Filing Details

Accession Number:
0001247992-15-000002
Form Type:
4
Zero Holdings:
No
Publication Time:
2015-03-24 18:13:36
Reporting Period:
2015-03-20
Filing Date:
2015-03-24
Accepted Time:
2015-03-24 18:13:36
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
895422 Boulder Total Return Fund Inc BTF () 954405635
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1246903 R Stewart Horejsi 200 South Santa Fe
Salina KS 67401
No No Yes No
1247992 1B Trust Brown Lola 1029 West 3Rd Avenue, Suite 400
Anchorage AK 99503
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Disposition 2015-03-20 1,666,907 $0.00 0 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
Footnotes
  1. Disposed of on March 20, 2015 pursuant to an Agreement and Plan of Reorganization between the Issuer and Boulder Growth & Income Fund, Inc. (BIF) and two affiliated funds in exchange for BIF common stock at a conversion rate of 3.121182 shares of BIF common stock (net asset value $10.73 per share) for each share of Issuers common stock (net asset value $33.50 per share).
  2. The trustees of the Lola Brown Trust No. 1B (the "Brown Trust") are Alaska Trust Company ("Alaska Trust"), Susan L. Ciciora and Larry Dunlap. Such trustees may be deemed to control the Brown Trust and may be deemed to possess indirect beneficial ownership of the Shares held by the Brown Trust. However, none of the trustees, acting alone, can vote or exercise dispositive authority over Shares held by the Brown Trust. Accordingly, Alaska Trust, Ms. Ciciora and Mr. Dunlap disclaim beneficial ownership of the Shares beneficially owned, directly or indirectly, by the Brown Trust. In addition to serving as a trustee, Ms. Ciciora is also a beneficiary of the Brown Trust. As a result of his advisory role with the Brown Trust, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the Shares directly beneficially owned by the Brown Trust. However, Mr. Horejsi disclaims such beneficial ownership of the Shares directly beneficially held by the Brown Trust.
  3. Trusts, persons and entities affiliated with the Brown Trust, including the Stewart West Indies Trust, the Ernest Horejsi Trust No. 1B, the Susan L. Ciciora Trust and Evergreen Atlantic LLC, owned an aggregate of 5,215,262 Shares of the Issuer prior to the reorganization of the Issuer on March 20, 2015.