UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED

MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number 811-04656

 

Ellsworth Growth and Income Fund Ltd.

 

(Exact name of registrant as specified in charter)

 

One Corporate Center

Rye, New York 10580-1422

 

(Address of principal executive offices) (Zip code)

 

James A. Dinsmore

Gabelli Funds, LLC

One Corporate Center

Rye, New York 10580-1422

 

(Name and address of agent for service)

 

Registrant’s telephone number, including area code: 1-800-422-3554

 

Date of fiscal year end: September 30

 

Date of reporting period: July 1, 2020 – June 30, 2021

 

Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.

A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.

 
 

PROXY VOTING RECORD

FOR PERIOD JULY 1, 2020 TO JUNE 30, 2021

 

ProxyEdge

Meeting Date Range: 07/01/2020 - 06/30/2021

Ellsworth Growth and Income Fund Ltd.

Report Date: 07/01/2021

1

 

Investment Company Report

 

 
  UNILEVER N.V.      
  Security 904784709       Meeting Type Special  
  Ticker Symbol UN       Meeting Date 21-Sep-2020
  ISIN US9047847093       Agenda 935261038 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1. To amend NV's articles of association in connection with Unification (proposed under agenda item 2). Management   For          
  2. To approve Unification. Management   For          
  3. To discharge executive directors. Management   For          
  4. To discharge non-executive directors. Management   For          
  UNILEVER N.V.      
  Security 904784709       Meeting Type Special  
  Ticker Symbol UN       Meeting Date 21-Sep-2020
  ISIN US9047847093       Agenda 935266723 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1. To amend NV's articles of association in connection with Unification (proposed under agenda item 2). Management   For          
  2. To approve Unification. Management   For          
  3. To discharge executive directors. Management   For          
  4. To discharge non-executive directors. Management   For          
  CONAGRA BRANDS, INC.      
  Security 205887102       Meeting Type Annual  
  Ticker Symbol CAG       Meeting Date 23-Sep-2020
  ISIN US2058871029       Agenda 935259374 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1A. Election of Director: Anil Arora Management   For   For      
  1B. Election of Director: Thomas K. Brown Management   For   For      
  1C. Election of Director: Sean M. Connolly Management   For   For      
  1D. Election of Director: Joie A. Gregor Management   For   For      
  1E. Election of Director: Rajive Johri Management   For   For      
  1F. Election of Director: Richard H. Lenny Management   For   For      
  1G. Election of Director: Melissa Lora Management   For   For      
  1H. Election of Director: Ruth Ann Marshall Management   For   For      
  1I. Election of Director: Craig P. Omtvedt Management   For   For      
  1J. Election of Director: Scott Ostfeld Management   For   For      
  2. Ratification of the appointment of KPMG LLP as our independent auditor for fiscal 2021. Management   For   For      
  3. Advisory approval of our named executive officer compensation. Management   For   For      
  ALIBABA GROUP HOLDING LIMITED      
  Security 01609W102       Meeting Type Annual  
  Ticker Symbol BABA       Meeting Date 30-Sep-2020
  ISIN US01609W1027       Agenda 935265086 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1. Amend and restate the Company's Memorandum and Articles of Association to expressly permit completely virtual shareholders' meetings and reflect such updates as are detailed in the proxy statement and set forth in Exhibit A thereto. Management   For   For      
  2.1 Election of Director: MAGGIE WEI WU (To serve for a three year term or until such director's successor is elected or appointed and duly qualified). Management   For   For      
  2.2 Election of Director: KABIR MISRA (To serve for a three year term or until such director's successor is elected or appointed and duly qualified). Management   For   For      
  2.3 Election of Director: WALTER TEH MING KWAUK (To serve for a three year term or until such director's successor is elected or appointed and duly qualified). Management   For   For      
  3. Ratify the appointment of PricewaterhouseCoopers as the independent registered public accounting firm of the Company for the fiscal year ending March 31, 2021. Management   For   For      
  MICROSOFT CORPORATION      
  Security 594918104       Meeting Type Annual  
  Ticker Symbol MSFT       Meeting Date 02-Dec-2020
  ISIN US5949181045       Agenda 935284478 - Management
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1A. Election of Director: Reid G. Hoffman Management   For   For      
  1B. Election of Director: Hugh F. Johnston Management   For   For      
  1C. Election of Director: Teri L. List-Stoll Management   For   For      
  1D. Election of Director: Satya Nadella Management   For   For      
  1E. Election of Director: Sandra E. Peterson Management   For   For      
  1F. Election of Director: Penny S. Pritzker Management   For   For      
  1G. Election of Director: Charles W. Scharf Management   For   For      
  1H. Election of Director: Arne M. Sorenson Management   For   For      
