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