-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, ATCPywJ7yxkAe9qHDeamMsuFq1NtLCmDlugcfduoV+IQfwrXx2JZ6xJAydLNxGxp eU1MeqOmbR7VcWJ5q7lGuQ== 0000909518-03-000933.txt : 20031126 0000909518-03-000933.hdr.sgml : 20031126 20031126145718 ACCESSION NUMBER: 0000909518-03-000933 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20031126 GROUP MEMBERS: NEIL H. KOFFLER GROUP MEMBERS: PETER M. COLLERY GROUP MEMBERS: PMC-BVI, INC. GROUP MEMBERS: SC FUNDAMENTAL VALUE BVI, INC. GROUP MEMBERS: SC FUNDAMENTAL VALUE FUND BVI, LTD. GROUP MEMBERS: SC FUNDAMENTAL VALUE FUND, L.P. GROUP MEMBERS: SC-BVI PARTNERS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WINMILL & CO INC CENTRAL INDEX KEY: 0000052234 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 131897916 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-39508 FILM NUMBER: 031026194 BUSINESS ADDRESS: STREET 1: 11 HANOVER SQ CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 2127850900 MAIL ADDRESS: STREET 1: 11 HANOVER SQ CITY: NEW YORK STATE: NY ZIP: 10005 FORMER COMPANY: FORMER CONFORMED NAME: BULL & BEAR GROUP INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SC FUNDAMENTAL LLC CENTRAL INDEX KEY: 0001122345 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 747 THIRD AVENUE STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2128889100 MAIL ADDRESS: STREET 1: 747 THIRD AVENUE STREET 2: 27TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 SC 13G 1 jd11-26_13g.txt ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------- SCHEDULE 13G (RULE 13D-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13D-1(B), (C) AND (D) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13D-2(B) ----------- (AMENDMENT NO. __)* WINMILL & CO. INCORPORATED - -------------------------------------------------------------------------------- (NAME OF ISSUER) CLASS A COMMON STOCK, PAR VALUE $.01 PER SHARE 974259103 - ------------------------------------------ ---------------------------------- (TITLE OF CLASS OF SECURITIES) (CUSIP NUMBER) NOVEMBER 19, 2003 - ------------------------------------------------------------------------------- (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO WHICH THIS SCHEDULE IS FILED: [ ] RULE 13D-1(B) [X] RULE 13D-1(C) [ ] RULE 13D-1(D) ---------- *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Continued on Following Pages Page 1 ================================================================================
- ------------------------------------ -------------------------------------------- --------------------------------------- CUSIP No. 974259103 13G Page 2 - ------------------------------------ -------------------------------------------- --------------------------------------- - ----------------------------- --------------------------------------------------- -------------------------------------------------- 1 NAME OF REPORTING PERSONS: SC FUNDAMENTAL VALUE FUND, L.P. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY): - ----------------------------- ---------------------------------------------------------------------------------------------------- - 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:* (A) [X] (B) [_] - ----------------------------- ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY - ----------------------------- --------------------------------------------------- -------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE - ------------------------------------ ------ ------------------------------------------------ --------------------------------------- NUMBER OF 5 SOLE VOTING POWER: 40,588 SHARES ------ ------------------------------------------------ --------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER: 0 OWNED BY ------ ------------------------------------------------ --------------------------------------- EACH 7 SOLE DISPOSITIVE POWER: 40,588 REPORTING ------ ------------------------------------------------ --------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER: 0 - ----------------------------- -------------------------------------------------------------- --------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 40,588 - ----------------------------- ----------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:* [ ] - ----------------------------- ------------------------------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 2.6% - ----------------------------- --------------------------------------------------- -------------------------------------------------- 12 TYPE OF REPORTING PERSON: PN - ----------------------------- --------------------------------------------------- -------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! 2 - ------------------------------------ -------------------------------------------- --------------------------------------- CUSIP No. 974259103 13G Page 3 - ------------------------------------ -------------------------------------------- --------------------------------------- - ----------------------------- --------------------------------------------------- -------------------------------------------------- 1 NAME OF REPORTING PERSONS: SC FUNDAMENTAL LLC I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY): - ----------------------------- ---------------------------------------------------------------------------------------------------- - 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:* (A) [X] (B) [_] - ----------------------------- ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY - ----------------------------- --------------------------------------------------- -------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION: NEW YORK - ------------------------------------ ------ ------------------------------------------------ --------------------------------------- NUMBER OF 5 SOLE VOTING POWER: 0 SHARES ------ ------------------------------------------------ --------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER: 40,588 OWNED BY ------ ------------------------------------------------ --------------------------------------- EACH 7 SOLE DISPOSITIVE POWER: 0 REPORTING ------ ------------------------------------------------ --------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER: 40,588 - ----------------------------- -------------------------------------------------------------- --------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 40,588 - ----------------------------- ---------------------------------------------------------------------------------------------------- - 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:* [ ] - ----------------------------- ---------------------------------------------------------------------------------------------------- - 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 2.6% - ----------------------------- --------------------------------------------------- -------------------------------------------------- 12 TYPE OF REPORTING PERSON: OO - ----------------------------- --------------------------------------------------- -------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! 3 - ------------------------------------ -------------------------------------------- --------------------------------------- CUSIP No. 974259103 13G Page 4 - ------------------------------------ -------------------------------------------- --------------------------------------- - ----------------------------- --------------------------------------------------- -------------------------------------------------- 1 NAME OF REPORTING PERSONS: SC FUNDAMENTAL VALUE BVI, LTD. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY): - ----------------------------- ---------------------------------------------------------------------------------------------------- - 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:* (A) [X] (B) [_] - ----------------------------- ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY - ----------------------------- --------------------------------------------------- -------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION: BRITISH VIRGIN ISLANDS - ------------------------------------ ------ ------------------------------------------------ --------------------------------------- NUMBER OF 5 SOLE VOTING POWER: 48,412 SHARES ------ ------------------------------------------------ --------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER: 0 OWNED BY ------ ------------------------------------------------ --------------------------------------- EACH 7 SOLE DISPOSITIVE POWER: 48,412 REPORTING ------ ------------------------------------------------ --------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER: 0 - ----------------------------- -------------------------------------------------------------- --------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 48,412 - ----------------------------- ---------------------------------------------------------------------------------------------------- - 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:* [ ] - ----------------------------- ---------------------------------------------------------------------------------------------------- - 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 3.1% - ----------------------------- --------------------------------------------------- -------------------------------------------------- 12 TYPE OF REPORTING PERSON: CO - ----------------------------- --------------------------------------------------- -------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! 4 - ------------------------------------ -------------------------------------------- --------------------------------------- CUSIP No. 974259103 13G Page 5 - ------------------------------------ -------------------------------------------- --------------------------------------- - ----------------------------- --------------------------------------------------- -------------------------------------------------- 1 NAME OF REPORTING PERSONS: SC-BVI PARTNERS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY): - ----------------------------- ---------------------------------------------------------------------------------------------------- - 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:* (A) [X] (B) [_] - ----------------------------- ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY - ----------------------------- --------------------------------------------------- -------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE - ------------------------------------ ------ ------------------------------------------------ --------------------------------------- NUMBER OF 5 SOLE VOTING POWER: 0 SHARES ------ ------------------------------------------------ --------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER: 48,412 OWNED BY ------ ------------------------------------------------ --------------------------------------- EACH 7 SOLE DISPOSITIVE POWER: 0 REPORTING ------ ------------------------------------------------ --------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER: 48,412 - ----------------------------- -------------------------------------------------------------- --------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 48,412 - ----------------------------- ---------------------------------------------------------------------------------------------------- - 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:* [ ] - ----------------------------- ---------------------------------------------------------------------------------------------------- - 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 3.1% - ----------------------------- --------------------------------------------------- -------------------------------------------------- 12 TYPE OF REPORTING PERSON: PN - ----------------------------- --------------------------------------------------- -------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! 