Basic Stats
| CIK | 850027 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Eagle Capital Growth Fund, Inc.
SEC Filings (Chronological Order)
This page provides a complete, chronological list of SEC Filings, excluding ownership filings which we provide elsewhere.
| March 6, 2025 |
DEF 14A 1 ny20044915x1def14a.htm DEF 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary P |
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| March 7, 2024 |
SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to § 240. |
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| October 2, 2023 |
GRF / Eagle Capital Growth Fund Inc / SIMS LUKE E - SC 13D/A Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 3)* Eagle Capital Growth Fund, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 269451100 (CUSIP Number) Luke E. Sims, 225 East Mason Street, Suite 802, Milwaukee WI 53202-3657; (414) 530-5680 (Name, Address and Telephone Number of Person Au |
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| October 2, 2023 |
GRF / Eagle Capital Growth Fund Inc / Sims David C - SC 13D Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment )* Eagle Capital Growth Fund, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 269451100 (CUSIP Number) David C. Sims, 225 East Mason Street, Suite 802, Milwaukee WI 53202-3657; (414) 530-5680 (Name, Address and Telephone Number of Person Author |
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| June 20, 2023 |
225 East Mason Street Suite 802 Milwaukee, WI 53202-3657 www.eaglecapitalgrowthfund.com June 9, 2023 Mr. Kenneth Ellington [Email: [email protected]] Staff Accountant U. S. Securities and Exchange Commission Division of Investment Management, Disclosure Review and Accounting Office 100 F. Street, N.E. Washington, D.C. 20549 Re: Eagle Capital Growth Fund, Inc. (NYSE American: GRF) (“Fund”) Mr. Ell |
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| March 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ |
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| December 5, 2022 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 5, 2022 EAGLE CAPITAL GROWTH FUND, INC. (Exact name of registrant as specified in its charter) MARYLAND 811-05807 31-1274796 (State or Other Jurisdiction of Incorporation) (C |
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| December 5, 2022 |
Exhibit 99.1 December 5, 2022 Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Commissioners: We have read Item 4.01 of Form 8-K of Eagle Capital Growth Fund, Inc. dated December 5, 2022, and agree with the statements concerning our firm contained therein. We have no basis to agree or disagree with other statements of the registrant contained therein. Very truly yours, /s |
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| October 28, 2022 |
SCHEDULE OF INVESTMENTS Eagle Capital Growth Fund, Inc. Portfolio of Investments (as of September 30, 2022) (unaudited) Common Stocks (88.3% of Total Investments) LEVEL ONE Industry Shares Cost Market Value % Total Inv. Advertising Alphabet, Inc. A* 17,000 $ 1,464,392 $ 1,626,050 MediaAlpha, Inc.* 40,000 804,160 350,000 $ 1,976,050 5.4 % Bank JPMorgan Chase & Co 3,000 390,311 $ 313,500 Wells Fargo |
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| April 11, 2022 |
SCHEDULE OF INVESTMENTS Eagle Capital Growth Fund, Inc. Portfolio of Investments (as of March 31, 2022) (unaudited) Common Stocks (89.8% of Total Investments) LEVEL ONE Industry Shares Cost Market Value % Total Inv. Advertising Alphabet, Inc. A* 500 $ 583,844 $ 1,031,260 MediaAlpha, Inc. * 20,000 699,378 708,600 $ 1,739,860 4.20 % Bank Wells Fargo & Co. 10,000 403,661 $ 390,700 $ 390,700 0.90 % Br |
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| March 10, 2022 |
SCHEDULE 14A INFORMATION STATEMENT SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to ? 240. |
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| November 3, 2021 |
SCHEDULE OF INVESTMENTS Eagle Capital Growth Fund, Inc. Portfolio of Investments (as of September 30, 2021) (unaudited) Common Stock (79.8% of total investments) Industry Shares Cost Market Value % of Total Investments Advertising Alphabet, Inc. A* 500 $ 583,844 $ 1,336,760 MediaAlpha, Inc.* 40,000 1,164,268 747,200 $ 2,083,960 (4.8 %) Bank Wells Fargo & Co. 10,000 403,661 $ 464,100 $ 464,100 (1.1 |
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| August 20, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE EAGLE CAPITAL GROWTH FUND ELECTS ANNE M. NICHOLS, CFA AS DIRECTOR; EXPANDS STOCK REPURCHASE AUTHORITY August 19, 2021 04:01 PM Eastern Daylight Time MILWAUKEE-(BUSINESS WIRE)-The Board of Directors of Eagle Capital Growth Fund, Inc. (?Fund?) (NYSE American: GRF) at a regular Board meeting today unanimously elected Anne M. Nichols, CFA as a Director. Ms. Nichols i |
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| August 20, 2021 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 19, 2021 EAGLE CAPITAL GROWTH FUND, INC. (Exact name of registrant as specified in its charter) MARYLAND 811-05807 31-1274796 (State or Other Jurisdiction of Incorporation) (Co |
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| April 16, 2021 |
Exhibit 99.1 FOR IMMEDIATE RELEASE EAGLE CAPITAL GROWTH FUND ELECTS NEW DIRECTOR JASON W. ALLEN, AND BIDS FAREWELL TO RETIRING DIRECTOR PEGGY L. SCHMELTZ MILWAUKEE, WI (April 15, 2021)- Eagle Capital Growth Fund, Inc. (?Fund?) (NYSE American: GRF) announced that the Board, at its Board meeting today, elected Jason W. Allen as a Director. Jason is a partner with Foley & Lardner LLP (an internationa |
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| April 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): April 15, 2021 EAGLE CAPITAL GROWTH FUND, INC. (Exact name of registrant as specified in its charter) MARYLAND 811-05807 31-1274796 (State or Other Jurisdiction of Incorporation) (Com |
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| April 14, 2021 |