  1I. Election of Director: John W. Stanton Management   For   For      
  1J. Election of Director: John W. Thompson Management   For   For      
  1K. Election of Director: Emma N. Walmsley Management   For   For      
  1L. Election of Director: Padmasree Warrior Management   For   For      
  2. Advisory vote to approve named executive officer compensation. Management   For   For      
  3. Ratification of Deloitte & Touche LLP as our independent auditor for fiscal year 2021. Management   For   For      
  4. Shareholder Proposal - Report on Employee Representation on Board of Directors. Shareholder   Against   For      
  THE WALT DISNEY COMPANY      
  Security 254687106       Meeting Type Annual  
  Ticker Symbol DIS       Meeting Date 09-Mar-2021
  ISIN US2546871060       Agenda 935328206 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1A. Election of Director: Susan E. Arnold Management   For   For      
  1B. Election of Director: Mary T. Barra Management   For   For      
  1C. Election of Director: Safra A. Catz Management   For   For      
  1D. Election of Director: Robert A. Chapek Management   For   For      
  1E. Election of Director: Francis A. deSouza Management   For   For      
  1F. Election of Director: Michael B.G. Froman Management   For   For      
  1G. Election of Director: Robert A. Iger Management   For   For      
  1H. Election of Director: Maria Elena Lagomasino Management   For   For      
  1I. Election of Director: Mark G. Parker Management   For   For      
  1J. Election of Director: Derica W. Rice Management   For   For      
  2. To ratify the appointment of PricewaterhouseCoopers LLP as the Company's registered public accountants for fiscal 2021. Management   For   For      
  3. To approve the advisory resolution on executive compensation. Management   For   For      
  4. Shareholder proposal requesting an annual report disclosing information regarding the Company's lobbying policies and activities. Shareholder   Abstain   Against      
  5. Shareholder proposal requesting non-management employees on director nominee candidate lists. Shareholder   Against   For      
  PFIZER INC.      
  Security 717081103       Meeting Type Annual  
  Ticker Symbol PFE       Meeting Date 22-Apr-2021
  ISIN US7170811035       Agenda 935344503 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1A. Election of Director: Ronald E. Blaylock Management   For   For      
  1B. Election of Director: Albert Bourla Management   For   For      
  1C. Election of Director: Susan Desmond-Hellmann Management   For   For      
  1D. Election of Director: Joseph J. Echevarria Management   For   For      
  1E. Election of Director: Scott Gottlieb Management   For   For      
  1F. Election of Director: Helen H. Hobbs Management   For   For      
  1G. Election of Director: Susan Hockfield Management   For   For      
  1H. Election of Director: Dan R. Littman Management   For   For      
  1I. Election of Director: Shantanu Narayen Management   For   For      
  1J. Election of Director: Suzanne Nora Johnson Management   For   For      
  1K. Election of Director: James Quincey Management   For   For      
  1L. Election of Director: James C. Smith Management   For   For      
  2. Ratify the selection of KPMG LLP as independent registered public accounting firm for 2021. Management   For   For      
  3. 2021 advisory approval of executive compensation. Management   For   For      
  4. Shareholder proposal regarding independent chair policy. Shareholder   Against   For      
  5. Shareholder proposal regarding political spending report. Shareholder   Abstain   Against      
  6. Shareholder proposal regarding access to COVID-19 products. Shareholder   Abstain   Against      
  AT&T INC.      
  Security 00206R102       Meeting Type Annual  
  Ticker Symbol T       Meeting Date 30-Apr-2021
  ISIN US00206R1023       Agenda 935347179 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1A. Election of Director: William E. Kennard Management   For   For      
  1B. Election of Director: Samuel A. Di Piazza, Jr. Management   For   For      
  1C. Election of Director: Scott T. Ford Management   For   For      
  1D. Election of Director: Glenn H. Hutchins Management   For   For      
  1E. Election of Director: Debra L. Lee Management   For   For      
  1F. Election of Director: Stephen J. Luczo Management   For   For      
  1G. Election of Director: Michael B. McCallister Management   For   For      
  1H. Election of Director: Beth E. Mooney Management   For   For      
  1I. Election of Director: Matthew K. Rose Management   For   For      
  1J. Election of Director: John T. Stankey Management   For   For      
  1K. Election of Director: Cynthia B. Taylor Management   For   For      
  1L. Election of Director: Geoffrey Y. Yang Management   For   For      
  2. Ratification of appointment of independent auditors. Management   For   For      
  3. Advisory approval of executive compensation. Management   For   For      
  4. Stockholder Right to Act by Written Consent. Shareholder   Against   For      
  ELI LILLY AND COMPANY      
  Security 532457108       Meeting Type Annual  
  Ticker Symbol LLY       Meeting Date 03-May-2021
  ISIN US5324571083       Agenda 935355354 - Management
                           
