1
Ellsworth
Growth
and
Income
Fund
Ltd.
Schedule
of
Investments
—
December
31,
2023
(Unaudited)
Principal
Amount
Market
Value
CONVERTIBLE
CORPORATE
BONDS
 —
68.3%
Automotive:
Parts
and
Accessories
 —
0.9%
$
1,250,000‌
Rivian
Automotive
Inc.,
3.625%,
10/15/30(a)
.............
$
1,541,375‌
Business
Services
 —
1.8%
2,000,000‌
BigBear.ai
Holdings
Inc.,
6.000%,
12/15/26(a)
.............
1,355,000‌
2,000,000‌
Perficient
Inc.,
0.125%,
11/15/26
...............
1,666,200‌
3,021,200‌
Cable
and
Satellite
 —
0.6%
1,415,000‌
fuboTV
Inc.,
3.250%,
02/15/26
...............
1,040,025‌
Communications
Equipment
 —
1.2%
2,000,000‌
Lumentum
Holdings
Inc.,
1.500%,
12/15/29(a)
.............
1,993,000‌
Computer
Software
and
Services
 —
13.2%
1,500,000‌
Akamai
Technologies
Inc.,
1.125%,
02/15/29(a)
.............
1,629,750‌
4,000,000‌
Bandwidth
Inc.,
0.250%,
03/01/26
...............
3,330,200‌
1,625,000‌
Cardlytics
Inc.,
1.000%,
09/15/25
...............
1,015,625‌
2,500,000‌
CSG
Systems
International
Inc.,
3.875%,
09/15/28(a)
.............
2,523,500‌
1,915,000‌
Edgio
Inc.,
3.500%,
08/01/25
...............
1,699,093‌
2,590,000‌
i3
Verticals
LLC,
1.000%,
02/15/25
...............
2,429,744‌
1,250,000‌
PagerDuty
Inc.,
1.500%,
10/15/28(a)
.............
1,361,000‌
1,750,000‌
PAR
Technology
Corp.,
2.875%,
04/15/26
...............
2,128,525‌
2,000,000‌
Progress
Software
Corp.,
1.000%,
04/15/26
...............
2,117,000‌
1,430,000‌
PROS
Holdings
Inc.,
2.250%,
09/15/27
...............
1,618,760‌
2,000,000‌
Shift4
Payments
Inc.,
Zero
Coupon,
12/15/25
...........
2,228,800‌
2,170,000‌
Veritone
Inc.,
1.750%,
11/15/26
...............
655,703‌
22,737,700‌
Consumer
Products
 —
0.8%
1,325,000‌
Post
Holdings
Inc.,
2.500%,
08/15/27
...............
1,345,537‌
Principal
Amount
Market
Value
Consumer
Services
 —
5.0%
$
1,900,000‌
Live
Nation
Entertainment
Inc.,
3.125%,
01/15/29(a)
.............
$
2,162,390‌
2,350,000‌
Marriott
Vacations
Worldwide
Corp.,
3.250%,
12/15/27
...............
2,090,325‌
NCL
Corp.
Ltd.
720,000‌
5.375%,
08/01/25
...............
927,360‌
682,000‌
1.125%,
02/15/27
...............
626,144‌
1,600,000‌
Stride
Inc.,
1.125%,
09/01/27
...............
2,033,600‌
640,000‌
Uber
Technologies
Inc.,
Ser.
2028,
0.875%,
12/01/28(a)
.............
699,200‌
8,539,019‌
Energy
and
Utilities
 —
15.3%
1,900,000‌
Alliant
Energy
Corp.,
3.875%,
03/15/26(a)
.............
1,895,250‌
2,026,000‌
Array
Technologies
Inc.,
1.000%,
12/01/28
...............
2,000,168‌
800,000‌
Bloom
Energy
Corp.,
3.000%,
06/01/28(a)
.............
856,000‌
2,000,000‌
CMS
Energy
Corp.,
3.375%,
05/01/28(a)
.............
1,988,000‌
2,000,000‌
Duke
Energy
Corp.,
4.125%,
04/15/26(a)
.............
2,010,000‌
950,000‌
Nabors
Industries
Inc.,
1.750%,
06/15/29(a)
.............
690,555‌
NextEra
Energy
Partners
LP
2,000,000‌
Zero
Coupon,
06/15/24(a)
.........