SCHEDULE OF INVESTMENTS Eagle Capital Growth Fund, Inc. Portfolio of Investments (as of March 31, 2021) (unaudited) Common Stocks (89.8% of Total Investments) LEVEL ONE Industry Shares Cost Market Value % Total Inv. Advertising Alphabet, Inc. A* 500 $ 583,844 $ 1,031,260 MediaAlpha, Inc. * 20,000 699,378 708,600 $ 1,739,860 4.2% Bank Wells Fargo & Co. 10,000 403,661 $ 390,700 $ 390,700 0.9% Broker |
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| March 10, 2021 |
SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to ? 240. |
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| November 9, 2020 |
SCHEDULE OF INVESTMENTS Eagle Capital Growth Fund, Inc. Portfolio of Investments (as of September 30, 2020) (unaudited) Common Stocks (82.8% of Total Investments) Industry LEVEL ONE Shares Cost Market Value % Total Inv. Bank Wells Fargo & Co. 10,000 403,661 $ 235,100 $ 287,000 0.6 % Brokerage Charles Schwab Corp 40,000 1,482,472 1,449,200 $ 1,449,200 4.0 % Credit Card Mastercard Inc 1,000 219,636 |
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| June 10, 2020 |
225 East Mason Street Suite 802 Milwaukee, WI 53202-3657 www.eaglecapitalgrowthfund.com June 10, 2020 Mr. Ken Ellington [Email: [email protected]] Staff Accountant U. S. Securities and Exchange Commission Division of Investment Management, Disclosure Review and Accounting Office 100 F. Street, N.E. Washington, D.C. 20549 Re: Eagle Capital Growth Fund, Inc. (NYSE American: GRF) (“Fund”) Dear Mr. E |
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| June 1, 2020 |
SCHEDULE OF INVESTMENTS Eagle Capital Growth Fund, Inc. Portfolio of Investments (as of March 31, 2020) (unaudited) Common Stocks (92.4% of Total Investments) Industry LEVEL ONE Automotive Shares Cost Market Value % Total Inv. General Motors Company 30,000 1,000,547 $ 623,400 $ 623,400 2.1 % Bank Wells Fargo & Co. 10,000 403,661 287,000 $ 287,000 1.0 % Brokerage Charles Schwab Corp 20,000 807,900 |
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| April 13, 2020 |
GRF / Eagle Capital Growth Fund, Inc. N-Q - Quarterly Schedule of Portfolio Holdings - N-Q United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| April 13, 2020 |
I, Luke E. Sims, certify that: EX-99.CERT 2 ex99cert.htm EXHIBIT 99 CERT Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such stateme |
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| March 9, 2020 |
GRF / Eagle Capital Growth Fund, Inc. DEF 14A - - DEF 14A SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to § 240. |
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| October 11, 2019 |
I, Luke E. Sims, certify that: EX-99.CERT 2 ex99cert.htm EXHIBIT 99 CERT Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such stateme |
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| October 11, 2019 |
GRF / Eagle Capital Growth Fund, Inc. N-Q - Quarterly Schedule of Portfolio Holdings - N-Q United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| April 17, 2019 |
I, Luke E. Sims, certify that: Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| April 17, 2019 |
GRF / Eagle Capital Growth Fund, Inc. N-Q (Quarterly Schedule of Portfolio Holdings) United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| March 5, 2019 |
GRF / Eagle Capital Growth Fund, Inc. DEF 14A SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to § 240. |
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| October 17, 2018 |
I, Luke E. Sims, certify that: Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| October 17, 2018 |
GRF / Eagle Capital Growth Fund, Inc. N-Q (Quarterly Schedule of Portfolio Holdings) United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| August 30, 2018 |
Exhibit 99.77C 2018 Annual Shareholder Meeting The Fund’s 2018 annual meeting of shareholders (“Annual Meeting”) was held on April 19, 2018, for the following purposes: 1. To elect three (3) Directors to the Board. 2. To ratify the selection of Plante & Moran, PLLC as the independent registered public accountants of the Fund for the calendar year ending December 31, 2018. The following directors w |
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| April 3, 2018 |
I, Luke E. Sims, certify that: EX-99.CERT 2 ex99cert.htm EXHIBIT 99 CERT Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such stateme |
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| April 3, 2018 |
GRF / Eagle Capital Growth Fund, Inc. N-Q (Quarterly Schedule of Portfolio Holdings) United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| March 9, 2018 |
GRF / Eagle Capital Growth Fund, Inc. DEF 14A SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to § 240. |
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| February 28, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.77B REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Directors and Shareholders Eagle Capital Growth Fund, Inc. In planning and performing our audit of the financial statements of Eagle Capital Growth Fund, Inc. (the "Fund") as of and for the year ended December 31, 2017 in accordance with the standards of the Public Company Accounting Oversight Board (United Stat |
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| February 28, 2018 |
Section 16(a) Beneficial Ownership Reporting Compliance Exhibit 99.77Q2 EAGLE CAPITAL GROWTH FUND, INC. Exhibit 99.77Q2 ITEM 405 Section 16(a) Beneficial Ownership Reporting Compliance Directors and officers of the Fund and certain of its affiliates and beneficial owners of more than ten percent of the Common Stock are required to file initial reports of ownership of the Common Stock pursuant to Section 16(a) of the Securities Exchange Act of 1934, as |
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| October 12, 2017 |
Eagle Capital Growth Fund, Inc. - N-Q United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| October 12, 2017 |
I, Luke E. Sims, certify that: Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| August 18, 2017 |