  Item Proposal Proposed by   Vote For/Against Management      
  1a. Election of Director to serve a three year term: K. Baicker, Ph.D. Management   For   For      
  1b. Election of Director to serve a three year term: J.E. Fyrwald Management   For   For      
  1c. Election of Director to serve a three year term: J. Jackson Management   For   For      
  1d. Election of Director to serve a three year term: G. Sulzberger Management   For   For      
  1e. Election of Director to serve a three year term: J.P. Tai Management   For   For      
  2. Approval, on an advisory basis, of the compensation paid to the company's named executive officers. Management   For   For      
  3. Ratification of the appointment of Ernst & Young LLP as the independent auditor for 2021. Management   For   For      
  4. Approval of amendments to the company's Articles of Incorporation to eliminate the classified board structure. Management   For   For      
  5. Approval of amendments to the company's Articles of Incorporation to eliminate supermajority voting provisions. Management   For   For      
  6. Shareholder proposal to disclose direct and indirect lobbying activities and expenditures. Shareholder   Abstain   Against      
  7. Shareholder proposal to amend the bylaws to require an independent board chair. Shareholder   Against   For      
  8. Shareholder proposal to implement a bonus deferral policy. Shareholder   Against   For      
  9. Shareholder proposal to disclose clawbacks on executive incentive compensation due to misconduct. Shareholder   Abstain   Against      
  UNILEVER PLC      
  Security 904767704       Meeting Type Annual  
  Ticker Symbol UL       Meeting Date 05-May-2021
  ISIN US9047677045       Agenda 935356659 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1. To receive the Report and Accounts for the year ended 31 December 2020. Management   For   For      
  2. To approve the Directors' Remuneration Report. Management   For   For      
  3. To approve the Directors' Remuneration Policy. Management   For   For      
  4. To approve the Climate Transition Action Plan. Management   Abstain   Against      
  5. To re-elect Mr N Andersen as a Non-Executive Director. Management   For   For      
  6. To re-elect Mrs L Cha as a Non-Executive Director. Management   For   For      
  7. To re-elect Dr J Hartmann as a Non-Executive Director. Management   For   For      
  8. To re-elect Mr A Jope as an Executive Director. Management   For   For      
  9. To re-elect Ms A Jung as a Non-Executive Director. Management   For   For      
  10. To re-elect Ms S Kilsby as a Non-Executive Director. Management   For   For      
  11. To re-elect Mr S Masiyiwa as a Non-Executive Director. Management   For   For      
  12. To re-elect Professor Y Moon as a Non-Executive Director. Management   For   For      
  13. To re-elect Mr G Pitkethly as an Executive Director. Management   For   For      
  14. To re-elect Mr J Rishton as a Non-Executive Director. Management   For   For      
  15. To re-elect Mr F Sijbesma as a Non-Executive Director. Management   For   For      
  16. To reappoint KPMG LLP as Auditors of the Company. Management   For   For      
  17. To authorise the Directors to fix the remuneration of the Auditors. Management   For   For      
  18. To authorise Political Donations and expenditure. Management   For   For      
  19. To approve the SHARES Plan. Management   For   For      
  20. To renew the authority to Directors to issue shares. Management   For   For      
  21. To renew the authority to Directors to disapply pre- emption rights. Management   Abstain   Against      
  22. To renew the authority to Directors to disapply pre- emption rights for the purposes of acquisitions or capital investments. Management   For   For      
  23. To renew the authority to the Company to purchase its own shares. Management   For   For      
  24. To shorten the notice period for General Meetings. Management   For   For      
  25. To adopt new Articles of Association. Management   For   For      
  26. To reduce the share premium account. Management   For   For      
  STANLEY BLACK & DECKER, INC.      
  Security 854502846       Meeting Type Annual  
  Ticker Symbol SWT       Meeting Date 10-May-2021
  ISIN US8545028461       Agenda 935369137 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  6. To consider a management proposal to amend the Certificate of Incorporation to eliminate supermajority vote provisions of capital stock related to approval of business combinations with interested shareholders and clarify when no shareholder vote is required. Management   For   For      