5 - ------------------------------------ -------------------------------------------- --------------------------------------- CUSIP No. 974259103 13G Page 6 - ------------------------------------ -------------------------------------------- --------------------------------------- - ----------------------------- --------------------------------------------------- -------------------------------------------------- 1 NAME OF REPORTING PERSONS: PMC-BVI, INC. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY): - ----------------------------- ---------------------------------------------------------------------------------------------------- - 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:* (A) [X] (B) [_] - ----------------------------- ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY - ----------------------------- --------------------------------------------------- -------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE - ------------------------------------ ------ ------------------------------------------------ --------------------------------------- NUMBER OF 5 SOLE VOTING POWER: 0 SHARES ------ ------------------------------------------------ --------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER: 48,412 OWNED BY ------ ------------------------------------------------ --------------------------------------- EACH 7 SOLE DISPOSITIVE POWER: 0 REPORTING ------ ------------------------------------------------ --------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER: 48,412 - ----------------------------- -------------------------------------------------------------- --------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 48,412 - ----------------------------- ---------------------------------------------------------------------------------------------------- - 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:* [ ] - ----------------------------- ---------------------------------------------------------------------------------------------------- - 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 3.1% - ----------------------------- --------------------------------------------------- -------------------------------------------------- 12 TYPE OF REPORTING PERSON: CO - ----------------------------- --------------------------------------------------- -------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! 6 - ------------------------------------ -------------------------------------------- --------------------------------------- CUSIP No. 974259103 13G Page 7 - ------------------------------------ -------------------------------------------- --------------------------------------- - ----------------------------- --------------------------------------------------- -------------------------------------------------- 1 NAME OF REPORTING PERSONS: SC FUNDAMENTAL VALUE BVI, INC. I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY): - ----------------------------- ---------------------------------------------------------------------------------------------------- - 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:* (A) [X] (B) [_] - ----------------------------- ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY - ----------------------------- --------------------------------------------------- -------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION: DELAWARE - ------------------------------------ ------ ------------------------------------------------ --------------------------------------- NUMBER OF 5 SOLE VOTING POWER: 0 SHARES ------ ------------------------------------------------ --------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER: 48,412 OWNED BY ------ ------------------------------------------------ --------------------------------------- EACH 7 SOLE DISPOSITIVE POWER: 0 REPORTING ------ ------------------------------------------------ --------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER: 48,412 - ----------------------------- -------------------------------------------------------------- --------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 48,412 - ----------------------------- ---------------------------------------------------------------------------------------------------- - 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:* [ ] - ----------------------------- ---------------------------------------------------------------------------------------------------- - 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 3.1% - ----------------------------- --------------------------------------------------- -------------------------------------------------- 12 TYPE OF REPORTING PERSON: CO - ----------------------------- --------------------------------------------------- -------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! 7 - ------------------------------------ -------------------------------------------- --------------------------------------- CUSIP No. 974259103 13G Page 8 - ------------------------------------ -------------------------------------------- --------------------------------------- - ----------------------------- --------------------------------------------------- -------------------------------------------------- 1 NAME OF REPORTING PERSONS: PETER M. COLLERY I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY): - ----------------------------- ---------------------------------------------------------------------------------------------------- - 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:* (A) [X] (B) [_] - ----------------------------- ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY - ----------------------------- --------------------------------------------------- -------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES - ------------------------------------ ------ ------------------------------------------------ --------------------------------------- NUMBER OF 5 SOLE VOTING POWER: 0 SHARES ------ ------------------------------------------------ --------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER: 89,000 OWNED BY ------ ------------------------------------------------ --------------------------------------- EACH 7 SOLE DISPOSITIVE POWER: 0 REPORTING ------ ------------------------------------------------ --------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER: 89,000 - ----------------------------- -------------------------------------------------------------- --------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 89,000 - ----------------------------- ---------------------------------------------------------------------------------------------------- - 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:* [ ] - ----------------------------- ---------------------------------------------------------------------------------------------------- - 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 5.7% - ----------------------------- --------------------------------------------------- -------------------------------------------------- 12 TYPE OF REPORTING PERSON: IN - ----------------------------- --------------------------------------------------- -------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! 8 - ------------------------------------ -------------------------------------------- --------------------------------------- CUSIP No. 974259103 13G Page 9 - ------------------------------------ -------------------------------------------- --------------------------------------- - ----------------------------- --------------------------------------------------- -------------------------------------------------- 1 NAME OF REPORTING PERSONS: NEIL H. KOFFLER I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY): - ----------------------------- ---------------------------------------------------------------------------------------------------- - 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:* (A) [X] (B) [_] - ----------------------------- ------------------------------------------------------------------------------------------------------ 3 SEC USE ONLY - ----------------------------- --------------------------------------------------- -------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION: UNITED STATES - ------------------------------------ ------ ------------------------------------------------ --------------------------------------- NUMBER OF 5 SOLE VOTING POWER: 0 SHARES ------ ------------------------------------------------ --------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER: 89,000 OWNED BY ------ ------------------------------------------------ --------------------------------------- EACH 7 SOLE DISPOSITIVE POWER: 0 REPORTING ------ ------------------------------------------------ --------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER: 89,000 - ----------------------------- -------------------------------------------------------------- --------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 89,000 - ----------------------------- ---------------------------------------------------------------------------------------------------- - 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES:* [ ] - ----------------------------- ---------------------------------------------------------------------------------------------------- - 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 5.7% - ----------------------------- --------------------------------------------------- -------------------------------------------------- 12 TYPE OF REPORTING PERSON: IN - ----------------------------- --------------------------------------------------- --------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT! 9 ITEM 1. NAME OF ISSUER AND ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES (a) and (b) This Statement on Schedule 13G (the "Schedule 13G") relates to the Class A Common Stock, par value $.01 per share (the "Class A Common Stock"), of Winmill & Co. Incorporated, a Delaware corporation (the "Issuer"). The address of the principal executive offices of the Issuer is 11 Hanover Square, New York, NY 10005. ITEM 2. NAME OF PERSON FILING (a) Name of Persons Filing: (i) SC Fundamental Value Fund, L.P. (ii) SC Fundamental LLC (iii) SC Fundamental Value BVI, Ltd. (iv) SC-BVI Partners (v) PMC-BVI, Inc. (vi) SC Fundamental Value BVI, Inc. (vii) Peter M. Collery (viii) Neil H. Koffler (collectively, the "Reporting Persons") (b) Address of Principal Business Office or, if None, Residence: The principal business office of each of the Reporting Persons listed in Item 2(a) is as follows: The principal business office of each of SC Fundamental Value Fund, L.P., SC Fundamental LLC, SC-BVI Partners, PMC-BVI, Inc., SC Fundamental Value BVI, Inc., Peter M. Collery and Neil H. Koffler is 747 Third Avenue, 27th Floor, New York, New York 10017. The principal business office of SC Fundamental Value BVI, Ltd. is c/o Citco Fund Services (Cayman Islands) Ltd., Corporate Center, West Bay Road, Grand Cayman, Cayman Islands. (c), (d) and (e) For information with respect to citizenship of each of the Reporting Persons, title of class of securities and CUSIP number for the shares held by such persons, see the appropriate cover page above. ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B), OR 13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS: (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act; (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act; (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) [ ] Investment company registered under Section 8 of the Investment Company Act; (e) [ ] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); 10 (f) [ ] An Employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [ ] A Savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). Not applicable. ITEM 4. OWNERSHIP (a) - (c) The response of each of the Reporting Persons to Items 5 through 11 of each of their respective Cover Sheets which relate to the beneficial ownership of the Common Stock of the Issuer, as of November 20, 2003, is incorporated herein by reference. The percentage ownership of each of the Reporting Persons is based on 1,567,216 shares of Class A Common Stock outstanding as of October 31, 2003, as reported by the Issuer in its Quarterly Report on Form 10-QSB for the fiscal quarter ended September 30, 2003. