0001144204-12-062029.txt : 20121114 0001144204-12-062029.hdr.sgml : 20121114 20121114102941 ACCESSION NUMBER: 0001144204-12-062029 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: AEGIS FINANCIAL CORP CENTRAL INDEX KEY: 0001140753 IRS NUMBER: 541712996 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10411 FILM NUMBER: 121201590 BUSINESS ADDRESS: STREET 1: 1100 NORTH GLEBE ROAD STREET 2: SUITE 1040 CITY: ARLINGTON STATE: VA ZIP: 22201-7788 BUSINESS PHONE: 7035287788 MAIL ADDRESS: STREET 1: 1100 NORTH GLEBE ROAD STREET 2: SUITE 1040 CITY: ARLINGTON STATE: VA ZIP: 22201-7788 FORMER COMPANY: FORMER CONFORMED NAME: BERNO GAMBAL & BARBEE INC DATE OF NAME CHANGE: 20010516 13F-HR 1 v775447_13fhr.txt 13F-HR 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, 2012 ----------------- 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: Aegis Financial Corporation -------------------------------------------------- Address: 6862 Elm Street, Suite 830 -------------------------------------------------- McLean, Virginia 22101 -------------------------------------------------- Form 13F File Number: 28-10411 -------- 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: Scott L. Barbee ------------------------------------------------------- Title: President ------------------------------------------------------- Phone: (703) 528-7788 ------------------------------------------------------- Signature, Place, and Date of Signing: /s/ Scott L. Barbee McLean, Virginia November 14, 2012 ---------------------- ----------------------- ----------------- [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: 63 ------------- Form 13F Information Table Value Total: $204,637 ------------- (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 AEGIS FINANCIAL CORPORATION FORM 13F INFORMATION TABLE 09-30-2012:
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------------------------------------------------------------------------------------------------------------ VALUE SHS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MGRS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------------------ Air Castle Ltd. COM g0129k104 $8,455 746,278 SH SOLE NONE 746,278 Alco Stores Inc. COM 001600105 $2,300 329,548 SH SOLE NONE 329,548 Alliance One International Inc. COM 018772103 $12,812 3,966,509 SH SOLE NONE 3,966,509 Alliance One International Inc. 5.500% Due 07-15-14 NOTE 5.500% 07-15-14 018772AQ6 $2,795 2,900,000 PRN SOLE NONE 2,900,000 American Greetings Corp CL A 026375105 $3,441 204,813 SH SOLE NONE 204,813 American International Group Inc. Warrant *W EXP 01/19/202 026874156 $2,508 186,482 SH SOLE NONE 186,482 American Pacific Corp. COM 028740108 $8,296 693,802 SH SOLE NONE 693,802 American Safety Insurance COM G02995101 $8,367 447,666 SH SOLE NONE 447,666 Argo Group International Holdings Ltd. ORD G0464B107 $299 9,226 SH SOLE NONE 9,226 Aspen Insurance Holdings - Preferred Stock PFD PRP INC EQ g05384113 $1,230 21,294 SH SOLE NONE 21,294 Aspen Insurance Holdings Ltd. COM G05384105 $9,228 302,650 SH SOLE NONE 302,650 Ballantyne Strong Inc. COM 058516105 $360 86,343 SH SOLE NONE 86,343 Baltic Trading Limited COM Y0553W103 $611 189,141 SH SOLE NONE 189,141 Bassett Furniture Industries COM 070203104 $8,787 705,789 SH SOLE NONE 705,789 Beazer Homes USA COM 07556Q881 $120 33,680 SH SOLE NONE 33,680 BKF Capital Group COM 05548G102 $65 63,176 SH SOLE NONE 63,176 Bowl America