0001247992-12-000017.txt : 20120316
0001247992-12-000017.hdr.sgml : 20120316
20120316140037
ACCESSION NUMBER: 0001247992-12-000017
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120314
FILED AS OF DATE: 20120316
DATE AS OF CHANGE: 20120316
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: HOREJSI STEWART R
CENTRAL INDEX KEY: 0001246903
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-04605
FILM NUMBER: 12696998
MAIL ADDRESS:
STREET 1: 200 SOUTH SANTA FE
CITY: SALINA
STATE: KS
ZIP: 67401
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST OPPORTUNITY FUND INC
CENTRAL INDEX KEY: 0000790202
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000]
IRS NUMBER: 133341573
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0331
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: FIRST FINANCIAL FUND INC
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST SAVINGS & BANKING INSTITUTIONS FUND INC
DATE OF NAME CHANGE: 19860402
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CICIORA SUSAN L
CENTRAL INDEX KEY: 0001245558
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-04605
FILM NUMBER: 12696999
MAIL ADDRESS:
STREET 1: 2344 SPRUCE STREET, STE A
CITY: BOULDER
STATE: CO
ZIP: 80302
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LOLA BROWN TRUST 1B
CENTRAL INDEX KEY: 0001247992
STATE OF INCORPORATION: AK
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-04605
FILM NUMBER: 12697000
BUSINESS ADDRESS:
STREET 1: 1029 WEST 3RD AVENUE, SUITE 400
CITY: ANCHORAGE
STATE: AK
ZIP: 99503
BUSINESS PHONE: 303-444-5483
MAIL ADDRESS:
STREET 1: 1029 WEST 3RD AVENUE, SUITE 400
CITY: ANCHORAGE
STATE: AK
ZIP: 99503
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0304
4
2012-03-14
0
0000790202
FIRST OPPORTUNITY FUND INC
FOFI
0001247992
LOLA BROWN TRUST 1B
1029 WEST 3RD AVENUE, SUITE 400
ANCHORAGE
AK
99503
0
0
1
0
0001245558
CICIORA SUSAN L
2344 SPRUCE STREET, STE A
BOULDER
CO
80302
1
0
0
0
0001246903
HOREJSI STEWART R
200 SOUTH SANTA FE
SALINA
KS
67401
0
0
1
0
Common Stock
2012-03-14
4
P
0
5000
6.76
A
4560475
D
Common Stock
2012-03-14
4
P
0
5000
6.77
A
4565475
D
Common Stock
2012-03-15
4
P
0
4400
6.79
A
4569875
D
Common Stock
2012-03-15
4
P
0
17000
6.8
A
4586875
D
Common Stock
2012-03-15
4
P
0
1747
6.77
A
4588622
D
Common Stock
2012-03-15
4
P
0
728
6.78
A
4589350
D
Common Stock
2012-03-15
4
P
0
5000
6.85
A
4594350
D
Common Stock
2012-03-15
4
P
0
5000
6.82
A
4599350
D
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.
Trusts affiliated with the Brown Trust, including the Mildred B. Horejsi Trust, the Susan L. Ciciora Trust, and the Stewart R. Horejsi Trust No. 2, own an aggregate of 11,232,454 Shares of the Fund following these transactions.
Douglas J. Blattmachr, President, Alaska Trust Company, trustee of the Lola Brown Trust No. 1B
2012-03-16
Susan L. Ciciora
2012-03-16
Stewart R. Horejsi
2012-03-16