0000902664-12-001368.txt : 20121109 0000902664-12-001368.hdr.sgml : 20121109 20121109163405 ACCESSION NUMBER: 0000902664-12-001368 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121109 DATE AS OF CHANGE: 20121109 EFFECTIVENESS DATE: 20121109 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: 121194116 MAIL ADDRESS: STREET 1: 200 PARK AVE SOUTH STREET 2: SUITE 3900 CITY: NEW YORK STATE: NY ZIP: 10166 13F-HR 1 p121769form13fhr.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, 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, Greenwich,CT 11/9/12 ----------------------- -------------------- ----------- [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: 13F File Number Name Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 77 Form 13F Information Table Value Total: $ 465,606 -------------- (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. 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 1,696 261,786 SH DEFINED 261,786 0 0 AMERIANA BANCORP COM 023613102 112 17,270 SH DEFINED 1 17,270 0 0 BANK OF AMERICA CORPORATION COM 060505104 4,680 530,000 SH DEFINED 530,000 0 0 BANK OF AMERICA CORPORATION COM 060505104 8,389 950,000 SH DEFINED 1 950,000 0 0 BANK OF AMERICA CORPORATION COM 060505104 6,932 785,000 SH DEFINED 2 785,000 0 0 BROADWIND ENERGY INC COM 11161T108 910 400,031 SH DEFINED 400,031 0 0 BROADWIND ENERGY INC COM 11161T108 2,773 1,218,876 SH DEFINED 1 1,218,876 0 0 CAMCO FINL CORP COM 132618109 436 234,589 SH DEFINED 234,589 0 0 CAMCO FINL CORP COM 132618109 825 443,635 SH DEFINED 1 443,635 0 0 CAPITAL ONE FINL CORP COM 14040H105 4,703 82,500 SH DEFINED 2 82,500 0 0 CITIGROUP INC COM NEW 172967424 4,581 140,000 SH DEFINED 140,000 0 0 CITIGROUP INC COM NEW 172967424 11,043 337,500 SH DEFINED 1 337,500 0 0 CITIGROUP INC COM NEW 172967424 6,544 200,000 SH DEFINED 2 200,000 0 0 CITIGROUP INC COM NEW 172967424 654 20,000 SH CALL DEFINED 20,000 0 0 CITIGROUP INC COM NEW 172967424 21,088 644,500 SH CALL DEFINED 1 644,500 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 3,893 425,000 SH DEFINED 425,000 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 6,279 685,466 SH DEFINED 1 685,466 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 5,427 592,500 SH DEFINED 2 592,500 0 0 DUCOMMUN INC DEL COM 264147109 1,840 135,315 SH DEFINED 2 135,315 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 639 206,187 SH DEFINED 206,187 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 19,524 6,298,041 SH DEFINED 1 6,298,041 0 0 EXIDE TECHNOLOGIES COM NEW 302051206 296 95,363 SH DEFINED 2 95,363 0 0 FIDELITY SOUTHERN CORP NEW COM 316394105 4,538 479,711 SH DEFINED 479,711 0 0 FIRST BANCSHARES INC MS COM 318916103 115 23,008 SH DEFINED 23,008 0 0 FIRST DEFIANCE FINL CORP COM 32006W106 2,106 122,007 SH DEFINED 122,007 0 0 FIRST FED NORTHN MICH BANCOR COM 32021X105 561 141,680 SH DEFINED 141,680 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 11,399 288,000 SH DEFINED 1 288,000 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 5,640 142,500 SH DEFINED 2 142,500 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 31,268 790,000 SH CALL DEFINED 1 790,000 0 0 HMN FINL INC COM 40424G108 1,103 350,206 SH DEFINED 350,206 0 0 HEWLETT PACKARD CO COM 428236103 3,888 227,900 SH DEFINED 227,900 0 0 HEWLETT PACKARD CO COM 428236103 6,551 383,980 SH DEFINED 1 383,980 0 0 HEWLETT PACKARD CO COM 428236103 