SEC Form 4 · accession 0001246908-15-000001
BOULDER TOTAL RETURN FUND INC · BTF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Mar 20, 2015
Accepted (ET)
Mar 24, 2015 · 6:32 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000895422
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 | 8,334 | — | D | 0 | D |
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 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).
- F2Ellen O. Cooper is the spouse of Stewart R. Horejsi. Trusts, persons and entities affiliated with Stewart R. Horejsi, including the Ernest Horejsi Trust, Stewart West Indies Trust, Lola Brown Trust No. 1B, 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.