Filing Details

Accession Number:
0001365133-11-000032
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-11-28 17:17:35
Reporting Period:
2011-11-23
Filing Date:
2011-11-28
Accepted Time:
2011-11-28 17:17:35
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
790202 First Opportunity Fund Inc FOFI (0) 133341573
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1245558 L Susan Ciciora 2344 Spruce Street, Ste A
Boulder CO 80302
Yes No No No
1246903 R Stewart Horejsi 200 South Santa Fe
Salina KS 67401
No No Yes No
1365133 Trust Horejsi B. Mildred 1029 West 3Rd Avenue, Suite 400
Anchorage AK 99503
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2011-11-23 1,000 $6.10 2,571,940 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Footnotes
  1. The trustees of the Mildred B. Horejsi Trust (the "Mildred Trust") are Alaska Trust Company ("Alaska Trust"), Susan L. Ciciora and Brian Sippy. Such trustees may be deemed to control the Mildred Trust and may be deemed to possess indirect beneficial ownership of the Shares held by the Mildred Trust. However, none of the trustees, acting alone, can vote or exercise dispositive authority over Shares held by the Mildred Trust. Accordingly, Alaska Trust, Ms. Ciciora and Mr. Sippy disclaim beneficial ownership of the Shares beneficially owned, directly or indirectly, by the Mildred Trust. In addition to serving as a trustee, Ms. Ciciora is also a beneficiary of the Mildred Trust.As a result of his advisory role with the Mildred Trust, Stewart R. Horejsi may be deemed to have indirect beneficial ownership of the Shares directly beneficially owned by the Mildred Trust. However, Mr. Horejsi disclaims such beneficial ownership of the Shares directly beneficially held by the Mildred Trust.
  2. Trusts affiliated with the Mildred Trust, including the Lola Brown Trust No. 1B, the Susan L. Ciciora Trust, and the Stewart R. Horejsi Trust No. 2, own an aggregate of 10,751,233 Shares of the Fund following these transactions.