2017 Annual Shareholder Meeting Exhibit 99.77C 2017 Annual Shareholder Meeting The Fund?s 2017 annual meeting of shareholders (?Annual Meeting?) was held on April 20, 2017, for the following purposes: 1. To elect two (2) Directors to the Board. 2. To ratify the selection of Plante & Moran, PLLC as the independent registered public accountants of the Fund for the calendar year ending December 31, 2017. The following directors wer |
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| April 7, 2017 |
I, Luke E. Sims, certify that: EX-99.CERT 2 ex99cert.htm EXHIBIT 99.CERT Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such stateme |
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| April 7, 2017 |
Eagle Capital Growth Fund, Inc. - EAGLE CAPITAL GROWTH FUND, INC N-Q 3-31-2017 United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| March 15, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.77B REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees and Shareholders of Eagle Capital Growth Fund: In planning and performing our audit of the financial statements of Eagle Capital Growth Fund (the "Fund") as of and for the year ended December 31, 2016, in accordance with the standards of the Public Company Accounting Oversight Board (United States) ("PC |
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| March 15, 2017 |
Section 16(a) Beneficial Ownership Reporting Compliance Exhibit 99.77Q2 EAGLE CAPITAL GROWTH FUND, INC. Exhibit 99.77Q2 ITEM 405 Section 16(a) Beneficial Ownership Reporting Compliance Directors and officers of the Fund and certain of its affiliates and beneficial owners of more than ten percent of the Common Stock are required to file initial reports of ownership of the Common Stock pursuant to Section 16(a) of the Securities Exchange Act of 1934, as |
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| March 9, 2017 |
Eagle Capital Growth Fund EAGLE CAPITAL GROWTH FUND, INC. DEF 14A 4-20-2017 SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement ☐ Definitive Additional Materials ☐ Soliciting Material Pursuant to § 240. |
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| February 28, 2017 |
Exhibit 99.77B To the Audit Committee Eagle Capital Growth Fund, Inc. In planning and performing our audit of the financial statements of Eagle Capital Growth Fund, Inc. as of and for the year ended December 31, 2016 in accordance with Public Company Accounting Oversight Board auditing standards, we considered the Company's internal control over financial reporting as a basis for designing audit p |
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| February 28, 2017 |
Section 16(a) Beneficial Ownership Reporting Compliance Exhibit 99.77Q2 EAGLE CAPITAL GROWTH FUND, INC. Exhibit 99.77Q2 ITEM 405 Section 16(a) Beneficial Ownership Reporting Compliance Directors and officers of the Fund and certain of its affiliates and beneficial owners of more than ten percent of the Common Stock are required to file initial reports of ownership of the Common Stock pursuant to Section 16(a) of the Securities Exchange Act of 1934, as |
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| October 4, 2016 |
I, Luke E. Sims, certify that: EX-99.CERT 2 ex99cert.htm EXHIBIT 99.CERT Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such stateme |
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| October 4, 2016 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| August 26, 2016 |
Exhibit 99.77C 2016 Annual Shareholder Meeting The Fund?s 2016 annual meeting of shareholders (?Annual Meeting?) was held on April 21, 2016, for the following purposes: 1. To elect three (3) Directors to the Board. 2. To ratify the selection of Plante & Moran, PLLC as the independent registered public accountants of the Fund for the calendar year ending December 31, 2016. The following directors w |
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| August 26, 2016 |
Exhibit 99.77C 2016 Annual Shareholder Meeting The Fund?s 2016 annual meeting of shareholders (?Annual Meeting?) was held on April 21, 2016, for the following purposes: 1. To elect three (3) Directors to the Board. 2. To ratify the selection of Plante & Moran, PLLC as the independent registered public accountants of the Fund for the calendar year ending December 31, 2016. The following directors w |
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| April 20, 2016 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| April 20, 2016 |
I, Luke E. Sims, certify that: Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| March 17, 2016 |
Eagle Capital Growth Fund EAGLE CAPITAL GROWTH FUND, INC. DEF 14A 4-21-2016 SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to ? 240. |
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| March 1, 2016 |
Exhibit 99.77B To the Audit Committee Eagle Capital Growth Fund, Inc. Dear Audit Committee: In planning and performing our audit of the financial statements of Eagle Capital Growth Fund, Inc. as of and for the year ended December 31, 2015 in accordance with Public Company Accounting Oversight Board auditing standards, we considered the Company's internal control over financial reporting as a basis |
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| March 1, 2016 |
Section 16(a) Beneficial Ownership Reporting Compliance Exhibit 99.77Q2 EAGLE CAPITAL GROWTH FUND, INC. Exhibit 99.77Q2 ITEM 405 Section 16(a) Beneficial Ownership Reporting Compliance Directors and officers of the Fund and certain of its affiliates and beneficial owners of more than ten percent of the Common Stock are required to file initial reports of ownership of the Common Stock pursuant to Section 16(a) of the Securities Exchange Act of 1934, as |
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| October 8, 2015 |
I, Luke E. Sims, certify that: EX-99.CERT 2 ex99cert.htm EXHIBIT 99.CERT Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such stateme |
