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United States

Boulder Growth and Income Fund Inc (BIF)

BIF on New York Consolidated

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30 Sep 2016
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Summary

Name Age Since Current Position

Joel Looney

53 2003 Chairman of the Board

Stephen Miller

63 2014 President, Director

Theodore Uhl

42 2015 Chief Compliance Officer

Stephanie Kelley

58 2002 Secretary

Nicole Murphey

38 2011 Chief Financial Officer, Vice President, Chief Accounting Officer, Treasurer, Assistant Secretary

Richard Barr

78 2012 Lead Independent Director

Dean Jacobson

75 2006 Independent Director

Steven Norgaard

50 2011 Independent Director

Biographies

Name Description

Joel Looney

Mr. Joel W. Looney is the Chairman of the Board of the company. Mr. Looney will continue to sit on the boards of directors of BTF (since 2001), DNY (since 2007) and FOFI (since 2003). Mr. Looney will also continue to serve as Chairman of the boards of BTF (since 2013), DNY (since 2007) and FOFI (2003) until their dissolution. Since 2013, Mr. Looney has served as a portfolio manager of BIF and as an assistant investment officer and portfolio manager for RMA. Through his position with RMA, Mr. Looney is responsible for the day-to-day portfolio management of the Fund. He also manages a number of private client accounts. As previously disclosed, as of March 20, 2015, and in connection with the Reorganization, BIA no longer performs business as an investment adviser and is in the process of withdrawing from registration as an investment adviser with the SEC. Until BIA is formally dissolved, Mr. Looney is still considered an officer of BIA and has the title of Assistant Investment Officer (since 2013). Mr. Looney also served as a portfolio manager of BTF, DNY and FOFI (2013 to March 2015). Prior to joining RMA and BIA in 2013, Mr. Looney was a registered representative with VSR Financial Services, Inc. of Overland Park, Kansas, a broker-dealer (2007 to 2013). From 1999 to 2013, he was a principal and partner with Financial Management Group, LLC, an investment management firm in Salina, Kansas (“FMG”). Prior to his position with FMG, Mr. Looney was vice president and CFO for Bethany College in Lindsborg, Kansas (1995 to 1999) and also served as vice president and CFO for St. John’s Military School in Salina, Kansas (1986 to 1995). From the late 1980s until January 2001, Mr. Looney served as one of three trustees of the Mildred B. Horejsi Trust, one of the Horejsi Affiliates (as defined below). Mr. Looney holds a B.S. from Marymount College and an MBA from Kansas State University. Mr. Looney is a CFP charterholder and also holds a Series 63 Uniform State Law and Series 65 Uniform Investment Adviser Law certifications.

Stephen Miller

Mr. Stephen C. Miller, Esq., is the President, Director of the company. He serves as President to BIF (since 2002). As previously disclosed, as a result of the Reorganization, BTF, DNY and FOFI ceased business operations as investment companies and were formally deregistered as investment companies with the SEC on June 24, 2015. Until BTF, DNY and FOFI are formally dissolved, Mr. Miller will continue to serve as President of BTF (since 1999), DNY (since 2007), and FOFI (since 2003). He is also President and General Counsel to RMA (since 2008); Manager of FAS (since 1999); and Vice President of SIA (since 1999). Mr. Miller also serves as the Chief Compliance Officer for RMA and SIA (since 2012). As previously disclosed, as of March 20, 2015, and in connection with the Reorganization, BIA no longer performs business as an investment adviser and is in the process of withdrawing from registration as an investment adviser with the SEC. Until BIA is formally dissolved, Mr. Miller is still considered an officer of BIA and serves as its President and General Counsel (since 1999) as well as its Chief Compliance Officer (since 2012). Mr. Miller also sits on the board of directors of Alaska Trust Company (since 2008). He served as chief compliance officer to BIF, BTF and FOFI from 2004 to 2007. Mr. Miller was a director of BIF from 2002 to 2004, a director of BTF from 1999 to 2004; and director and chairman of FOFI from 2003 to 2004. Mr. Miller practiced law in the Denver office of Kirkland & Ellis from 1987 to 1992 and started a private practice in Boulder, Colorado in 1992. Mr. Miller became in-house counsel to the Horejsi Affiliates in 1998 and has served in a number of executive management capacities for the Horejsi Affiliates. Mr. Miller maintains his law firm, Stephen C. Miller, P.C., and “of counsel” status with the law firm of Krassa & Miller, LLC. Mr. Miller holds a B.S. from the University of Georgia and a J.D. from the University of Denver, Sturm College of Law.

Theodore Uhl

Mr. Theodore J. Uhl CPA is the Chief Compliance Officer of the company. He is Vice President and Deputy Chief Compliance Officer of ALPS Fund Services, Inc. (“ALPS”) (since 2010). Currently, he also serves as Chief Compliance Officer for the Clough Global Funds (since 2010), Financial Investors Trust (since 2010), Transparent Value Trust (since 2011), Clough Funds Trust (since 2015), Reality Shares Trust (since 2015), and the Centre Funds (since 2011). Mr. Uhl served as Internal Audit Manager/Senior Risk Manager at ALPS from October 2006 to May 2010. Prior to joining ALPS in October 2006, Mr. Uhl served as a Sr. Analyst at Enenbach & Associates registered investment adviser) from March 2004 to October 2006, and from 2000 until 2004, he worked in Corporate Finance as a Senior Financial Analyst for Sprint Corporation. From 1998 until joining Sprint, Mr. Uhl was employed as a staff auditor for RSM McGladrey. Mr. Uhl received a Bachelor of Science in accounting from Iowa State University, an MBA in Finance from the University of Kansas, is a licensed CPA, and a Certified Securities Compliance Professional (CSCP).

