-----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, WrlpBiRP1gm/cinHyXhZVRfnCEX1CAa5Pbn37ifhD1RwyX3VvNgsHx5aWaneuBMn M6dzZpV091+SJ3g3LqoPlA== 0000902664-09-003363.txt : 20090814 0000902664-09-003363.hdr.sgml : 20090814 20090814170319 ACCESSION NUMBER: 0000902664-09-003363 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090814 DATE AS OF CHANGE: 20090814 EFFECTIVENESS DATE: 20090814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GENDELL JEFFREY L CENTRAL INDEX KEY: 0001056581 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06950 FILM NUMBER: 091016839 MAIL ADDRESS: STREET 1: 200 PARK AVE SOUTH STREET 2: SUITE 3900 CITY: NEW YORK STATE: NY ZIP: 10166 13F-HR 1 p09-1688form13fhr.txt JEFFREY L. GENDELL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 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: Jeffrey L. Gendell - -------------------------------------------------- Address: 55 Railroad Avenue - -------------------------------------------------- Greenwich, Connecticut 06830 - -------------------------------------------------- - -------------------------------------------------- Form 13F File Number: 028-06950 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: Jeffrey L. Gendell - -------------------------------------------------- Title: - -------------------------------------------------- Phone: 203-769-2000 - -------------------------------------------------- Signature, Place, and Date of Signing: /s/ Jeffrey L. Gendell New York, NY 08/14/09 - ------------------------- ---------------------------- -------- 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: 99 ------------- Form 13F Information Table Value Total: $1,223,419 ------------- (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. No. Form 13F File Number Name NONE
Form 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------- ---------- --------- ---------- ------------------- ---------- -------- ----------------- TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------- ---------- --------- ---------- ------------------- ---------- -------- ----------------- ADVANCED ENERGY INDS COM 007973100 1,554 172,909 SH SOLE 172,909 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 5,572 212,100 SH SOLE 212,100 0 0 AMERIANA BANCORP COM 023613102 874 206,200 SH SOLE 206,200 0 0 AMERICAN COMMERCIAL LINES COM PAR $0.01 025195405 5,267 340,231 SH SOLE 340,231 0 0 AMTECH SYS INC COM PAR $0.01N 032332504 651 134,300 SH SOLE 134,300 0 0 BANK OF AMERICA CORPORATION COM 060505104 13,200 1,000,000 SH SOLE 1,000,000 0 0 BANK OF AMERICA CORPORATION COM 060505104 422 32,000 SH CALL SOLE 32,000 0 0 BANK OF NEW YORK MELLON CORP COM 064058100 22,276 760,000 SH SOLE 760,000 0 0 BROADWIND ENERGY INC COM 11161T108 521,723 46,088,635 SH SOLE 46,088,635 0 0 BRUSH ENGINEERED MATLS INC COM 117421107 11,834 706,537 SH SOLE 706,537 0 0 CAMCO FINL CORP COM 132618109 1,207 513,444 SH SOLE 513,444 0 0 CAPITAL BK CORP COM 139793103 972 204,550 SH SOLE 204,550 