-----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, MUMmWbd51O2akJVd/RHuI3YazvzdRhIiWCd92Z46jOhf+yMhu0mHEz3AdXcIO94n jb3DHWhe0hDKwSbzy8FRCg== 0000950123-07-015391.txt : 20071113 0000950123-07-015391.hdr.sgml : 20071112 20071113161701 ACCESSION NUMBER: 0000950123-07-015391 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071113 DATE AS OF CHANGE: 20071113 EFFECTIVENESS DATE: 20071113 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: 071238436 BUSINESS ADDRESS: STREET 1: 200 PARK AVE STREET 2: SUITE 3900 CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 2126923694 MAIL ADDRESS: STREET 1: 200 PARK AVE SOUTH STREET 2: SUITE 3900 CITY: NEW YORK STATE: NY ZIP: 10166 13F-HR 1 y42631e13fvhr.txt FORM 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: 9/30/07 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 Ave. Greenwich, CT 06830 Form 13F File Number: 28-_____________ 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: Robert Marietta Title: Client Service Representative Phone: 212-713-9174 Signature, Place, and Date of Signing: Robert Marietta New York, NY 11/13/07 - ------------------------------ ----------------------- ------------------- [Signature] [City, State] [Date] 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).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28-___________________________ _______________________________________ [Repeat as necessary.] Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: ______None_______ Form 13F Information Table Entry Total: _____281________ Form 13F Information Table Value Total: $___13,656,048_________ (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. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name _______ ___________________________ ________________________________ [Repeat as necessary.] FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------ -------------- -------- -------- ------------------ ---------- -------- -------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------ -------------- -------- -------- ------- --- ---- ---------- -------- ---- ------ ---- _________________________________________________________________________________________________________________________________ _________________________________________________________________________________________________________________________________ _________________________________________________________________________________________________________________________________ _________________________________________________________________________________________________________________________________ _________________________________________________________________________________________________________________________________ [Repeat as necessary.]
