-----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, UU4XNL5EAqtxCOMQCYMkkcV4VXLSOB/WQiQoEJSmR15cBZH/3KWDoCIRcVlHTszk eTr6YX1lKSLDKjDzr36MHw== 0001336110-08-000002.txt : 20080103 0001336110-08-000002.hdr.sgml : 20080103 20080103160458 ACCESSION NUMBER: 0001336110-08-000002 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080103 DATE AS OF CHANGE: 20080103 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39508 FILM NUMBER: 08506528 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: WINMILL & CO INC DATE OF NAME CHANGE: 19990409 FORMER COMPANY: FORMER CONFORMED NAME: BULL & BEAR GROUP INC DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Mihaljevic Capital Management LLC CENTRAL INDEX KEY: 0001336110 IRS NUMBER: 202161740 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 141 E 56TH ST, STE 9K CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-308-1989 MAIL ADDRESS: STREET 1: 141 E 56TH ST, STE 9K CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 wnmla_20080102-13ga.txt AMENDMENT NO. 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* (Amendment No. 3) Winmill & Co. Incorporated -------------------------- (Name of Issuer) Class A Common Stock non-voting, par value $.01 per share --------------------------------------------------------- (Title of Class of Securities) 974259103 --------- (CUSIP Number) January 2, 2008 --------------- (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 on 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 ("Act") 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). - ------------------- ------------------ CUSIP No. 974259103 13G Page 2 of 10 Pages - ------------------- ------------------ - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Mihaljevic Capital Management LLC - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------- ------ ---------------------------------------------------- 5 SOLE VOTING POWER 0 ------ ---------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 53,500 OWNED BY EACH ------ ---------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 ------ ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 53,500 - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 53,500 - ---------- --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.3% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - ---------- --------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! - ------------------- ------------------ CUSIP No. 974259103 13G Page 3 of 10 Pages - ------------------- ------------------ - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ivan (John) Mihaljevic - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Croatia - -------------------- ------ ---------------------------------------------------- 5 SOLE VOTING POWER 24,000 ------ ---------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 53,500 OWNED BY EACH ------ ---------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 24,000 ------ ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 53,500 - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 77,500 - ---------- --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.7% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ---------- --------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! - ------------------- ------------------ CUSIP No. 974259103 13G Page 4 of 10 Pages - ------------------- ------------------ - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Mihaljevic Partners LP - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------- ------ ---------------------------------------------------- 5 SOLE VOTING POWER 0 ------ ---------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 53,500 OWNED BY EACH ------ ---------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 ------ ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 53,500 - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 53,500 - ---------- --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.7% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ---------- --------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Item 1(a): Name of Issuer: - --------- -------------- The name of the issuer is Winmill & Co. Incorporated, a corporation organized under the laws of the State of Delaware (the "Company"). Item 1(b): Address of Issuer's Principal Executive Offices: - --------- ----------------------------------------------- The Company's principal executive office is located at 11 Hanover Square, New York, New York 10005. Item 2(a): Name of Person Filing: - --------- --------------------- This Schedule 13G is filed by: (i) Mihaljevic Capital Management LLC, a Delaware limited liability company (the "Management Company"), which serves as investment manager of Mihaljevic Partners LP (the "Fund"), with respect to shares of Class A Common Stock (as defined in Item 2(d)) directly beneficially owned by the Fund; (ii) Mr. Ivan (John) Mihaljevic ("Mr. Mihaljevic"), who is the managing member of the Management Company and controls its business activities, with respect to shares of Class A Common Stock