-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RRa3SwkcwJ+CVjxqPSC4q/d0esnWd7gfbcFPtfh6e/n91/9d82t3mszKH79jVGjh bY0bTSKkhJT52KVRr9skPQ== 0001164061-08-000012.txt : 20081208 0001164061-08-000012.hdr.sgml : 20081208 20081208094220 ACCESSION NUMBER: 0001164061-08-000012 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20081208 DATE AS OF CHANGE: 20081208 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BOULDER TOTAL RETURN FUND INC CENTRAL INDEX KEY: 0000895422 IRS NUMBER: 954405635 STATE OF INCORPORATION: MD FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46927 FILM NUMBER: 081234694 BUSINESS ADDRESS: STREET 1: 2344 SPRUCE STREET STREET 2: SUITE A CITY: BOULDER STATE: CO ZIP: 80302 BUSINESS PHONE: 3034445483 MAIL ADDRESS: STREET 1: 2344 SPRUCE STREET STREET 2: SUITE A CITY: BOULDER STATE: CO ZIP: 80302 FORMER COMPANY: FORMER CONFORMED NAME: PREFERRED INCOME MANAGEMENT FUND INC DATE OF NAME CHANGE: 19930328 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALTER ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0001164061 IRS NUMBER: 223172699 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 731 ALEXANDER ROAD STREET 2: SUITE 301 CITY: PRINCETON STATE: NJ ZIP: 08540 BUSINESS PHONE: 6095143690 MAIL ADDRESS: STREET 1: 731 ALEXANDER RD. STREET 2: SUITE 301 CITY: PRINCETON STATE: NJ ZIP: 08540 SC 13G/A 1 sc13ga113008.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9) Boulder Total Return Fund, Inc. - ----------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $.01 PAR VALUE - ----------------------------------------------------------------- (Title of Class of Securities) 101541100 - ----------------------------------------------------------------- (CUSIP Number) NOVEMBER 30, 2008 - ----------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 101541100 - ----------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S Identification No. of above person. ALTER ASSET MANAGEMENT, INC. 22-3172699 - ----------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - ----------------------------------------------------------------- 3. SEC Use Only - ----------------------------------------------------------------- 4. Citizenship or Place of Organization STATE OF DELAWARE - ----------------------------------------------------------------- 5. Sole Voting Power 110,153 Number of ------------------------------------------------- Shares 6. Shared Voting Power NONE Beneficially 5,459 - no voting power Owned by ------------------------------------------------- Each Reporting 7. Sole Dispositive Power 110,153 Person ------------------------------------------------- With: 8. Shared Dispositive Power NONE 5,459 - no dispositive power - ----------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 115,612 - ----------------------------------------------------------------- 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares [ ] - ----------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 0.94% - ----------------------------------------------------------------- 12. Type of Reporting Person IA Investment Adviser,in accordance with section 240.13d-1(b)(1)(ii)(E) - ----------------------------------------------------------------- CUSIP No. 101541100 - ----------------------------------------------------------------- Item 1. (a) Name of Issuer: Boulder Total Return Fund, Inc. (b) Address of Issuer's Principal Executive Offices: 2344 Spruce Street Suite A Boulder, Colorado 80302 Item 2. (a) Name of Person Filing: Alter Asset Management, Inc. (b) Address of Principal Business Office or, if none, Residence: 731 Alexander Road Suite 301 Princeton, New Jersey 08540 (c) Citizenship: State of Delaware (d) Title of Class of Securities: COMMON STOCK, $.01 par value per share (e) CUSIP Number: 101541100 Item 3. If this statement is filed pursuant to Rules 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under section 15 of the Act; (b) [ ] Bank as defined in section 3(a)(6) of the Act; (c) [ ] Insurance company as defined in section 3(a)(19) of the Act; (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940; (e) [X] An investment adviser in accordance with Rule 240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940; (j) [ ] Group, in accordance with Rule 240.13d-1(b)(1)(ii)(J). Item 4. Ownership Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: 115,612 (b) Percent of class: 0.94% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 110,153 (ii) Shared power to vote or to direct the vote: NONE 5,459 (no voting power) (iii) Sole power to dispose or direct the disposition of: 110,153 (iv) Shared power to dispose or direct the disposition of: NONE 5,459 (no power to dispose) Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [x] Item 6. Ownership of More than Five Percent on Behalf of Another Person ALL SECURITIES REPORTED IN THIS SCHEDULE ARE OWNED BY ALTER ASSET MANAGEMENT,INC.'s ADVISORY CLIENTS, NONE OF WHICH TO ALTER ASSET MANAGEMENT, INC.'s KNOWLEDGE OWNS MORE THAN 5% OF THE CLASS. ALTER ASSET MANAGEMENT, INC. DISCLAIMS BENEFICIAL OWNERSHIP OF ALL SUCH SECURITIES. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person NOT APPLICABLE Item 8. Identification and Classification of Members of the Group NOT APPLICABLE Item 9. Notice of Dissolution of Group NOT APPLICABLE Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: December 8, 2008 Signature: GEORGE ANDRESEN Name/Title: George Andresen Chief Compliance Officer Alter Asset Management, Inc. -----END PRIVACY-ENHANCED MESSAGE-----