0000902664-11-001598.txt : 20111114 0000902664-11-001598.hdr.sgml : 20111111 20111114132523 ACCESSION NUMBER: 0000902664-11-001598 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 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: 111200397 MAIL ADDRESS: STREET 1: 200 PARK AVE SOUTH STREET 2: SUITE 3900 CITY: NEW YORK STATE: NY ZIP: 10166 13F-HR 1 p11-1788form13fhr.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: September 30,2011 ----------------- 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 submission. Persons 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, N 11/14/2011 --------------------------------- --------------------------------- ---------- [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: 50 Form 13F Information Table Value Total: $ 700,788 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 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 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 ----------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ---- AMERIANA BANCORP COM 023613102 1,016 270,800 SH SOLE 270,800 0 0 BROADWIND ENERGY INC COM 11161T108 6,186 19,325,310 SH SOLE 19,325,310 0 0 CAMCO FINL CORP COM 132618109 591 488,436 SH SOLE 488,436 0 0 CAPITAL BK CORP COM 139793103 86 41,275 SH SOLE 41,275 0 0 CAPITAL ONE FINL CORP COM 14040H105 40,585 1,024,100 SH SOLE 1,024,100 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 39,145 764,992 SH SOLE 764,992 0 0 CLOUD PEAK ENERGY INC COM 18911Q102 42,167 2,487,707 SH SOLE 2,487,707 0 0 CONSOL ENERGY INC COM 20854P109 4,985 146,933 SH SOLE 146,933 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 55,402 7,386,932 SH SOLE 7,386,932 0 0 ENGLOBAL CORP COM 293306106 1,395 514,702 SH SOLE 514,702 0 0 ENSCO PLC SPONSORED ADR 29358Q109 44,932 1,111,346 SH SOLE 1,111,346 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 31,198 7,799,476 SH SOLE 7,799,476 0 0 FIDELITY BANCORP INC COM 315831107 278 29,987 SH SOLE 29,987 0 0 FIDELITY SOUTHERN CORP NEW COM 316394105 4,214 651,270 SH SOLE 651,270 0 0 FIRST BANCSHARES INC MO COM 318687100 127 21,500 SH SOLE 21,500 0 0 FIRST DEFIANCE FINL CORP COM 32006W106 1,687 128,379 SH SOLE 128,379 0 0 FIRST FED NORTHN MICH BANCOR COM 32021X105 487 141,680 SH SOLE 141,680 0 0 FIRST MERCHANTS CORP COM 320817109 1,477 209,482 SH SOLE 209,482 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 42,214 4,183,722 SH SOLE 4,183,722 0 0 HAWTHORN BANCSHARES INC COM 420476103 1,699 234,308 SH SOLE 234,308 0 0 HMN FINL INC COM 40424G108 531 282,489 SH SOLE 282,489 0 0 HORIZON BANCORP IND COM 440407104 2,077 78,361 SH SOLE 78,361 0 0 INNOSPEC INC COM 45768S105 51,861 2,142,145 SH SOLE 2,142,145 0 0 INTEGRATED ELECTRICAL SVC COM 45811E301 17,325 8,554,493 SH SOLE 8,554,493 0 0 JAMES RIVER COAL CO COM NEW 470355207 11,183 1,755,651 SH SOLE 1,755,651 0 0 JANUS CAP GROUP INC COM 47102X105 24,448 4,074,700 SH SOLE 4,074,700 0 0 LEGG MASON INC COM 524901105 1,286 50,000 SH SOLE 50,000 0 0 LOUISIANA PAC CORP COM 546347105 22,237 4,360,231 SH SOLE 4,360,231 0 0 MATERIAL SCIENCES CORP COM 576674105 1,166 181,409 SH SOLE 181,409 0 0 MATERION CORP COM 576690101 22,271 981,971 SH SOLE 981,971 0 0 MERITOR INC COM 59001K100 5,757 815,467 SH SOLE 815,467 0 0 MUTUALFIRST FINL INC COM 62845B104 3,089 446,429 SH SOLE 446,429 0 0 NORTHEAST BANCORP COM NEW 663904209 803 62,301 SH SOLE 62,301 0 0 OIL SVC HOLDRS TR DEPOSTRY RCPT 678002106 6,702 65,000 SH SOLE 65,000 0 0 OM GROUP INC COM 670872100 42,959 1,654,197 SH SOLE 1,654,197 0 0 OMNOVA SOLUTIONS INC COM 682129101 4,474 1,249,722 SH SOLE 1,249,722 0 0 PARKVALE FINL CORP COM 701492100 204 11,109 SH SOLE 11,109 0 0 PATRICK INDS INC COM 703343103 9,858 5,299,963 SH SOLE 5,299,963 0 0 PATRIOT COAL CORP COM 70336T104 37,625 4,447,450 SH SOLE 4,447,450 0 0 PEOPLES BANCORP N C INC COM 710577107 2,181 467,129 SH SOLE 467,129 0 0 PREFORMED LINE PRODS CO COM 740444104 8,629 188,416 SH SOLE 188,416 0 0 POVIDENT CMNTY BANCSHARES INC COM 74386S107 5 10,000 SH SOLE 10,000 0 0 PROVIDENT FINL HLDGS INC COM 743868101 3,924 448,924 SH SOLE 448,924 0 0 SHILOH INDS INC COM 824543102 381 42,498 SH SOLE 42,498 0 0 SOUTHERN CMNTY FINL CORP COM 842632101 234 203,550 SH SOLE 203,550 0 0 TPC GROUP INC COM 89236Y104 1,289 64,171 SH SOLE 64,171 0 0 UNITED BANCSHARES INC OHIO COM 909458101 267 31,067 SH SOLE 31,067 0 0 UNITED CONTL HLDGS INC COM 910047109 59,612 3,075,954 SH SOLE 3,075,954 0 0 WESTMORELAND COAL CO COM 960878106 21,206 2,732,707 SH SOLE 2,732,707 0 0 WILLBROS GROUP INC DEL COM 969203108 17,333 4,156,548 SH SOLE 4,156,548 0 0