0 0 CENTRUE FINL CORP NEW COM 15643B106 2,347 529,893 SH SOLE 529,893 0 0 CHART INDS INC COM PAR $0.01 16115Q308 7,710 424,099 SH SOLE 424,099 0 0 CITIGROUP INC COM 172967101 458 154,200 SH CALL SOLE 154,200 0 0 COLONY BANKCORP INC COM 19623P101 102 14,370 SH SOLE 14,370 0 0 COMMUNITY CENTRAL BANK CORP COM 20363J107 493 328,454 SH SOLE 328,454 0 0 CONSOL ENERGY INC COM 20854P109 6,564 193,300 SH SOLE 193,300 0 0 CORE MOLDING TECHNOLOGIES IN COM 218683100 392 175,000 SH SOLE 175,000 0 0 DEARBORN BANCORP INC COM 24242R108 440 244,704 SH SOLE 244,704 0 0 DST SYS INC DEL COM 233326107 15,889 430,000 SH SOLE 430,000 0 0 DYCOM INDS INC COM 267475101 1,403 126,700 SH SOLE 126,700 0 0 EMCOR GROUP INC COM 29084Q100 6,117 304,037 SH SOLE 304,037 0 0 ENERSYS COM 29275Y102 13,726 754,572 SH SOLE 754,572 0 0 ENGLOBAL CORP COM 293306106 6,325 1,285,558 SH SOLE 1,285,558 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 88,420 23,705,133 SH SOLE 23,705,133 0 0 FERRO CORP COM 315405100 953 346,700 SH SOLE 346,700 0 0 FIDELITY SOUTHERN CORP NEW COM 316394105 1,866 643,408 SH SOLE 643,408 0 0 FIRST BANCSHARES INC MO COM 318687100 1,041 88,593 SH SOLE 88,593 0 0 FIRST FED BANKSHARES INC DEL COM 32020V100 340 259,694 SH SOLE 259,694 0 0 FIRST FED NORTHN MICH BANCOR COM 32021X105 368 167,505 SH SOLE 167,505 0 0 FIRST FRANKLIN CORP COM 320272107 165 25,439 SH SOLE 25,439 0 0 FIRST MARINER BANCORP COM 320795107 65 44,934 SH SOLE 44,934 0 0 FIRST MERCHANTS CORP COM 320817109 252 31,400 SH SOLE 31,400 0 0 FIRSTMERIT CORP COM 337915102 342 20,147 SH SOLE 20,147 0 0 FOSTER WHEELER AG COM H27178104 33,844 1,425,000 SH SOLE 1,425,000 0 0 FURMANITE CORPORATION COM 361086101 1,215 272,360 SH SOLE 272,360 0 0 GENTEK INC COM NEW 37245X203 1,065 47,683 SH SOLE 47,683 0 0 HALLIBURTON CO COM 406216101 2,070 100,000 SH SOLE 100,000 0 0 HARDINGE INC COM 412324303 817 192,267 SH SOLE 192,267 0 0 HAWTHORN BANCSHARES INC COM 420476103 2,390 241,400 SH SOLE 241,400 0 0 HF FINL CORP COM 404172108 177 14,998 SH SOLE 14,998 0 0 HMN FINL INC COM 40424G108 1,134 323,119 SH SOLE 323,119 0 0 HORIZON BANCORP IND COM 440407104 1,767 108,749 SH SOLE 108,749 0 0 INDEPENDENCE FED SVGS BK COM 453432106 56 20,403 SH SOLE 20,403 0 0 INNOSPEC INC COM 45768S105 51,905 4,828,345 SH SOLE 4,828,345 0 0 INTEGRA BK CORP COM 45814P105 194 168,729 SH SOLE 168,729 0 0 INTEGRATED ELECTRICAL SVC INC COM 45811E301 66,811 8,554,493 SH SOLE 8,554,493 0 0 JAMES RIVER COAL CO COM NEW 470355207 7,933 524,300 SH SOLE 524,300 0 0 JANUS CAP GROUP INC COM 47102X105 26,035 2,283,797 SH SOLE 2,283,797 0 0 JPMORGAN CHASE & CO COM 46625H100 1,706 50,000 SH SOLE 50,000 0 0 KBR INC COM 48242W106 38,913 2,110,265 SH SOLE 2,110,265 0 0 KMG CHEMICALS INC COM 482564101 6,976 956,955 SH SOLE 956,955 0 0 LADISH INC COM NEW 505754200 2,044 157,624 SH SOLE 157,624 0 0 LEGG MASON INC COM 524901105 22,795 935,000 SH SOLE 935,000 0 0 LSB INDS INC COM 502160104 581 35,930 SH SOLE 35,930 0 0 MAGNETEK INC COM 559424106 2,623 