0001037792-11-000036.txt : 20111114
0001037792-11-000036.hdr.sgml : 20111111
20111114124340
ACCESSION NUMBER: 0001037792-11-000036
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111114
DATE AS OF CHANGE: 20111114
EFFECTIVENESS DATE: 20111114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: PARADIGM CAPITAL MANAGEMENT INC/NY
CENTRAL INDEX KEY: 0001037792
IRS NUMBER: 141770168
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06298
FILM NUMBER: 111200015
BUSINESS ADDRESS:
STREET 1: 9 ELK STREET
CITY: ALBANY
STATE: NY
ZIP: 12207
BUSINESS PHONE: 5184313500
MAIL ADDRESS:
STREET 1: 9 ELK STREET
CITY: ALBANY
STATE: NY
13F-HR
1
pcm13f3q11-finalwithcover.txt
United States
Securities and Exchange Commission
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 2011
Check here if Amendment [ ]; Amendment Number:
This Amendment (Check only one): [ ] is a restatement
[ ] adds new holdings entries
Institutional Investment Manager Filing this Report:
Name: Paradigm Capital Management, Inc.
Address: 9 Elk Street
Albany, NY 12207
13F File Number: 028-06298
The institutional investment manager filing this report and the person by
whom it is signed hereby represent that the person signing the report is
authorized to submit it, that all information contained herein is true,
correct and complete, and that it is understood that all required items,
statements, schedules, lists, and tables, are considered integral parts
of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: John V. Gulick
Title: Vice President, Chief Compliance Officer
Phone: (518) 431-3500
Signature, Place, and Date of Signing:
/s/ John V. Gulick Albany, NY November 11, 2011
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE
[ ] 13F COMBINATION REPORT
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 332
Form 13F Information Table Value Total: 1,683,086 (x1000)
List of Other Included Managers:
No. 13F File Number Name
- --- --------------- -----------------------------------
01 028-00000 Paradigm Funds Advisor LLC
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
3DFX interactive inc 88553x103 0 50000 SH Sole 50000
A.C. Moore Arts & Crafts, Inc. 00086T103 1473 1389800 SH Sole 1389800
Actuate Corporation 00508b102 3177 575600 SH Sole 575600
2433 440700 SH Defined 01 440700
Adirondack Trust co Saratoga S 007014103 370 280 SH Sole 280
Advanced Cell Technology Inc 00752k105 9 60000 SH Sole 60000
AerCap Holdings N.V. n00985106 227 22900 SH Sole 22900
Alaska Communications Systems 01167P101 236 36100 SH Sole 36100
Albany International Corp. 'A' 012348108 3104 170100 SH Sole 170100
Albany Molecular Research Inc. 012423109 1262 447404 SH Sole 447404
Alleghany Corporation 017175100 7156 24806 SH Sole 24806
89 309 SH Defined 01 309
Alphatec Hldgs Inc 02081g102 9164 4343150 SH Sole 4343150
Amer Eagle Outfitters 02553e106 15322 1307338 SH Sole 1307338
5267 449375 SH Defined 01 449375
American Financial Group 025932104 6284 202250 SH Sole 202250
87 2800 SH Defined 01 2800
American Woodmark Corporation 030506109 1530 126362 SH Sole 126362
amre inc 032153108 0 50000 SH Sole 50000
