0001246908-15-000003.txt : 20150505 0001246908-15-000003.hdr.sgml : 20150505 20150505130027 ACCESSION NUMBER: 0001246908-15-000003 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150320 FILED AS OF DATE: 20150505 DATE AS OF CHANGE: 20150505 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: HOREJSI STEWART R CENTRAL INDEX KEY: 0001246903 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 811-02328 FILM NUMBER: 15831642 MAIL ADDRESS: STREET 1: 2121 E. CRAWFORD PLACE CITY: SALINA STATE: KS ZIP: 67401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: COOPER ELLEN O CENTRAL INDEX KEY: 0001246908 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 811-02328 FILM NUMBER: 15831643 MAIL ADDRESS: STREET 1: 2121 E. CRAWFORD PLACE CITY: SALINA STATE: KS ZIP: 67401 4/A 1 primary_doc.xml PRIMARY DOCUMENT X0306 4/A 2015-03-20 2015-03-24 0 0000102426 BOULDER GROWTH & INCOME FUND BIF 0001246908 COOPER ELLEN O 2121 E. CRAWFORD PLACE SALINA KS 67401 0 0 1 0 0001246903 HOREJSI STEWART R 2121 E. CRAWFORD PLACE SALINA KS 67401 0 0 1 0 Common Stock 2015-03-20 4 P 0 26011 A 60590 D On March 20, 2015, Boulder Total Return Fund, Inc. ("BTF"), The Denali Fund Inc. ("DNY") and First Opportunity Fund, Inc. ("FOFI") reorganized into Boulder Growth & Income Fund, Inc. ("BIF") (the "Reorganization") pursuant to that certain Agreement and Plan of Reorganization, dated as of March 5, 2015 (the "Agreement"). Pursuant to the Agreement, BIF acquired all of the assets and liabilities of BTF, DNY and FOFI in exchange for common shares of BIF (the "BIF Shares"). The Reorganization occurred based on the relative net asset values ("NAV") of BIF, BTF, DNY and FOFI as of the close of regular trading on the New York Stock Exchange on March 20, 2015. At such time, BIF reported net assets of $273,608,352.67 and a NAV per share of $10.73 and BTF reported net assets of $413,286,769.95 and a NAV per share of $33.50. Holders of BTF shares received 3.121182 BIF Shares for each BTF share owned. Fractional shares were paid in cash. In connection with the Reorganization, Ellen O. Cooper received 26,011 BIF Shares (and cash for fractional shares, if any) for her 8,334 shares of BTF. Ellen O. Cooper is the spouse of Stewart R. Horejsi. Trusts, persons and entities affiliated with Stewart R. Horejsi and 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, Susan L. Ciciora Trust and Susan L. Ciciora (the "Horejsi Affiliates") own an aggregate of 45,844,843 shares of BIF. This Form 4/A (this "Amendment") is being filed by the Reporting Person to amend and restate in its entirety the Form 4 originally filed by the Reporting Person with the Securities and Exchange Commission on March 24, 2015 (the "Original Form 4"). This Amendment revises the Original Form 4 by (i) correcting the aggregate amount of BIF shares owned by the Horejsi Affiliates, which exact amount was unknown at the time of filing the Original Form 4 and (ii) amending the footnotes to provide more adequate disclosure of the Reorganization. /s/ Ellen O. Cooper 2015-05-05 /s/ Stewart R. Horejsi 2015-05-05