0001144204-13-008633.txt : 20130214 0001144204-13-008633.hdr.sgml : 20130214 20130214103626 ACCESSION NUMBER: 0001144204-13-008633 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 EFFECTIVENESS DATE: 20130214 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: 13607501 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 v334660_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: December 31, 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 February 11, 2013 ---------------------- ----------------------- ----------------- [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: 62 ------------- Form 13F Information Table Value Total: $200,163 ------------- (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 12-31-2012:
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 $ 9,348 745,478 SH SOLE NONE 745,478 Alco Stores Inc. COM 001600105 $ 3,064 325,420 SH SOLE NONE 325,420 Alliance One International Inc. COM 018772103 $14,408 3,958,209 SH SOLE NONE 3,958,209 Alliance One International Inc.5.500% Due 07-15-14 NOTE 5.500% 07-15-14 018772AQ6 $ 2,835 2,900,000 PRN SOLE NONE 2,900,000 American Greetings Corp CL A 026375105 $ 3,456 204,613 SH SOLE NONE 204,613 American International Group Inc. Warrant *W EXP 01/19/202 026874156 $ 2,571 186,282 SH SOLE NONE 186,282 American Pacific Corp. COM 028740108 $10,674 691,317 SH SOLE NONE 691,317 Argo Group International Holdings Ltd. COM G0464B107 $ 202 6,006 SH SOLE NONE 6,006 Aspen Insurance Holdings - Preferred Stock PFD PRP INC EQ g05384113 $ 1,284 21,194 SH SOLE NONE 21,194 Aspen Insurance Holdings Ltd. SHS G05384105 $ 9,696 302,250 SH SOLE NONE 302,250 Ballantyne Strong Inc. COM 058516105 $ 285 86,343 SH SOLE NONE 86,343 Baltic Trading Limited COM Y0553W103 $ 563 188,941 SH SOLE NONE 188,941 Bassett Furniture Industries COM 070203104 $ 7,424 595,352 SH SOLE NONE 595,352 Black Rock High Income Shares SHS BEN INT 09250E107 $ 50 21,000 SH SOLE NONE 21,000 Bowl America Inc. - Class A CL A 102565108 $ 189 15,122 SH SOLE NONE 15,122 Brandywine Realty Trust SH BEN INT NEW 105368203 $ 772 63,300 SH SOLE NONE 63,300 BRT Realty Trust SH BEN INT NEW 055645303 $ 4,116 633,266 SH SOLE NONE 633,266 Cal Dive International Inc. COM 12802T101 $ 5,553 3,209,635 SH SOLE NONE 3,209,635 California First National Bank Corp. COM 130222102 $ 4,619 308,960 SH SOLE NONE 308,960 Century Casinos Inc. COM 156492100 $ 3,315 1,167,358 SH SOLE NONE 1,167,358 CommonWealth REIT COM SH BEN INT 203233101 $ 1,336 84,369 SH SOLE NONE 84,369 Core-Mark Hldgs COM 218681104 $ 4,044 85,411 SH SOLE NONE 85,411 Delta Apparel Inc. COM 247368103 $ 6,985 499,629 SH SOLE NONE 499,629 Endeavour International COM NEW 29259G200 $ 361 69,698 SH SOLE NONE 69,698 EPL Oil & Gas Inc. COM 26883D108 $11,049 489,967 SH SOLE NONE 489,967 First Federal Northern Michigan Bancorp. COM 32021X105 $ 164 35,640 SH SOLE NONE 35,640 Frequency Electronics, Inc. COM 358010106 $ 1,867 227,174 SH SOLE NONE 227,174 Frisch's Restaurants, Inc. COM 358748101 $ 483 26,101 SH SOLE NONE 26,101 Globus Maritime COM Y27265209 $ 568 336,972 SH SOLE NONE 336,972 Goodrich Petroleum Corp.5.000% Due 10-01-29 NOTE 5.000% 10-01-29 382410AC2 $ 1,878 2,000,000 PRN SOLE NONE 2,000,000 Hardinge Inc. COM 412324303 $ 3,451 347,166 SH SOLE NONE 347,166 Horsehead Holdings COM 440694305 $ 1,291 126,417 SH SOLE NONE 126,417 Ingram Micro Inc. CL A 457153104 $ 5,934 350,700 SH SOLE NONE 350,700 Integrated Electrical Services, Inc. COM 45811E301 $ 649 144,201 SH SOLE NONE 144,201 LTX-Credence Corporation COM NEW 502403207 $ 274 41,813 SH SOLE NONE 41,813 Lubys. Inc. COM 549282101 $ 2,114 316,036 SH SOLE NONE 316,036 Magnum Hunter Resources COM 55973b102 $ 3,254 815,500 SH SOLE NONE 815,500 Mitcham Industies, Inc. COM 606501104 $ 975 71,497 SH SOLE NONE 71,497 Nash Finch Company COM 631158102 $ 2,725 128,042 SH SOLE NONE 128,042 NRG Energy Inc. COM NEW 629377508 $ 800 34,790 SH SOLE NONE 34,790 Olympic Steel Inc. COM 68162K106 $ 3,969 179,272 SH SOLE NONE 179,272 Patterson-UTI Energy Inc. COM 703481101 $ 8,946 480,200 SH SOLE NONE 480,200 PMC Commercial Trust SH BEN INT 693434102 $ 772 108,720 SH SOLE NONE 108,720 Republic Airways Holdings COM 760276105 $ 1,524 268,250 SH SOLE NONE 268,250 Resolute Forest Products Inc. COM 76117W109 $ 5,494 414,939 SH SOLE NONE 414,939 Sanmina-SCi Corp COM 801056102 $ 5,919 534,665 SH SOLE NONE 534,665 Sparton Corporation COM 847235108 $ 1,324 95,467 SH SOLE NONE 95,467 StarTek, Inc. COM 85569C107 $ 2,820 699,842 SH SOLE NONE 699,842 Superior Industries International Inc. COM 868168105 $ 3,736 183,133 SH SOLE NONE 183,133 SWS Group Inc. COM 78503N107 $ 3,313 626,313 SH SOLE NONE 626,313 Sypris Solutions Inc. COM 871655106 $ 2,898 731,737 SH SOLE NONE 731,737 Tandy Brands Accessories Inc. COM 875378101 $ 588 392,118 SH SOLE NONE 392,118 Tecumseh Products Company - Class A CL A 878895200 $ 3,948 854,583 SH SOLE NONE 854,583 Tecumseh Products Company - Class B CL B 878895101 $ 2,197 477,581 SH SOLE NONE 477,581 Tesoro Corp. COM 881609101 $ 7,067 160,425 SH SOLE NONE 160,425 Tetra Tech Inc. COM 88162F105 $ 2,525 332,625 SH SOLE NONE 332,625 Ultra Petrol Bahamas COM P94398107 $ 206 125,017 SH SOLE NONE 125,017 Unifi Inc. COM NEW 904677200 $ 989 76,007 SH SOLE NONE 76,007 Versar Inc. COM 925297103 $ 844 218,715 SH SOLE NONE 218,715 Vestin Realty Mortgage I Inc. COM 925490104 $ 29 26,809 SH SOLE NONE 26,809 Western Refining Inc. COM 959319104 $ 1,209 42,893 SH SOLE NONE 42,893 White Mountains Insurance Group COM g9618e107 $ 5,222 10,139 SH SOLE NONE 10,139