Statement of Changes in Beneficial Ownership (4)
February 24 2020 - 6:06PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
STEWART WEST INDIES TRADING CO., LTD |
2. Issuer Name and Ticker or Trading Symbol
BOULDER GROWTH & INCOME FUND
[
BIF
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director __X__ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
2121 E. CRAWFORD PLACE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/20/2020 |
(Street)
SALINA, KS 67401
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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COMMON STOCK | 2/20/2020 | | P | | 657097 (1) | A | $11.66 | 8625682 | D (2)(3) | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On February 20, 2020, the Reporting Person (also referred to as the "SWIT") received a distribution of 657,097 shares (the "Shares") of Boulder Growith & Income Fund, Inc. (the "Company") from an affiliated trust, the LBT 2019 Trust (the "2019 Trust"). The Reporting Person recieved the Shares pursuant to a general power of appointment granted under the 2019 Trust to Stewart R. Horejsi, the SWIT's grantor. The 2019 Trust allows Mr. Horejsi to appoint Shares allocated to him under such trust in his discretion and he elected to appoint such Shares to the SWIT. |
(2) | The trustee of the SWIT is Peak Trust Company-AK, which may be deemed to control the SWIT. As a result of his advisory role with the SWIT, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the Shares directly beneficially owned by the SWIT. However, Mr. Horejsi disclaims such beneficial ownership of the Shares directly beneficially held by the SWIT. |
(3) | The SWIT and trusts, persons and entities affiliated with the SWIT, including the 2019 Trust, Lola Brown Trust No. 1B, Ernest Horejsi Trust No. 1B, Mildred B. Horejsi Trust, Stewart R. Horejsi Trust No. 2, Susan L. Ciciora Trust, John S. Horejsi Trust and Susan L. Ciciora own an aggregate of 45,384,254 shares of the Company. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
STEWART WEST INDIES TRADING CO., LTD 2121 E. CRAWFORD PLACE SALINA, KS 67401 |
| X |
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Signatures
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/s/ Matthew Blattmachr | | 2/24/2020 |
**Signature of Reporting Person | Date |
President Peak Trust Company, Trustee of the Trust | | 2/24/2020 |
**Signature of Reporting Person | Date |
Stewart R. Horejsi | | 2/24/2020 |
**Signature of Reporting Person | Date |
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