9/30/2007 UBS SECURITIES LLC 1 USD AMERIS BANCORP COMMON 03076K108 6,125,341 338,791 N X TONT 338791 0 0 ADA ES INC COMMON 005208103 1,853,930 148,910 N X TONT 148910 0 0 ASTORIA FINANCIAL CORP COMMON 046265104 60,890,330 2,295,150 N X TONT 2295150 0 0 AK STEEL HOLDING CORP COMMON 001547108 307,225,883 6,990,350 N X TONT 6990350 0 0 AMCORE FINANCIAL INC COMMON 023912108 3,515,041 141,053 N X TONT 141053 0 0 AMERON INTERNATIONAL CORP COMMON 030710107 95,542,041 903,300 N X TONT 903300 0 0 AMR CORP-DEL COMMON 001765106 537,577,894 24,117,447 N X TONT 24117447 0 0 A O SMITH CORP COMMON 831865209 75,640,827 1,723,811 N X TONT 1723811 0 0 ASSOCIATED BANC CORP COMMON 045487105 26,182,253 883,640 N X TONT 883640 0 0 AMERIANA BANCORP COMMON 023613102 2,525,447 269,381 N X TONT 269381 0 0
9/30/2007 UBS SECURITIES LLC 2 USD AMERISDRV FINANCIAL INC COMMON 03074A102 2,649,974 795,788 N X TONT 545788 0 0 ASTEC INDUSTRIES INC COMMON 046224101 119,110,223 2,073,285 N X TONT 2073285 0 0 AZZ INC COMMON 002474104 36,309,456 1,038,600 N X TONT 1038600 0 0 BANK OF AMERICA CORP COMMON 060505104 898,229,387 17,868,100 C X TONT 17868100 0 0 BANK OF AMERICA CORP COMMON 060505104 47,638,265 947,648 N X TONT 947648 0 0 BB&T CORP COMMON 054937107 6,082,330 150,590 N X TONT 150590 0 0 BCSB BANKCORP INC COMMON 054948104 2,358,267 288,473 N X TONT 288473 0 0 BAKER MICHAEL CORP COMMON 057149106 27,367,184 558,400 N X TONT 558400 0 0 BLOUNT INTL INC-NEW COMMON 095180105 7,467,666 657,365 N X TONT 657365 0 0 BADGER METER INC COMMON 056525108 4,823,525 150,500 N X TONT 150500 0 0 BNCCORP INC COMMON 055936108 4,592,437 259,240 N X TONT 259240 0 0 BENEFICIAL MUT BANCORP INC COMMON 08173R104 5,725,083 587,188 N X TONT 587188 0 0 BLUE RIVER BANCHSHARES INC COMMON 09602P107 75,957 15,376 N X TONT 15376 0 0 BANCTRUST FINANCIAL GROUP COMMON 05978R107 620,008 38,872 N X TONT 38872 0 0 BRUSH WELLMAN INC COMMON 117421107 147,725,641 2,846,900 N X TONT 2846900 0 0 BORG WARNER AUTOMOTIVE COMMON 099724106 121,117,896 1,323,259 N X TONT 1323259 0 0 BEAZER HOMES USA INC COMMON 07556Q105 28,217,021 3,420,245 N X TONT 3420245 0 0 CITIGROUP INC COMMON 172967101 576,001,140 12,342,000 C X TONT 12342000 0 0 CITIGROUP INC COMMON 172967101 59,850,728 1,282,424 N X TONT 1282424 0 0 CAMCO FINANCIAL CORP COMMON 132618109 8,170,203 610,172 N X TONT 610172 0 0 COLONY BANKCORP INC - GA COMMON 19623P101 684,766 39,468 N X TONT 39468 0 0 CAPITAL BK CORP COMMON 139793103 13,859,130 923,942 N X TONT 923942 0 0
9/30/2007 UBS SECURITIES LLC 3 USD COMMUNITY BANK SYSTEMS INC COMMON 203607106 15,958,186 817,530 N X TONT 817530 0 0 COMMUNITY CENTRAL BANK COR COMMON 20363J107 3,134,847 352,230 N X TONT 352230 0 0 CCF HOLDING CO COMMON 12487X104 3,743,536 237,534 N X TONT 237534 0 0 CAPITAL CORP OF THE WEST COMMON NEW 140065202 1,611,750 87,500 N X TONT 87500 0 0 CENTRAL BANCORP INC - MASS COMMON 152418109 3,475,392 151,104 N X TONT 151104 0 0 CECO ENVIRONMENTAL CORP COMMON 125141101 18,210,307 1,191,774 N X TONT 1191774 0 0 CHAMPION ENTERPRISES INC COMMON 158496109 72,559,727 6,608,354 N X TONT 6608354 0 0 CITY HOLDING CO COMMON 177835105 10,247,777 281,455 N X TONT 281455 0 0 CHANNELL COMMERCIAL CORP COMMON 159186105 1,465,530 377,714 N X TONT 377714 0 0 CFS BANCORP INC COMMON 12525D102 2,289,276 162,360 N X TONT 162360 0 0 CLEVELAND CLIFFS INC COMMON 185896107 208,824,945 2,373,820 N X TONT 2373820 0 0 CLEAN HARBORS INC COMMON 184496107 51,391,974 1,154,357 