
6,236,079‌
TOTAL
COMMON
STOCKS
.........
30,653,146‌
Principal
Amount
U.S.
GOVERNMENT
OBLIGATIONS
 —
8.1%
$
14,435,000‌
U.S.
Treasury
Bills,
5.100%
to
5.313%††,
08/24/23
to
09/14/23
......................
14,306,331‌
TOTAL
INVESTMENTS
—
100.0%
....
(Cost
$164,889,615)
.............
$
176,136,615‌
(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
Ellsworth Growth and Inc... (AMEX:ECF-A)
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