0000902664-12-000233.txt : 20120210 0000902664-12-000233.hdr.sgml : 20120210 20120210172352 ACCESSION NUMBER: 0000902664-12-000233 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120210 DATE AS OF CHANGE: 20120210 EFFECTIVENESS DATE: 20120210 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: 12594224 MAIL ADDRESS: STREET 1: 200 PARK AVE SOUTH STREET 2: SUITE 3900 CITY: NEW YORK STATE: NY ZIP: 10166 13F-HR 1 p12-0204form13fhr.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: December 31, 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 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 Greenwich CT 2/10/12 ------------------------ ----------------------------- ---------- 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: 2 ------------- Form 13F Information Table Entry Total: 90 ------------- Form 13F Information Table Value Total: 327,364 ------------- (thousands) List of Other Included Managers: No. Form 13F File Number Name 1 Tontine Asset Management, LLC ------ ----------- ---------------------------------- 2 TTR Associates, LLC ------ ----------- ----------------------------------
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 1,002 252,926 SH DEFINED 252,926 0 0 AMERIANA BANCORP COM 023613102 68 17,270 SH DEFINED 1 17,270 0 0 BROADWIND ENERGY INC COM 11161T108 2,720 4,000,346 SH DEFINED 4,000,346 0 0 BROADWIND ENERGY INC COM 11161T108 10,039 14,762,824 SH DEFINED 1 14,762,824 0 0 CAMCO FINL CORP COM 132618109 56 44,801 SH DEFINED 44,801 0 0 CAMCO FINL CORP COM 132618109 555 443,635 SH DEFINED 1 443,635 0 0 CAPITAL ONE FINL CORP COM 14040H105 1,269 30,000 SH DEFINED 30,000 0 0 CAPITAL ONE FINL CORP COM 14040H105 1,026 24,271 SH DEFINED 1 24,271 0 0 CAPITAL ONE FINL CORP COM 14040H105 2,309 54,600 SH DEFINED 2 54,600 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 2,731 43,800 SH DEFINED 43,800 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 2,950 47,317 SH DEFINED 1 47,317 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 4,047 64,914 SH DEFINED 2 64,914 0 0 CLOUD PEAK ENERGY INC COM 18911Q102 1,461 75,646 SH DEFINED 75,646 0 0 CLOUD PEAK ENERGY INC COM 18911Q102 2,140 110,768 SH DEFINED 1 110,768 0 0 CLOUD PEAK ENERGY INC COM 18911Q102 2,318 120,000 SH DEFINED 2 120,000 0 0 COMERICA INC COM 200340107 258 10,000 SH DEFINED 10,000 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 5,778 714,200 SH DEFINED 714,200 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 2,344 289,795 SH DEFINED 1 289,795 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 6,385 789,195 SH DEFINED 2 789,195 0 0 ENGLOBAL CORP COM 293306106 634 300,350 SH DEFINED 300,350 0 0 ENGLOBAL CORP COM 293306106 180 85,122 SH DEFINED 2 85,122 0 0 ENSCO PLC SPONSORED ADR 29358Q109 2,122 45,220 SH DEFINED 2 45,220 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 1,141 434,002 SH DEFINED 434,002 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 16,393 6,232,989 SH DEFINED 1 6,232,989 0 0 FIDELITY SOUTHERN CORP NEW COM 316394105 3,958 650,912 SH DEFINED 650,912 0 0 FIFTH THIRD BANCORP COM 316773100 318 25,000 SH DEFINED 25,000 0 0 FIRST BANCSHARES INC MO COM 318687100 109 21,500 SH DEFINED 21,500 0 0 FIRST DEFIANCE FINL CORP COM 32006W106 1,873 128,379 SH DEFINED 128,379 0 0 FIRST FED NORTHN MICH BANCOR COM 32021X105 405 141,680 SH DEFINED 141,680 0 0 FIRST MERCHANTS CORP COM 320817109 963 113,666 SH DEFINED 113,666 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 7,085 500,000 SH DEFINED 500,000 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 6,319 445,921 SH DEFINED 2 445,921 0 0 HAWTHORN BANCSHARES INC COM 420476103 1,451 239,809 SH DEFINED 239,809 0 0 HMN FINL INC COM 40424G108 547 282,489 SH DEFINED 282,489 0 0 HORIZON BANCORP IND COM 440407104 1,536 88,618 SH DEFINED 88,618 0 0 HORIZON BANCORP IND COM 440407104 501 28,923 SH DEFINED 2 28,923 0 0 INTEGRATED ELECTRICAL SVC COM 45811E301 13,092 7,076,847 