0001247992-12-000026.txt : 20121030 0001247992-12-000026.hdr.sgml : 20121030 20121030183606 ACCESSION NUMBER: 0001247992-12-000026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121026 FILED AS OF DATE: 20121030 DATE AS OF CHANGE: 20121030 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOREJSI STEWART R CENTRAL INDEX KEY: 0001246903 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-02328 FILM NUMBER: 121169401 MAIL ADDRESS: STREET 1: 200 SOUTH SANTA FE CITY: SALINA STATE: KS ZIP: 67401 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: BOULDER GROWTH & INCOME FUND CENTRAL INDEX KEY: 0000102426 IRS NUMBER: 132729672 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: USLIFE INCOME FUND INC DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ERNEST HOREJSI TRUST NO 1B CENTRAL INDEX KEY: 0001091477 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-02328 FILM NUMBER: 121169403 BUSINESS ADDRESS: STREET 1: 1029 WEST 3RD AVENUE, SUITE 400 CITY: ANCHORAGE STATE: AK ZIP: 99503 BUSINESS PHONE: (303) 442-2156 MAIL ADDRESS: STREET 1: 1029 WEST 3RD AVENUE, SUITE 400 CITY: ANCHORAGE STATE: AK ZIP: 99503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CICIORA SUSAN L CENTRAL INDEX KEY: 0001245558 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-02328 FILM NUMBER: 121169402 MAIL ADDRESS: STREET 1: 2344 SPRUCE STREET, STE A CITY: BOULDER STATE: CO ZIP: 80302 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2012-10-26 0 0000102426 BOULDER GROWTH & INCOME FUND BIF 0001091477 ERNEST HOREJSI TRUST NO 1B 1029 WEST 3RD AVENUE, SUITE 400 ANCHORAGE AK 99503 0 0 1 0 0001245558 CICIORA SUSAN L 2344 SPRUCE STREET, STE A BOULDER CO 80302 1 0 0 0 0001246903 HOREJSI STEWART R 200 SOUTH SANTA FE SALINA KS 67401 0 0 1 0 Common Stock 2012-10-26 4 S 0 1590294 6.57 D 7048611 D The Shares reported in Item 4 were sold at the closing price of the Fund's stock on October 25, 2012 through a privately negotiated transaction between Trusts affiliated with the Horejsi family. The trustees of the Ernest Horejsi Trust No. 1B (the "Ernest Trust") are Alaska Trust Company ("Alaska Trust"), Susan L. Ciciora and Larry Dunlap. Such trustees may be deemed to control the Ernest Trust and may be deemed to possess indirect beneficial ownership of the Shares held by the Ernest Trust. However, none of the trustees, acting alone, can vote or exercise dispositive authority over Shares held by the Ernest Trust. Accordingly, Alaska Trust, Ms. Ciciora and Mr. Dunlap disclaim beneficial ownership of the Shares beneficially owned, directly or indirectly, by the Ernest Trust. In addition to serving as a trustee, Ms. Ciciora is also a beneficiary of the Ernest Trust. As a result of his advisory role with the Ernest Trust, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the Shares directly beneficially owned by the Ernest Trust. However, Mr. Horejsi disclaims such beneficial ownership of the Shares directly beneficially held by the Ernest Trust. These transactions did not result in a change to the Horejsi Trust's aggregate ownership. Trusts affiliated with the Ernest Trust, including the Lola Brown Trust No. 1B, own an aggregate of 8,638,905 Shares of the Fund following these transactions. Douglas J. Blattmachr, President, Alaska Trust Company, trustee of the Ernest Horejsi Trust No. 1B 2012-10-30 Susan L. Ciciora 2012-10-30 Stewart R. Horejsi 2012-10-30