ECF offering history
Every offering-related filing in ELLSWORTH GROWTH & INCOME FUND LTD’s recent SEC record — registrations (announced capacity) kept separate from pricing documents (executed sales). Reviewed 564 filings back to Nov 13, 1995.
| Date | Filing | What it means | |
|---|---|---|---|
| Jan 16, 2024 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Nov 25, 2020 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Mar 9, 2020 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
| Aug 31, 2017 | EFFECT → | EFFECTIVE | SEC declared a registration effective — selling can begin |
Two honest limits. (1) A 424B takedown can price shares or notes — EDGAR’s metadata doesn’t say which, so open the document: large investment-grade filers use these mostly for bond deals (no dilution), small-caps mostly for shares. (2) At-the-market (ATM) programs sell shares gradually and individual sales are not separately filed — the visible footprint is the enabling shelf and its 424B5; actual ATM share counts surface later in the 10-Q/10-K share count. Educational information from public filings, not investment advice.
ECF offering FAQ
When did ECF last execute an offering?
No executed-offering document (424B pricing supplement or 8-K item 3.02) appears in the 564 filings EDGAR returns for ELLSWORTH GROWTH & INCOME FUND LTD, reviewed back to 1995-11-13.
When did ECF last announce or register an offering?
No offering registration (S-1/S-3/F-1/F-3) appears in the filings reviewed back to 1995-11-13.
Does an offering always mean dilution?
Registered direct offerings and shelf takedowns issue new shares and dilute existing holders. Resale registrations (424B3/B7) let existing holders sell and do not create new shares. Secondary sales by insiders also do not dilute. Each row here is labeled with what it is.
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