N X TONT 1154357 0 0 COMERICA INC COMMON 200340107 8,486,840 165,500 C X TONT 165500 0 0 COLUMBUS MCKINNON CORP-N.Y COMMON 199333105 36,990,199 1,486,147 N X TONT 1486147 0 0 CORE MOLDING TECHNOLOGIES COMMON 218683100 2,315,655 302,700 N X TONT 302700 0 0 COMMUNITY BANKS INC COMMON 203628102 2,329,369 78,193 N X TONT 78193 0 0 COLONIAL BANCGROUP INC COMMON 195493309 8,487,688 392,585 N X TONT 392585 0 0 CAPITAL ONE FINANCIAL CORP COMMON 14040H105 36,009,444 542,066 N X TONT 542066 0 0 COOPERATIVE BANKSHARES INC COMMON 216844100 9,639,000 567,000 N X TONT 567000 0 0 COMMUNITY CAPITAL CORP-S.C COMMON 20363C102 4,943,846 241,175 N X TONT 241175 0 0 CENTRAL PACIFIC FINANCIAL COMMON 154760102 11,680,000 400,000 N X TONT 400000 0 0 CITIZENS BANKING CORP COMMON 174420109 9,608,181 596,411 N X TONT 596411 0 0
9/30/2007 UBS SECURITIES LLC 4 USD COMMUNITY SHORES BANK CORP COMMON 204046106 660,688 62,803 N X TONT 62803 0 0 CENTEX CORP COMMON 152312104 118,525,555 4,460,879 N X TONT 4460879 0 0 CITIZENS FIRST BANCORP INC COMMON 17461R106 7,364,741 410,292 N X TONT 410292 0 0 DARLING INTERNATIONAL INC COMMON 237266101 68,989,673 6,975,700 N X TONT 6975700 0 0 DUCOMMUN INC COMMON 264147109 8,561,115 265,050 N X TONT 265050 0 0 DIME COMMUNITY BANCSHARES COMMON 253922108 2,074,842 138,600 N X TONT 138600 0 0 DEARBORN BANCORP INC - MIC COMMON 24242R108 9,414,062 729,207 N X TONT 729207 0 0 DOWNEY FINANCIAL CORP COMMON 261018105 157,332,294 2,722,012 N X TONT 2722012 0 0 DYCOM INDUSTRIES INC COMMON 267475101 109,367,478 3,570,600 N X TONT 3570600 0 0 ECOLOGY & ENVIRONMENT INC- COMMON 278878103 2,523,479 215,682 N X TONT 215682 0 0 ENGLOBAL CORP COMMON 293306106 30,735,117 2,693,700 N X TONT 693700 0 0 ENERSYS COM COMMON 29275Y102 82,763,775 4,657,500 N X TONT 4657500 0 0 ELMIRA SAVINGS BANK F.S.B. COMMON 289660102 2,734,342 127,773 N X TONT 127773 0 0 ESCO TECHNOLOGIES INC COMMON 296315104 84,186,616 2,532,690 N X TONT 2532690 0 0 FIRST BANKSHARES INC MO COMMON 318687100 2,009,729 120,632 N X TONT 120632 0 0 FIRST BANCTRUST CORP COMMON 31868F102 1,021,880 94,400 N X TONT 94400 0 0 FIRST COMMUNITY CORPORATIO COMMON 319835104 2,565,220 159,479 N X TONT 159479 0 0 FIRST COMMONWEALTH FINANCI COMMON 319829107 214,763 19,418 N X TONT 19418 0 0 FIRST DEFIANCE FINANCIAL C COMMON 32006W106 3,818,043 141,409 N X TONT 141409 0 0 FIRSTFED FINANCIAL CORP DE COMMON 337907109 26,610,728 537,048 N X TONT 537048 0 0 NORTH CENTRAL BANCSHARES I COMMON 658418108 2,623,945 68,421 N X TONT 68421 0 0
9/30/2007 UBS SECURITIES LLC 5 USD FIRST FRANKLIN CORP COMMON 320272107 1,470,249 112,019 N X TONT 112019 0 0 FIRST FINANCIAL SVCS CORP COMMON 32022D108 3,967,105 148,303 N X TONT 148303 0 0 FIRST FEDERAL OF NOTHERN COMMON 32021X105 2,115,518 255,961 N X TONT 255961 0 0 FIRST FED BANKSHARES INC D COMMON 32020V100 5,270,460 302,900 N X TONT 302900 0 0 1ST INDEPENDENCE FINANCIAL COMMON 32053S107 2,833,071 178,405 N X TONT 178405 0 0 COMFORT SYSTEMS USA INC COMMON 199908104 26,304,080 1,852,400 N X TONT 1852400 0 0 FIRST KEYSTONE FINANCIAL I COMMON 320655103 2,291,305 169,100 N X TONT 169100 0 0 FIRST