-----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, Asq3g+pOfaRoCyjYNymCdueaIM/r/awOphw2MjC/yq9/EpiKq8MEV2fEpySBXEoZ mPIyDMEkiFLbZ7Ov5gloRg== 0001387131-09-000682.txt : 20091112 0001387131-09-000682.hdr.sgml : 20091111 20091112085625 ACCESSION NUMBER: 0001387131-09-000682 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091112 DATE AS OF CHANGE: 20091112 EFFECTIVENESS DATE: 20091112 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: 091174400 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 aegis-13fhr_1111.txt 13F HOLDINGS REPORT 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, 2009 -------------- 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: 1100 North Glebe Road, Suite 1040 ------------------------------------------ Arlington, Virginia 22201 ------------------------------------------ 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 Arlington, Virginia November 10, 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: 69 ----------------------- Form 13F Information Table Value Total: $167,522 ----------------------- (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 09-30-2009:
SHR OR SH/PUT INVSTMNT OTHER VOTING NAME OF ISSUER TYPE OF CLASS CUSIP VALUE PRN AMT PRN/CALL DSCRTN MGRS AUTHORITY - -------------------------------- -------------------- --------- ------------- --------- -------- -------- ----- --------- Alliance One International Inc. COM 018772103 $ 10,114,572 2,257,717 SH Sole N/A Sole Allied Defense Group, Inc. COM 019118108 $ 5,624,200 1,079,501 SH Sole N/A Sole American Pacific Corp. COM 028740108 $ 5,499,528 708,702 SH Sole N/A Sole Argo Group International Holdings Ltd. COM G0464B107 $ 347,581 10,320 SH Sole N/A Sole Audiovox Corporation Class A CL A 050757103 $ 4,981,361 727,206 SH Sole N/A Sole Bassett Furniture Industry COM 070203104 $ 5,895,028 1,377,343 SH Sole N/A Sole Beazer Homes USA COM 07556Q105 $ 212,755 38,060 SH Sole N/A Sole Black Rock High Income Shares SHS BEN INT 09250E107 $ 517,685 282,888 SH Sole N/A Sole BlackRock Floating Rate COM SHS 09255y108 $ 372,099 30,008 SH Sole N/A Sole Bofi Holdings Inc. COM 05566U108 $ 4,802,035 570,313 SH Sole N/A Sole Books-A-Million Inc. COM 098570104 $ 1,938,512 161,006 SH Sole N/A Sole Bowl America Inc. - Class A CL A 102565108 $ 275,399 21,583 SH Sole N/A Sole Brandywine Operation Partners3.875% Due 10-15-26 NOTE 3.875% 10-15-26 105340AH6 $ 215,156 225,000 SH Sole N/A Sole Brandywine Realty Trust SH BEN INT NEW 105368203 $ 3,922,600 355,308 SH Sole N/A Sole Brigham Exploration Co. COM 109178103 $ 4,480,608 493,459 SH Sole N/A Sole BRT Realty Trust SH BEN INT NEW 055645303 $ 3,224,804 565,755 SH Sole N/A Sole California First National Bank Corp. COM 130222102 $ 5,121,137 462,614 SH Sole N/A Sole Care Investment Trust COM 141657106 $ 2,515,898 328,018 SH Sole N/A Sole ChipMOS Technology Bermuda Ltd. SHS G2110R106 $ 723,766 746,150 SH Sole N/A Sole Comstock Homebuilding Class A CL A 205684103 $ 245,522 233,830 SH Sole N/A Sole Cooper Tire & Rubber Co. COM 216831107 $ 1,339,244 76,180 SH Sole N/A Sole Covenant Transport Inc. Cl. A. CL A 22284P105 $ 1,349,185 274,783 SH Sole N/A Sole Dana Holdings Corp. COM 235825205 $ 13,140,882 1,929,645 SH Sole N/A Sole Delta Apparel Inc. COM 247368103 $ 6,157,864 769,733 SH Sole N/A Sole Dillards Inc. Class A. CL A 254067101 $ 3,326,190 235,900 SH