Anaren Microwave 032744104 18457 963800 SH Sole 963800
Anworth Mortgage Asset Corp 037347101 16685 2453705 SH Sole 2453705
5731 842810 SH Defined 01 842810
Applied Industrial Technologie 03820C105 10694 393750 SH Sole 393750
3313 121992 SH Defined 01 121992
Aptargroup, Inc. 038336103 6872 153845 SH Sole 153845
94 2100 SH Defined 01 2100
Aspen Insurance Holdings Ltd g05384105 11033 478875 SH Sole 478875
3209 139300 SH Defined 01 139300
astradyne computer inds inc 046345104 0 221288 SH Sole 221288
Atwood Oceanics Inc 050095108 4487 130600 SH Sole 130600
2488 72400 SH Defined 01 72400
Autobytel Inc Com 05275n106 174 205300 SH Sole 205300
Avatar Holdings Inc 053494100 2 200 SH Sole 200
1520 185800 SH Defined 01 185800
Avnet Inc 053807103 11665 447260 SH Sole 447260
294 11260 SH Defined 01 11260
Baxter International 071813109 606 10800 SH Sole 10800
Bebe Stores, Inc. 075571109 9122 1357400 SH Sole 1357400
Benchmark Electronics Inc. 08160H101 4548 349600 SH Sole 349600
Berkshire Hathaway Cl B 084670702 199 2798 SH Sole 2798
50 700 SH Defined 01 700
Big Lots Inc 089302103 10079 289365 SH Sole 289365
3483 100000 SH Defined 01 100000
Black Diamond Inc 09202g101 299 45900 SH Sole 45900
Bon-Ton Stores, Inc. 09776J101 4703 946200 SH Sole 946200
Brightpoint, Inc. 109473405 35254 3827825 SH Sole 3827825
7531 817645 SH Defined 01 817645
Brown Shoe Company 115736100 3769 529300 SH Sole 529300
Build-A-Bear Workshop, Inc. 120076104 5271 1033605 SH Sole 1033605
Cache, Inc. 127150308 4598 921400 SH Sole 921400
Cal-Maine Foods Inc New 128030202 6952 221205 SH Sole 221205
2665 84800 SH Defined 01 84800
Canadian National Railway 136375102 543 8160 SH Sole 8160
81 1220 SH Defined 01 1220
Capitol Federal Financial Inc 14057J101 10508 995122 SH Sole 995122
77 7300 SH Defined 01 7300
Casella waste systems 147448104 189 36000 SH Sole 36000
Cedar Fair, L.P. 150185106 496 26250 SH Sole 26250
Cenveo, Inc. 15670S105 11286 3749650 SH Sole 3749650
Chemtura Corp 163893209 8091 806679 SH Sole 806679
2238 223125 SH Defined 01 223125
chesa international ltd 164870107 0 18249 SH Sole 18249
cincinnati microwave inc. 172167108 0 53000 SH Sole 53000
Cohu Inc. 192576106 13568 1373300 SH Sole 1373300
Coldwater Creek Inc. 193068103 3288 2630600 SH Sole 2630600
Colgate-Palmolive 194162103 4117 46420 SH Sole 46420
Collective Brands 19421w100 16534 1275800 SH Sole 1275800
Commercial Metals Company 201723103 116 12200 SH Sole 12200
Compuware Corp 205638109 11780 1537825 SH Sole 1537825
3778 493200 SH Defined 01 493200
Comtech Communications 205826209 3287 117000 SH Sole 117000
Consolidated Graphics Inc. 209341106 17034 466300 SH Sole 466300
Convergys Corporation 212485106 18421 1963900 SH Sole 1963900
6378 680000 SH Defined 01 680000
Cray Computer 225223304 11108 2091900 SH Sole 2091900
CTS Corp 126501105 8319 1023200 SH Sole 1023200
CVS Corporation 126650100 1159 34498 SH Sole 34498
93 2775 SH Defined 01 2775
Cymer Inc. 232572107 7956 214150 SH Sole 214150
3637 97900 SH Defined 01 97900
Deltek Inc 24784l105 711 118300 SH Sole 118300
Diodes Inc 254543101 5473 305402 SH Sole 305402
2009 112100 SH Defined 01 112100