indirectly beneficially owned by Mr. Mihaljevic by virtue of such position; and (ii) Mihaljevic Partners LP (the "Fund"), which is the Fund referred to in paragraph (i) of Item 2(a) above, with respect to shares of Class A Common Stock directly beneficially owned by the Fund. The Management Company, Mr. Mihaljevic and the Fund are hereinafter sometimes collectively referred to as the "Reporting Persons." Any disclosures herein with respect to persons other than the Reporting Persons are made on information and belief after making inquiry to the appropriate party. Item 2(b): Address of Principal Business Office or, if None, - --------- ------------------------------------------------- Residence: --------- The address of the principal business office of each of the Reporting Persons is 141 East 56th Street, Suite 9K, New York, New York 10022. Item 2(c): Citizenship: ----------- The Management Company is organized as a limited liability company under the laws of the State of Delaware. Mr. Mihaljevic is a citizen of Croatia. -5- The Fund is organized as a limited partnership under the laws of the State of Delaware. Item 2(d): Title of Class of Securities: ---------------------------- Class A Common Stock non-voting, par value $.01 per share ("Class A Common Stock"). Item 2(e): CUSIP Number: - --------- ------------ 974259103 Item 3: If this statement is filed pursuant to Rules 13d-1(b) or - ------ -------------------------------------------------------- 13d-2(b) or (c), check whether the person filing is a: ----------------------------------------------------- A. [ ] Broker or dealer registered under Section 15 of the Act, B. [ ] Bank as defined in Section 3(a)(6) of the Act, C. [ ] Insurance Company as defined in Section 3(a)(19) of the Act, D. [ ] Investment Company registered under Section 8 of the Investment Company Act of 1940, E. [ ] Investment Adviser in accordance with Rule 13d-1 (b)(1)(ii)(E), F. [ ] Employee Benefit Plan or Endowment Fund in accordance with 13d-1 (b)(1)(ii)(F), G. [ ] Parent Holding Company or control person in accordance with Rule 13d-1 (b)(1)(ii)(G), H. [ ] Savings Association as defined in Section 3(b) of the Federal Deposit Insurance Act, I. [ ] Church Plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act of 1940, J. [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). -6- Item 4: Ownership: - ------ ---------- The beneficial ownership of Class A Common Stock by the Reporting Persons, as of the date of this Schedule 13G, is as follows: A. Mihaljevic Capital Management LLC --------------------------------- (a) Amount beneficially owned: 53,500 (b) Percent of class: 3.3%. The percentages used herein and in the rest of this Schedule 13G are calculated based upon 1,643,052 shares of Class A Common Stock stated to be outstanding as of December 31, 2006, as reflected in the Rule 15c2-11 information provided on the Company's website at http://www.winmillco.com (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 53,500 (iii) Sole power to dispose or direct the disposition: 0 (iv) Shared power to dispose or direct the disposition: 53,500 B. Ivan (John) Mihaljevic ------------------------ (a) Amount beneficially owned: 77,500 (b) Percent of class: 4.7%. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 24,000 (ii) Shared power to vote or direct the vote: 77,500 (iii) Sole power to dispose or direct the disposition: 24,000 (iv) Shared power to dispose or direct the disposition: 77,500 C. Mihaljevic Partners LP ---------------------- (a) Amount beneficially owned: 53,500 (b) Percent of class: 3.3%. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 53,500 (iii) Sole power to dispose or direct the disposition: 0 (iv) Shared power to dispose or direct the disposition: 53,500 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: [X] Item 6: Ownership of More than Five Percent on Behalf of Another Person: - ------ --------------------------------------------------------------- -7- Other than as set forth herein, no other person has the right to receive or the power to direct the receipt of dividends from, or proceeds from the sale of, in excess of 5% of the total outstanding Class A Common Stock. 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. Item 9: Notice of Dissolution of Group: - ------ ------------------------------ Not applicable. Item 10: Certification: - ------- ------------- Each of the Reporting Persons hereby makes the following certification: By signing below I certify that, to the best of my 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. -8- SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: January 3, 2008 MIHALJEVIC CAPITAL MANAGEMENT LLC By: /s/ Ivan Mihaljevic ----------------------------- Name: Ivan (John) Mihaljevic Title: Managing Member /s/ Ivan Mihaljevic ---------------------- Ivan (John) Mihaljevic MIHALJEVIC PARTNERS LP By: /s/ Ivan Mihaljevic ----------------------------- Name: Ivan (John) Mihaljevic Title: Managing Member of GP [SIGNATURE PAGE TO SCHEDULE 13G WITH RESPECT TO WINMILL & CO. INCORPORATED] -----END PRIVACY-ENHANCED MESSAGE-----