SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
-----------------------------
FORM 8-K/A
CURRENT REPORT
PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report (Date of earliest event reported): September 30, 2003
WINMILL & CO. INCORPORATED
-------------------------------------------------
(Exact Name of Registrant as Specified in Charter)
Delaware 0-9667 13-1897916
(State or Other Jurisdiction of (Commission File Number) (IRS Employer
Incorporation) Identification No.)
11 Hanover Square New York, NY 10005
(Address of Principal Executive Offices) (ZIP Code)
Registrant's telephone number, including area code: (212) 785-0900
Not Applicable
-------------------------------------------------
(Former Name or Former Address, if Changed Since Last Report)
Item 7. Financial Statements and Exihibits.
(c) Exhibits.
Exhibit No. Description of Exhibit
========== =================================================
99.1 Press Release, dated December 2, 2003 announcing
its financial results for the second quarter and
six months ended September 30, 2003.
Item 12. Results of Operations and Financial Conditions.
On December 2, 2003, Winmill & Co. Incorporated (the "Company") issued a
press release announcing financial results for the third quarter and nine months
ended September 30, 2003. A copy of the December 2, 2003 press release is
attached hereto as Exhibit 99.1 and incorporated herein by reference.
The information contained in this report on Form 8-K (including the
exhibit) is being furnished pursuant to Item 12 and shall not be deemed to be
"filed" for the purposes of Section 18 of the Securities Exchange Act of 1934,
as amended (the "Exchange Act") or otherwise subject to the liabilities of that
section, nor shall it be deemed incorporated by reference in any filing made by
the Company under the Securities Act of 1933, as amended or the Exchange Act,
except as expressly set forth by specific reference in such a filing.
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the
Registrant has duly caused this report to be signed on its behalf by the
undersigned hereunto duly authorized.
WINMILL & CO. INCORPORATED
Date: December 2, 2003 /s/ Thomas B. Winmill
---------------------
Thomas B. Winmill
President
EXHIBIT INDEX
-------------
Exhibit Number Exhibit Description
- -------------- -------------------
99.1 Press release dated December 2, 2003
Exhibit 99.1
News Release
December 2, 2003
Winmill & Co. Incorporated Announces Third Quarter and Nine Month Results
New York - Winmill & Co. Incorporated (Nasdaq: WNMLA) today announced its
financial results for the third quarter ended September 30, 2003 and for the
nine months ended September 30, 2003.
Quarter Ended September 30: 2003 2002
Revenues:
Management, distribution and other fees $359,221 $357,762
Dividends, interest and other 39,093 58,219
Net unrealized appreciation (depreciation) of publicly held
affiliates and unrealized and realized gains (losses) on
proprietary trading 414,635 (411,281)
--------- ---------
Total $812,949 $4,700
========= =========
Net Income (Loss) $237,653 $(272,608)
Average Shares
Basic 1,607,848 1,628,320
Diluted 1,710,287 1,628,320
Share Earnings
Basic $0.15 $(0.17)
Diluted $0.14 $(0.17)
Nine Months Ended September 30: 2003 2002
Revenues:
Management, distribution and other fees $1,029,741 $1,069,135
Dividends, interest and other 118,479 180,624
Net unrealized appreciation (depreciation) of publicly held
affiliates and unrealized and realized gains (losses) on
proprietary trading 1,063,266 (72,099)
---------- ----------
Total $2,211,486 $1,177,660
========== ==========
Net Income (Loss) $657,475 $(97,023)
Average Shares
Basic 1,608,251 1,655,017
Diluted 1,668,106 1,660,836
Share Earnings
Basic $0.41 $(0.06)
Diluted $0.39 $(0.06)
Contact: William G. Vohrer
Treasurer
(212) 785-0900, ext. 279
wvohrer@winmillco.com