0001144204-13-028148.txt : 20130513 0001144204-13-028148.hdr.sgml : 20130513 20130513114215 ACCESSION NUMBER: 0001144204-13-028148 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130513 DATE AS OF CHANGE: 20130513 EFFECTIVENESS DATE: 20130513 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: 13835977 BUSINESS ADDRESS: STREET 1: 6862 ELM STREET STREET 2: SUITE 830 CITY: MCLEAN STATE: VA ZIP: 22101-7788 BUSINESS PHONE: 7035287788 MAIL ADDRESS: STREET 1: 6862 ELM STREET STREET 2: SUITE 830 CITY: MCLEAN STATE: VA ZIP: 22101-7788 FORMER COMPANY: FORMER CONFORMED NAME: BERNO GAMBAL & BARBEE INC DATE OF NAME CHANGE: 20010516 13F-HR 1 v344838_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: March 31, 2013 -------------- 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 May 13, 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: 65 ------------- Form 13F Information Table Value Total: $259,709 ------------- (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 03-31-2013:
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 $10,210 746,378 SH SOLE NONE 746,378 Alco Stores Inc. COM 001600105 $ 2,445 325,863 SH SOLE NONE 325,863 Alliance One International Inc. COM 018772103 $15,416 3,962,909 SH SOLE NONE 3,962,909 Alliance One International Inc. 5.500% Due 07-15-14 NOTE 5.500% 07-15-14 018772AQ6 $ 2,962 2,900,000 PRN SOLE NONE 2,900,000 American Greetings Corp CL A 026375105 $ 3,294 204,613 SH SOLE NONE 204,613 American International Group Inc. Warrant *W EXP 01/19/202 026874156 $ 2,831 186,282 SH SOLE NONE 186,282 American Pacific Corp. COM 028740108 $15,302 662,117 SH SOLE NONE 662,117 Aspen Insurance Holdings - Preferred Stock PFD PRP INC EQ g05384113 $ 1,406 21,244 SH SOLE NONE 21,244 Aspen Insurance Holdings Ltd. SHS G05384105 $11,672 302,550 SH SOLE NONE 302,550 Aurico Gold Inc. COM 05155C105 $ 2,751 437,310 SH SOLE NONE 437,310 Ballantyne Strong Inc. COM 058516105 $ 365 86,343 SH SOLE NONE 86,343 Baltic Trading Limited COM Y0553W103 $ 773 188,941 SH SOLE NONE 188,941 Bassett Furniture Industries COM 070203104 $ 7,938 497,388 SH SOLE NONE 497,388 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 $ 210 16,224 SH SOLE NONE 16,224 Brandywine Realty Trust SH BEN INT NEW 105368203 $ 940 63,300 SH SOLE NONE 63,300 BRT Realty Trust SH BEN INT NEW 055645303 $ 4,449 633,741 SH SOLE NONE 633,741 Cal Dive International Inc. COM 12802T101 $ 6,235 3,464,150 SH SOLE NONE 3,464,150 California First National Bank Corp. COM 130222102 $ 4,717 272,806 SH SOLE NONE 272,806 Century Casinos Inc. COM 156492100 $ 3,411 1,192,583 SH SOLE NONE 1,192,583 Coeur D Alene Mines Corp. COM NEW 192108504 $ 7,436 394,300 SH SOLE NONE 394,300 CommonWealth REIT COM SH BEN INT 203233101 $ 4,530 201,874 SH SOLE NONE 201,874 Core-Mark Hldgs COM 218681104 $ 4,388 85,511 SH SOLE NONE 85,511 Delta Apparel Inc. COM 247368103 $ 8,240 500,329 SH SOLE NONE 500,329 Endeavour International COM NEW 29259G200 $ 206 69,698 SH SOLE NONE 69,698 EPL Oil & Gas