SH DEFINED 7,076,847 0 0 INTEGRATED ELECTRICAL SVC COM 45811E301 2,734 1,477,646 SH DEFINED 1 1,477,646 0 0 INNOSPEC INC COM 45768S105 25,948 924,392 SH DEFINED 924,392 0 0 INNOSPEC INC COM 45768S105 7,131 254,048 SH DEFINED 1 254,048 0 0 INNOSPEC INC COM 45768S105 545 19,400 SH DEFINED 2 19,400 0 0 JANUS CAP GROUP INC COM 47102X105 2,011 318,700 SH DEFINED 318,700 0 0 JANUS CAP GROUP INC COM 47102X105 1,426 226,000 SH DEFINED 2 226,000 0 0 JAMES RIVER COAL CO COM NEW 470355207 1,817 262,500 SH DEFINED 262,500 0 0 JAMES RIVER COAL CO COM NEW 470355207 2,626 379,451 SH DEFINED 1 379,451 0 0 JAMES RIVER COAL CO COM NEW 470355207 1,108 160,078 SH DEFINED 2 160,078 0 0 KEY ENERGY SVCS INC COM 492914106 309 20,000 SH DEFINED 20,000 0 0 KEY ENERGY SVCS INC COM 492914106 907 58,600 SH DEFINED 2 58,600 0 0 LOUISIANA PAC CORP COM 546347105 6,624 820,835 SH DEFINED 820,835 0 0 LOUISIANA PAC CORP COM 546347105 2,901 359,500 SH DEFINED 2 359,500 0 0 MATERION CORP COMP 576690101 4,786 197,100 SH DEFINED 197,100 0 0 MATERION CORP COMP 576690101 2,677 110,253 SH DEFINED 1 110,253 0 0 MATERION CORP COMP 576690101 3,336 137,378 SH DEFINED 2 137,378 0 0 MERITOR INC COM 59001K100 273 51,262 SH DEFINED 51,262 0 0 MERITOR INC COM 59001K100 1,384 260,229 SH DEFINED 1 260,229 0 0 MERITOR INC COM 59001K100 397 74,533 SH DEFINED 2 74,533 0 0 MUTUALFIRST FINL INC COM 62845B104 2,035 287,804 SH DEFINED 287,804 0 0 MUTUALFIRST FINL INC COM 62845B104 672 95,052 SH DEFINED 1 95,052 0 0 MUTUALFIRST FINL INC COM 62845B104 761 107,643 SH DEFINED 2 107,643 0 0 NORTHEAST BANCORP COM NEW 663904209 785 62,301 SH DEFINED 62,301 0 0
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 ---------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ---- OM GROUP INC COM 670872100 5,203 232,360 SH DEFINED 232,360 0 0 OM GROUP INC COM 670872100 9,130 407,773 SH DEFINED 1 407,773 0 0 OM GROUP INC COM 670872100 5,628 251,340 SH DEFINED 2 251,340 0 0 OMNOVA SOLUTIONS INC COM 682129101 4,510 978,287 SH DEFINED 1 978,287 0 0 OMNOVA SOLUTIONS INC COM 682129101 906 196,502 SH DEFINED 2 196,502 0 0 PATRICK INDS INC COM 703343103 20,297 4,950,554 SH DEFINED 4,950,554 0 0 PATRICK INDS INC COM 703343103 1,433 349,409 SH DEFINED 1 349,409 0 0 PATRIOT COAL CORP COM 70336T104 2,997 353,800 SH DEFINED 353,800 0 0 PATRIOT COAL CORP COM 70336T104 14,325 1,691,250 SH DEFINED 1 1,691,250 0 0 PATRIOT COAL CORP COM 70336T104 2,441 288,150 SH DEFINED 2 288,150 0 0 PEOPLES BANCORP N C INC COM 710577107 2,026 369,009 SH DEFINED 369,009 0 0 PEOPLES BANCORP N C INC COM 710577107 766 139,584 SH DEFINED 1 139,584 0 0 PREFORMED LINE PRODS CO COM 740444104 1,771 29,692 SH DEFINED 29,692 0 0 PREFORMED LINE PRODS CO COM 740444104 8,260 138,445 SH DEFINED 1 138,445 0 0 PREFORMED LINE PRODS CO COM 740444104 616 10,326 SH DEFINED 2 10,326 0 0 PROVIDENT FINL HLDGS INC COM 743868101 2,640 283,287 SH DEFINED 283,287 0 0 PROVIDENT FINL HLDGS INC COM 743868101 929 99,645 SH DEFINED 1 99,645 0 0 SOUTHERN CMNTY FINL CORP COM 842632101 232 194,588 SH DEFINED 194,588 0 0 SUNTRUST BKS INC COM 867914103 443 25,000 SH DEFINED 25,000 0 0 TPC GROUP INC COM 89236Y104 877 37,605 SH DEFINED 1 37,605 0 0 TPC GROUP INC COM 89236Y104 620 26,566 SH DEFINED 2 26,566 0 0 UNITED CONTL HLDGS INC COM 910047109 5,161 273,477 SH DEFINED 273,477 0 0 UNITED CONTL HLDGS INC COM 910047109 5,416 287,000 SH DEFINED 1 287,000 0 0 UNITED CONTL HLDGS INC COM 910047109 6,110 323,777 SH DEFINED 2 323,777 0 0 UNITED BANCSHARES INC OHIO COM 909458101 614 89,328 SH DEFINED 89,328 0 0 WILLBROS GROUP INC DEL COM 969203108 2,886 786,444 SH DEFINED 786,444 0 0 WILLBROS GROUP INC DEL COM 969203108 4,306 1,173,192 SH DEFINED 1 1,173,192 0 0 WILLBROS GROUP INC DEL COM 969203108 1,662 452,779 SH DEFINED 2 452,779 0 0 WESTMORELAND COAL CO COM 960878106 32,548 2,552,749 SH DEFINED 2,552,749 0 0 WESTMORELAND COAL CO COM 960878106 1,344 105,411 SH DEFINED 1 105,411 0 0