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| October 8, 2015 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| August 7, 2015 |
Exhibit 99.77C 2015 Annual Shareholder Meeting The Fund?s 2015 annual meeting of shareholders (?Annual Meeting?) was held on April 16, 2015, for the following purposes: 1. To elect three (3) Directors to the Board. 2. To ratify the selection of Plante & Moran, PLLC as the independent registered public accountants of the Fund for the calendar year ending December 31, 2015. The following directors w |
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| April 7, 2015 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| April 7, 2015 |
I, Luke E. Sims, certify that: EX-99.CERT 2 ex99cert.htm EXHIBIT 99.CERT Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such stateme |
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| March 10, 2015 |
Eagle Capital Growth Fund EAGLE CAPITAL GROWTH FUND, INC DEF 14A 4-16-2015 SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Additional Materials ? Soliciting Material Pursuant to ? 240. |
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| March 2, 2015 |
Section 16(a) Beneficial Ownership Reporting Compliance Exhibit 99.77Q2 EAGLE CAPITAL GROWTH FUND, INC. Exhibit 99.77Q2 ITEM 405 Section 16(a) Beneficial Ownership Reporting Compliance Directors and officers of the Fund and certain of its affiliates and beneficial owners of more than ten percent of the Common Stock are required to file initial reports of ownership of the Common Stock pursuant to Section 16(a) of the Securities Exchange Act of 1934, as |
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| March 2, 2015 |
Exhibit 99.77B To the Audit Committee Eagle Capital Growth Fund, Inc. Dear Audit Committee: In planning and performing our audit of the financial statements of Eagle Capital Growth Fund, Inc. as of and for the year ended December 31, 2014 in accordance with Public Company Accounting Oversight Board auditing standards, we considered the Company's internal control over financial reporting as a basis |
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| January 8, 2015 |
GRF / Eagle Capital Growth Fund, Inc. / Ancora Advisors, LLC Activist Investment Converted by EDGARwiz UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 5, 2014 |
GRF / Eagle Capital Growth Fund, Inc. / Ancora Advisors, LLC Activist Investment Converted by EDGARwiz UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 3, 2014 |
Eagle Capital Growth Fund, Inc. - EAGLE CAPITAL GROWTH FUND, INC N-Q 9-30-2014 United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| October 3, 2014 |
I, David C. Sims, certify that: Exhibit 99.2 I, David C. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period |
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| October 3, 2014 |
I, Luke E. Sims, certify that: Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| August 15, 2014 |
Exhibit 99.77C |
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| August 15, 2014 |
2014 Annual Shareholder Meeting Exhibit 99.77C 2014 Annual Shareholder Meeting The Fund’s 2014 annual meeting of shareholders (“Annual Meeting”) was held on April 17, 2014, for the following purposes: 1. To elect two (2) Directors to the Board. 2. To ratify the selection of Plante & Moran, PLLC as the independent registered public accountants of the Fund for the calendar year ending December 31, 2014. The following directors wer |
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| April 11, 2014 |
I, Luke E. Sims, certify that: EX-99.CERT 2 ex99cert.htm EXHIBIT 99.CERT CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made |
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| April 11, 2014 |
Quarterly Schedule of Portfolio Holdings - EAGLE CAPITAL GROWTH FUND, INC N-Q 3-31-2014 United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| March 10, 2014 |
- EAGLE CAPITAL GROWTH FUND, INC DEF14A 4-17-2014 SCHEDULE 14A INFORMATION STATEMENT PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to § 240. |
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| February 28, 2014 |
Section 16(a) Beneficial Ownership Reporting Compliance Exhibit 99.77Q2 EAGLE CAPITAL GROWTH FUND, INC. Exhibit 99.77Q2 ITEM 405 Section 16(a) Beneficial Ownership Reporting Compliance Directors and officers of the Fund and certain of its affiliates and beneficial owners of more than ten percent of the Common Stock are required to file initial reports of ownership of the Common Stock pursuant to Section 16(a)of the Securities Exchange Act of 1934, as a |
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| February 28, 2014 |
BY-LAWS EAGLE CAPITAL GROWTH FUND, INC. ARTICLE I Exhibit 99.77Q1 BY-LAWS OF EAGLE CAPITAL GROWTH FUND, INC. ARTICLE I OFFICES 1.01 Principal Office. The principal office of the Corporation shall be at such place within the State of Maryland as the Board of Directors shall determine from time to time. 1.02 Other Offices. The Corporation may also have offices at such other places as the Board of Directors from time to time determines or the busine |
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| February 28, 2014 |
Exhibit 99.77B REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees and Shareholders of Eagle Capital Growth Fund: In planning and performing our audit of the financial statements of Eagle Capital Growth Fund (the "Fund") as of and for the year ended December 31, 2013, in accordance with the standards of the Public Company Accounting Oversight Board (United States) ("PC |
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| January 2, 2014 |
269451100 / CLOSED-E / Ancora Advisors, LLC Activist Investment - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Eagle Capital Growth Fund, Inc. - (Name of Issuer) COMMON SHARES - (Title of Class of Securities) 269451100 - (CUSIP Number) Frederick DiSanto C/O Ancora Advisors, LLC ONE CHAGRIN HIGHLANDS 2000 AUBURN DRIVE, SUITE 300 CLEVELAND, OHIO 44122 (216) 825 |
