SEC Form 4 · accession 0001245551-15-000002
FIRST OPPORTUNITY FUND INC · FOFI
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
Stephen C Miller
Officer — President
Period of report
Mar 20, 2015
Accepted (ET)
Mar 24, 2015 · 4:18 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000790202
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 20, 2015 | S$0 | 10,900 | — | D | 0 | D | |
| Common StockF1,F2 | Mar 20, 2015 | S$0 | 12,150 | — | D | 0 | I | By Self as Member of Erma Miller, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Disposed 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 1.111719 shares of BIF common stock (net asset value $10.73 per share) for each share of Issuers common stock (net asset value $11.93 per share).
- F2In addition to the 10,900 Shares of the Issuer Mr. Miller owns directly, Mr. Miller also owns 12,150 Shares indirectly as a member of Erma Miller, LLC. The members of Erma Miller, LLC ("EMLLC") are Erma Miller, Stephen C. Miller, William Miller, Susan Roof, and Cynthia Ziegler. Such members may be deemed to control EMLLC and may be deemed to possess indirect beneficial ownership of the Shares held by EMLLC. Stephen C. Miller and Erma Miller, acting alone, can vote or exercise dispositive authority over Shares held by EMLLC.