  VERIZON COMMUNICATIONS INC.      
  Security 92343V104       Meeting Type Annual  
  Ticker Symbol VZ       Meeting Date 13-May-2021
  ISIN US92343V1044       Agenda 935364846 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1a. Election of Director: Shellye L. Archambeau Management   For   For      
  1b. Election of Director: Roxanne S. Austin Management   For   For      
  1c. Election of Director: Mark T. Bertolini Management   For   For      
  1d. Election of Director: Melanie L. Healey Management   For   For      
  1e. Election of Director: Clarence Otis, Jr. Management   For   For      
  1f. Election of Director: Daniel H. Schulman Management   For   For      
  1g. Election of Director: Rodney E. Slater Management   For   For      
  1h. Election of Director: Hans E. Vestberg Management   For   For      
  1i. Election of Director: Gregory G. Weaver Management   For   For      
  2 Advisory Vote to Approve Executive Compensation Management   For   For      
  3 Ratification of Appointment of Independent Registered Public Accounting Firm Management   For   For      
  4 Shareholder Action by Written Consent Shareholder   Against   For      
  5 Amend Clawback Policy Shareholder   Abstain   Against      
  6 Shareholder Ratification of Annual Equity Awards Shareholder   Abstain   Against      
  INTEL CORPORATION      
  Security 458140100       Meeting Type Annual  
  Ticker Symbol INTC       Meeting Date 13-May-2021
  ISIN US4581401001       Agenda 935369012 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1A. Election of Director: Patrick P. Gelsinger Management   For   For      
  1B. Election of Director: James J. Goetz Management   For   For      
  1C. Election of Director: Alyssa Henry Management   For   For      
  1D. Election of Director: Omar Ishrak Management   For   For      
  1E. Election of Director: Risa Lavizzo-Mourey Management   For   For      
  1F. Election of Director: Tsu-Jae King Liu Management   For   For      
  1G. Election of Director: Gregory D. Smith Management   For   For      
  1H. Election of Director: Dion J. Weisler Management   For   For      
  1I. Election of Director: Frank D. Yeary Management   For   For      
  2. Ratification of selection of Ernst & Young LLP as our independent registered public accounting firm for 2021. Management   For   For      
  3. Advisory vote to approve executive compensation of our listed officers. Management   For   For      
  4. Stockholder proposal on whether to allow stockholders to act by written consent, if properly presented at the meeting. Shareholder   Against   For      
  5. Stockholder proposal requesting a report on median pay gaps across race and gender, if properly presented at the meeting. Shareholder   Abstain   Against      
  6. Stockholder proposal requesting a report on whether written policies or unwritten norms at the company reinforce racism in company culture, if properly presented at the meeting. Shareholder   Abstain   Against      
  SBA COMMUNICATIONS CORPORATION      
  Security 78410G104       Meeting Type Annual  
  Ticker Symbol SBAC       Meeting Date 13-May-2021
  ISIN US78410G1040       Agenda 935375938 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1.1 Election of Director For a three-year term expiring at the 2024 Annual Meeting: Mary S. Chan Management   For   For      
  1.2 Election of Director For a three-year term expiring at the 2024 Annual Meeting: George R. Krouse, Jr. Management   For   For      
  2. Ratification of the appointment of Ernst & Young LLP as SBA's independent registered public accounting firm for the 2021 fiscal year. Management   For   For      
  3. Approval, on an advisory basis, of the compensation of
SBA's named executive officers.
Management   For   For      
  GOODRICH PETROLEUM CORPORATION      
  Security 382410843       Meeting Type Annual  
  Ticker Symbol GDP       Meeting Date 18-May-2021
  ISIN US3824108431       Agenda 935394914 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1. DIRECTOR Management              
    1 Walter G. Goodrich       For   For      
    2 Robert C. Turnham, Jr.       For   For      
    3 Timothy D. Leuliette       For   For      
    4 Ronald F. Coleman       For   For      
    5 K. Adam Leight       For   For      
    6 Thomas M. Souers       For   For      
    7 Jeffrey S. Serota       For   For      
    8 Edward J. Sondey       For   For      
