Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SRH Total Return Fund, Inc.BIF · Entity 4587 | 10% owner | April 10, 2019 | April 11, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
SRH Total Return Fund, Inc.
Report date April 10, 2019 · Filed April 11, 2019
Jointly reported with SUSAN L CICIORA TRUST
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| COMMON STOCKSEC Table I · non-derivative | Direct | 6,837,719 |
Reported balance
After 2019-04-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2019-04-10 · Purchase · Acquired 1,365,044 · Balance 6,837,719 F1: On April 10, 2019, the Reporting Person acquired 1,365,044 shares (the "Shares") of Boulder Growth & Income Fund, Inc. from an affiliated trust, Ernest Horejsi Trust No. 1B ("EHT"). The Shares were valued at $10.96 per share based on the closing price reported for such shares by the New York Stock Exchange on April 9, 2019. The Reporting Person acquired the Shares in lieu of cash repayment with respect to an intra-trust loan between the Reporting Person as lender and EHT as borrower in the amount of $14,960,882. F2: The trustee of the Reporting Person (also referred to herein as the "Trust") is Peak Trust Company-AK, which may be deemed to control the Trust. As a result of his advisory role with the Trust, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the shares directly beneficially owned by the Trust. However, Mr. Horejsi disclaims such beneficial ownership of the shares directly beneficially held by the Trust. F3: The Trust and trusts, persons and entities affiliated with the Trust, including Lola Brown Trust No. 1B, Ernest Horejsi Trust No. 1B, Mildred B. Horejsi Trust, Stewart West Indies Trust, Stewart R. Horejsi Trust No. 2 and Susan L. Ciciora own an aggregate of 45,384,254 shares of BIF. |
Filing footnotes · ownership attribution and instrument terms
F1: On April 10, 2019, the Reporting Person acquired 1,365,044 shares (the "Shares") of Boulder Growth & Income Fund, Inc. from an affiliated trust, Ernest Horejsi Trust No. 1B ("EHT"). The Shares were valued at $10.96 per share based on the closing price reported for such shares by the New York Stock Exchange on April 9, 2019. The Reporting Person acquired the Shares in lieu of cash repayment with respect to an intra-trust loan between the Reporting Person as lender and EHT as borrower in the amount of $14,960,882.
F2: The trustee of the Reporting Person (also referred to herein as the "Trust") is Peak Trust Company-AK, which may be deemed to control the Trust. As a result of his advisory role with the Trust, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the shares directly beneficially owned by the Trust. However, Mr. Horejsi disclaims such beneficial ownership of the shares directly beneficially held by the Trust.
F3: The Trust and trusts, persons and entities affiliated with the Trust, including Lola Brown Trust No. 1B, Ernest Horejsi Trust No. 1B, Mildred B. Horejsi Trust, Stewart West Indies Trust, Stewart R. Horejsi Trust No. 2 and Susan L. Ciciora own an aggregate of 45,384,254 shares of BIF.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| April 10, 2019 Filed Apr 11, 2019 21:32 UTC | SRH Total Return Fund, Inc. BIF · Entity 4587 | PurchaseCOMMON STOCK | 1,365,044 | $10.96 | $14,960,882.24 |
DisclosureSEC source: 0001247999-19-000001 · primary_doc.xml · nonDerivative · entry 1 SUSAN L CICIORA TRUST · CIK 0001247999 · 10% owner HOREJSI STEWART R · CIK 0001246903 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,837,719 F1 · shares: On April 10, 2019, the Reporting Person acquired 1,365,044 shares (the "Shares") of Boulder Growth & Income Fund, Inc. from an affiliated trust, Ernest Horejsi Trust No. 1B ("EHT"). The Shares were valued at $10.96 per share based on the closing price reported for such shares by the New York Stock Exchange on April 9, 2019. The Reporting Person acquired the Shares in lieu of cash repayment with respect to an intra-trust loan between the Reporting Person as lender and EHT as borrower in the amount of $14,960,882. F2 · ownership.direct: The trustee of the Reporting Person (also referred to herein as the "Trust") is Peak Trust Company-AK, which may be deemed to control the Trust. As a result of his advisory role with the Trust, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the shares directly beneficially owned by the Trust. However, Mr. Horejsi disclaims such beneficial ownership of the shares directly beneficially held by the Trust. F3 · ownership.direct: The Trust and trusts, persons and entities affiliated with the Trust, including Lola Brown Trust No. 1B, Ernest Horejsi Trust No. 1B, Mildred B. Horejsi Trust, Stewart West Indies Trust, Stewart R. Horejsi Trust No. 2 and Susan L. Ciciora own an aggregate of 45,384,254 shares of BIF. Read SEC document |
| April 10, 2019 Filed Apr 11, 2019 21:19 UTC | SRH Total Return Fund, Inc. BIF · Entity 4587 | SaleCOMMON STOCK | 1,365,044 | $10.96 | $14,960,882.24 |