Dole Food Company Inc 256603101 7485 748500 SH Sole 748500
2578 257800 SH Defined 01 257800
Dxp Enterprises Inc- New 233377407 417 22125 SH Sole 22125
Ellis Perry Intl 288853104 2920 155300 SH Sole 155300
EMCOR Group, Inc. 29084Q100 14752 725650 SH Sole 725650
5196 255600 SH Defined 01 255600
Emulex Corporation 292475209 6052 945650 SH Sole 945650
2003 312900 SH Defined 01 312900
endo lase inc. 292935103 0 18800 SH Sole 18800
Endo Pharmaceuticals Hldgs Inc 29264f205 10518 375765 SH Sole 375765
3356 119900 SH Defined 01 119900
EnerSys 29275y102 13633 680946 SH Sole 680946
Ethan Allen Interiors 297602104 136 10000 SH Sole 10000
Exactech Inc. 30064e109 684 48569 SH Sole 48569
Exco Resources 269279402 486 45300 SH Sole 45300
39 3615 SH Defined 01 3615
Exide Technologies 302051206 11444 2861100 SH Sole 2861100
Express Inc. 30219e103 11024 543325 SH Sole 543325
4076 200900 SH Defined 01 200900
Ezcorp Inc 302301106 8284 290275 SH Sole 290275
2146 75200 SH Defined 01 75200
Federal Agricultural Mortgage 313148306 561 29470 SH Sole 29470
Ferro Corp 315405100 129 21000 SH Sole 21000
Finisar Corp 31787a507 441 25138 SH Sole 25138
Finish Line, Inc. 317923100 28312 1416300 SH Sole 1416300
Fly Leasign Limited Sponsored 34407d109 611 53875 SH Sole 53875
Foot Locker, Inc. 344849104 10351 515215 SH Sole 515215
4241 211100 SH Defined 01 211100
Force Protection Inc 345203202 3207 832976 SH Sole 832976
2332 605800 SH Defined 01 605800
Fossil, Inc. 349882100 811 10000 SH Sole 10000
FTI Consulting 302941109 9599 260775 SH Sole 260775
74 2000 SH Defined 01 2000
Furniture Brands International 360921100 2168 1052200 SH Sole 1052200
Gannett Co Inc 364730101 143 15000 SH Sole 15000
GATX Corp 361448103 3398 109650 SH Sole 109650
2780 89700 SH Defined 01 89700
General Dynamics Corp 369550108 473 8323 SH Sole 8323
80 1415 SH Defined 01 1415
General Electric 369604103 182 11932 SH Sole 11932
Global PWR Equip Group Inc 37941p306 6610 284073 SH Sole 284073
4132 177573 SH Defined 01 177573
Golfsmith International Holdin 38168y103 4087 1273135 SH Sole 1273135
Goodrich Corporation 382388106 362 3000 SH Sole 3000
GSI Technology 36241u106 3154 640959 SH Sole 640959
1851 376262 SH Defined 01 376262
Halozyme Therapeutics, Inc. 40637H109 61 10000 SH Sole 10000
Hamilton Digital 407355106 0 103555 SH Sole 103555
Harleysville Group Inc 412824104 8219 139635 SH Sole 139635
112 1900 SH Defined 01 1900
Harmonic Inc 413160102 12833 3012400 SH Sole 3012400
Harris Interactive Inc. 414549105 993 2026016 SH Sole 2026016
Haverty Furniture Companies In 419596101 5866 587227 SH Sole 587227
Hewlett-Packard 428236103 224 10000 SH Sole 10000
Horsehead Holdign Corp 440694305 139 18800 SH Sole 18800
Huttig Building 448451104 714 1623273 SH Sole 1623273
IAC/Interactive Corp 44919p508 8139 205790 SH Sole 205790
4034 102010 SH Defined 01 102010
Imris Inc. 45322n105 39 10000 SH Sole 10000
Innophos Holdings Inc. 45774N108 5566 139563 SH Sole 139563
3953 99120 SH Defined 01 99120
Innospec Inc 45768s105 4937 203905 SH Sole 203905
1628 67248 SH Defined 01 67248
Insight Enterprises 45765U103 25789 1703374 SH Sole 1703374