  2. Ratify the selection of Moss Adams LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. Management   For   For      
  3. Approve, on an advisory basis, the compensation of our Named Executive Officers. Management   For   For      
  CROWN CASTLE INTERNATIONAL CORP      
  Security 22822V101       Meeting Type Annual  
  Ticker Symbol CCI       Meeting Date 21-May-2021
  ISIN US22822V1017       Agenda 935372588 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1A. Election of Director: P. Robert Bartolo Management   For   For      
  1B. Election of Director: Jay A. Brown Management   For   For      
  1C. Election of Director: Cindy Christy Management   For   For      
  1D. Election of Director: Ari Q. Fitzgerald Management   For   For      
  1E. Election of Director: Andrea J. Goldsmith Management   For   For      
  1F. Election of Director: Lee W. Hogan Management   For   For      
  1G. Election of Director: Tammy K. Jones Management   For   For      
  1H. Election of Director: J. Landis Martin Management   For   For      
  1I. Election of Director: Anthony J. Melone Management   For   For      
  1J. Election of Director: W. Benjamin Moreland Management   For   For      
  1K. Election of Director: Kevin A. Stephens Management   For   For      
  1L. Election of Director: Matthew Thornton, III Management   For   For      
  2. The ratification of the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accountants for fiscal year 2021. Management   For   For      
  3. The non-binding, advisory vote to approve the compensation of the Company's named executive officers. Management   For   For      
  4. The non-binding, advisory vote regarding the frequency of voting on the compensation of the Company's named executive officers. Management   1 Year   For      
  MERCK & CO., INC.      
  Security 58933Y105       Meeting Type Annual  
  Ticker Symbol MRK       Meeting Date 25-May-2021
  ISIN US58933Y1055       Agenda 935381044 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1A. Election of Director: Leslie A. Brun Management   For   For      
  1B. Election of Director: Mary Ellen Coe Management   For   For      
  1C. Election of Director: Pamela J. Craig Management   For   For      
  1D. Election of Director: Kenneth C. Frazier Management   For   For      
  1E. Election of Director: Thomas H. Glocer Management   For   For      
  1F. Election of Director: Risa J. Lavizzo-Mourey Management   For   For      
  1G. Election of Director: Stephen L. Mayo Management   For   For      
  1H. Election of Director: Paul B. Rothman Management   For   For      
  1I. Election of Director: Patricia F. Russo Management   For   For      
  1J. Election of Director: Christine E. Seidman Management   For   For      
  1K. Election of Director: Inge G. Thulin Management   For   For      
  1L. Election of Director: Kathy J. Warden Management   For   For      
  1M. Election of Director: Peter C. Wendell Management   For   For      
  2. Non-binding advisory vote to approve the compensation of our named executive officers. Management   For   For      
  3. Ratification of the appointment of the Company's independent registered public accounting firm for 2021. Management   For   For      
  4. Shareholder proposal concerning a shareholder right to act by written consent. Shareholder   Against   For      
  5. Shareholder proposal regarding access to COVID-19 products. Shareholder   Abstain   Against      
  AMERICAN TOWER CORPORATION      
  Security 03027X100       Meeting Type Annual  
  Ticker Symbol AMT       Meeting Date 26-May-2021
  ISIN US03027X1000       Agenda 935387755 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1A. Election of Director: Thomas A. Bartlett Management   For   For      
  1B. Election of Director: Raymond P. Dolan Management   For   For      
  1C. Election of Director: Kenneth R. Frank Management   For   For      
  1D. Election of Director: Robert D. Hormats Management   For   For      
  1E. Election of Director: Gustavo Lara Cantu Management   For   For      
  1F. Election of Director: Grace D. Lieblein Management   For   For      
  1G. Election of Director: Craig Macnab Management   For   For      
  1H. Election of Director: JoAnn A. Reed Management   For   For      
  1I. Election of Director: Pamela D.A. Reeve Management   For   For      
  1J. Election of Director: David E. Sharbutt Management   For   For      
  1K. Election of Director: Bruce L. Tanner Management   For   For      
  1L. Election of Director: Samme L. Thompson Management   For   For      
