0001638181-15-000001.txt : 20150331 0001638181-15-000001.hdr.sgml : 20150331 20150331134039 ACCESSION NUMBER: 0001638181-15-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150320 FILED AS OF DATE: 20150331 DATE AS OF CHANGE: 20150331 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: HOREJSI STEWART R CENTRAL INDEX KEY: 0001246903 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-04605 FILM NUMBER: 15738006 MAIL ADDRESS: STREET 1: 200 SOUTH SANTA FE CITY: SALINA STATE: KS ZIP: 67401 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stewart R. Horejsi Trust No. 2 CENTRAL INDEX KEY: 0001638181 STATE OF INCORPORATION: AK FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 811-04605 FILM NUMBER: 15738007 BUSINESS ADDRESS: STREET 1: C/O ALASKA TRUST COMPANY STREET 2: 1029 W. THIRD AVENUE, STE 400 CITY: ANCHORAGE STATE: AK ZIP: 99501 BUSINESS PHONE: 907-278-6775 MAIL ADDRESS: STREET 1: C/O ALASKA TRUST COMPANY STREET 2: 1029 W. THIRD AVENUE, STE 400 CITY: ANCHORAGE STATE: AK ZIP: 99501 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2015-03-20 1 0000790202 FIRST OPPORTUNITY FUND INC FOFI 0001638181 Stewart R. Horejsi Trust No. 2 C/O ALASKA TRUST COMPANY 1029 W. THIRD AVENUE, STE 400 ANCHORAGE AK 99501 0 0 1 0 0001246903 HOREJSI STEWART R 200 SOUTH SANTA FE SALINA KS 67401 0 0 1 0 Common Stock 2015-03-20 4 S 0 2169602 D 0 D Disposed 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). The trustees of the Stewart R. Horejsi Trust No. 2 (the "Stewart Trust") are Alaska Trust Company ("Alaska Trust"), Laura Tatooles and Brian Sippy. Such trustees may be deemed to control the Stewart Trust and may be deemed to possess indirect beneficial ownership of the Shares held by the Stewart Trust. However, none of the trustees, acting alone, can vote or exercise dispositive authority over Shares held by the Stewart Trust. Accordingly, Alaska Trust, Ms. Tatooles and Mr. Sippy disclaim beneficial ownership of the Shares beneficially owned, directly or indirectly, by the Stewart Trust. As a result of his advisory role with the Stewart Trust, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the Shares directly beneficially owned by the Stewart Trust. However, Mr. Horejsi disclaims such beneficial ownership of the Shares directly beneficially held by the Stewart Trust. Trusts, persons and entities affiliated with the Mildred Trust, including the Lola Brown Trust No. 1B, Stewart R. Horejsi Trust No. 2, and Susan L. Ciciora Trust owned an aggregate of 11,402,886 Shares of the Issuer prior to the reorganization of the Issuer on March 20, 2015. Douglas J. Blattmachr, President, Alaska Trust Company, trustee of the Stewart R. Horejsi Trust No. 2 2015-03-31 Stewart R. Horejsi 2015-03-31