WITNESSETH:Custody Agreement • September 3rd, 2003 • Ellsworth Convertible Growth & Income Fund Inc
MASTER AGREEMENT AMONG UNDERWRITERS REGISTERED SEC OFFERINGSMaster Agreement Among Underwriters • September 14th, 2017 • Ellsworth Growth & Income Fund LTD • New York
This Master Agreement Among Underwriters (this “Master AAU”), dated as of July 15, 2014, is by and between Morgan Stanley & Co. LLC (“Morgan Stanley,” or “we”) and the party named on the signature page hereof (an “Underwriter,” as defined in Section 1.1 hereof, or “you”). From time to time we or one or more of our affiliates may invite you (and others) to participate on the terms set forth herein as an underwriter or an initial purchaser, or in a similar capacity, in connection with certain offerings of securities that are managed solely by us or with one or more other co-managers. If we invite you to participate in a specific offering and sale of securities (an “Offering”) to which this Master AAU will apply, we will send the information set forth in Section 1.1 hereof to you by one or more wires, telexes, telecopy or electronic data transmissions, or other written communications (each, a “Wire,” and collectively, an “AAU”), unless you are otherwise deemed to have accepted an AAU with
Exhibit (k)(3) September 9, 2003 Ellsworth Convertible Growth and Income Fund, Inc. 65 Madison Avenue Suite 550 Morristown, NJ 07960 Re: Letter of Agreement Gentlemen: This Letter of Agreement, including the Appendix attached hereto (collectively,...Letter of Agreement • October 15th, 2003 • Ellsworth Convertible Growth & Income Fund Inc • New York
MASTER SELECTED DEALERS AGREEMENT REGISTERED SEC OFFERINGSMaster Selected Dealers Agreement • September 14th, 2017 • Ellsworth Growth & Income Fund LTD • New York
This Master Selected Dealers Agreement (this “Master SDA”), dated as of June 1, 2011, is by and between Morgan Stanley & Co. LLC (including its successors and assigns) (“we,” “our,” “us” or the “Manager”) and the party named on the signature page hereof (a “Dealer,” “you” or “your”). From time to time, in connection with an offering and sale (an “Offering”) of securities (the “Securities”), managed solely by us or with one or more other managers or co-managers, we or one or more of our affiliates may offer you (and others) the opportunity to purchase as principal a portion of such securities on the terms set forth herein as a Selected Dealer (as defined below).
betweenCustody Agreement • September 11th, 2003 • Ellsworth Convertible Growth & Income Fund Inc • New York
UNDERWRITING AGREEMENTUnderwriting Agreement • September 14th, 2017 • Ellsworth Growth & Income Fund LTD • New York
ARTICLE I DEFINITIONSCustody Agreement • September 3rd, 2003 • Ellsworth Convertible Growth & Income Fund Inc • New York
January 3, 2002 Mr. Gary Levine Bancroft Convertible Fund, Inc. 65 Madison Avenue Morristown, NJ 07960 Dear Mr. Levine: This will confirm our agreement whereby American Stock Transfer & Trust Company will provide Ellsworth Convertible Growth and...Registrar and Transfer Agent Agreement • September 11th, 2003 • Ellsworth Convertible Growth & Income Fund Inc
This will confirm our agreement whereby American Stock Transfer & Trust Company will provide Ellsworth Convertible Growth and Income Fund with complete Registrar and Transfer Agent services for a flat monthly fee of $1,000.00. The flat monthly fee covers all services you require including unlimited transfers, reports and mailings to shareholders (stock splits, re-org for new acquisitions and secondary distributions are excluded). The only other fees will be for out- of-pocket expenses such as postage and stationery for mailings to all your shareholders. We guarantee this rate for a period of three years.
Exhibit (k)(2) SUBSCRIPTION AGENT AGREEMENT This Subscription Agent Agreement (the "Agreement") is made as of October ___, 2003 between Ellsworth Convertible Growth and Income Fund, Inc. (the "Fund") and American Stock Transfer & Trust Company, as...Subscription Agent Agreement • October 15th, 2003 • Ellsworth Convertible Growth & Income Fund Inc • New York
SUB-ITEM 77Q1 FINAL INV ADV CONTRACT ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC. Investment Advisory Agreement August 1, 1996 (Approved October 25, 1996) DAVIS-DINSMORE MANAGEMENT COMPANY 65 Madison Avenue Morristown, New Jersey 07960...Investment Advisory Agreement • June 3rd, 1997 • Ellsworth Convertible Growth & Income Fund Inc
BACKGROUNDMerger Agreement • May 30th, 2006 • Ellsworth Fund LTD
AGREEMENT OF MERGER (the "Agreement"), dated as of November 18, 2005, by and between Ellsworth Convertible Growth and Income Fund, Inc., a Maryland corporation (the "Company") and Ellsworth Fund, a Delaware statutory trust (the "Trust").