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| October 17, 2013 |
I, Luke E. Sims, certify that: Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| October 17, 2013 |
I, David C. Sims, certify that: Exhibit 99.2 I, David C. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period |
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| October 17, 2013 |
Quarterly Schedule of Portfolio Holdings - EAGLE CAPITAL GROWTH FUND INC N-Q 9-30-2013 United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657 (Address of principal executive offices) (zip |
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| September 24, 2013 |
269451100 / CLOSED-E / Ancora Advisors, LLC Activist Investment - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Eagle Capital Growth Fund, Inc. - (Name of Issuer) COMMON SHARES - (Title of Class of Securities) 269451100 - (CUSIP Number) Frederick DiSanto C/O Ancora Advisors, LLC ONE CHAGRIN HIGHLANDS 2000 AUBURN DRIVE, SUITE 300 CLEVELAND, OHIO 44122 (216) 825-4000 - (Name, Addr |
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| August 1, 2013 |
269451100 / CLOSED-E / Ancora Advisors, LLC Activist Investment - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Eagle Capital Growth Fund, Inc. - (Name of Issuer) COMMON SHARES - (Title of Class of Securities) 269451100 - (CUSIP Number) Frederick DiSanto C/O Ancora Advisors, LLC ONE CHAGRIN HIGHLANDS 2000 AUBURN DRIVE, SUITE 300 CLEVELAND, OHIO 44122 (216) 825-4000 - (Name, Addr |
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| July 26, 2013 |
2013 Annual Shareholder Meeting Exhibit 99.77C 2013 Annual Shareholder Meeting The Fund’s 2013 annual meeting of shareholders (“Annual Meeting”) was held on April 18, 2013, for the following purposes: 1. To elect a Board of seven (7) Directors. 2. To ratify the selection of Plante & Moran, PLLC as the independent registered public accountants of the Fund for the calendar year ending December 31, 2013. The following directors wer |
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| April 2, 2013 |
Quarterly Schedule of Portfolio Holdings - EAGLE CAPITAL GROWTH FUND INC N-Q 3-31-2013 N-Q 1 formn-q.htm EAGLE CAPITAL GROWTH FUND INC N-Q 3-31-2013 United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee |
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| April 2, 2013 |
I, David C. Sims, certify that: Exhibit 99.2 I, David C. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period |
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| April 2, 2013 |
I, Luke E. Sims, certify that: EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were |
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| February 28, 2013 |
- EAGLE CAPITAL GROWTH FUND, INC DEF 14A 4-18-2013 SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to § 240. |
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| February 26, 2013 |
OF EAGLE CAPITAL GROWTH FUND, INC. ARTICLE I Exhibit 99.77Q1 BY-LAWS OF EAGLE CAPITAL GROWTH FUND, INC. ARTICLE I OFFICES 1.01 Principal Office. The principal office of the Corporation shall be at such place within the State of Maryland as the Board of Directors shall determine from time to time. 1.02 Other Offices. The Corporation may also have offices at such other places as the Board of Directors from time to time determines or the busine |
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| February 26, 2013 |
Section 16(a) Beneficial Ownership Reporting Compliance Exhibit 99.77Q2 EAGLE CAPITAL GROWTH FUND, INC. Exhibit 99.77Q2 ITEM 405 Section 16(a) Beneficial Ownership Reporting Compliance Directors and officers of the Fund and certain of its affiliates and beneficial owners of more than ten percent of the Common Stock are required to file initial reports of ownership of the Common Stock pursuant to Section 16(a)of the Securities Exchange Act of 1934, as a |
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| February 26, 2013 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit 99.77B REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees and Shareholders of Eagle Capital Growth Fund: In planning and performing our audit of the financial statements of Eagle Capital Growth Fund (the "Fund") as of and for the year ended December 31, 2012, in accordance with the standards of the Public Company Accounting Oversight Board (United States) ("PC |
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| December 11, 2012 |
- EAGLE CAPITAL GROWTH FUND INC 8-K 12-6-2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 6, 2012 EAGLE CAPITAL GROWTH FUND, INC. (Exact name of registrant as specified in its charter) MARYLAND 811-05807 31-1274796 (State or Other Jurisdiction of Incorporation) (Commission File |
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| October 19, 2012 |
269451100 / CLOSED-E / SIMS LUKE E Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 2)* Eagle Capital Growth Fund, Inc. (f/k/a NAIC Growth Fund, Inc.) (Name of Issuer) Common Stock (Title of Class of Securities) 269451100 (formerly 628921108) (CUSIP Number) Luke E. Sims, 225 East Mason Street, Suite 802, Milwaukee, WI 53202-3657; (414) 755- |
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| October 17, 2012 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM To the Board of Trustees and Shareholders of Eagle Capital Growth Fund: In planning and performing our audit of the financial statements of Eagle Capital Growth Fund (the "Fund") as of and for the year ended February 13, 2012, in accordance with the standards of the Public Company Accounting Oversight Board (United States) ("PCAOB"), we consi |
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| October 10, 2012 |