Sole N/A Sole Duckwall-ALCO COM 264142100 $ 6,110,916 340,441 SH Sole N/A Sole FBR Capital Markets Corp. COM 30247C301 $ 1,345,553 226,906 SH Sole N/A Sole First Federal Northern Michigan Bancorp. COM 32021X105 $ 73,062 35,640 SH Sole N/A Sole Fisher Communications Inc. COM 337756209 $ 1,286,144 70,745 SH Sole N/A Sole Franklin Universal Trust SH BEN INT 355145103 $ 70,434 12,900 SH Sole N/A Sole Frequency Electronics, Inc. COM 358010106 $ 1,187,086 256,390 SH Sole N/A Sole Hardinge Inc. COM 412324303 $ 2,274,284 366,820 SH Sole N/A Sole Hastings Entertainment COM 418365102 $ 467,561 109,756 SH Sole N/A Sole Horizon Lines Inc.4.250% Due 08-15-12 NOTE 4.250% 8-15-12 44044KAB7 $ 591,563 750,000 SH Sole N/A Sole Horsehead Holdings COM 440694305 $ 8,742,300 745,930 SH Sole N/A Sole HRPT Properties Trust COM SH BEN INT 40426W101 $ 5,772,946 767,679 SH Sole N/A Sole Imperial Sugar COM NEW 453096208 $ 1,568,770 123,720 SH Sole N/A Sole International Shipholding Corporation COM NEW 460321201 $ 865,083 28,078 SH Sole N/A Sole J. Alexanders Corp. COM 466096104 $ 516,148 122,310 SH Sole N/A Sole Lodgian Inc. COM PAR $.01 54021P403 $ 270,646 164,028 SH Sole N/A Sole LTX-Credence Corporation COM 502403108 $ 231,210 140,127 SH Sole N/A Sole Lubys. Inc. COM 549282101 $ 1,379,713 328,503 SH Sole N/A Sole Marlin Business Service COM 571157106 $ 2,424,748 296,424 SH Sole N/A Sole Medallion Financial Corp. COM 583928106 $ 1,328,964 158,967 SH Sole N/A Sole Meridian Resources COM 58977Q109 $ 7,107 17,333 SH Sole N/A Sole Mitcham Industies, Inc. COM 606501104 $ 590,686 95,272 SH Sole N/A Sole Mod-Pac Corp. COM 607495108 $ 457,481 186,727 SH Sole N/A Sole Old Republic International Corp. COM 680223104 $ 2,627,226 215,700 SH Sole N/A Sole Olympic Steel Inc. COM 68162K106 $ 318,459 11,100 SH Sole N/A Sole Omega Protein Corp. COM 68210P107 $ 1,917,515 395,364 SH Sole N/A Sole Patterson-UTI Energy Inc. COM 703481101 $ 2,270,285 150,350 SH Sole N/A Sole Pep Boys - MM&J COM 713278109 $ 207,124 21,200 SH Sole N/A Sole PMA Capital Corp. Cl. A CL A 693419202 $ 7,066,923 1,241,990 SH Sole N/A Sole Post Properties Inc. COM 737464107 $ 1,314,000 73,000 SH Sole N/A Sole RF Monolithics Inc. COM 74955f106 $ 8,269 10,880 SH Sole N/A Sole Safety Insurance Group COM 78648T100 $ 246,900 7,500 SH Sole N/A Sole Sparton Corporation COM 847235108 $ 459,301 110,675 SH Sole N/A Sole Specialty Underwriters'Alliance COM 84751T309 $ 4,872,701 738,288 SH Sole N/A Sole Spherion Corporation COM 848420105 $ 4,475,410 720,678 SH Sole N/A Sole Superior Industries International Inc. COM 868168105 $ 3,120,237 219,735 SH Sole N/A Sole Sypris Solutions Inc. COM 871655106 $ 1,413,651 554,373 SH Sole N/A Sole Tandy Brands Accessories Inc. COM 875378101 $ 1,341,893 393,517 SH Sole N/A Sole Tecumseh Products Company - Class A CL A 878895200 $ 3,067,915 270,778 SH Sole N/A Sole Tecumseh Products Company - Class B CL B 878895101 $ 4,875,024 413,488 SH Sole N/A Sole Tesoro Corp. COM 881609101 $ 1,718,011 114,687 SH Sole N/A Sole Thomas Properties Group, Inc. COM 884453101 $ 973,014 336,683 SH Sole N/A Sole Ultra Petrol Bahamas COM P94398107 $ 492,000 100,000 SH Sole N/A Sole Unifi Inc. COM 904677101 $ 790,803 247,126 SH Sole N/A Sole Vestin Realty Mortgage I Inc. COM 925490104 $ 39,023 26,809 SH Sole N/A Sole $ 167,521,699
-----END PRIVACY-ENHANCED MESSAGE-----