-----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, PXa3+da0obazkWqE9IYaRObVrZyma1zWtaRAIkpbIs8pzNgWFwRZAvIusI6vZpqJ hkU3EHyw9aOhwCOeQvkdZw== 0001140361-10-044395.txt : 20101109 0001140361-10-044395.hdr.sgml : 20101109 20101109121521 ACCESSION NUMBER: 0001140361-10-044395 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101109 DATE AS OF CHANGE: 20101109 EFFECTIVENESS DATE: 20101109 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: 101175183 BUSINESS ADDRESS: STREET 1: 49 UNION STREET CITY: MANCHESTER STATE: MA ZIP: 01944 BUSINESS PHONE: 978-704-6200 MAIL ADDRESS: STREET 1: 49 UNION STREET CITY: MANCHESTER STATE: MA ZIP: 01944 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 form13f.txt NEW GENERATION ADVISORS LLC 13-F 9-30-2010 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, 2010 ------------------ 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: 49 Union Street --------------------------------------------- Manchester, MA 01944 --------------------------------------------- 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: 978-704-6200 ---------------------------------------------- Signature, Place and Date of Signing: /s/George Putnam, III Manchester, MA November 9, 2010 - ------------------------- ------------------- ---------------------- [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: 50 --------------- Form 13F Information Table Value Total: $216,226 --------------- (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.
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------- -------------- --------- -------- ------------------ ---------- -------- --------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------- -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ---- ABOVENET INC COMMON 00374N107 4,383 84,139 SOLE NONE 84,139 0 0 ACCO BRANDS CORP COMMON 00081T108 3,680 639,940 SOLE NONE 639,940 0 0 AMR CORP COMMON 001765106 2,031 323,971 SOLE NONE 323,971 0 0 WTS/BANK OF AMERICA CORP 30.7900 WTS 060505153 2,944 1,237,100 SOLE NONE 1,237,100 0 0 EXP10/28/2018 CALPINE CORP COMMON 131347304 3,150 253,037 SOLE NONE 253,037 0 0 DELTA AIR LINES, INC COMMON 247361702 7,803 670,402 SOLE NONE 670,402 0 0 EUROSEAS LTD COMMON Y23592200 1,306 327,400 SOLE NONE 327,400 0 0 EXCEL MARITIME CARRIERS LTD COMMON V3267N107 3,732 664,000 SOLE NONE 664,000 0 0 EXIDE TECHNOLOGIES COMMON 302051206 3,233 674,878 SOLE NONE 674,878 0 0 FEDERAL MOGUL CORP COMMON 313549404 6,209 328,363 SOLE NONE 328,363 0 0 FIFTH THIRD BANCORP COMMON 316773100 4,249 353,164 SOLE NONE 353,164 0 0 FLEXTRONICS INTERNATIONAL LTD ORD Y2573F102 1,107 183,342 SOLE NONE 183,342 0 0 THE GOODYEAR TIRE & RUBBER COMPANY COMMON 382550101 2,967 276,011 SOLE NONE 276,011 0 0 GLOBAL CROSSING LTD COMMON G3921A175 5,500 428,025 SOLE NONE 428,025 0 0 HUNTSMAN CORPORATION COMMON 447011107 2,314 200,171 SOLE NONE 200,171 0 0 ING PRIME RATE TR MUTUAL FUND SH BEN INT 44977W106 3,857 673,131 SOLE NONE 673,131 0 0 JDS UNIPHASE CORP COMMON 46612J507 4,280 345,478 SOLE NONE 345,478 0 0 WTS/JPMORGAN CHASE & CO. 42.4200 WTS 46634E114 2,937 251,700 SOLE NONE 251,700 0 0 EXP10/28/2018 KEMET CORP COMMON 488360108 5,911 1,769,800 SOLE NONE 1,769,800 0 0 KEYCORP COMMON 493267108 3,990 501,254 SOLE NONE 501,254 0 0 LEAP WIRELESS INTL INC COMMON 521863308 2,099 170,000 SOLE NONE 170,000 0 0 LEAR CORP COMMON 521865204 12,945 164,002 SOLE NONE 164,002 0 0 LENNAR CORP CL A 526057104 6,800 442,110 SOLE NONE 442,110 0 0 LIBBEY INC COMMON 529898108 875 66,475 SOLE NONE 66,475 0 0 LTX-CREDENCE CORP COMMON 502403108 2,692 1,288,100 SOLE NONE 1,288,100 0 0 METROPCS COMMUNICATIONS, INC COMMON 591708102 11,051 1,056,533 SOLE NONE 1,056,533 0 0 MGIC INVESTMENT CORP COMMON 552848103 4,338 470,000 SOLE NONE 470,000 0 0 OWENS CORNING COMMON 690742101 2,579 100,627 SOLE NONE 100,627 0 0 WTS/OWENS CORNING INC. 45.2500 WTS 690742127 72 44,817 SOLE NONE 44,817 0 0 EXP10/31/2013 SERIES B PARKER DRILLING CO COMMON 701081101 2,208 507,670 SOLE NONE 507,670 0 0 PENNYMAC MTG INVT TR COMMON 70931T103 3,363 188,000 SOLE NONE 188,000 0 0 PLAINS EXPL & PROD CO LP COMMON 726505100 7,441 279,000 SOLE NONE 279,000 0 0 PMI GROUP, INC COMMON 69344M101 2,349 640,000 SOLE NONE 640,000 0 0 WTS/THE PNC FINANCIAL SERVICES WTS 693475121 2,707 255,100 SOLE NONE 255,100 0 0 GROUP, INC. 67.3300 EXP12/31/2018 PORTLAND GENERAL ELECTRIC CO COMMON 736508847 2,800 138,088 SOLE NONE 138,088 0 0 REGIONS FINANCIAL CORP COMMON 7591EP100 4,590 631,400 SOLE NONE 631,400 0 0 REVLON INC CL A 761525609 3,237 256,536 SOLE NONE 256,536 0 0 SERACARE LIFE SCIENCES, INC COMMON 81747T104 33 8,979 SOLE NONE 8,979 0 0 SMURFIT-STONE CONTAINER CORP COMMON 83272A104 5,195 282,791 SOLE NONE 282,791 0 0 SOLUTIA INC COMMON 834376501 8,751 546,264 SOLE NONE 546,264 0 0 STERLING FINANCIAL CORP COMMON 859319105 1,170 1,800,000 SOLE NONE 1,800,000 0 0 SUNTRUST BANKS INC COMMON 867914103 3,915 151,559 SOLE NONE 151,559 0 0 SYNOVUS FINANCIAL CORP COMMON 87161C105 3,306 1,343,800 SOLE NONE 1,343,800 0 0 TENET HEALTHCARE CORP COMMON 88033G100 3,380 716,000 SOLE NONE 716,000 0 0 TERADYNE INC COMMON 880770102 6,234 559,573 SOLE NONE 559,573 0 0 UAL CORP COMMON 902549807 11,261 475,950 SOLE NONE 475,950 0 0 US AIRWAYS GROUP INC COMMON 90341W108 14,898 1,610,632 SOLE NONE 1,610,632 0 0 VISHAY INTERTECHNOLOGY COMMON 928298108 6,413 662,500 SOLE NONE 662,500 0 0 VISHAY PRECISION GROUP INC COMMON 92835K103 739 47,320 SOLE NONE 47,320 0 0 WTS/WELLS FARGO & CO 34.0100 WTS 949746119 3,202 406,300 SOLE NONE 406,300 0 0 EXP10/28/2018
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