DisclosureSEC source: 0001091477-19-000001 · primary_doc.xml · nonDerivative · entry 2 ERNEST HOREJSI TRUST NO 1B · CIK 0001091477 · 10% owner HOREJSI STEWART R · CIK 0001246903 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,689,062 F1 · shares: On April 10, 2019, the Reporting Person transferred shares (the "Shares") of Boulder Growth & Income Fund, Inc. to two affiliated trusts, Lola Brown Trust No. 1B ("LBT") and Susan L. Ciciora Trust ("SLCT"). LBT and SLCT received 2,319,048 and 1,365,044 Shares, respectively. The Shares were valued at $10.96 per share based on the closing price reported for such shares by the New York Stock Exchange on April 9, 2019. The transfers were made in lieu of cash repayment with respect to two intra-trust loans between the Reporting Person as borrower and LBT as lender in the amount of $25,416,766 and the Reporting Person as borrower and SLCT as lender in the amount of $14,960,882. F2 · ownership.direct: The trustees of the Reporting Person (also referred to herein as the ("Trust") are Peak Trust Company-AK ("PTC"), Susan L. Ciciora and Brian Sippy, MD. Such trustees may be deemed to control the Trust and may be deemed to possess indirect beneficial ownership of the shares held by the Trust. However, none of the trustees, acting alone, can vote or exercise dispositive authority over shares held by the Trust. Accordingly, PTC, Ms. Ciciora and Dr. Sippy disclaim beneficial ownership of the shares beneficially owned, directly or indirectly, by the Trust. In addition to serving as a trustee, Ms. Ciciora is also a beneficiary of the Trust. As a result of his advisory role with the Trust, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the shares directly beneficially owned by the Trust. However, Mr. Horejsi disclaims such beneficial ownership of the shares directly beneficially held by the Trust. F3 · ownership.direct: The Trust and trusts, persons and entities affiliated with the Trust, including Lola Brown 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 own an aggregate of 45,384,254 shares of BIF. Read SEC document |
| April 10, 2019 Filed Apr 11, 2019 21:19 UTC | SRH Total Return Fund, Inc. BIF · Entity 4587 | SaleCOMMON STOCK | 2,319,048 | $10.96 | $25,416,766.08 |
DisclosureSEC source: 0001091477-19-000001 · primary_doc.xml · nonDerivative · entry 1 ERNEST HOREJSI TRUST NO 1B · CIK 0001091477 · 10% owner HOREJSI STEWART R · CIK 0001246903 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,054,106 F1 · shares: On April 10, 2019, the Reporting Person transferred shares (the "Shares") of Boulder Growth & Income Fund, Inc. to two affiliated trusts, Lola Brown Trust No. 1B ("LBT") and Susan L. Ciciora Trust ("SLCT"). LBT and SLCT received 2,319,048 and 1,365,044 Shares, respectively. The Shares were valued at $10.96 per share based on the closing price reported for such shares by the New York Stock Exchange on April 9, 2019. The transfers were made in lieu of cash repayment with respect to two intra-trust loans between the Reporting Person as borrower and LBT as lender in the amount of $25,416,766 and the Reporting Person as borrower and SLCT as lender in the amount of $14,960,882. F2 · ownership.direct: The trustees of the Reporting Person (also referred to herein as the ("Trust") are Peak Trust Company-AK ("PTC"), Susan L. Ciciora and Brian Sippy, MD. Such trustees may be deemed to control the Trust and may be deemed to possess indirect beneficial ownership of the shares held by the Trust. However, none of the trustees, acting alone, can vote or exercise dispositive authority over shares held by the Trust. Accordingly, PTC, Ms. Ciciora and Dr. Sippy disclaim beneficial ownership of the shares beneficially owned, directly or indirectly, by the Trust. In addition to serving as a trustee, Ms. Ciciora is also a beneficiary of the Trust. As a result of his advisory role with the Trust, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the shares directly beneficially owned by the Trust. However, Mr. Horejsi disclaims such beneficial ownership of the shares directly beneficially held by the Trust. F3 · ownership.direct: The Trust and trusts, persons and entities affiliated with the Trust, including Lola Brown 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 own an aggregate of 45,384,254 shares of BIF. Read SEC document |
| April 10, 2019 Filed Apr 11, 2019 20:46 UTC | SRH Total Return Fund, Inc. BIF · Entity 4587 | PurchaseCOMMON STOCK | 2,319,048 | $10.96 | $25,416,766.08 |
DisclosureSEC source: 0001247992-19-000001 · primary_doc.xml · nonDerivative · entry 1 LOLA BROWN TRUST 1B · CIK 0001247992 · 10% owner HOREJSI STEWART R · CIK 0001246903 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,731,365 F1 · shares: On April 10, 2019, the Reporting Person acquired 2,319,048 shares (the "Shares") of Boulder Growth & Income Fund, Inc. from an affiliated trust, Ernest Horejsi Trust No. 1B ("EHT"). The Shares were valued at $10.96 per share based on the closing price reported for such shares by the New York Stock Exchange on April 9, 2019. The Reporting Person acquired the Shares in lieu of cash repayment with respect to an intra-trust loan between the Reporting Person as lender and EHT as borrower in the amount of $25,416,766. F2 · ownership.direct: The trustees of the Reporting Person (also referred to herein as the "Trust") are Peak Trust Company-AK ("PTC"), Susan L. Ciciora and Laura Tatooles. Such trustees may be deemed to control the Trust and may be deemed to possess indirect beneficial ownership of the shares held by the Trust. However, none of the trustees, acting alone, can vote or exercise dispositive authority over shares held by the Trust. Accordingly, PTC, Ms. Ciciora and Ms. Tatooles disclaim beneficial ownership of the shares beneficially owned, directly or indirectly, by the Trust. In addition to serving as a trustee, Ms. Ciciora is also a beneficiary of the Trust. As a result of his advisory role with the Trust, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the shares directly beneficially owned by the Trust. However, Mr. Horejsi disclaims such beneficial ownership of the shares directly beneficially held by the Trust. F3 · ownership.direct: The Trust and trusts, persons and entities affiliated with the Trust, including 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 own an aggregate of 45,384,254 shares of BIF. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.