Sub-Item 77Q1: Attachment INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT is entered into this 12th day of January, 2001 by and between ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC., a Maryland corporation (the "Company"), and DAVIS-DINSMORE...Investment Advisory Agreement • May 30th, 2001 • Ellsworth Convertible Growth & Income Fund Inc
AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF ELLSWORTH FUND LTD. WHEREAS, THIS AGREEMENT AND DECLARATION OF TRUST of Ellsworth Fund Ltd., dated October 17, 2005, is hereby amended and restated effective as of January 16, 2006 among...Trust Agreement • May 30th, 2006 • Ellsworth Fund LTD
Exhibit 77(Q)(1)(e) INVESTMENT ADVISORY AGREEMENT November 1, 2015 Gabelli Funds, LLC One Corporate Center Rye, New York 10580 Dear Sir: Ellsworth Growth and Income Fund Ltd. (the "Fund"), a statutory trust organized under the laws of the state of...Investment Advisory Agreement • May 24th, 2016 • Ellsworth Growth & Income Fund LTD
FIRST AMENDMENT TO AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF ELLSWORTH FUND LTD.Amended and Restated Agreement and Declaration of Trust • July 17th, 2017 • Ellsworth Growth & Income Fund LTD
This First Amendment to Amended and Restated Agreement and Declaration of Trust (the “Declaration of Trust”) of Ellsworth Fund Ltd., a Delaware Statutory Trust (the “Trust”), is to be effective as of January 20, 2015 (the “Effective Date”).
Exhibit (g) INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT is entered into this 12th day of January, 2001 by and between ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC., a Maryland corporation (the "Company"), and DAVIS-DINSMORE MANAGEMENT COMPANY, a...Investment Advisory Agreement • September 3rd, 2003 • Ellsworth Convertible Growth & Income Fund Inc
Sub-Item 77Q1: Exhibits (e) Amended Advisory Agreement INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT is entered into this 16th day of February, 2006 by and between ELLSWORTH FUND LTD, a Delaware statutory trust (the "Trust"), and DAVIS-DINSMORE...Advisory Agreement • May 30th, 2006 • Ellsworth Fund LTD
INVESTMENT ADVISORY AGREEMENT THIS AGREEMENT is entered into this 16th day of February, 2006 by and between ELLSWORTH FUND LTD, a Delaware statutory trust (the "Trust"), and DAVIS-DINSMORE MANAGEMENT COMPANY, a Delaware corporation (the "Adviser"). Background The Trust is registered as a diversified, closed end management investment company under the Investment Company Act of 1940, as amended, (the "1940 Act"). The Adviser is registered as an investment adviser under the Investment Advisers Act of 1940, as amended (the "Advisers Act"). The Trust desires to engage the Adviser to provide investment advisory services to the Trust, and the Adviser desires to provide such services to the Trust, all on the terms and conditions set forth below. NOW THEREFORE, for good and valuable consideration, the receipt of which is hereby acknowledged, the parties hereto, intending to be legally bound, hereby agree as follows: Agreement SECTION 1. Appointment of Investment Adviser. The Trust hereby appoin
ELLSWORTH CONVERTIBLE GROWTH AND INCOME FUND, INC. Interim Investment Advisory Agreement August 11, 1996 DAVIS-DINSMORE MANAGEMENT COMPANY 65 Madison Avenue Morristown, New Jersey 07960 Gentlemen: The undersigned, Ellsworth Convertible Growth and...Interim Investment Advisory Agreement • December 30th, 1996 • Ellsworth Convertible Growth & Income Fund Inc
ADDENDUM TO REGISTRAR, TRANSFER AGENCY AND SERVICE AGREEMENTRegistrar, Transfer Agency and Service Agreement • September 14th, 2017 • Ellsworth Growth & Income Fund LTD
This Addendum (this “Addendum”), is made as of September 14, 2017, by and between Ellsworth Growth and Income Fund Ltd., a Delaware statutory trust (the “Company”) and American Stock Transfer & Trust Company, LLC, a New York limited liability trust company (“AST”).
AMENDMENT TO AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF ELLSWORTH GROWTH AND INCOME FUND LTD.Agreement and Declaration of Trust • July 17th, 2017 • Ellsworth Growth & Income Fund LTD
THIS AMENDMENT TO AMENDED AND RESTATED AGREEMENT AND DECLARATION OF TRUST OF ELLSWORTH GROWTH AND INCOME FUND LTD. (this “Amendment”), dated as of September 9, 2015, hereby amends that certain Amended and Restated Agreement and Declaration of Trust (the “Declaration of Trust”), dated January 20, 2015, of Ellsworth Growth and Income Fund Ltd. (the “Fund”) among the Trustees of the Fund, and each person who becomes a Shareholder in accordance with the terms of the Declaration of Trust. Capitalized terms used herein and not otherwise herein defined are used as defined in the Declaration of Trust.