MARINER BANCORP COMMON 320795107 4,768,512 508,446 N X TONT 508446 0 0 FREMONT GENERAL CORP COMMON 357288109 3,050,190 782,100 N X TONT 782100 0 0 FNB UNITED CORP COMMON 302519103 260,192 16,220 N X TONT 16220 0 0 FIRST NIAGARA FINL GROUP I COMMON 33582V108 3,066,786 216,734 N X TONT 216734 0 0 FERRO CORP COMMON 315405100 80,768,631 4,042,474 N X TONT 4042474 0 0 FURMANITE CORP COMMON 361086101 24,809,330 2,726,300 N X TONT 2726300 0 0 FIRST MERCHANTS CORP COMMON 320817109 7,090,351 328,866 N X TONT 328866 0 0 FIDELITY BANCORP INC-PA COMMON 315831107 2,212,935 142,770 N X TONT 142770 0 0 FIRST STATE BANCORPORATION COMMON 336453105 2,084,040 106,112 N X TONT 106112 0 0 L B FOSTER CO CL A COMMON 350060109 53,205,818 1,224,248 N X TONT 1224248 0 0 FOSTER WHEELER LTD COMMON G36535139 403,061,107 3,070,240 N X TONT 3070240 0 0 FOX CHASE BANCORP INC COMMON 35137P106 766,464 57,890 N X TONT 57890 0 0
9/30/2007 UBS SECURITIES LLC 6 USD GREENBRIER COMPANIES INC COMMON 393657101 49,784,769 1,863,900 N X TONT 1863900 0 0 GEHL CO COMMON 368483103 13,177,424 590,122 N X TONT 590122 0 0 GENTEK INC COM NEW 37245X203 29,291,904 973,800 N X TONT 973800 0 0 GEORGIA GULF CORP NEW COM PAR $0.01 373200203 28,832,770 2,074,300 N X TONT 2074300 0 0 GREAT LAKES DREDGE & DOCK COMMON 390607109 17,032,541 1,944,354 N X TONT 1944354 0 0 GOLDMAN SACHS GROUP INC COMMON 38141G104 41,171,714 189,959 N X TONT 189959 0 0 GOODYEAR TIRE & RUBBER CO COMMON 382550101 187,376,537 6,161,675 N X TONT 6161675 0 0 GRAFTECH INTERNATIONAL LTD COMMON 384313102 176,145,024 9,873,600 N X TONT 9873600 0 0 CHART INDUSTRIES INC COM P COM PAR $0.01 16115Q308 58,182,939 1,809,171 N X TONT 1809171 0 0 HUNTINGTON BANCSHARES INC COMMON 446150104 4,734,228 278,812 N X TONT 278812 0 0 HORIZON BANCORP-IND COMMON 440407104 7,661,841 292,716 N X TONT 292716 0 0 HARDINGE INC COMMON 412324303 26,038,699 747,594 N X TONT 747594 0 0 HOPFED BANCORP INC COMMON 439734104 4,017,848 266,878 N X TONT 266878 0 0 HF FINANCIAL CORP COMMON 404172108 5,426,800 339,175 N X TONT 339175 0 0 HMN FINANCIAL INC COMMON 40424G108 11,674,457 394,008 N X TONT 394008 0 0 HOVNANIAN ENTERPRISES INC CL A 442487203 46,585,663 4,200,691 N X TONT 4200691 0 0 HEADWATERS INC COMMON 42210P102 31,125,984 2,091,800 N X TONT 2091800 0 0 HAWTHORN BANCSHARES INC COMMON 420476103 9,396,441 303,111 N X TONT 303111 0 0 HAWKINS INC COMMON 420261109 2,880,000 200,000 N X TONT 200000 0 0 HEXCEL CORP NEW COMMON 428291108 212,278,591 9,347,362 N X TONT 9347362 0 0 INDEPENDENT BANK CORP-MICH COMMON 453838104 8,044,433 728,003 N X TONT 728003 0 0
9/30/2007 UBS SECURITIES LLC 7 USD IBERIABANK CORP COMMON 450828108 26,530,651 503,906 N X TONT 503906 0 0 INTEGRA BANK CORPORATION COMMON 45814P105 9,483,495 523,083 N X TONT 523083 0 0 INTERNET CAPITAL GRP INC COM NEW 46059C205 39,153,360 3,262,780 N X TONT 3262780 0 0 INTERGRATED ELECTRICAL COMMON 45811E301 188,353,688 7,354,693 N X TONT 7296621 0 0 INDEPENDENCE FEDERAL SAVIN COMMON 453432106 446,840 44,684 N X TONT 44684 0 0 INTERNET INFRASTRUCTURE HO DEPOSTRY RCPT 46059V104 6,693,408 1,317,600 N X TONT 1317600 0 0 INSTEEL