Inc. - Class A CL A 102565108 $217 16,871 SH SOLE NONE 16,871 Brandywine Realty Trust SH BEN INT NEW 105368203 $780 64,000 SH SOLE NONE 64,000 BRT Realty Trust SH BEN INT NEW 055645303 $4,141 637,014 SH SOLE NONE 637,014 Cal Dive International Inc. COM 12802T101 $2,016 1,317,664 SH SOLE NONE 1,317,664 California First National Bank Corp. COM 130222102 $7,672 416,047 SH SOLE NONE 416,047 Century Casinos Inc. COM 156492100 $3,091 1,166,358 SH SOLE NONE 1,166,358 CommonWealth REIT COM SH BEN INT 203233101 $1,233 84,669 SH SOLE NONE 84,669 Core-Mark Hldgs COM 218681104 $4,114 85,513 SH SOLE NONE 85,513 Delta Apparel Inc. COM 247368103 $6,885 500,029 SH SOLE NONE 500,029 Endeavour International COM NEW 29259G200 $675 69,840 SH SOLE NONE 69,840 EPL Oil & Gas Inc. COM 26883D108 $10,577 521,301 SH SOLE NONE 521,301 First Federal Northern Michigan Bancorp. COM 32021X105 $141 35,640 SH SOLE NONE 35,640 Frequency Electronics, Inc. COM 358010106 $2,005 227,874 SH SOLE NONE 227,874 Frisch's Restaurants, Inc. COM 358748101 $520 26,201 SH SOLE NONE 26,201 Genon Energy Inc. COM 37244e107 $2,550 1,008,091 SH SOLE NONE 1,008,091 Globus Maritime COM Y27265209 $759 337,172 SH SOLE NONE 337,172 Hardinge Inc. COM 412324303 $3,565 347,766 SH SOLE NONE 347,766 Horsehead Holdings COM 440694305 $1,185 126,617 SH SOLE NONE 126,617 Ingram Micro Inc. CL A 457153104 $5,349 351,200 SH SOLE NONE 351,200 Integrated Electrical Services, Inc. COM 45811E301 $659 144,801 SH SOLE NONE 144,801 LTX-Credence Corporation COM NEW 502403207 $242 42,140 SH SOLE NONE 42,140 Lubys. Inc. COM 549282101 $2,153 319,903 SH SOLE NONE 319,903 Magnum Hunter Resources COM 55973b102 $3,623 815,900 SH SOLE NONE 815,900 MBIA Inc. COM 55262C100 $2,781 274,500 SH SOLE NONE 274,500 Nash Finch Company COM 631158102 $2,156 105,587 SH SOLE NONE 105,587 Noble Corp. NAMEN-AKT H5833N103 $1,467 40,996 SH SOLE NONE 40,996 Olympic Steel Inc. COM 68162K106 $3,031 179,572 SH SOLE NONE 179,572 Patterson-UTI Energy Inc. COM 703481101 $7,605 480,700 SH SOLE NONE 480,700 PMC Commercial Trust SH BEN INT 693434102 $815 108,720 SH SOLE NONE 108,720 Republic Airways Holdings COM 760276105 $1,243 268,550 SH SOLE NONE 268,550 Resolute Forest Products Inc. COM 76117W109 $5,096 392,016 SH SOLE NONE 392,016 Sanmina-SCi Corp COM 800907206 $4,556 535,365 SH SOLE NONE 535,365 Sparton Corporation COM 847235108 $1,389 109,837 SH SOLE NONE 109,837 StarTek, Inc. COM 85569C107 $1,898 622,435 SH SOLE NONE 622,435 Superior Industries International Inc. COM 868168105 $3,133 183,333 SH SOLE NONE 183,333 SWS Group Inc. COM 78503N107 $2,608 426,813 SH SOLE NONE 426,813 Sypris Solutions Inc. COM 871655106 $4,149 581,030 SH SOLE NONE 581,030 Tandy Brands Accessories Inc. COM 875378101 $557 392,518 SH SOLE NONE 392,518 Tecumseh Products Company - Class A CL A 878895200 $4,437 856,568 SH SOLE NONE 856,568 Tecumseh Products Company - Class B CL B 878895101 $2,691 480,624 SH SOLE NONE 480,624 Tesoro Corp. COM 881609101 $11,493 274,287 SH SOLE NONE 274,287 Ultra Petrol Bahamas COM P94398107 $178 125,317 SH SOLE NONE 125,317 Unifi Inc. COM NEW 904677200 $976 76,140 SH SOLE NONE 76,140 Versar Inc. COM 925297103 $735 218,715 SH SOLE NONE 218,715 Vestin Realty Mortgage I Inc. COM 925490104 $36 26,809 SH SOLE NONE 26,809 Western Refining Inc. COM 959319104 $2,576 98,400 SH SOLE NONE 98,400 White Mountains Insurance Group COM g9618e107 $5,205 10,139 SH SOLE NONE 10,139