0000902664-12-000709.txt : 20120511 0000902664-12-000709.hdr.sgml : 20120511 20120511170611 ACCESSION NUMBER: 0000902664-12-000709 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120511 DATE AS OF CHANGE: 20120511 EFFECTIVENESS DATE: 20120511 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: 12835579 MAIL ADDRESS: STREET 1: 200 PARK AVE SOUTH STREET 2: SUITE 3900 CITY: NEW YORK STATE: NY ZIP: 10166 13F-HR 1 p12-1115form13fhr.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: 3/31/2012 ------------ 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: Jeffrey L. Gendell ---------------------------------- Address: 1 Sound Shore Drive, Suite 304 ---------------------------------- Greenwich Connecticut 06830-7251 ---------------------------------- 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: Authorized Signatory ------------------------------- Phone: 203-769-2000 ------------------------------- Signature, Place, and Date of Signing: /s/ Jeffrey L. Gendell New York, NY 5/11/2012 --------------------------------- --------------------------------- ---------- [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).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 107 Form 13F Information Table Value Total: $ 467,176 -------------- (In Thousands) List of Other Included Managers: No. Form 13F File Number Name 1 028-06950 Tontine Asset Management,LLC ---- ---------------------- ----------------------------- 2 028-06950 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 1,241 261,786 SH DEFINED 261,786 0 0 AMERIANA BANCORP COM 023613102 82 17,270 SH DEFINED 1 17,270 0 0 BROADWIND ENERGY INC COM 11161T108 1,881 4,000,346 SH DEFINED 4,000,346 0 0 BROADWIND ENERGY INC COM 11161T108 6,490 13,805,097 SH DEFINED 1 13,805,097 0 0 C&J ENERGY SVCS INC COM 12467B304 356 20,000 SH DEFINED 20,000 0 0 C&J ENERGY SVCS INC COM 12467B304 1,068 60,050 SH DEFINED 1 60,050 0 0 C&J ENERGY SVCS INC COM 12467B304 1,765 99,200 SH DEFINED 2 99,200 0 0 CAMCO FINL COPR COM 132618109 306 109,329 SH DEFINED 109,329 0 0 CAMCO FINL COPR COM 132618109 1,242 443,635 SH DEFINED 1 443,635 0 0 CAPITAL ONE FINL CORP COM 14040H105 1,951 35,000 SH DEFINED 35,000 0 0 CAPITAL ONE FINL CORP COM 14040H105 5,691 102,100 SH DEFINED 2 102,100 0 0 CITIGROUP INC COM NEW 172967424 1,553 42,500 SH DEFINED 42,500 0 0 CITIGROUP INC COM NEW 172967424 1,828 50,000 SH DEFINED 2 50,000 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 2,486 35,900 SH DEFINED 35,900 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 3,395 49,017 SH DEFINED 1 49,017 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 5,334 77,014 SH DEFINED 2 77,014 0 0 CLOUD PEAK ENERGY INC COM 18911Q102 597 37,446 SH DEFINED 37,446 0 0 CLOUD PEAK ENERGY INC COM 18911Q102 3,585 225,043 SH DEFINED 1 225,043 0 0 CLOUD PEAK ENERGY INC COM 18911Q102 2,206 138,500 SH DEFINED 2 138,500 0 0 CONSOL ENERGY INC COM 20854P109 989 29,000 SH DEFINED 29,000 0 0 CONSOL ENERGY INC COM 20854P109 7,843 230,007 SH DEFINED 1 230,007 0 0 CONSOL ENERGY INC COM 20854P109 3,154 92,500 SH DEFINED 2 92,500 0 0 CORNING INC COM 219350105 3,027 215,000 SH DEFINED 215,000 0 0 CORNING INC