INDUSTRIES INC COMMON 45774W108 27,291,747 1,777,964 N X TONT 1777964 0 0 INDEPENDENT BANK CORP-MASS COMMON 453836108 627,264 21,120 N X TONT 21120 0 0 INSITUFORM TECHNOLOGIES IN CL A 457667103 5,871,165 385,500 N X TONT 385500 0 0 INNOSPEC INC COMMON 45768S105 105,922,444 4,649,800 N X TONT 4649800 0 0 ISHARES TRUST RUSSELL 2000 RUSSELL 2000 464287655 74,902,553 935,814 N X TONT 935814 0 0 SUN MICROSYSTEMS INC COMMON 866810104 242,038,271 43,067,308 N X TONT 43067308 0 0 JEFFERSON BANCSHARES INC COMMON 472375104 1,242,073 115,488 N X TONT 115488 0 0 J P MORGAN CHASE & CO COMMON 46625H100 163,357,464 3,565,200 C X TONT 3565200 0 0 J P MORGAN CHASE & CO COMMON 46625H100 59,343,040 1,295,134 N X TONT 1295134 0 0 JACKSONVILLE BANCORP INC ( COMMON 46924P100 897,447 73,501 N X TONT 73501 0 0 KB HOME COMMON 48666K109 135,168,428 5,393,792 N X TONT 5393792 0 0 KBR INC COMMON 48242W106 735,254,130 18,964,512 N X TONT 18964512 0 0 KITTY HAWK INC COM NEW 498326206 429,253 3,902,300 N X TONT 3902300 0 0 KMG CHEMICALS INC COMMON 482564101 26,986,917 1,030,035 N X TONT 30035 0 0 KNBT BANCORP INC COMMON 482921103 10,283,298 621,723 N X TONT 621723 0 0 KOPPERS HLDGS INC COMMON 50060P106 63,613,836 1,647,600 N X TONT 1647600 0 0 K-TRON INTERNATIONAL INC COMMON 482730108 2,483,110 26,138 N X TONT 26138 0 0 LANDMARK BANCORP INC COMMON 51504L107 457,839 16,957 N X TONT 16957 0 0 LCC INTERNATIONAL INC CL A CL A 501810105 3,114,997 895,114 N X TONT 895114 0 0
9/30/2007 UBS SECURITIES LLC 8 USD LENNAR CORP CL A 526057104 3,164,681 139,721 N X TONT 139721 0 0 FIDELITY SOUTHERN CORP NEW COMMON 316394105 13,298,823 890,745 N X TONT 890745 0 0 LNB BANCORP INC COMMON 502100100 498,423 33,700 N X TONT 33700 0 0 LINCOLN BANCORP-IND COMMON 532879103 2,784,529 176,236 N X TONT 176236 0 0 LABOR READY INC NEW COM NEW 505401208 42,741,793 2,309,119 N X TONT 2309119 0 0 LSB CORPORATION COMMON 50215P100 247,593 15,436 N X TONT 15436 0 0 LSB INDUSTRIES INC COMMON 502160104 11,588,500 490,000 N X TONT 490000 0 0 META FINL GROUP INC COMMON 59100U108 6,833,478 171,480 N X TONT 171480 0 0 MAGNETEK INC COMMON 559424106 3,344,160 696,700 N X TONT 696700 0 0 MASSBANK CORP-READING MASS COMMON 576152102 10,670,060 288,380 N X TONT 288380 0 0 MB FINL INC COMMON 55264U108 30,730,238 889,443 N X TONT 889443 0 0 MBT FINL CORP COMMON 578877102 694,260 58,000 N X TONT 58000 0 0 MERCANTILE BANK CORP-MICH COMMON 587376104 221,038 10,300 N X TONT 10300 0 0 MONARCH COMMUNITY BANCORP COMMON 609045109 2,607,770 215,520 N X TONT 215520 0 0 Metrocorp Bancshares Inc COMMON 591650106 2,898,338 180,021 N X TONT 180021 0 0 MCDERMOTT INTL INC COMMON 580037109 252,973,477 4,677,764 N X TONT 4677764 0 0 MERRILL LYNCH & CO INC COMMON 590188108 205,661,547 2,885,263 N X TONT 2885263 0 0 MFB CORP COMMON 55272D106 3,009,272 101,152 N X TONT 101152 0 0 MFRI, INC. COMMON 552721102 10,052,626 563,488 N X TONT 563488 0 0 MUTUALFIRST FINL INC COMMON 62845B104 3,639,995 206,232 N X TONT 206232 0 0 M I SCHOTTENSTEIN HOMES IN COMMON 55305B101 18,684,175 1,345,153 N X TONT 1345153 0 0
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