Initial Statement of Beneficial Ownership (3)
May 12 2020 - 11:23AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
*
JOHN X. CICIORA TRUST |
2. Date of Event Requiring Statement (MM/DD/YYYY)
5/5/2020
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3. Issuer Name and Ticker or Trading Symbol
BOULDER GROWTH & INCOME FUND [BIF]
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(Last)
(First)
(Middle)
3000 A STREET SUITE 200 |
4. 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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(Street)
ANCHORAGE, AK 99503
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY)
| 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 Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
COMMON STOCK | 791887 (1) | 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. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | On May 5, 2020, the Reporting Person (also referred to as the "JXCT") received a distribution of 791,887 shares (the "Shares") of Boulder Growth & Income Fund, Inc. (the "Company")from an affiliated trust, the LBT 2019 Trust (the "2019 Trust"). The Reporting Person received the Shares pursuant to a general power of appointment granted under the 2019 Trust to John X. Ciciora, the JXCT's grantor. The 2019 Trust allows Mr. Ciciora to appoint Shares allocated to him under such trust in his discretion and he elected to appoint such Shares to the JXCT. |
(2) | The trustee of the JXCT is Peak Trust Company-AK, which may be deemed to control the JXCT. As a result of his advisory role with the JXCT, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the Shares directly beneficially owned by the JXCT. However, Mr. Horejsi disclaims such beneficial ownership of the Shares directly beneficially held by the JXCT. |
(3) | The JXCT and trusts, persons and entities affiliated with the JXCT, including the 2019 Trust, Lola Brown Trust No. 1B, Ernest Horejsi Trust No. 1B, Mildred B. Horejsi Trust, Stewart R. Horejsi Trust No. 2, Stewart West Indies Trust, Susan L. Ciciora Trust, John S. Horejsi Trust, Jack S. Ciciora Trust, Amanda N. Ciciora Trust, Courtney M. Ciciora 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 |
JOHN X. CICIORA TRUST 3000 A STREET SUITE 200 ANCHORAGE, AK 99503 |
| X |
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Signatures
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/s/ Matthew Blattmachr | | 5/12/2020 |
**Signature of Reporting Person | Date |
President Peak Trust Company, Trustee of the Trust | | 5/12/2020 |
**Signature of Reporting Person | Date |
Stewart R. Horesji | | 5/12/2020 |
**Signature of Reporting Person | Date |
John X. Ciciora | | 5/12/2020 |
**Signature of Reporting Person | Date |
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