1,886,800 SH SOLE 1,886,800 0 0 MARSHALL & ILSLEY CORP NEW COM 571837103 15,660 3,262,400 SH SOLE 3,262,400 0 0 MASTEC INC COM 576323109 12,763 1,089,015 SH SOLE 1,089,015 0 0 MATRIX SVC CO COM 576853105 3,193 278,118 SH SOLE 278,118 0 0 MCDERMOTT INTL INC COM 580037109 25,926 1,276,500 SH SOLE 1,276,500 0 0 METROCORP BANCSHARES INC COM 591650106 104 33,417 SH SOLE 33,417 0 0 MFRI INC COM 552721102 3,162 511,712 SH SOLE 511,712 0 0 MUTUALFIRST FINL INC COM 62845B104 1,632 182,137 SH SOLE 182,137 0 0 NATIONAL TECHNICAL SYS INC COM 638104109 2,253 736,297 SH SOLE 736,297 0 0 NEW HAMPSHIRE THRIFT BANCSHS INC COM 644722100 1,326 134,600 SH SOLE 134,600 0 0 NORTH AMERN ENERGY PARTNERS COM 656844107 10,252 1,683,468 SH SOLE 1,683,468 0 0 NORTHEAST BANCORP COM 663904100 1,586 195,757 SH SOLE 195,757 0 0 OHIO LEGACY CORP COM 677399107 425 141,763 SH SOLE 141,763 0 0 OHIO VY BANC CORP COM 677719106 249 8,474 SH SOLE 8,474 0 0 PARKVALE FINL CORP COM 701492100 1,524 169,547 SH SOLE 169,547 0 0 PATRICK INDS INC COM 703343103 7,659 5,174,963 SH SOLE 5,174,963 0 0 PEOPLES BANCORP NC INC COM 710577107 1,936 314,849 SH SOLE 314,849 0 0 PERMA-FIX ENVIRONMENTAL SVCS INC COM 714157104 2,223 918,652 SH SOLE 918,652 0 0 POVIDENT CMNTY BANCSHARES IN COM 74386S107 452 137,105 SH SOLE 137,105 0 0 PREFORMED LINE PRODS CO COM 740444104 14,365 326,043 SH SOLE 326,043 0 0 PRINCETON NATL BANCORP INC COM 742282106 1,230 84,250 SH SOLE 84,250 0 0 PROSHARES TR PSHS ULTRA FINL 74347R743 4,536 1,175,000 SH SOLE 1,175,000 0 0 PROVIDENT FINL HLDGS INC COM 743868101 338 61,064 SH SOLE 61,064 0 0 PROVIDENT NEW YORK BANCORP COM 744028101 308 37,900 SH SOLE 37,900 0 0 RCM TECHNOLOGIES INC COM NEW 749360400 600 271,350 SH SOLE 271,350 0 0 RURBAN FINL CORP COM 78176P108 182 23,488 SH SOLE 23,488 0 0 SATCON TECHNOLOGY CORP COM 803893106 609 338,429 SH SOLE 338,429 0 0 SHAW GROUP INC COM 820280105 1,048 38,234 SH SOLE 38,234 0 0 SHILOH INDS INC COM 824543102 4,025 1,090,853 SH SOLE 1,090,853 0 0 SOUTHERN CMNTY FINL CORP COM 842632101 750 276,685 SH SOLE 276,685 0 0 STATE STR CORP COM 857477103 12,036 255,000 SH SOLE 255,000 0 0 SUN BANCORP INC COM 86663B102 2,713 523,745 SH SOLE 523,745 0 0 SYNALLOY CP DEL COM 871565107 3,783 455,782 SH SOLE 455,782 0 0 THERMADYNE HLDGS CORP NEW COM PAR $0.01 883435307 533 151,718 SH SOLE 151,718 0 0 TIDEWATER INC COM 886423102 18,562 432,989 SH SOLE 432,989 0 0 TIERONE CORP COM 88650R108 942 457,054 SH SOLE 457,054 0 0 TRUEBLUE INC COM 89785X101 1,764 210,000 SH SOLE 210,000 0 0 TUTOR PERINI CORP COM 901109108 12,875 741,630 SH SOLE 741,630 0 0 UAL CORP COM NEW 902549807 3,783 1,186,000 SH SOLE 1,186,000 0 0 UNITED BANCSHARES INC OHIO COM 909458101 655 56,055 SH SOLE 56,055 0 0 WABASH NATL CORP COM 929566107 1,204 1,719,848 SH SOLE 1,719,848 0 0 WESTMORELAND COAL CO COM 960878106 8,056 994,600 SH SOLE 994,600 0 0 WILLBROS GROUP INC DEL COM 969203108 21,816 1,744,166 SH SOLE 1,744,166 0 0
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