Insteel Industries Inc 45774w108 14484 1438299 SH Sole 1438299
Intermec Inc 458786100 5106 783065 SH Sole 783065
Intl Business Machines 459200101 804 4600 SH Sole 4600
Intuitive Surgical Inc New 46120e602 364 1000 SH Sole 1000
Invesco Mortgage Capital 46131b100 3456 244620 SH Sole 244620
investex inc. 461903106 0 67700 SH Sole 67700
Iridium Communications, Inc. 46269c102 3919 632100 SH Sole 632100
J.M. Smucker Company 832696405 5359 73528 SH Sole 73528
73 1000 SH Defined 01 1000
Jabil Circuit 466313103 22125 1243672 SH Sole 1243672
JDA Software 46612K108 1534 65451 SH Sole 65451
Johnson & Johnson 478160104 4942 77600 SH Sole 77600
Kadant Inc. 48282T104 266 15000 SH Sole 15000
Kapstone Paper 48562p103 21353 1537300 SH Sole 1537300
Kearny Financial 487169104 343 38833 SH Sole 38833
18 2075 SH Defined 01 2075
KHD Humboldt Wedag Int d4024h102 1953 328173 SH Sole 328173
Kinder Morgan Energy Partners 494550106 569 8315 SH Sole 8315
Kirkland's Inc. 497498105 2026 220952 SH Sole 220952
Knight Capital Group Inc. 499005106 23355 1920650 SH Sole 1920650
7359 605150 SH Defined 01 605150
Knoll Inc 498904200 362 26453 SH Sole 26453
Kratos Defense & Security Solu 50077b207 11086 1649669 SH Sole 1649669
Kulicke & Soffa Industries Inc 501242101 8395 1125275 SH Sole 1125275
2760 370000 SH Defined 01 370000
La Z Boy Inc 505336107 6618 893100 SH Sole 893100
LeCroy Corporation 52324W109 237 30000 SH Sole 30000
Lenders Processing Svcs 52602e102 7781 568336 SH Sole 568336
1914 139824 SH Defined 01 139824
Lexmark International Corp 529771107 8156 301750 SH Sole 301750
169 6250 SH Defined 01 6250
Libbey Inc 529898108 155 14700 SH Sole 14700
Life Technologies Corporation 53217v109 7240 188390 SH Sole 188390
3774 98200 SH Defined 01 98200
Lionbridge Technologies Inc. 536252109 488 198400 SH Sole 198400
Magellan Health Services, Inc. 559079207 17605 364499 SH Sole 364499
4677 96825 SH Defined 01 96825
Markel Corp 570535104 3815 10682 SH Sole 10682
54 150 SH Defined 01 150
Marvell Technology Group Ltd g5876h105 4313 297110 SH Sole 297110
116 8000 SH Defined 01 8000
Matrix Service Co. 576853105 8036 944303 SH Sole 944303
2680 314902 SH Defined 01 314902
MBT Finl Corp 578877102 114 98800 SH Sole 98800
McMoran Exploration Co 582411104 4837 487105 SH Sole 487105
3033 305410 SH Defined 01 305410
Mednax Inc 58502b106 13640 217760 SH Sole 217760
4598 73400 SH Defined 01 73400
Mens Wearhouse Inc 587118100 9603 368200 SH Sole 368200
3333 127800 SH Defined 01 127800
Merck & Co 58933y105 590 18028 SH Sole 18028
Metalico Inc. 591176102 5694 1459923 SH Sole 1459923
3626 929680 SH Defined 01 929680
MFA Financial Inc. 55272x102 10429 1485557 SH Sole 1485557
2191 312165 SH Defined 01 312165
MFC Industrial LTD 55278t105 19843 2736919 SH Sole 2736919
Microsemi Corp 595137100 5244 328170 SH Sole 328170
1782 111500 SH Defined 01 111500
Mid America Apartment Communit 59522j103 12249 203400 SH Sole 203400
3746 62200 SH Defined 01 62200
Mobile Mini, Inc. 60740f105 240 14600 SH Sole 14600
Monolithic Power Systems 609839105 2175 213700 SH Sole 213700
Montpelier Re Holdings, Ltd. g62185106 13061 738725 SH Sole 738725
