0001248004-14-000001.txt : 20141202
0001248004-14-000001.hdr.sgml : 20141202
20141202171750
ACCESSION NUMBER: 0001248004-14-000001
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141130
FILED AS OF DATE: 20141202
DATE AS OF CHANGE: 20141202
ISSUER:
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
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: EVERGREEN TRUST
CENTRAL INDEX KEY: 0001248004
STATE OF INCORPORATION: AK
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-07390
FILM NUMBER: 141261422
BUSINESS ADDRESS:
STREET 1: 1029 WEST 3RD AVENUE, SUITE 400
CITY: ANCHORAGE
STATE: AK
ZIP: 99503
BUSINESS PHONE: 303-444-5483
MAIL ADDRESS:
STREET 1: 1029 WEST 3RD AVENUE, SUITE 400
CITY: ANCHORAGE
STATE: AK
ZIP: 99503
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2014-11-30
0
0000895422
BOULDER TOTAL RETURN FUND INC
BTF
0001248004
EVERGREEN TRUST
1029 WEST 3RD AVENUE, SUITE 400
ANCHORAGE
AK
99503
0
0
1
0
Common Stock
2014-11-30
4
S
0
25698
27.74
D
0
D
The shares reported in Item 4 were effected as an inter-trust transfer and gift from the Evergreen Trust to the Stewart West Indies Trust, both of which are affiliated with the Horejsi family, in connection with the dissolution of the Evergreen Trust. The closing market price of the Fund's stock on November 28, 2014, the last trading day before the effective date of the gift, was $27.74 per share.
The trustees of the Evergreen Trust are Alaska Trust Company ("Alaska Trust"), Stephen C. Miller and Larry L. Dunlap. Such trustees may be deemed to control the Evergreen Trust and may be deemed to possess indirect beneficial ownership of the shares held by the Evergreen Trust. However, none of the trustees, acting alone, can vote or exercise dispositive authority over shares held by the Evergreen Trust. Accordingly, Alaska Trust, Mr. Miller and Mr. Dunlap disclaim beneficial ownership of the shares beneficially owned directly or indirectly, by the Evergreen Trust.
As a result of his advisory role with the Evergreen Trust, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the shares directly beneficially owned by the Evergreen Trust. However, Mr. Horejsi disclaims such beneficial ownership of the shares directly beneficially held by the Evergreen Trust.
Trusts and entities affiliated with the Evergreen Trust, including the Lola Brown Trust No. 1B, the Ernest Horejsi Trust No. 1B, the Susan L. Ciciora Trust, the Stewart West Indies Trust, and Evergreen Atlantic LLC, own an aggregate of 5,200,661 shares of the Fund following these transactions.
Douglas J. Blattmachr, President, Alaska Trust Company, trustee of the Evergreen Trust
2014-12-02
Stewart R. Horejsi
2014-12-02