  2. To ratify the selection of Deloitte & Touche LLP as the Company's independent registered public accounting firm for 2021. Management   For   For      
  3. To approve, on an advisory basis, the Company's executive compensation. Management   For   For      
  4. Stockholder proposal to amend the appropriate governing documents to reduce the ownership threshold required to call a special meeting of the stockholders. Shareholder   Against   For      
  5. Stockholder proposal to require the Board of Directors to create a standing committee to oversee human rights issues. Shareholder   Abstain   Against      
  EQUINIX, INC.      
  Security 29444U700       Meeting Type Annual  
  Ticker Symbol EQIX       Meeting Date 26-May-2021
  ISIN US29444U7000       Agenda 935390550 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1. DIRECTOR Management              
    1 Thomas Bartlett       For   For      
    2 Nanci Caldwell       For   For      
    3 Adaire Fox-Martin       For   For      
    4 Gary Hromadko       For   For      
    5 Irving Lyons III       For   For      
    6 Charles Meyers       For   For      
    7 Christopher Paisley       For   For      
    8 Sandra Rivera       For   For      
    9 Peter Van Camp       For   For      
  2. To approve, by a non-binding advisory vote, the compensation of Equinix's named executive officers. Management   For   For      
  3. To ratify the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for the fiscal year ending Dec. 31, 2021. Management   For   For      
  4. A stockholder proposal, related to written consent of stockholders. Shareholder   Against   For      
  PAYPAL HOLDINGS, INC.      
  Security 70450Y103       Meeting Type Annual  
  Ticker Symbol PYPL       Meeting Date 26-May-2021
  ISIN US70450Y1038       Agenda 935392617 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1A. Election of Director: Rodney C. Adkins Management   For   For      
  1B. Election of Director: Jonathan Christodoro Management   For   For      
  1C. Election of Director: John J. Donahoe Management   For   For      
  1D. Election of Director: David W. Dorman Management   For   For      
  1E. Election of Director: Belinda J. Johnson Management   For   For      
  1F. Election of Director: Gail J. McGovern Management   For   For      
  1G. Election of Director: Deborah M. Messemer Management   For   For      
  1H. Election of Director: David M. Moffett Management   For   For      
  1I. Election of Director: Ann M. Sarnoff Management   For   For      
  1J. Election of Director: Daniel H. Schulman Management   For   For      
  1K. Election of Director: Frank D. Yeary Management   For   For      
  2. Advisory vote to approve named executive officer compensation. Management   For   For      
  3. Ratification of the appointment of PricewaterhouseCoopers LLP as our independent auditor for 2021. Management   For   For      
  4. Stockholder proposal - Stockholder right to act by written consent. Shareholder   Against   For      
  5. Stockholder Proposal - Assessing Inclusion in the Workplace. Shareholder   Abstain   Against      
  T-MOBILE US, INC.      
  Security 872590104       Meeting Type Annual  
  Ticker Symbol TMUS       Meeting Date 03-Jun-2021
  ISIN US8725901040       Agenda 935400921 - Management
                           
  Item Proposal Proposed
by
  Vote For/Against
Management
     
  1. DIRECTOR Management              
    1 Marcelo Claure       For   For      
    2 Srikant M. Datar       For   For      
    3 Bavan M. Holloway       For   For      
    4 Timotheus Höttges       For   For      
    5 Christian P. Illek       For   For      
    6 Raphael Kübler       For   For      
    7 Thorsten Langheim       For   For      
    8 Dominique Leroy       For   For      
    9 G. Michael Sievert       For   For      
    10 Teresa A. Taylor       For   For      
    11 Omar Tazi       For   For      
    12 Kelvin R. Westbrook       For   For      
    13 Michael Wilkens       For   For      
  2. Ratification of the Appointment of PricewaterhouseCoopers LLP as the Company's Independent Registered Public Accounting Firm for Fiscal Year 2021. Management   For   For      
     

SIGNATURES

 

Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

Registrant Ellsworth Growth and Income Fund Ltd.

 

By (Signature and Title)* /s/ James A. Dinsmore
  James A. Dinsmore, President and Principal Executive Officer

 

Date 8/20/2021

 

*Print the name and title of each signing officer under his or her signature.

 
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