225 East Mason Street Suite 802 Milwaukee, WI 53202-3657 www.eaglecapitalgrowthfund.com October 9, 2012 Ms. Cindy Rose Accountant Office of Disclosure and Review Division of Investment Management U.S. Securities and Exchange Commission 100 F. Street, N.E. Washington, D.C. 20549 Re: Eagle Capital Growth Fund, Inc. ("Fund") Dear Ms. Rose: This is the Fund's response to the four (4) issues raised by |
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| October 4, 2012 |
I, Luke E. Sims, certify that: Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| October 4, 2012 |
Quarterly Schedule of Portfolio Holdings - EAGLE CAPITAL GROWTH FUND INC N-Q 09-30-2012 N-Q 1 formnq.htm EAGLE CAPITAL GROWTH FUND, INC NQ 03-30-2012 United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 225 East Mason Street, Suite 802, Milwaukee |
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| October 4, 2012 |
I, David C. Sims, certify that: Exhibit 99.2 I, David C. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period |
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| July 20, 2012 |
For Against Abstain Withheld 1,860,301 21,554 23,410 0 EX-99.77 2 ex9977.htm EXHIBIT 99.77 Exhibit 99.77 2012 Annual Shareholder Meeting The Fund’s 2012 annual meeting of shareholders (“Annual Meeting”) was held on April 19, 2012, for the following purposes: 1. To elect a Board of seven (7) Directors. 2. To ratify the selection of Plante & Moran, PLLC as the independent registered public accountants of the Fund for the calendar year ending December 31 |
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| April 2, 2012 |
I, David C. Sims, certify that: Exhibit 99.2 I, David C. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period |
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| April 2, 2012 |
Quarterly Schedule of Portfolio Holdings - EAGLE CAPITAL GROWTH FUND INC N-Q 3-31-2012 United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 205 E. Wisconsin Ave, Suite 120, Milwaukee, WI 53202 (Address of principal executive offices) (zip code) |
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| April 2, 2012 |
I, Luke E. Sims, certify that: Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| March 5, 2012 |
- EAGLE CAPITAL GROWTH FUND INC DEF 14A 4-19-2012 SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to § 240. |
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| February 15, 2012 |
Report of Independent Registered Public Accounting Firm Exhibit 99.77B Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareowners Eagle Capital Growth Fund, Inc. We have audited the accompanying statement of assets and liabilities, including the portfolio of investments of Eagle Capital Growth Fund, Inc., as of December 31, 2011 and the related statement of operation for the year then ended, the statement of chang |
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| October 7, 2011 |
EX-99.2 3 ex992.htm EXHIBIT 99.2 Exhibit 99.2 I, David C. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misl |
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| October 7, 2011 |
Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| October 7, 2011 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 205 E. Wisconsin Ave, Suite 120, Milwaukee, WI 53202 (Address of principal executive offices) (zip code) |
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| July 29, 2011 |
For Against Abstain Withheld 1,900,272 56,698 9,852 0 Exhibit 99.77 2011 Annual Shareholder Meeting The Fund’s 2011 annual meeting of shareholders (“Annual Meeting”) was held on April 21, 2011, for the following purposes: 1. To elect a Board of seven (7) Directors. 2. To ratify the selection of Plante & Moran, PLLC as the independent registered public accountants of the Fund for the calendar year ending December 31, 2011. The following directors were |
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| April 7, 2011 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 205 E. Wisconsin Ave, Suite 120, Milwaukee, WI 53202 (Address of principal executive offices) (zip code) |
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| April 7, 2011 |
I, Luke E. Sims, certify that: Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| April 7, 2011 |
I, David C. Sims, certify that: Exhibit 99.2 I, David C. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period |
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| March 4, 2011 |
SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to ? 240. |
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| February 28, 2011 |
SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to § 240. |
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| February 24, 2011 |
EAGLE CAPITAL GROWTH FUND, INC. EAGLE CAPITAL GROWTH FUND, INC. Exhibit 99.77Q2 ITEM 405 Section 16(a) Beneficial Ownership Reporting Compliance Directors and officers of the Fund and certain of its affiliates and beneficial owners of more than ten percent of the Common Stock are required to file initial reports of ownership of the Common Stock pursuant to Section 16(a)of the Securities Exchange Act of 1934, as amended. The Fund |
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| February 24, 2011 |
Report of Independent Registered Public Accounting Firm Exhibit 99.77B Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareowners Eagle Capital Growth Fund, Inc. We have audited the accompanying statement of assets and liabilities, including the portfolio of investments of Eagle Capital Growth Fund, Inc., as of December 31, 2010 and the related statement of operations for the year then ended, the statement of chan |
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| October 13, 2010 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 205 E. Wisconsin Ave, Suite 120, Milwaukee, WI 53202 (Address of principal executive offices) (zip code) |
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| October 13, 2010 |
I, David C. Sims, certify that: Exhibit 99.2 I, David C. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period |
