0001144204-13-009355.txt : 20130214 0001144204-13-009355.hdr.sgml : 20130214 20130214171725 ACCESSION NUMBER: 0001144204-13-009355 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: WYNNEFIELD CAPITAL INC CENTRAL INDEX KEY: 0001251567 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14761 FILM NUMBER: 13615971 BUSINESS ADDRESS: STREET 1: 450 SEVENTH AVE STREET 2: STE 509 CITY: NEW YORK STATE: NY ZIP: 10123 BUSINESS PHONE: 2129600814 13F-HR 1 v333658_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: Wynnefield Capital, Inc. Address: 450 Seventh Avenue, Suite 509, New York, New York 10123. Form 13F File Number: 028-14761 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: Joshua H. Landes Title: Chief Operating Officer Phone: (212) 760-0814 Signature, Place and Date of Signing: /s/ Joshua H. Landes New York, NY February 14, 2013 Report Type (Check one only): [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 Wynnefield Capital, Inc. Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 40 Form 13F Information Table Value Total: $287,657 (thousands) List of Other Included Managers: None WYNNEFIELD CAPITAL INC. - FORM 13F INFORMATION TABLE For the Period Ended 12/31/12

Voting Authority Title of Value Shares/ SH/ Put/ Investment --------------------------- Name of Issuer Class Cusip (x$1000) Prn Amt PR Call Discretion Sole Shared None -------------------------------------------------------------------------------------------------------------------------- ACCO BRANDS CORP COMM 00081T108 3,351 456,500 SH Sole 456,500 API TECHNOLOGIES CORP RSTD 00187E203 8,437 2,979,030 SH Sole 2,979,030 BREEZE-EASTERN CORP COMM 106764103 17,472 2,117,911 SH Sole 2,117,911 BUILD A BEAR WORKSHOP COMM 120076104 152 40,000 SH Sole 40,000 CHIQUITA BRANDS INTL COMM 170032809 5,775 700,000 SH Sole 700,000 CORE-MARK HOLDING CO INC COMM 218681104 33,404 715,479 SH Sole 715,479 CROWN CRAFTS INC COMM 228309100 6,252 1,252,376 SH Sole 1,252,376 DLH HOLDINGS CORP COMM 23335Q100 2,834 4,141,833 SH Sole 4,141,833 FEDERAL SIGNAL CORP COMM 313855108 18,959 2,491,300 SH Sole 2,491,300 GLOBAL POWER EQUIPMENT GROUP INC COMM 37941P306 8,574 508,121 SH Sole 508,121 HAMPSHIRE GROUP LTD COMM 408859106 1,924 742,425 SH Sole 742,425 HANDY & HARMAN LTD COMM 410315105 8,833 635,050 SH Sole 635,050 HECKMANN CORP COMM 422680108 9,874 2,510,000 SH Sole 2,510,000 HERCULES OFFSHORE INC COMM 427093109 1,974 320,000 SH Sole 320,000 ICON PLC - SPONSORED ADR ADRS 45103T107 29,842 1,095,000 SH Sole 1,095,000 KID BRANDS INC COMM 49375T100 1,005 668,403 SH Sole 668,403 KINDRED HEALTHCARE INC COMM 494580103 5,472 515,700 SH Sole 515,700 KRATOS DEFENSE & SECURITY COMM 50077B207 10,362 2,060,000 SH Sole 2,060,000 LANDEC CORP COMM 514766104 19,781 2,172,260 SH Sole 2,172,260 LAYNE CHRISTENSEN COMPANY COMM 521050104 1,230 50,690 SH Sole 50,690 LIBBEY INC COMM 529898108 6,365 328,925 SH Sole 328,925 MAM SOFTWARE GROUP INC COMM 55277Q201 9,614 3,497,687 SH Sole 3,497,687 MVC CAPITAL INC COMM 553829102 22,353 1,867,765 SH Sole 1,867,765 NATURES SUNSHINE PRODS INC COMM 639027101 21,060 1,499,349 SH Sole 1,499,349 NEVADA GOLD & CASINOS INC COMM 64126Q206 595 772,188 SH Sole 772,188 OVERHILL FARMS INC COMM 690212105 233 55,701 SH Sole 55,701 PILGRIM'S PRIDE CORP COMM 72147K108 2,826 390,300 SH Sole 390,300 PRIMO WATER CORP COMM 74165N105 1,666 1,400,000 SH Sole 1,400,000 PROSHARES ULTRA GOLD ETF 74347W601 1,280 15,000 SH Sole 15,000 ROTECH HEALTHCARE INC COMM 778669101 1,583 2,692,865 SH Sole 2,692,865 SMTC CORPORATION COMM 832682207 1,455 599,085 SH Sole 599,085 SPDR GOLD TRUST ETF 78463V107 1,744 10,765 SH Sole 10,765 STEEL PARTNERS HLDGS LP COMM 85814R107 236 45,000 SH Sole 45,000 SUMMER INFANT INC COMM 865646103 5,116 3,025,000 SH Sole 3,025,000 TELOS CORP MD 12% PFD PREF 87969B200 5,603 373,500 SH Sole 373,500 TRANSWORLD CORPORATION COMM 89336R207 5,506 2,077,756 SH Sole 2,077,756 U S CONCRETE INC COMM 90333L201 905 100,000 SH Sole 100,000 ULTRAPETROL (BAHAMAS) LTD COMM P94398107 165 100,000 SH Sole 100,000 UNIGENE LABORATORIES INC COMM 904753100 952 6,900,000 SH Sole 6,900,000 WESTMORELAND COAL CO COMM 960878106 2,895 310,000 SH Sole 310,000