COM 219350105 317 22,500 SH DEFINED 1 22,500 0 0 CORNING INC COM 219350105 5,604 398,000 SH DEFINED 2 398,000 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 6,628 668,490 SH DEFINED 668,490 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 5,315 536,066 SH DEFINED 1 536,066 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 7,982 805,000 SH DEFINED 2 805,000 0 0 DUCOMMUN INC DEL COM 264147109 240 20,180 SH DEFINED 20,180 0 0 DUCOMMUN INC DEL COM 264147109 1,588 133,417 SH DEFINED 2 133,417 0 0 ENGLOBAL CORP COM 293306106 651 271,150 SH DEFINED 271,150 0 0 ENGLOBAL CORP COM 293306106 138 57,322 SH DEFINED 2 57,322 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 1,358 434,002 SH DEFINED 434,002 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 19,509 6,232,989 SH DEFINED 1 6,232,989 0 0 FIFTH THIRD BANCORP COM 316773100 1,071 76,230 SH DEFINED 76,230 0 0 FIRST BANCSHARES INC MO COM 318687100 161 23,008 SH DEFINED 23,008 0 0 FIRST DEFIANCE FINL CORP COM 32006W106 2,164 128,379 SH DEFINED 128,379 0 0 FIRST FED NORTHN MICH BANCOR COM 32021X105 553 141,680 SH DEFINED 141,680 0 0 FIRST MERCHANTS CORP COM 320817109 1,588 128,666 SH DEFINED 128,666 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 1,868 49,100 SH DEFINED 49,100 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 2,853 75,000 SH DEFINED 1 75,000 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 3,804 100,000 SH DEFINED 2 100,000 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 3,043 80,000 SH CALL DEFINED 1 0 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 5,386 480,000 SH DEFINED 480,000 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 1,492 133,000 SH DEFINED 1 133,000 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 4,667 415,921 SH DEFINED 2 415,921 0 0 HORIZON BANCORP IND COM 440407104 1,639 88,618 SH DEFINED 88,618 0 0 HORIZON BANCORP IND COM 440407104 535 28,923 SH DEFINED 2 28,923 0 0 HMN FINL INC COM 40424G108 738 297,652 SH DEFINED 297,652 0 0 HEWLETT PACKARD CO COM 428236103 4,409 185,000 SH DEFINED 185,000 0 0 HEWLETT PACKARD CO COM 428236103 3,336 140,000 SH DEFINED 1 140,000 0 0 HEWLETT PACKARD CO COM 428236103 7,626 320,000 SH DEFINED 2 320,000 0 0 HEWLETT PACKARD CO COM 428236103 14,060 590,000 SH CALL DEFINED 1 0 0 0 HAWTHORN BANCSHARES INC COM 420476103 1,901 253,051 SH DEFINED 253,051 0 0 INNOSPEC INC COM 45768S105 2,630 86,570 SH DEFINED 86,570 0 0 INNOSPEC INC COM 45768S105 20,953 689,694 SH DEFINED 1 689,694 0 0 INNOSPEC INC COM 45768S105 589 19,400 SH DEFINED 2 19,400 0 0 INTEGRATED ELECTRICAL SVC COM 45811E301 27,246 7,076,847 SH DEFINED 7,076,847 0 0 INTEGRATED ELECTRICAL SVC COM 45811E301 5,689 1,477,646 SH DEFINED 1 1,477,646 0 0 JAMES RIVER COAL CO COM NEW 470355207 1,146 223,741 SH DEFINED 223,741 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 ---------------------------- -------------- --------- -------- -------- --- ---- ---------- -------- ---------- ------ ---- JAMES RIVER COAL CO COM NEW 470355207 2,039 398,251 SH DEFINED 1 398,251 0 0 JAMES RIVER COAL CO COM NEW 470355207 726 141,842 SH DEFINED 2 141,842 0 0 FIDELITY SOUTHERN CORP NEW COM 316394105 