0001247995-15-000003.txt : 20150324 0001247995-15-000003.hdr.sgml : 20150324 20150324193706 ACCESSION NUMBER: 0001247995-15-000003 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150320 FILED AS OF DATE: 20150324 DATE AS OF CHANGE: 20150324 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: STEWART WEST INDIES TRUST CENTRAL INDEX KEY: 0001247997 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-02328 FILM NUMBER: 15722997 MAIL ADDRESS: STREET 1: 1680 38TH STREET STE 800 STREET 2: BOULDER INVESTMENT ADVISERS LLC CITY: BOULDER STATE: CO ZIP: 80301 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SUSAN L CICIORA TRUST CENTRAL INDEX KEY: 0001247999 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-02328 FILM NUMBER: 15722998 BUSINESS ADDRESS: STREET 1: 1029 WEST 3RD AVENUE, SUITE 400 CITY: ANCHORAGE STATE: AK ZIP: 99503 BUSINESS PHONE: 3034422156 MAIL ADDRESS: STREET 1: 1029 WEST 3RD AVENUE, SUITE 400 CITY: ANCHORAGE STATE: AK ZIP: 99503 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: HOREJSI STEWART R CENTRAL INDEX KEY: 0001246903 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-02328 FILM NUMBER: 15722999 MAIL ADDRESS: STREET 1: 200 SOUTH SANTA FE CITY: SALINA STATE: KS ZIP: 67401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EVERGREEN ATLANTIC LLC CENTRAL INDEX KEY: 0001247995 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 811-02328 FILM NUMBER: 15723000 MAIL ADDRESS: STREET 1: 1680 38TH STREET STE 800 STREET 2: BOULDER INVESTMENT ADVISERS LLC CITY: BOULDER STATE: CO ZIP: 80301 3 1 primary_doc.xml PRIMARY DOCUMENT X0206 3 2015-03-20 0 0000102426 BOULDER GROWTH & INCOME FUND BIF 0001247995 EVERGREEN ATLANTIC LLC 2344 SPRUCE STREET SUITE A BOULDER CO 80302 0 0 1 0 0001246903 HOREJSI STEWART R 200 SOUTH SANTA FE SALINA KS 67401 0 0 1 0 0001247999 SUSAN L CICIORA TRUST 1029 WEST 3RD AVENUE, SUITE 400 ANCHORAGE AK 99503 0 0 1 0 0001247997 STEWART WEST INDIES TRUST 2344 SPRUCE STREET SUITE A BOULDER CO 80302 0 0 1 0 Common Stock 1072903 D Received in exchange for 343,749 shares of Boulder Total Return Fund, Inc. (BTF) common stock pursuant to an Agreement and Plan of Reorganization between the Issuer and BTF and two affiliated funds (the Merger). On March 20, 2015, the effective date of the Merger, shares of Issuer were exchanged for Shares of BTF at a conversion rate of 3.121182 Shares of Issuers common stock (net asset value $10.73 per share) for each share of BTFs common stock (net asset value $33.50 per share). The manager of Evergreen Atlantic LLC ("Evergreen Atlantic") is Stewart R. Horejsi. The members of Evergreen Atlantic are the Susan L. Ciciora Trust and the Stewart West Indies Trust. Mr. Horejsi may be deemed to control Evergreen Atlantic and may be deemed to possess indirect beneficial ownership of the Shares held by Evergreen Atlantic. Trusts, persons and entities affiliated with the reporting person(s), including Evergreen Atlantic, Lola Brown Trust No. 1B, Ernest Horejsi Trust No. 1B, Mildred B. Horejsi Trust, Stewart West Indies Trust, Stewart R. Horejsi Trust No. 2 and the Susan L. Ciciora Trust, will own an aggregate of 45,444,848 Shares of the Issuer after the reorganization of the Issuer on March 20, 2015. Stewart R. Horejsi, Manager 2015-03-24 Susan L. Ciciora Trust, Member 2015-03-24 Stewart West Indies Trust, Member 2015-03-24