-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, REgJ48fp7MNSHLiFxv5+BjUQDypcI2ItKrf1vgGjg4PY+qWsrKK3UN+IdjAvWPB1 63qnu1+IRMHJBdYmuG24pA== 0000894579-09-000386.txt : 20090515 0000894579-09-000386.hdr.sgml : 20090515 20090515134559 ACCESSION NUMBER: 0000894579-09-000386 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090515 DATE AS OF CHANGE: 20090515 EFFECTIVENESS DATE: 20090515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NEW GENERATION ADVISORS LLC CENTRAL INDEX KEY: 0001107211 IRS NUMBER: 043020600 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10779 FILM NUMBER: 09831299 BUSINESS ADDRESS: STREET 1: 225 FRIEND STREET SUITE 801 CITY: BOSTON STATE: MA ZIP: 02114 BUSINESS PHONE: 6175739550 MAIL ADDRESS: STREET 1: 225 FRIEND STREET SUITE 801 CITY: BOSTON STATE: MA ZIP: 02114 FORMER COMPANY: FORMER CONFORMED NAME: NEW GENERATION ADVISERS LLC DATE OF NAME CHANGE: 20080731 FORMER COMPANY: FORMER CONFORMED NAME: NEW GENERATION ADVISERS INC DATE OF NAME CHANGE: 20000217 13F-HR 1 nga13fhr051409.txt NEW GENERATION ADVISORS 13FHR QE 03/31/2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2009 ------------------------ Check here if Amendment [ ]; Amendment Number: ------------------------ This Amendment (check only one): [ ] is a restatement [ ] add new holdings entries Institutional Investment Manager Filing this Report: Name: New Generation Advisors, LLC ------------------------------------------------------------- Address: 225 Friend Street ------------------------------------------------------------- Suite 801 ------------------------------------------------------------- Boston, MA 02114 ------------------------------------------------------------- Form 13F File Number: 28-10779 -------- 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 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: George Putnam, III ----------------------------------------------------------- Title: President ----------------------------------------------------------- Phone: 617.573.9550 ----------------------------------------------------------- Signature, Place and Date of Signing: /s/ George Putnam, III Boston, MA May 15, 2009 - ------------------------ --------------- -------------------------------- [Signature] [City, State] [Date] Report Type (Check only one) [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 Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 51 -------------------- Form 13F Information Table Value Total: $71,879 -------------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. None.
Title Value Investment Other Voting Authority Name of Issuer of Class Cusip ($1000) Shares Discretion Managers Sole Shared None - ------------- -------- --------- ------- --------- ---------- -------- ---- ------ ---- AMR CORP COMMON 001765106 921 288,821 SOLE NONE 288,821 ALCATEL-LUCENT ADR 013904305 2,322 1,248,636 SOLE NONE 1,248,636 ARMSTRONG WORLD INDUSTRIES, INC COMMON 04247X102 1,326 120,408 SOLE NONE 120,408 AVANEX CORP COMMON 05348W307 288 164,666 SOLE NONE 164,666 BLACKROCK SENIOR HIGH INC FD, INC MUTUAL FUND COMMON 09255T109 2,540 1,104,258 SOLE NONE 1,104,258 BLACKROCK FLOATING RATE INCOME STRATEGIES FUND II MUTUAL FUND COMMON 09255Y108 1,998 249,441 SOLE NONE 249,441 