UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WINMILL BASSETT STARR 11 HANOVER SQUARE NEW YORK, NY 10005 |
 X |  X |  Chief Investment Strategist | See "Explanation of Responses" |
Bassett S. Winmill | 10/13/2011 | |
**Signature of Reporting Person | Date |
No securities are beneficially owned | |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
 Remarks: The Reporting Person is the portfolio manager of the Issuer and is an officer of the Issuer's registered investment adviser and its affiliates. He may be deemed to have indirect beneficial ownership of 638,588 Issuer shares as a result of his status as a controlling person of Winmill & Co. Incorporated and Midas Securities Group, Inc. (formerly Investor Service Center, Inc.), the direct beneficial owner and wholly owned subsidiary of Winmill & Co. Incorporated. The registered investment adviser is also a wholly owned subsidiary of Winmill & Co. Incorporated. The Reporting Person disclaims beneficial ownership of the Issuer shares held by Midas Securities Group, Inc. |