0001365133-15-000002.txt : 20150324
0001365133-15-000002.hdr.sgml : 20150324
20150324215450
ACCESSION NUMBER: 0001365133-15-000002
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: CICIORA SUSAN L
CENTRAL INDEX KEY: 0001245558
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-02328
FILM NUMBER: 15723167
MAIL ADDRESS:
STREET 1: 2344 SPRUCE STREET, STE A
CITY: BOULDER
STATE: CO
ZIP: 80302
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: 15723168
MAIL ADDRESS:
STREET 1: 200 SOUTH SANTA FE
CITY: SALINA
STATE: KS
ZIP: 67401
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: MILDRED B. HOREJSI TRUST
CENTRAL INDEX KEY: 0001365133
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 3
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-02328
FILM NUMBER: 15723169
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
FORMER NAME:
FORMER CONFORMED NAME: Mildred B. Horejsi Trust
DATE OF NAME CHANGE: 20060605
3
1
primary_doc.xml
PRIMARY DOCUMENT
X0206
3
2015-03-20
0
0000102426
BOULDER GROWTH & INCOME FUND
BIF
0001365133
MILDRED B. HOREJSI TRUST
1029 WEST 3RD AVENUE, SUITE 400
ANCHORAGE
AK
99503
0
0
1
0
0001246903
HOREJSI STEWART R
200 SOUTH SANTA FE
SALINA
KS
67401
0
0
1
0
0001245558
CICIORA SUSAN L
2344 SPRUCE STREET, STE A
BOULDER
CO
80302
0
0
1
0
Common Stock
5543696
D
Received in exchange for 1,030,344 shares of The Denali Fund Inc. (DNY) common stock and 2,725,929 shares of First Opportunity Fund, Inc. (FOFI) common stock pursuant to an Agreement and Plan of Reorganization between the Issuer, the foregoing funds and an affiliated fund (the Merger).
a. On March 20, 2015, the effective date of the Merger, Shares of DNY were exchanged for shares of Issuer at a conversion rate of 2.439214 Shares of Issuers common stock (net asset value $10.73 per share) for each share of DNYs common stock (net asset value $26.18 per share).
b. On March 20, 2015, the effective date of the Merger, Shares of FOFI were exchanged for shares of Issuer at a conversion rate of 1.111719 Shares of Issuers common stock (net asset value $10.73 per share) for each share of FOFIs common stock (net asset value $11.93 per share).
The trustees of the Mildred B. Horejsi Trust (the "Mildred Trust") are Alaska Trust Company ("Alaska Trust"), Susan L. Ciciora and Brian Sippy. Such trustees may be deemed to control the Mildred Trust and may be deemed to possess indirect beneficial ownership of the Shares held by the Mildred Trust. However, none of the trustees, acting alone, can vote or exercise dispositive authority over Shares held by the Mildred Trust. Accordingly, Alaska Trust, Ms. Ciciora and Mr. Sippy disclaim beneficial ownership of the Shares beneficially owned, directly or indirectly, by the Mildred Trust. In addition to serving as a trustee, Ms. Ciciora is also a beneficiary of the Mildred Trust. As a result of his advisory role with the Mildred Trust, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the Shares directly beneficially owned by the Mildred Trust. However, Mr. Horejsi disclaims such beneficial ownership of the Shares directly beneficially held by the Mildred Trust.
Trusts, persons and entities affiliated with the reporting person(s), including Evergreen Atlantic, LLC, Lola Brown Trust No. 1B, Ernest Horejsi Trust No. 1B, Mildred B. Horejsi Trust, Stewart West Indies Trust, Stewart R. Horejsi Trust 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.
Douglas J. Blattmachr, President, Alaska Trust Company, trustee of the Mildred B. Horejsi Trust
2015-03-24
Stewart R. Horejsi
2015-03-24