Inc. COM 26883D108 $13,149 490,467 SH SOLE NONE 490,467 First Federal Northern Michigan Bancorp. COM 32021X105 $ 167 35,640 SH SOLE NONE 35,640 Frequency Electronics, Inc. COM 358010106 $ 2,135 227,374 SH SOLE NONE 227,374 Frisch's Restaurants, Inc. COM 358748101 $ 468 26,101 SH SOLE NONE 26,101 Globus Maritime COM Y27265209 $ 839 336,972 SH SOLE NONE 336,972 Goodrich Petroleum Corp. 5.000% Due 10-01-29 NOTE 5.000% 10-01-29 382410AC2 $ 1,989 2,000,000 PRN SOLE NONE 2,000,000 Hardinge Inc. COM 412324303 $ 4,737 347,566 SH SOLE NONE 347,566 Horsehead Holdings COM 440694305 $ 1,379 126,717 SH SOLE NONE 126,717 Ingram Micro Inc. CL A 457153104 $ 6,908 351,000 SH SOLE NONE 351,000 Integrated Electrical Services, Inc. COM 45811E301 $ 941 144,801 SH SOLE NONE 144,801 International Tower Hill Mines Ltd. COM 46050R102 $ 613 403,449 SH SOLE NONE 403,449 LTX-Credence Corporation COM NEW 502403207 $ 254 42,037 SH SOLE NONE 42,037 Lubys. Inc. COM 549282101 $ 2,367 316,436 SH SOLE NONE 316,436 Magnum Hunter Resources COM 55973b102 $ 4,546 1,133,550 SH SOLE NONE 1,133,550 McEwen Mining Inc. COM 58039P107 $ 3,042 1,063,594 SH SOLE NONE 1,063,594 Mitcham Industies, Inc. COM 606501104 $ 1,210 71,497 SH SOLE NONE 71,497 Nash Finch Company COM 631158102 $ 2,507 128,042 SH SOLE NONE 128,042 Olympic Steel Inc. COM 68162K106 $ 4,285 179,272 SH SOLE NONE 179,272 Patterson-UTI Energy Inc. COM 703481101 $11,448 480,200 SH SOLE NONE 480,200 Photronics Inc. COM 719405102 $ 1,320 197,665 SH SOLE NONE 197,665 PMC Commercial Trust SH BEN INT 693434102 $ 818 108,720 SH SOLE NONE 108,720 Resolute Forest Products Inc. COM 76117W109 $ 6,717 415,126 SH SOLE NONE 415,126 Rubicon Technology Inc. COM 78112T107 $ 1,157 175,230 SH SOLE NONE 175,230 Ruby Tuesday COM 781182100 $ 5,148 698,531 SH SOLE NONE 698,531 Sanmina-SCi Corp COM 801056102 $ 6,083 534,990 SH SOLE NONE 534,990 StarTek, Inc. COM 85569C107 $ 4,094 699,842 SH SOLE NONE 699,842 Superior Industries International Inc. COM 868168105 $ 3,421 183,133 SH SOLE NONE 183,133 SWS Group Inc. COM 78503N107 $ 3,793 626,913 SH SOLE NONE 626,913 Sypris Solutions Inc. COM 871655106 $ 3,186 762,176 SH SOLE NONE 762,176 Tandy Brands Accessories Inc. COM 875378101 $ 196 392,118 SH SOLE NONE 392,118 Tecumseh Products Company - Class A CL A 878895200 $ 7,461 855,583 SH SOLE NONE 855,583 Tecumseh Products Company - Class B CL B 878895101 $ 3,988 477,781 SH SOLE NONE 477,781 Tellabs Inc. COM 879664100 $ 5,278 2,525,186 SH SOLE NONE 2,525,186 Ultra Petrol Bahamas COM P94398107 $ 334 125,017 SH SOLE NONE 125,017 Unifi Inc. COM NEW 904677200 $ 1,454 76,107 SH SOLE NONE 76,107 Versar Inc. COM 925297103 $ 949 218,715 SH SOLE NONE 218,715 Vestin Realty Mortgage I Inc. COM 925490104 $ 28 26,809 SH SOLE NONE 26,809 White Mountains Insurance Group COM g9618e107 $ 5,750 10,139 SH SOLE NONE 10,139 WPX Energy Inc. COM 98212B103 $10,776 672,650 SH SOLE NONE 672,650 Zaza Energy Corp. COM 98919T100 $ 2,600 1,428,553 SH SOLE NONE 1,428,553