0001144204-11-064319.txt : 20111114 0001144204-11-064319.hdr.sgml : 20111111 20111114160643 ACCESSION NUMBER: 0001144204-11-064319 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: 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: 111202434 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 v239458_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: 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: 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 November 10, 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: 43 Form 13F Information Table Value Total: $235,793 List of Other Included Managers: None FORM 13F INFORMATION TABLE FOR THE QUARTER ENDED 09/30/2011
------------------------------------------------------------------------------------------------------------------------------------ Title of Value Investment Sole Voting Name of Issuer Class Cusip (x$1000) Shares Discretion Authority ------------------------------------------------------------------------------------------------------------------------------------ ADVANCED PHOTONIX INC-CL A RSTD 00754E107 8,199 2,075,750 Sole 2,075,750 API TECHNOLOGIES CORP COMM 00187E203 9,954 2,520,000 Sole 2,520,000 BREEZE-EASTERN CORP COMM 106764103 12,514 2,117,911 Sole 2,117,911 CAGLES INC-CLASS A COMM 127703106 928 244,807 Sole 244,807 CDC SOFTWARE CORP-ADR ADRS 12507Y108 1,378 417,447 Sole 417,447 CHIQUITA BRANDS INTL COMM 170032809 4,128 495,000 Sole 495,000 COLLECTIVE BRANDS INC COMM 19421W100 9,060 739,050 Sole 739,050 CORE-MARK HOLDING CO INC COMM 218681104 21,271 705,600 Sole 705,600 CROWN CRAFTS INC COMM 228309100 5,745 1,573,573 Sole 1,573,573 DIREXION SMALL CAP BEAR 3X ETF 25459W110 29,134 550,000 Sole 550,000 EASYLINK SERVICES INTL-CL A COMM 277858106 9,835 2,296,226 Sole 2,296,226 FEDERAL SIGNAL CORP COMM 313855108 3,022 697,762 Sole 697,762 GLOBAL POWER EQUIPMENT GROUP INC COMM 37941P306 10,472 450,000 Sole 450,000 HALOZYME THERAPEUTICS INC COMM 40637H109 1,228 200,000 Sole 200,000 HANDY & HARMAN LTD COMM 410315105 4,935 538,002 Sole 538,002 HECKMANN CORP COMM 422680108 6,560 1,295,000 Sole 1,295,000 HECKMANN CORP WRNT 422680108 9 1,700 Sole 1,700 ICON PLC - SPONSORED ADR ADRS 45103T107 14,472 910,000 Sole 910,000 KID BRANDS INC COMM 49375T100 133 50,503 Sole 50,503 KINDRED HEALTHCARE INC COMM 494580103 1,121 140,000 Sole 140,000 KRATOS DEFENSE & SECURITY COMM 50077B207 4,973 740,000 Sole 740,000 LANDEC CORP COMM 514766104 12,665 2,497,924 Sole 2,497,924 MAGNUM HUNTER RESOURCES CORP COMM 55973B102 828 250,000 Sole 250,000 MVC CAPITAL INC COMM 553829102 16,095 1,565,258 Sole 1,565,258 NATURES SUNSHINE PRODS INC COMM 639027101 14,291 1,059,921 Sole 1,059,921 NEUTRAL TANDEM INC COMM 64128B108 3,049 330,000 Sole 330,000 NEVADA GOLD & CASINOS INC COMM 64126Q206 1,077 615,188 Sole 615,188 OVERHILL FARMS INC COMM 690212105 199 55,701 Sole 55,701 PHC INC-CL A (MASS) COMM 693315103 564 259,018 Sole 259,018 PHYSICIANS FORMULA HOLDINGS COMM 719427106 1,099 479,700 Sole 479,700 PILGRIM'S PRIDE CORP COMM 72147K108 214 50,000 Sole 50,000 PRIMO WATER CORP COMM 74165N105 2,764 490,000 Sole 490,000 PROSHARES ULTRA GOLD ETF 74347W601 2,620 30,000 Sole 30,000 ROTECH HEALTHCARE INC COMM 778669101 3,874 1,887,500 Sole 1,887,500 SMTC CORPORATION COMM 832682207 727 723,450 Sole 723,450 SUMMER INFANT INC COMM 865646103 8,576 1,339,427 Sole 1,339,427 SUN HEALTHCARE GROUP INC NEW COMM 86677E100 567 210,000 Sole 210,000 TEAMSTAFF INC COMM 87815U303 1,684 1,294,092 Sole 1,294,092 ULTRAPETROL (BAHAMAS) LTD COMM P94398107 227 100,000 Sole 100,000 ULTRASHORT LEHMAN 20+ YEAR ETF 74347R297 1,989 102,300 Sole 102,300 US NATURAL GAS FUND LP ETF 912318110 90 10,000 Sole 10,000 VITACOST.COM INC COMM 92847A200 2,904 610,000 Sole 610,000 WESTMORELAND COAL CO COMM 960878106 621 80,000 Sole 80,000