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of Securities, check the following |_|. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. 11 ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not applicable. ITEM 10. CERTIFICATION (a) Not applicable. (b) By signing below, each of the undersigned certifies that, to the best of his or its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. [The remainder of this page intentionally left blank.] 12 SIGNATURE After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Date: November 26, 2003 SC FUNDAMENTAL VALUE FUND, L.P. By: SC Fundamental LLC, as General Partner By: /s/ Neil H. Koffler ------------------------------------------ Neil H. Koffler, Member SC FUNDAMENTAL LLC By: /s/ Neil H. Koffler -------------------------------------------- Neil H. Koffler, Member SC FUNDAMENTAL VALUE BVI, LTD. By: SC Fundamental Value BVI, Inc., as managing general partner of investment manager By: /s/ Neil H. Koffler ------------------------------------------- Neil H. Koffler, Vice President SCI-BVI PARTNERS By: SC Fundamental Value BVI, Inc., as managing general partner By: /s/ Neil H. Koffler ------------------------------------------- Neil H. Koffler, Vice President PMC-BVI, INC. By: /s/ Neil H. Koffler ------------------------------------------- Neil H. Koffler as Attorney-in-Fact for Peter M. Collery, President 13 SC FUNDAMENTAL VALUE BVI, INC. By: /s/ Neil H. Koffler ------------------------------------------ Neil H. Koffler, Vice President /s/ Neil H. Koffler ----------------------------------------------- Neil H. Koffler as Attorney-in-Fact for Peter M. Collery /s/ Neil H. Koffler ----------------------------------------------- Neil H. Koffler 14 EXHIBIT INDEX Exhibit No. Document ----------- -------- 1 Joint Filing Agreement, dated November 26, 2003, among SC Fundamental Value Fund, L.P., SC Fundamental LLC, SC Fundamental Value BVI, Ltd., SC-BVI Partners, PMC-BVI, Inc., SC Fundamental Value BVI, Inc., Peter M. Collery and Neil H. Koffler, to file this joint statement on Schedule 13G. 2 Power of Attorney, dated as of November 25, 2003, appointing Neil H. Koffler as attorney-in-fact for Peter M. Collery. 15 EX-1 3 jd11-26ex_1.txt Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Class A Common Stock, par value $.01 per share, of Winmill & Co. Incorporated and further agree that this Joint Filing Agreement be included as an Exhibit to such joint filing. In evidence thereof, the undersigned, hereby execute this Agreement this 26th day of November, 2003. Dated: November 26, 2003 SC FUNDAMENTAL VALUE FUND, L.P. By: SC Fundamental LLC, as General Partner By: /s/ Neil H. Koffler -------------------------------------- Neil H. Koffler, Member SC FUNDAMENTAL LLC By: /s/ Neil H. Koffler -------------------------------------- Neil H. Koffler, Member SC FUNDAMENTAL VALUE BVI, LTD. By: SC Fundamental Value BVI, Inc., as managing general partner of investment manager By: /s/ Neil H. Koffler ------------------------------------- Neil H. Koffler, Vice President SC-BVI PARTNERS By: SC Fundamental Value BVI, Inc., as managing general partner By: /s/ Neil H. Koffler -------------------------------------- Neil H. Koffler, Vice President 16 PMC-BVI, INC. By: /s/ Neil H. Koffler ------------------------------------------------ Neil H. Koffler as Attorney-in-Fact for Peter M. Collery, President SC FUNDAMENTAL VALUE BVI, INC. By: /s/ Neil H. Koffler ------------------------------------------------ Neil H. Koffler, Vice President /s/ Neil H. Koffler ------------------------------------------------------- Neil H. Koffler as Attorney-in-Fact for Peter M. Collery /s/ Neil H. Koffler ------------------------------------------------------- Neil H. Koffler 17 EX-2 4 jd11-25ex_2.txt Exhibit 2 POWER OF ATTORNEY The undersigned, Peter M. Collery (hereinafter referred to as "Collery") does hereby make, constitute and appoint the person listed below as Collery's true and lawful agent and attorney-in-fact (hereinafter referred to as the "Attorney") to act in the name and on behalf of Collery for and with respect to the matters hereinafter described. Name of Attorney: Neil H. Koffler Attorney shall have the power and authority to do the following: To execute and deliver any Schedule 13D, Schedule 13G or Forms 3, 4 and 5 or any amendments thereto required to be filed with the Securities and Exchange Commission under the Securities Exchange Act of 1934, as amended, on behalf of Collery with regard to any securities owned by Collery or any of Collery's affiliates. And, in connection with the foregoing, to execute and deliver all documents, acknowledgements, consents and other agreements and to take such further action as may be necessary or convenient for Collery in order to more effectively carry out the intent and purpose of the foregoing. Agreements, commitments, documents, instruments, and other writings executed by the Attorney in accordance with the terms hereof shall be binding upon Collery without attestation. The Power of Attorney conferred hereby shall not be delegable by Attorney. Unless revoked by Collery, this Power of Attorney shall be governed under the laws of the State of New York and the authority of Attorney hereunder shall terminate on December 1, 2006. IN WITNESS WHEREOF, Collery has caused this Power of Attorney to be executed and attested as of the 25th day of November, 2003. /s/ Peter M. Collery --------------------------------- Peter M. Collery Attest: /s/ Alison Adams - -------------------------------- Name: Alison Adams 18 -----END PRIVACY-ENHANCED MESSAGE-----