0001144204-11-046575.txt : 20110815 0001144204-11-046575.hdr.sgml : 20110815 20110815100009 ACCESSION NUMBER: 0001144204-11-046575 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110815 DATE AS OF CHANGE: 20110815 EFFECTIVENESS DATE: 20110815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WYNNEFIELD CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001056835 IRS NUMBER: 134018186 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-07006 FILM NUMBER: 111033599 BUSINESS ADDRESS: STREET 1: 450 SEVENTH AVE STREET 2: STE 509 CITY: NEW YORK STATE: NY ZIP: 10123 BUSINESS PHONE: 2127600814 MAIL ADDRESS: STREET 1: 450 SEVENTH AVE STREET 2: STE 509 CITY: NEW YORK STATE: NY ZIP: 10123 13F-HR 1 v230849_13f-hr.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: June 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: Wynnefield Capital Management, L.L.C. Address: 450 Seventh Avenue, Suite 509, New York, New York 10123. Form 13F File Number: 28-7006 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: Joshua H. Landes Title: Managing Member Phone: (212) 760-0814 Signature, Place and Date of Signing: /s/ Joshua H. Landes New York, NY August 14, 2011 Report Type (Check one only): |X| 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) |_| 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) |_| 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Wynnefield Capital Management, L.L.C. Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 55 Form 13F Information Table Value Total: $271,695 List of Other Included Managers: None FORM 13F INFORMATION TABLE FOR THE QUARTER ENDED 06/30/2011
------------------------------------------------------------------------------------------------------------------------------------ Title of Value Investment Sole Voting Name of Issuer Class Cusip (x$1000) Shares Discretion Authority ------------------------------------------------------------------------------------------------------------------------------------ ADVANCED PHOTONIX INC-CL A RSTD 00754E107 14,634 2,075,750 Sole 2,075,750 ALEXCO RESOURCE CORP COMM 01535P106 151 20,875 Sole 20,875 AMERICAN INDEPENDENCE CORP COMM 026760405 73 12,600 Sole 12,600 API TECHNOLOGIES CORP COMM 00187E203 2,362 2,520,000 Sole 335,000 BREEZE-EASTERN CORP COMM 106764103 15,074 2,117,911 Sole 1,347,068 CAGLES INC-CLASS A COMM 127703106 999 244,807 Sole 244,807 CDC SOFTWARE CORP-ADR ADRS 12507Y108 1,854 359,984 Sole 359,984 COLONIAL FINANCIAL SERVICES INC COMM 19566B101 161 12,628 Sole 12,628 CORE-MARK HOLDING CO INC COMM 218681104 25,395 716,752 Sole 711,342 CROWN CRAFTS INC COMM 228309100 7,622 1,573,573 Sole 1,571,563 DIREXION SMALL CAP BEAR 3X ETF 25459W110 19,275 555,800 Sole 555,800 EASYLINK SERVICES INTL-CL A COMM 277858106 14,680 2,543,726 Sole 2,513,716 FEDERAL SIGNAL CORP COMM 313855108 2,061 314,200 Sole 314,200 GLOBAL POWER EQUIPMENT GROUP INC COMM 37941P306 11,934 458,121 Sole 450,000 HALOZYME THERAPEUTICS INC COMM 40637H109 163 23,600 Sole 23,600 HANDY & HARMAN LTD COMM 410315105 5,808 426,292 Sole 377,390 HECKMANN CORP COMM 422680108 2,449 430,400 Sole 405,400 HECKMANN CORP WRNT 422680108 10 1,700 Sole 1,700 ICON PLC - SPONSORED ADR ADRS 45103T107 11,738 508,200 Sole 498,200 INDEPENDENCE HOLDING CO COMM 453440307 121 11,600 Sole 11,600 INTEGRAL SYSTEMS INC/MD COMM 45810H107 5,514 453,113 Sole 453,113 KID BRANDS INC COMM 49375T100 261 50,503 Sole 50,503 KINDRED HEALTHCARE INC COMM 494580103 1,396 75,000 Sole 65,000 LANDEC CORP COMM 514766104 12,930 2,012,714 Sole 1,959,153 MOUNTAIN PROVINCE DIAMONDS COMM 62426E402 559 102,485 Sole 102,485 MVC CAPITAL INC COMM 553829102 19,184 1,478,053 Sole 1,450,053 NATURES SUNSHINE PRODS INC COMM 639027101 21,726 1,160,211 Sole 1,115,300 NEUTRAL TANDEM INC COMM 64128B108 2,700 170,000 Sole 155,000 NEVADA GOLD & CASINOS INC COMM 64126Q206 824 624,388 Sole 615,188 NOBEL LEARNING COMMUNITIES COMM 654889104 11,940 1,050,659 Sole 1,033,749 OVERHILL FARMS INC COMM 690212105 300 55,701 Sole 53,701 PEOPLES FEDERAL BANCSHARES I COMM 711037101 141 10,000 Sole 10,000 PETROHAWK ENERGY CORP COMM 716495106 2,467 100,000 Sole 100,000 PHC INC-CL A (MASS) COMM 693315103 1,023 330,000 Sole 310,000 PHYSICIANS FORMULA HOLDINGS COMM 719427106 1,603 480,700 Sole 400,700 PILGRIM'S PRIDE CORP COMM 72147K108 135 25,000 Sole 25,000 PLATINUM GROUP METALS LTD COMM 72765Q205 88 50,000 Sole 50,000 PROSHARES ULTRA GOLD ETF 74347W601 6,142 80,000 Sole 80,000 PROVIDENT FINANCIAL HLDGS COMM 743868101 80 10,000 Sole 10,000 ROTECH HEALTHCARE INC COMM 778669101 7,754 1,692,427 Sole 1,667,427 SMTC CORPORATION COMM 832682207 537 500,000 Sole 264,635 SUMMER INFANT INC COMM 865646103 11,518 1,458,524 Sole 1,418,514 SUN HEALTHCARE GROUP INC NEW COMM 86677E100 1,684 210,000 Sole 210,000 TEAMSTAFF INC COMM 87815U303 1,023 1,347,925 Sole 1,033,319 TELOS CORP MD 12% PFD PREF 87969B200 7,967 373,500 Sole 373,500 TRANSWORLD CORPORATION COMM 89336R207 2,321 1,483,538 Sole 1,160,538 U S ENERGY CORP - WYOMING COMM 911805109 107 25,000 Sole 25,000 ULTRAPETROL (BAHAMAS) LTD COMM P94398107 494 100,000 Sole 100,000 ULTRASHORT LEHMAN 20+ YEAR ETF 74347R297 1,805 52,300 Sole 52,300 UNIGENE LABORATORIES INC COMM 904753100 6,139 5,791,454 Sole 5,791,444 US NATURAL GAS FUND LP ETF 912318110 110 10,000 Sole 10,000 VISHAY PRECISION GROUP INC COMM 92835K103 169 10,000 Sole 10,000 VITACOST.COM INC COMM 92847A200 2,952 610,000 Sole 610,000 WESTMORELAND COAL CO COMM 960878106 1,420 80,000 Sole 80,000 WINTHROP REALTY TRUST REIT 976391300 119 10,000 Sole 10,000