1,939,000‌
2,500,000‌
2.500%,
06/15/26(a)
.............
2,252,500‌
1,600,000‌
Northern
Oil
and
Gas
Inc.,
3.625%,
04/15/29
...............
1,894,400‌
2,625,000‌
Ormat
Technologies
Inc.,
2.500%,
07/15/27
...............
2,706,375‌
2,634,000‌
PG&E
Corp.,
4.250%,
12/01/27(a)
.............
2,773,602‌
3,000,000‌
PPL
Capital
Funding
Inc.,
2.875%,
03/15/28(a)
.............
2,920,500‌
1,500,000‌
Stem
Inc.,
4.250%,
04/01/30(a)
.............
1,096,500‌
1,990,000‌
Sunnova
Energy
International
Inc.,
2.625%,
02/15/28
...............
1,327,330‌
26,350,180‌
Entertainment
 —
1.1%
1,815,000‌
Liberty
Media
Corp.-Liberty
Formula
One,
2.250%,
08/15/27
...............
1,850,260‌
Financial
Services
 —
4.2%
1,500,000‌
Bread
Financial
Holdings
Inc.,
4.250%,
06/15/28(a)
.............
1,606,950‌
1,250,000‌
HCI
Group
Inc.,
4.750%,
06/01/42
...............
1,550,000‌
2
Ellsworth
Growth
and
Income
Fund
Ltd.
Schedule
of
Investments
(Continued)
—
December
31,
2023
(Unaudited)
Principal
Amount
Market
Value
CONVERTIBLE
CORPORATE
BONDS
(Continued)
Financial
Services
(Continued)
$
2,750,000‌
LendingTree
Inc.,
0.500%,
07/15/25
...............
$
2,296,250‌
2,100,000‌
SoFi
Technologies
Inc.,
Zero
Coupon,
10/15/26(a)
.........
1,777,650‌
7,230,850‌
Food
and
Beverage
 —
0.8%
1,500,000‌
The
Chefs'
Warehouse
Inc.,
2.375%,
12/15/28
...............
1,431,325‌
Health
Care
 —
9.3%
1,500,000‌
Amphastar
Pharmaceuticals
Inc.,
2.000%,
03/15/29(a)
.............
1,826,250‌
1,500,000‌
Coherus
Biosciences
Inc.,
1.500%,
04/15/26
...............
850,789‌
2,125,000‌
CONMED
Corp.,
2.250%,
06/15/27
...............
2,134,350‌
750,000‌
Cytokinetics
Inc.,
3.500%,
07/01/27
...............
1,320,000‌
750,000‌
Dexcom
Inc.,
0.375%,
05/15/28(a)
.............
771,750‌
375,000‌
Evolent
Health
Inc.,
3.500%,
12/01/29(a)
.............
439,125‌
1,950,000‌
Exact
Sciences
Corp.,
2.000%,
03/01/30(a)
.............
2,348,775‌
3,000,000‌
Halozyme
Therapeutics
Inc.,
1.000%,
08/15/28
...............
2,794,500‌
1,015,000‌
Invacare
Corp.,
Escrow,
Zero
Coupon,
05/08/28(b)
.........
0‌
100,000‌
Merit
Medical
Systems
Inc.,
3.000%,
02/01/29(a)
.............
111,150‌
3,000,000‌
TransMedics
Group
Inc.,
1.500%,
06/01/28(a)
.............
3,401,400‌
15,998,089‌
Real
Estate
Investment
Trusts
 —
2.5%
317,000‌
Pebblebrook
Hotel
Trust,
1.750%,
12/15/26
...............
283,905‌
Redwood
Trust
Inc.
2,000,000‌
5.625%,
07/15/24
...............
1,979,996‌
1,000,000‌
7.750%,
06/15/27
...............
921,875‌
1,330,000‌
Summit
Hotel
Properties
Inc.,
1.500%,
02/15/26
...............
1,185,695‌
4,371,471‌
Security
Software
 —
0.1%
175,000‌
Rapid7
Inc.,
1.250%,
03/15/29(a)
.............
195,353‌
Principal
Amount
Market
Value
Semiconductors
 —
6.5%
$
2,000,000‌
Impinj
Inc.,
1.125%,
05/15/27
...............
$
2,187,600‌
1,500,000‌
indie
Semiconductor
Inc.,
4.500%,
11/15/27(a)
.............