3138 177500 SH Defined 01 177500
Myriad Genetics Inc. 62855j104 13657 728750 SH Sole 728750
4143 221080 SH Defined 01 221080
National Western Life Insuranc 638522102 4692 34625 SH Sole 34625
2686 19825 SH Defined 01 19825
Nature's Sunshine Products, In 639027101 13442 954686 SH Sole 954686
Natus Medical 639050103 200 21000 SH Sole 21000
Ness Technologies 64104x108 17143 2238041 SH Sole 2238041
NetScout Systems Inc. 64115t104 9860 863400 SH Sole 863400
New York & Company, Inc. 649295102 5009 1570307 SH Sole 1570307
Newcastle Investment Corp 65105m108 314 77150 SH Sole 77150
Noble Romans Inc. 655107100 24 40000 SH Sole 40000
Obagi Medical Products 67423r108 10986 1211300 SH Sole 1211300
Oclaro Inc. 67555n206 767 210600 SH Sole 210600
Ocwen Financial Corporation 675746309 374 28275 SH Sole 28275
Olin Corp 680665205 11029 612400 SH Sole 612400
3791 210500 SH Defined 01 210500
omnimax inc 681908109 0 10000 SH Sole 10000
Oplink Communications, Inc. 68375Q403 3479 229782 SH Sole 229782
Opnext Inc 68375v105 5935 4748100 SH Sole 4748100
Palomar Medical Technologies, 697529303 1073 136113 SH Sole 136113
Parametric Technology New 699173209 10321 671070 SH Sole 671070
PC Mall, Inc. 69323K100 4474 847330 SH Sole 847330
Pennantpark Investment Corp. 708062104 136 15200 SH Sole 15200
Pep Boys-Manny Moe & Jack 713278109 226 22925 SH Sole 22925
PepsiCo Inc 713448108 4891 79018 SH Sole 79018
PerkinElmer, Inc. 714046109 10127 527190 SH Sole 527190
3354 174600 SH Defined 01 174600
Petroquest Energy Inc 716748108 7846 1426575 SH Sole 1426575
2786 506500 SH Defined 01 506500
PHC INC- MASS CL A 693315103 260 110200 SH Sole 110200
Phontronics Inc 719405102 12358 2481500 SH Sole 2481500
Pinnacle Finl Partners Inc. 72346q104 136 12400 SH Sole 12400
Plains Exploration and Product 726505100 3222 141862 SH Sole 141862
45 2000 SH Defined 01 2000
pond hill homes ltd 732374103 0 13123 SH Sole 13123
Powerwave Technologies, Inc. 739363109 11015 6404150 SH Sole 6404150
Precision Castparts 740189105 6700 43099 SH Sole 43099
154 990 SH Defined 01 990
Premiere Global Services, Inc. 740585104 7260 1130791 SH Sole 1130791
2900 451722 SH Defined 01 451722
PRGX Global Inc. 69357c503 71 15100 SH Sole 15100
Procter & Gamble 742718109 491 7766 SH Sole 7766
PVH Corporation 693656100 10586 181769 SH Sole 181769
2301 39515 SH Defined 01 39515
Qlogic Corp 747277101 20273 1598825 SH Sole 1598825
6479 511000 SH Defined 01 511000
Quad/Graphics, Inc. 747301109 379 21000 SH Sole 21000
Radisys Corp 750459109 1932 315700 SH Sole 315700
Rand Logistics Inc. 752182105 786 126519 SH Sole 126519
Receptors inc 756205100 0 30000 SH Sole 30000
Regal Entertainment Group 758766109 16964 1444960 SH Sole 1444960
5857 498930 SH Defined 01 498930
Republic Airways Holdings Inc 760276105 118 42000 SH Sole 42000
Resolute Energy Corp 76116a108 5245 461721 SH Sole 461721
1398 123070 SH Defined 01 123070
Richardson Electronics, Ltd. 763165107 8826 648501 SH Sole 648501
Rock-Tenn CO-CL A 772739207 7938 163067 SH Sole 163067
177 3632 SH Defined 01 3632
Royal Gold, Inc. 780287108 6457 100800 SH Sole 100800