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| October 13, 2010 |
I, Luke E. Sims, certify that: Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| July 29, 2010 |
EX-99.77 2 ex9977.htm EXHIBIT 99.77 Exhibit 99.77 2010 Annual Shareholder Meeting The Fund’s 2010 annual meeting of shareholders (“Annual Meeting”) was held on April 15, 2010, for the following purposes: 1. To elect a Board of six (6) Directors. 2. To ratify the selection of Plante & Moran, PLLC as the independent registered public accountants of the Fund for the calendar year ending December 31, |
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| April 2, 2010 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 205 E. Wisconsin Ave, Suite 120, Milwaukee, WI 53202 (Address of principal executive offices) (zip code) |
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| April 2, 2010 |
I, David C. Sims, certify that: Exhibit 99.2 I, David C. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period |
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| April 2, 2010 |
I, Luke E. Sims, certify that: Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| February 26, 2010 |
EAGLE CAPITAL GROWTH FUND, INC. EAGLE CAPITAL GROWTH FUND, INC. Exhibit 99.77Q2 ITEM 405 Section 16(a) Beneficial Ownership Reporting Compliance Directors and officers of the Fund and certain of its affiliates and beneficial owners of more than ten percent of the Common Stock are required to file initial reports of ownership of the Common Stock pursuant to Section 16(a)of the Securities Exchange Act of 1934, as amended. The Fund |
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| February 26, 2010 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Board of Directors and Shareowners Eagle Capital Growth Fund, Inc. |
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| February 26, 2010 |
SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to ? 240. |
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| October 5, 2009 |
I, David C. Sims, certify that: EX-99.2 3 ex992.htm EXHIBIT 99.2 Exhibit 99.2 I, David C. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misl |
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| October 5, 2009 |
I, Luke E. Sims, certify that: EX-99.1 2 ex991.htm EXHIBIT 99.1 Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were |
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| October 5, 2009 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 205 E. Wisconsin Ave, Suite 120, Milwaukee, WI 53202 (Address of principal executive offices) (zip code) |
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| August 10, 2009 |
Exhibit 99.77 2008 Annual Shareholder Meeting The Fund’s 2008 annual meeting of shareholders (“Annual Meeting”) was held on April 16, 2009, for the following purposes: 1. To elect a Board of seven (7) Directors. 2. To ratify the selection of Plante & Moran, PLLC as the independent registered public accountants of the Fund for the calendar year ending December 31, 2009. The following directors were |
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| April 9, 2009 |
United States Securities and Exchange Commission Washington, D.C. 20549 Form N-Q Quarterly Schedule of Portfolio Holdings of Registered Management Investment Company Investment Company Act file number: 811-05807 Eagle Capital Growth Fund, Inc. (Exact name of registrant as specified in charter) 205 E. Wisconsin Ave, Suite 120, Milwaukee, WI 53202 (Address of principal executive offices) (zip code) |
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| April 9, 2009 |
Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| February 27, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confide |
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| February 27, 2009 |
EAGLE CAPITAL GROWTH FUND, INC. 205 E. Wisconsin Avenue, Suite 120 Milwaukee, WI 53202 NOTICE OF 2009 ANNUAL MEETING OF SHAREHOLDERS To the Shareholders of Eagle Capital Growth Fund, Inc.: Notice is hereby given that the 2009 Annual Meeting of Shareholders (?Meeting?) of the Eagle Capital Growth Fund, Inc. (?Fund?) will be held at the offices of the Bodman LLP located at 201 W. Big Beaver Road, Su |
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| October 7, 2008 |
I, Luke E. Sims, certify that: Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| October 7, 2008 |
OMB Approval OMB Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per |response: 10. |
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| October 7, 2008 |
I, David C. Sims, certify that: Exhibit 99.2 I, David C. Sims, certify that: 1. I have reviewed this report on Form N-Q of Eagle Capital Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period |
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| April 9, 2008 |
United States Securities and Exchange Commission Washington, D.C. 20549 Omb Approval Omb Number: 3235-0578 Expires: April 30, 2010 Estimated average burden hours per response: 10. |
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| April 9, 2008 |
99.1 Certification of principal executive officer as required by Rule 30a-2(a) under the Act. Exhibit 99.1 CERTIFICATIONS I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of NAIC Growth Fund, Inc; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the p |
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| March 25, 2008 |
OMB APPROVAL OMB Number: 3235-0058 Expires April 30, 2009 Estimated average burden hours per response 2. |
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| March 25, 2008 |
OMB APPROVAL OMB Number: 3235-0058 Expires April 30, 2009 Estimated average burden hours per response 2. |
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| March 10, 2008 |
SCHEDULE 14A INFORMATION STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Definitive Proxy Statement o Definitive Additional Materials o Soliciting Material Pursuant to ? 240. |