1,810,500‌
2,000,000‌
ON
Semiconductor
Corp.,
0.500%,
03/01/29(a)
.............
2,135,000‌
2,500,000‌
Semtech
Corp.,
1.625%,
11/01/27
...............
2,148,750‌
4,275,000‌
Wolfspeed
Inc.,
1.875%,
12/01/29
...............
2,929,444‌
11,211,294‌
Telecommunications
 —
4.2%
2,060,000‌
8x8
Inc.,
0.500%,
02/01/24
...............
2,039,243‌
Infinera
Corp.
1,250,000‌
2.500%,
03/01/27
...............
1,147,248‌
325,000‌
3.750%,
08/01/28
...............
320,743‌
1,600,000‌
InterDigital
Inc.,
3.500%,
06/01/27
...............
2,351,040‌
1,500,000‌
Liberty
Latin
America
Ltd.,
2.000%,
07/15/24
...............
1,447,500‌
7,305,774‌
Transportation
 —
0.8%
1,600,000‌
Air
Transport
Services
Group
Inc.,
3.875%,
08/15/29(a)
.............
1,428,000‌
TOTAL
CONVERTIBLE
CORPORATE
BONDS
....................
117,590,452‌
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
Health
Care
 —
0.4%
31,218‌
Invacare
Holdings
Corp.,
Ser.
A,
9.000%(b)
....................
702,405‌
TOTAL
CONVERTIBLE
PREFERRED
STOCKS
...................
702,408‌
3
Ellsworth
Growth
and
Income
Fund
Ltd.
Schedule
of
Investments
(Continued)
—
December
31,
2023
(Unaudited)
Shares
Market
Value
MANDATORY
CONVERTIBLE
SECURITIES(c)
 —
2.4%
Diversified
Industrial
 —
1.8%
55,606‌
Chart
Industries
Inc.,
Ser.
B,
6.750%,
12/15/25
...............
$
3,090,581‌
Energy
and
Utilities
 —
0.6%
30,000‌
NextEra
Energy
Inc.,
6.926%,
09/01/25
...............
1,143,600‌
TOTAL
MANDATORY
CONVERTIBLE
SECURITIES
................
4,234,181‌
COMMON
STOCKS
 —
19.6%
Business
Services
 —
0.5%
13,000‌
PayPal
Holdings
Inc.†
..............
798,330‌
Computer
Software
and
Services
 —
2.7%
12,300‌
Microsoft
Corp.
..................
4,625,292‌
Consumer
Products
 —
0.7%
24,000‌
Unilever
plc,
ADR
.................
1,163,520‌
Energy
and
Utilities
 —
0.6%
18,775‌
NextEra
Energy
Inc.
................
1,140,394‌
Entertainment
 —
0.6%
12,500‌
The
Walt
Disney
Co.
...............
1,128,625‌
Health
Care
 —
2.8%
13,970‌
Invacare
Holdings
Corp.†(b)
.........
0‌
22,651‌
Merck
&
Co.
Inc.
..................
2,469,412‌
80,000‌
Pfizer
Inc.
......................
2,303,200‌
4,772,612‌
Real
Estate
Investment
Trusts
 —
5.7%
10,000‌
American
Tower
Corp.
..............
2,158,800‌
16,100‌
Crown
Castle
Inc.
.................
1,854,559‌
5,000‌
Equinix
Inc.
.....................
4,026,950‌
7,000‌
SBA
Communications
Corp.
..........
1,775,830‌
9,816,139‌
Semiconductors
 —
2.0%
3,058‌
Broadcom
Inc.
...................
3,413,492‌
Telecommunications
 —
4.0%
60,000‌
AT&T
Inc.
.......................
1,006,800‌
24,619‌
T-Mobile
US
Inc.
..................
3,947,164‌
50,000‌
Verizon
Communications
Inc.
.........
1,885,000‌
6,838,964‌
TOTAL
COMMON
STOCKS
.........
33,697,368‌
Principal
Amount
Market
Value
U.S.
GOVERNMENT
OBLIGATIONS
 —
9.3%
$
16,150,000‌
U.S.
Treasury
Bills,
5.263%
to
5.446%††,
01/11/24
to
05/30/24
......................
$
16,040,936‌
TOTAL
INVESTMENTS
—
100.0%
....
(Cost
$157,003,092)
.............
$
172,265,345‌
(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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