0000902664-12-001033.txt : 20120810 0000902664-12-001033.hdr.sgml : 20120810 20120810163822 ACCESSION NUMBER: 0000902664-12-001033 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120810 DATE AS OF CHANGE: 20120810 EFFECTIVENESS DATE: 20120810 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: 121024996 MAIL ADDRESS: STREET 1: 200 PARK AVE SOUTH STREET 2: SUITE 3900 CITY: NEW YORK STATE: NY ZIP: 10166 13F-HR 1 p12-1445form13fhr.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, 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 8/10/2012 --------------------------------- --------------------------------- ---------- [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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 85 Form 13F Information Table Value Total: $ 406,716 -------------- (In Thousands) List of Other Included Managers: No. Form 13F File Number Name 1 028-0950 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 1,462 261,786 SH DEFINED 261,786 0 0 AMERIANA BANCORP COM 023613102 96 17,270 SH DEFINED 1 17,270 0 0 BROADWIND ENERGY INC COM 11161T108 1,081 4,000,346 SH DEFINED 4,000,346 0 0 BROADWIND ENERGY INC COM 11161T108 3,295 12,188,768 SH DEFINED 1 12,188,768 0 0 CAMCO FINL CORP COM 132618109 518 234,078 SH DEFINED 234,078 0 0 CAMCO FINL CORP COM 132618109 982 443,635 SH DEFINED 1 443,635 0 0 CAPITAL ONE FINL CORP COM 14040H105 599 10,950 SH DEFINED 10,950 0 0 CAPITAL ONE FINL CORP COM 14040H105 6,559 120,000 SH DEFINED 2 120,000 0 0 CITIGROUP INC COM NEW 172967424 1,782 65,000 SH DEFINED 65,000 0 0 CITIGROUP INC COM NEW 172967424 1,096 40,000 SH DEFINED 1 40,000 0 0 CITIGROUP INC COM NEW 172967424 1,371 50,000 SH DEFINED 2 50,000 0 0 CITIGROUP INC COM NEW 172967424 2,960 108,000 SH CALL DEFINED 108,000 0 0 CITIGROUP INC COM NEW 172967424 4,605 168,000 SH CALL DEFINED 1 168,000 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 2,096 42,517 SH DEFINED 1 42,517 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 4,215 85,514 SH DEFINED 2 85,514 0 0 CORNING INC COM 219350105 3,867 299,100 SH DEFINED 2 299,100 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 4,654 425,000 SH DEFINED 425,000 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 4,830 441,066 SH DEFINED 1 441,066 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 9,116 832,500 SH DEFINED 2 832,500 0 0 DUCOMMUN INC DEL COM 264147109 1,509 153,828 SH DEFINED 2 153,828 0 0 ENGLOBAL CORP COM 293306106 117 77,700 SH DEFINED 2 77,700 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 693 206,187 SH DEFINED 206,187 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 21,111 6,283,041 SH DEFINED 1 6,283,041 0 0 FIRST DEFIANCE FINL CORP COM 32006W106 2,198 128,379 SH DEFINED 128,379 0 0 FIRST FED NORTHN MICH BANCOR COM 32021X105 496 141,680 SH DEFINED 141,680 0 0 FIRST MERCHANTS CORP COM 320817109 917 73,574 SH DEFINED 73,574 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 2,726 80,000 SH DEFINED 1 80,000 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 4,344 127,500 SH DEFINED 2 127,500 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 28,619 840,000 SH CALL DEFINED 1 840,000 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 5,534 468,570 SH DEFINED 468,570 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 3,342 283,000 SH DEFINED 1 283,000 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 4,252 359,994 SH DEFINED 2 359,994 0 0 HORIZON BANCORP IND COM 440407104 802 30,510 SH DEFINED 30,510 0 0 HMN FINL INC COM 40424G108 1,020 340,004 SH DEFINED 340,004 0 0 HEWLETT PACKARD CO COM 428236103 5,178 257,500 SH DEFINED 257,500 0 0 