Stephanie Kelley

Ms. Stephanie J. Kelley is Secretary of the company. Until BTF, DNY and FOFI are formally dissolved, Ms. Kelley will continue to serve as BTF’s Secretary (since 2000), DNY’s Secretary (since 2007) and FOFI’s Secretary (since 2003). Ms. Kelley also serves as secretary, assistant secretary and assistant treasurer of various other entities affiliated with the Horejsi family and has been an employee of FAS since 1999. Ms. Kelley holds a B.A. and an MBA from the State University of New York, Binghamton.

Nicole Murphey

Ms. Nicole L. Murphey is Chief Financial Officer, Vice President, Chief Accounting Officer, Treasurer, Assistant Secretary of the company. As previously disclosed, as a result of the Reorganization, BTF, DNY and FOFI ceased business operations as investment companies and were formally deregistered as investment companies with the SEC on June 24, 2015. Until BTF, DNY and FOFI are formally dissolved, Ms. Murphey will continue to serve BTF, DNY and FOFI as their chief financial officer (since 2011), chief accounting officer (since 2011), treasurer (since 2011), vice president (since 2008) and assistant secretary (for BTF and FOFI since 2003, for DNY since 2007). She is also vice president and treasurer of RMA (since 2011); and assistant manager of FAS (since 2011). As previously disclosed, as of March 20, 2015, and in connection with the Reorganization, BIA no longer performs business as an investment adviser and is in the process of withdrawing from registration as an investment adviser with the SEC. Until BIA is formally dissolved, Ms. Murphey is still considered an officer of BIA and serves as its vice president and treasurer (since 2011). Ms. Murphey holds a B.A. from the University of Colorado.

Richard Barr

Mr. Richard I. Barr is Lead Independent Director of the company. He serves as BTF Board in 1999, the DNY Board in 2007, and the FOFI Board in 2001Mr. Barr also served the BTF, DNY and FOFI boards and as their Lead Independent Director (since 2013) and as Chairman of the BTF Board (2003 to 2013). Mr. Barr served as president and director of Advantage Sales and Marketing (1996 to 2001), president and CEO of CBS Marketing (1963 to 1996), member of the board of directors (and National Chairman) for the Association of Sales and Marketing Companies (formerly the National Food Brokers Association), president of the Arizona Food Brokers Association, and advisory board member for various food manufacturers, including H.J. Heinz, ConAgra, Kraft Foods, and M&M Mars. In addition to these professional positions and experience, Mr. Barr has served in a number of leadership roles with various charitable or other non-profit organizations, including as member of the board of directors of Valley Big Brothers/Big Sisters, member of the board of advisers for University of Kansas Business School, and member of the board of directors for St. Mary’s Food Bank. Mr. Barr holds a B.S. from the University of Kansas.

Dean Jacobson

Dr. Dean L. Jacobson, Ph.D., is an Independent Director of the company. He serves as BTF Board in 2004, the DNY Board in 2007, and the FOFI Board in 2003. Since 1985, Dr. Jacobson has been president and CEO of Forensic Engineering, Inc., a consulting engineering firm providing scientific and technical expertise in a number of areas where discovery related to roperty damage and/or personal injury is necessary (e.g., accident reconstruction, failure and design analysis of products, animation and simulation of fires, explosions and mechanical system functions). He sits on the boards of directors of Southwest Mobile Storage Inc. (1995 to Present) and Arizona State University Sun Angel Foundation (past chairman) (1995 to Present). Dr. Jacobson previously sat on the board of directors of Arizona State University Foundation (1999 to 2009). He is a Professor Emeritus at Arizona State University (“ASU”) and held a number of faculty and advisory positions at ASU between 1971 and 1997, including director of the Science and Engineering of Materials Ph.D. program and tenured professor of Engineering, and he has also served as a professor and/or research assistant at the University of California at Los Angeles (“UCLA”) (1964 to 1969) and the University of Notre Dame (“Notre Dame”) (1957 to 1963). Dr. Jacobson is a renowned expert in business engineering processes and has published over 130 scholarly and peer-reviewed research articles in numerous academic, research and business journals and publications. He holds two patents and a number of professional and business designations. He holds a B.S. and an M.S. from Notre Dame, and a Ph.D. from UCLA.

Steven Norgaard

Mr. Steven K. Norgaard is Independent Director of the company. Until BTF, DNY and FOFI are formally dissolved, Mr. Norgaard will continue to sit on the boards of directors of BTF (since 2011), DNY (since 2011) and FOFI (since 2011). Mr. Norgaard is currently an attorney with the law firm Steven K. Norgaard, P.C. (since 1994), where he represents a broad range of individual and corporate clients in transactional, taxation and investment related matters. Prior to starting his own law firm, Mr. Norgaard practiced at McDermott, Will & Emery’s Chicago office in the transactional and taxation departments (1990 to 1994). He has served on a number of boards and is currently a director of The Frontier Funds (since 2013), a series of institutional open-end mutual funds, ATG Trust Company (since 2007), an independent trust company, and Attorneys’ Title Guaranty Fund, Inc., a title insurance company. Mr. Norgaard is currently a member of the American Bar Association and Illinois State Bar Association. He holds a B.S. from University of Illinois, Urbana-Champaign and a J.D. from the University of Chicago Law School. In 1987 he passed the Illinois CPA exam.