4,460 661,760 SH DEFINED 661,760 0 0 LOUISIANA PAC CORP COM 546347105 4,529 484,360 SH DEFINED 484,360 0 0 LOUISIANA PAC CORP COM 546347105 875 93,559 SH DEFINED 1 93,559 0 0 LOUISIANA PAC CORP COM 546347105 2,549 272,644 SH DEFINED 2 272,644 0 0 LSB INDS INC COM 502160104 167 4,298 SH DEFINED 1 4,298 0 0 LSB INDS INC COM 502160104 276 7,102 SH DEFINED 2 7,102 0 0 MATERION CORP COM 576690101 5,663 197,100 SH DEFINED 197,100 0 0 MATERION CORP COM 576690101 1,524 53,030 SH DEFINED 1 53,030 0 0 MATERION CORP COM 576690101 3,774 131,378 SH DEFINED 2 131,378 0 0 MERITOR INC COM 59001K100 414 51,262 SH DEFINED 51,262 0 0 MERITOR INC COM 59001K100 1,392 172,479 SH DEFINED 1 172,479 0 0 MERITOR INC COM 59001K100 2,231 276,460 SH DEFINED 2 276,460 0 0 MUTUALFIRST FINL INC COM 62845B104 3,209 328,776 SH DEFINED 328,776 0 0 MUTUALFIRST FINL INC COM 62845B104 928 95,052 SH DEFINED 1 95,052 0 0 MUTUALFIRST FINL INC COM 62845B104 1,051 107,643 SH DEFINED 2 107,643 0 0 NORTHEAST BANCORP COM NEW 663904209 764 62,301 SH DEFINED 62,301 0 0 OM GROUP INC COM 670872100 6,588 239,485 SH DEFINED 239,485 0 0 OM GROUP INC COM 670872100 5,111 185,789 SH DEFINED 1 185,789 0 0 OM GROUP INC COM 670872100 5,761 209,400 SH DEFINED 2 209,400 0 0 OMNOVA SOLUTIONS INC COM 682129101 7,594 1,125,049 SH DEFINED 1 1,125,049 0 0 OMNOVA SOLUTIONS INC COM 682129101 1,326 196,502 SH DEFINED 2 196,502 0 0 PATRICK INDS INC COM 703343103 60,149 4,950,554 SH DEFINED 4,950,554 0 0 PATRICK INDS INC COM 703343103 4,245 349,409 SH DEFINED 1 349,409 0 0 PATRIOT COAL CORP COM 70336T104 2,841 455,300 SH DEFINED 455,300 0 0 PATRIOT COAL CORP COM 70336T104 14,453 2,316,250 SH DEFINED 1 2,316,250 0 0 PATRIOT COAL CORP COM 70336T104 3,391 543,450 SH DEFINED 2 543,450 0 0 PEOPLES BANCORP N C INC COM 710577107 3,024 374,009 SH DEFINED 374,009 0 0 PEOPLES BANCORP N C INC COM 710577107 1,129 139,584 SH DEFINED 1 139,584 0 0 PREFORMED LINE PRODS CO COM 740444104 1,945 29,692 SH DEFINED 29,692 0 0 PREFORMED LINE PRODS CO COM 740444104 9,068 138,445 SH DEFINED 1 138,445 0 0 PREFORMED LINE PRODS CO COM 740444104 676 10,326 SH DEFINED 2 10,326 0 0 PROVIDENT FINL HLDGS INC COM 743868101 3,096 283,287 SH DEFINED 283,287 0 0 PROVIDENT FINL HLDGS INC COM 743868101 1,089 99,645 SH DEFINED 1 99,645 0 0 SOUTHERN CMNTY FINL CORP COM 842632101 714 272,595 SH DEFINED 272,595 0 0 SUNTRUST BKS INC COM 867914103 604 25,000 SH DEFINED 25,000 0 0 UNITED CONTL HLDGS INC COM 910047109 6,073 282,477 SH DEFINED 282,477 0 0 UNITED CONTL HLDGS INC COM 910047109 10,546 490,498 SH DEFINED 1 490,498 0 0 UNITED CONTL HLDGS INC COM 910047109 8,630 401,400 SH DEFINED 2 401,400 0 0 UNITED BANCSHARES INC OHIO COM 909458101 1,128 166,309 SH DEFINED 166,309 0 0 VIACOM INC NEW CL B 92553P201 2,136 45,000 SH DEFINED 45,000 0 0 VIACOM INC NEW CL B 92553P201 3,673 77,393 SH DEFINED 2 77,393 0 0 WESTMORELAND COAL CO COM 960878106 28,031 2,509,508 SH DEFINED 2,509,508 0 0 WILLBROS GROUP INC DEL COM 969203108 2,785 859,684 SH DEFINED 859,684 0 0 WILLBROS GROUP INC DEL COM 969203108 4,785 1,476,942 SH DEFINED 1 1,476,942 0 0 WILLBROS GROUP INC DEL COM 969203108 1,467 452,779 SH DEFINED 2 452,779 0 0