HEWLETT PACKARD CO COM 428236103 6,055 301,080 SH DEFINED 1 301,080 0 0 HEWLETT PACKARD CO COM 428236103 10,457 520,000 SH DEFINED 2 520,000 0 0 HEWLETT PACKARD CO COM 428236103 22,825 1,135,000 SH CALL DEFINED 1 1,135,000 0 0 HEWLETT PACKARD CO COM 428236103 603 30,000 SH CALL DEFINED 2 30,000 0 0 HAWTHORN BANCSHARES INC COM 420476103 2,429 263,173 SH DEFINED 263,173 0 0 INNOSPEC INC COM 45768S105 2,614 88,287 SH DEFINED 88,287 0 0 INNOSPEC INC COM 45768S105 18,526 625,682 SH DEFINED 1 625,682 0 0 INNOSPEC INC COM 45768S105 885 29,900 SH DEFINED 2 29,900 0 0 INTEGRATED ELECTRICAL SVC COM 45811E301 19,391 7,076,847 SH DEFINED 7,076,847 0 0 INTEGRATED ELECTRICAL SVC COM 45811E301 4,049 1,477,646 SH DEFINED 1 1,477,646 0 0 JAMES RIVER COAL CO COM NEW 470355207 825 304,504 SH DEFINED 1 304,504 0 0 FIDELITY SOUTHERN CORP NEW COM 316394105 4,824 558,317 SH DEFINED 558,317 0 0 LOUISIANA PAC CORP COM 546347105 2,409 221,449 SH DEFINED 221,449 0 0 LOUISIANA PAC CORP COM 546347105 1,538 141,374 SH DEFINED 2 141,374 0 0 MARKET VECTORS ETF COM 57060U191 2,673 75,000 SH DEFINED 1 75,000 0 0 MATERION CORP COM 576690101 3,021 131,194 SH DEFINED 131,194 0 0 MATERION CORP COM 576690101 762 33,088 SH DEFINED 1 33,088 0 0 MATERION CORP COM 576690101 2,073 90,000 SH DEFINED 2 90,000 0 0 MERITOR INC COM 59001K100 290 55,533 SH DEFINED 55,533 0 0 MERITOR INC COM 59001K100 1,532 293,479 SH DEFINED 1 293,479 0 0 MERITOR INC COM 59001K100 2,276 436,060 SH DEFINED 2 436,060 0 0 MUTUALFIRST FINL INC COM 62845B104 2,669 254,163 SH DEFINED 254,163 0 0 MUTUALFIRST FINL INC COM 62845B104 998 95,052 SH DEFINED 1 95,052 0 0 MUTUALFIRST FINL INC COM 62845B104 1,130 107,643 SH DEFINED 2 107,643 0 0 NORTHEAST BANCORP COM NEW 663904209 126 14,830 SH DEFINED 14,830 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 3,800 200,000 SH DEFINED 200,000 0 0 OM GROUP INC COM 670872100 3,340 175,789 SH DEFINED 1 175,789 0 0 OM GROUP INC COM 670872100 3,789 199,400 SH DEFINED 2 199,400 0 0 OMNOVA SOLUTIONS INC COM 682129101 5,537 734,342 SH DEFINED 1 734,342 0 0 OMNOVA SOLUTIONS INC COM 682129101 949 125,900 SH DEFINED 2 125,900 0 0 PATRICK INDS INC COM 703343103 55,094 4,321,123 SH DEFINED 4,321,123 0 0 PATRICK INDS INC COM 703343103 4,455 349,409 SH DEFINED 1 349,409 0 0 PEOPLES BANCORP N C INC COM 710577107 2,879 362,077 SH DEFINED 362,077 0 0 PEOPLES BANCORP N C INC COM 710577107 1,110 139,584 SH DEFINED 1 139,584 0 0 PREFORMED LINE PRODS CO COM 740444104 1,719 29,692 SH DEFINED 29,692 0 0 PREFORMED LINE PRODS CO COM 740444104 8,017 138,445 SH DEFINED 1 138,445 0 0 PREFORMED LINE PRODS CO COM 740444104 598 10,326 SH DEFINED 2 10,326 0 0 PROVIDENT FINL HLDGS INC COM 743868101 3,266 283,287 SH DEFINED 283,287 0 0 PROVIDENT FINL HLDGS INC COM 743868101 1,149 99,645 SH DEFINED 1 99,645 0 0 UNITED CONTL HLDGS INC COM 910047109 4,501 185,000 SH DEFINED 185,000 0 0 UNITED CONTL HLDGS INC COM 910047109 3,793 155,880 SH DEFINED 1 155,880 0 0 UNITED CONTL HLDGS INC COM 910047109 7,455 306,400 SH DEFINED 2 306,400 0 0 UNITED BANCSHARES INC OHIO COM 909458101 1,500 167,017 SH DEFINED 167,017 0 0 UNITED CMNTY FINL CORP OHIO COM 909839102 1,173 393,714 SH DEFINED 393,714 0 0 VIACOM INC NEW CL B 92553P201 2,873 61,100 SH DEFINED 61,100 0 0 VIACOM INC NEW CL B 92553P201 4,725 100,493 SH DEFINED 2 100,493 0 0 WESTMORELAND COAL CO COM 960878106 18,394 2,284,943 SH DEFINED 2,284,943 0 0 WILLBROS GROUP INC DEL COM 969203108 3,572 552,917 SH DEFINED 552,917 0 0 WILLBROS GROUP INC DEL COM 969203108 7,745 1,198,903 SH DEFINED 1 1,198,903 0 0 WILLBROS GROUP INC DEL COM 969203108 2,261 350,000 SH DEFINED 2 350,000 0 0