1288 20100 SH Defined 01 20100
RSC Holdings Inc. 74972l102 450 63100 SH Sole 63100
RTI Biologics 74975n105 6117 1859400 SH Sole 1859400
Rudolph Technologies Inc. 781270103 207 31000 SH Sole 31000
Saba Software, Inc. 784932600 432 75000 SH Sole 75000
Schnitzer Steel Industries, In 806882106 11805 320797 SH Sole 320797
3627 98570 SH Defined 01 98570
Sensient Technologies Corp 81725T100 19970 613520 SH Sole 613520
6516 200177 SH Defined 01 200177
SI Finl Group Inc MD 78425v104 3299 356698 SH Sole 356698
3185 344320 SH Defined 01 344320
Solta Medical Inc 83438k103 4621 3696556 SH Sole 3696556
Spartech Corp New 847220209 673 210400 SH Sole 210400
Spirit Airlines Inc. 848577102 177 14200 SH Sole 14200
Stage Stores, Inc. 85254C305 7669 552900 SH Sole 552900
Steelcase Inc. 858155203 198 31300 SH Sole 31300
Stein Mart Inc 858375108 22039 3526287 SH Sole 3526287
Steiner Leisure Limited p8744y102 23830 584500 SH Sole 584500
Summer Infant Inc 865646103 2342 354800 SH Sole 354800
Sunoco Inc. 86764P109 200 6450 SH Sole 6450
Superior Indus Intl 868168105 4000 258925 SH Sole 258925
1987 128600 SH Defined 01 128600
Sykes Enterprises Inc 871237103 7802 521843 SH Sole 521843
Symantec Corp. 871503108 2167 132950 SH Sole 132950
Symmetricom Inc 871543104 12370 2850174 SH Sole 2850174
Symmetry Medical Inc 871546206 4251 550650 SH Sole 550650
3539 458426 SH Defined 01 458426
Syneron Medical Ltd M87245102 1982 200000 SH Sole 200000
SYNNEX Corporation 87162W100 17509 668300 SH Sole 668300
Trans World Entertainment 89336Q100 740 389700 SH Sole 389700
Tronox Inc 897051306 5786 74175 SH Sole 74175
95 1220 SH Defined 01 1220
True Religion Apparel, Inc. 89784N104 377 14000 SH Sole 14000
TTM Technologies, Inc. 87305R109 32461 3413395 SH Sole 3413395
Unifi, Inc 904677200 1635 200079 SH Sole 200079
United Financial Bancorp 91030t109 4750 346950 SH Sole 346950
3440 251300 SH Defined 01 251300
Vanda Pharmaceuticals Inc. 921659108 4175 843450 SH Sole 843450
3452 697398 SH Defined 01 697398
Venoco Inc. 92275p307 8066 915530 SH Sole 915530
2799 317700 SH Defined 01 317700
Verizon Communications 92343V104 239 6491 SH Sole 6491
Viasystems Group Inc 92553h803 934 53085 SH Sole 53085
Viewpoint Financial Group Inc 92672a101 5239 457588 SH Sole 457588
2929 255820 SH Defined 01 255820
Vishay Intertechnology 928298108 16244 1943042 SH Sole 1943042
5829 697270 SH Defined 01 697270
Wabash National 929566107 120 25200 SH Sole 25200
West Marine, Inc. 954235107 8091 1050815 SH Sole 1050815
Westfield Financial Inc 96008p104 2679 406600 SH Sole 406600
2018 306200 SH Defined 01 306200
Westlake Chemical Corp 960413102 7047 205563 SH Sole 205563
188 5485 SH Defined 01 5485
Wet Seal, Inc. 961840105 35147 7845294 SH Sole 7845294
Whiting Petroleum Corp 966387102 4454 126980 SH Sole 126980
60 1700 SH Defined 01 1700
Woodward Inc 980745103 2452 89500 SH Sole 89500
550 20068 SH Defined 01 20068
Felcor Lodging Trust Inc - $1. 31430f200 820 40775 SH Sole 40775
IShares Barclays TIPS Bond ETF 464287176 1913 16740.00 SH Sole 16740.00
IShares Comex Gold Tr 464285105 2003 126522.00 SH Sole 126522.00
124 7850.00 SH Defined 01 7850.00