SEC Form 4 · accession 0001245558-15-000002
BOULDER GROWTH & INCOME FUND · BIF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Susan L Ciciora
10% Owner
Period of report
Mar 20, 2015
Accepted (ET)
Mar 25, 2015 · 6:20 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000102426
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2,F3 | Mar 20, 2015 | P$0 | 19,560 | — | A | 39,560 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Received in exchange for 6,267 shares of Boulder Total Return Fund, Inc. (BTF) common stock, pursuant to an Agreement and Plan of Reorganization between the Issuer, BTF and affiliated funds (the Merger).
- F2On March 20, 2015, the effective date of the Merger, Shares of BTF were exchanged for shares of Issuer 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).
- F3Susan L. Ciciora is the daughter of Stewart R. Horejsi. Trusts, persons and entities affiliated with Stewart R. Horejsi and the reporting person, 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 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.