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| October 10, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A/A Amendment No. 1 FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 NAIC GROWTH FUND, INC. (Exact name of registrant as specified in its charter) Maryland 31-1274796 (State of incorporation or organization) (I.R.S. Employer Identification No.) 711 |
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| October 9, 2007 |
Omb Approval Omb Number: 3235-0578 Expires: May 31, 2007 Estimated average burden hours per response: 21. |
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| October 9, 2007 |
EXHIBIT 99.1 CERTIFICATION I, Luke E. Sims, certify that: 1. I have reviewed this report on Form N-Q of NAIC Growth Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statement made, in light of the circumstances under which statements were made, not misleading with respect to the period |
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| October 2, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. C. 20549 FORM 25 OMB APPROVAL OMB Number: 325-0080 Expires: February 28, 2009 Estimated average burden hours per response……….100 NOTIFICATION OF REMOVAL FROM LISTING AND/OR REGISTRATION UNDER SECTION 12(b) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 1-13188 NAIC Growth Fund, Inc. (Exact name of Issuer as specified i |
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| August 29, 2007 |
2007 Annual Shareholder Meeting EX-99.77C 2 d72633ex99-77c.htm MATTERS SUBMITTED TO A VOTE OF SECURITY HOLDERS 2007 Annual Shareholder Meeting The Fund’s 2007 annual meeting of shareholders (“Annual Meeting”) was held on May 31, 2007, for the following purposes: 1. To elect a Board of five (5) Directors. 2. To ratify or reject the selection of Plante & Moran, PLLC as the independent registered public accountants of the Fund for |
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| August 29, 2007 |
INVESTMENT ADVISORY AGREEMENT This Agreement made this 16th day of February, 2007, but effective as of May 1, 2007 (subject to shareholder approval as set forth below) between NAIC Growth Fund, Inc. |
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| April 3, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* Rockwell Lewis A. 2. Issu |
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| April 3, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* Janke Kenneth Stuart 2. I |
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| March 25, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* Schmeltz Peggy L. 2. Issu |
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| March 14, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION 4 1 schmeltzmarch03.htm FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Pe |
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| March 4, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION 4 1 jankemarch03.htm FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Perso |
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| March 4, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* Rockwell Lewis A. 2. Issu |
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| February 25, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION 4 1 schmeltz-feb2.htm FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Pers |
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| February 6, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION 4 1 rockfeb03.htm FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* |
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| February 6, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION 4 1 jankefeb03.htm FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* |
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| January 6, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION 4 1 rockwell-jan2.htm FORM4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Perso |
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| January 6, 2003 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION 4 1 janke-jan2.htm FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* |
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| December 9, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Blank document-landscape UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| December 4, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* Rockwell Lewis A. 2. Issu |
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| December 4, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION 4 1 janke-dec2.htm FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* |
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| November 19, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* Janke Kenneth Stuart 2. I |
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| November 4, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* Rockwell Lewis A. 2. Issu |
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| October 24, 2002 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION 4 1 schmeltz2.htm FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) 1. Name and Address of Reporting Person* |
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| October 2, 2002 |
OMB APPROVAL OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response. |
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| October 1, 2002 |
4 1 k72092e4.htm STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OMB APPROVAL OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response...0.5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Uti |
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| September 4, 2002 |
FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 193 |
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| September 3, 2002 |
Form 4 FORM 4 Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). (Print or Type Responses) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act |