7,326 429,400 SH DEFINED 2 429,400 0 0 HEWLETT PACKARD CO COM 428236103 23,116 1,355,000 SH CALL DEFINED 1 1,355,000 0 0 HAWTHORN BANCSHARES INC COM 420476103 2,566 290,260 SH DEFINED 290,260 0 0 INNOSPEC INC COM 45768S105 2,988 88,087 SH DEFINED 88,087 0 0 INNOSPEC INC COM 45768S105 19,229 566,889 SH DEFINED 1 566,889 0 0 INNOSPEC INC COM 45768S105 339 10,000 SH DEFINED 2 10,000 0 0 INTEGRATED ELECTRICAL SVC COM 45811E301 32,200 7,076,847 SH DEFINED 7,076,847 0 0 INTEGRATED ELECTRICAL SVC COM 45811E301 6,723 1,477,646 SH DEFINED 1 1,477,646 0 0 JPMORGAN CHASE & CO COM 46625H100 3,947 97,500 SH DEFINED 97,500 0 0 JPMORGAN CHASE & CO COM 46625H100 2,631 65,000 SH DEFINED 1 65,000 0 0 JPMORGAN CHASE & CO COM 46625H100 2,125 52,500 SH DEFINED 2 52,500 0 0 JPMORGAN CHASE & CO COM 46625H100 1,214 30,000 SH CALL DEFINED 30,000 0 0 JPMORGAN CHASE & CO COM 46625H100 4,453 110,000 SH CALL DEFINED 1 110,000 0 0 MATERION CORP COM 576690101 3,118 130,994 SH DEFINED 130,994 0 0 MATERION CORP COM 576690101 1,816 76,282 SH DEFINED 2 76,282 0 0 MERITOR INC COM 59001K100 1,537 362,479 SH DEFINED 1 362,479 0 0 MERITOR INC COM 59001K100 2,652 625,550 SH DEFINED 2 625,550 0 0 MUTUALFIRST FINL INC COM 62845B104 2,936 256,663 SH DEFINED 256,663 0 0 MUTUALFIRST FINL INC COM 62845B104 659 57,643 SH DEFINED 2 57,643 0 0 OM GROUP INC COM 670872100 4,450 240,000 SH DEFINED 240,000 0 0 OM GROUP INC COM 670872100 3,999 215,689 SH DEFINED 1 215,689 0 0 OM GROUP INC COM 670872100 3,226 173,991 SH DEFINED 2 173,991 0 0 OMNOVA SOLUTIONS INC COM 682129101 3,742 494,384 SH DEFINED 1 494,384 0 0 OMNOVA SOLUTIONS INC COM 682129101 591 78,094 SH DEFINED 2 78,094 0 0 PATRICK INDS INC COM 703343103 64,939 4,197,738 SH DEFINED 4,197,738 0 0 PATRICK INDS INC COM 703343103 5,405 349,409 SH DEFINED 1 349,409 0 0 PEOPLES BANCORP N C INC COM 710577107 3,646 364,581 SH DEFINED 364,581 0 0 PEOPLES BANCORP N C INC COM 710577107 1,406 140,584 SH DEFINED 1 140,584 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 ---------------------------- -------------- --------- -------- --------- --- ---- ---------- -------- --------- ------ ---- PREFORMED LINE PRODS CO COM 740444104 1,504 27,692 SH DEFINED 27,692 0 0 PREFORMED LINE PRODS CO COM 740444104 7,514 138,345 SH DEFINED 1 138,345 0 0 PREFORMED LINE PRODS CO COM 740444104 561 10,326 SH DEFINED 2 10,326 0 0 PROVIDENT FINL HLDGS INC COM 743868101 3,322 233,767 SH DEFINED 233,767 0 0 UNITED CONTL HLDGS INC COM 910047109 3,608 185,000 SH DEFINED 185,000 0 0 UNITED CONTL HLDGS INC COM 910047109 4,666 239,280 SH DEFINED 1 239,280 0 0 UNITED CONTL HLDGS INC COM 910047109 4,610 236,400 SH DEFINED 2 236,400 0 0 UNITED BANCSHARES INC OHIO COM 909458101 1,522 168,017 SH DEFINED 168,017 0 0 UNITED CMNTY FINL CORP OHIO COM 909839102 1,780 510,118 SH DEFINED 510,118 0 0 UNITED CMNTY FINL CORP OHIO COM 909839102 1 340 SH DEFINED 1 340 0 0 VIACOM INC NEW CL B 92553P201 3,318 61,919 SH DEFINED 61,919 0 0 VIACOM INC NEW CL B 92553P201 4,255 79,393 SH DEFINED 2 79,393 0 0 WESTMORELAND COAL CO COM 960878106 22,689 2,284,943 SH DEFINED 2,284,943 0 0 WILLBROS GROUP INC DEL COM 969203108 3,234 602,217 SH DEFINED 602,217 0 0 WILLBROS GROUP INC DEL COM 969203108 6,392 1,190,324 SH DEFINED 1 1,190,324 0 0 WILLBROS GROUP INC DEL COM 969203108 1,878 349,499 SH DEFINED 2 349,499 0 0 WINNEBAGO INDS INC COM 974637100 1,340 106,101 SH DEFINED 2 106,101 0 0