MUTUAL FUND BOOKHAM, INC. COMMON 09856E105 892 2,073,740 SOLE NONE 2,073,740 BROCADE COMMUNICATIONS SYSTEMS, INC. COMMON 111621306 2,120 614,637 SOLE NONE 614,637 CALPINE CORPORATION COMMON 131347304 1,692 248,467 SOLE NONE 248,467 CONEXANT SYSTEMS INC COMMON 207142308 174 267,453 SOLE NONE 267,453 CONTINENTAL AIRLINES INC CL B 210795308 1,031 117,075 SOLE NONE 117,075 DDI CORP. COMMON 233162502 875 283,945 SOLE NONE 283,945 DELTA AIR LINES, INC. COMMON 247361702 3,676 652,929 SOLE NONE 652,929 ELECTROGLAS INC. COMMON 285324109 61 1,215,631 SOLE NONE 1,215,631 EXIDE TECHNOLOGIES COMMON 302051206 1,870 623,263 SOLE NONE 623,263 FEDERAL MOGUL CORP COMMON 313549404 4,128 617,921 SOLE NONE 617,921 FINISAR CORPORATION COMMON 31787A101 705 1,602,286 SOLE NONE 1,602,286 FLEXTRONICS INTERNATIONAL LTD ORD Y2573F102 535 185,000 SOLE NONE 185,000 GLOBAL INDS LTD COMMON 379336100 381 99,175 SOLE NONE 99,175 THE GOODYEAR TIRE & RUBBER COMPANY COMMON 382550101 679 108,525 SOLE NONE 108,525 HARMONIC INC COMMON 413160102 3,059 470,565 SOLE NONE 470,565 HAYES LEMMERZ INTL INC COMMON 420781304 409 2,210,568 SOLE NONE 2,210,568 HUNTSMAN CORPORATION COMMON 447011107 1,189 380,000 SOLE NONE 380,000 ING PRIME RATE TR MUTUAL FUND SH BEN INT 44977W106 2,348 676,700 SOLE NONE 676,700 IBASIS INC COMMON 450732201 223 333,098 SOLE NONE 333,098 INTERNATIONAL COAL GROUP INC. COMMON 45928H106 803 498,699 SOLE NONE 498,699 JDS UNIPHASE CORPORATION COMMON 46612J507 2,089 642,816 SOLE NONE 642,816 KEY ENERGY SERVICES INC COMMON 492914106 1,227 426,056 SOLE NONE 426,056 KULICKE & SOFFA INDS INC COMMON 501242101 501 191,389 SOLE NONE 191,389 LENNAR CORPORATION CL A 526057104 3,098 412,509 SOLE NONE 412,509 MINDSPEED TECHNOLOGIES, INC. COMMON 602682205 392 315,958 SOLE NONE 315,958 NEWPARK RES INC COMMON 651718504 980 387,373 SOLE NONE 387,373 OWENS CORNING COMMON 690742101 1,104 122,102 SOLE NONE 122,102 WTS/OWENS CORNING INC. 45.2500 EXP10/31/2013 SERIES B WTS 690742127 22 45,417 SOLE NONE 45,417 PARKER DRILLING CO. CMN COMMON 701081101 449 244,141 SOLE NONE 244,141 PORTLAND GENERAL ELECTRIC CO COMMON 736508847 2,441 138,752 SOLE NONE 138,752 PRECISION DRILLING TRUST TR UNIT 740215108 635 236,885 SOLE NONE 236,885 PROSHARES TRUST-PROSHARES ULTRA FINANCIALS ETF PSHS ULTRA 74347R743 1,178 451,482 SOLE NONE 451,482 QWEST COMMUNICATIONS INT'L INC COMMON 749121109 3,172 927,574 SOLE NONE 927,574 REVLON INC CL A 761525609 389 156,836 SOLE NONE 156,836 SERACARE LIFE SCIENCES, INC. COMMON 81747T104 6 15,179 SOLE NONE 15,179 SOLUTIA INC. COMMON 834376501 2,023 1,081,646 SOLE NONE 1,081,646 TELLABS INC. COMMON 879664100 2,085 455,154 SOLE NONE 455,154 TERADYNE INC COMMON 880770102 2,409 550,000 SOLE NONE 550,000 UAL CORPORATION COMMON 902549807 2,093 467,082 SOLE NONE 467,082 USG CORP (NEW) COMMON 903293405 723 94,947 SOLE NONE 94,947 US AIRWAYS GROUP INC COMMON 90341W108 4,074 1,610,172 SOLE NONE 1,610,172 VISHAY INTERTECHNOLOGY COMMON 928298108 2,264 650,600 SOLE NONE 650,600 VONAGE HOLDINGS CORP. COMMON 92886T201 746 1,866,112 SOLE NONE 1,866,112 ZHONE TECHNOLOGIES INC COMMON 98950P108 520 2,719,944 SOLE NONE 2,719,944 ZILOG INC COMMON 989524301 1,014 431,333 SOLE NONE 431,333
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