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Previous: EARTHFIRST TECHNOLOGIES INC, 10QSB, EX-27, 2000-11-17 |
Next: SUMMIT CAPITAL MANAGEMENT LLC, 13F-HR, 2000-11-16 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM 13F COVER PAGE
REPORT FOR THE CALENDAR QUARTER ENDED SEPTEMBER 30, 2000
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: WYNNEFIELD CAPITAL MANAGEMENT, LLC*
ADDRESS: 450 SEVENTH AVENUE - SUITE 509, NEW YORK, NEW YORK 10123
FORM 13F FILE NUMBER: 28-7006
==============================================================================
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:
REPORTING MANAGER:
NAME: JOSHUA H. LANDES
TITLE: MEMBER, GENERAL PARTNER
PHONE: (212) 760-0814
SIGNATURE, PLACE, AND DATE OF SIGNING:
/s/Joshua H. Landes
-----------------------
New York, New York
November 13, 2000
Report Type (Check one only):
[_] 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).)
[X] 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 File Number: 28-7006
Name: Wynnefield Capital, Inc.
Page 1 of 7
<PAGE>
FORM 13F SUMMARY PAGE
REPORT SUMMARY:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 105
Form 13F Information Table Value Total: $155,121,000
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file member(s) of all
institutional investment managers with respect to which this report is
filed, other than the manager filing this report.
No.1:
Name: Wynnefield Capital, Inc.
Form 13F File Number 28-7006
Page 2 of 7
<PAGE>
FORM 13F INFORMATION TABLE
<TABLE>
<CAPTION>
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
------------------ -------------- -------- -------- ------------------ ---------- -------- --------------------
Fair Market
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
------------------ -------------- -------- -------- ------- --- ---- ---------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
ADE Corp. Mass COM 00089C107 370 18,150 SH SOLE Filer + SOLE
No. 1
Airgas Inc. COM 009363102 2,666 391,400 SH SOLE Filer + SOLE
No. 1
Airnet Sys Inc. COM 009417106 114 25,000 SH SOLE Filer + SOLE
No. 1
Ambassadors Intl COM 023178106 4,507 241,200 SH SOLE Filer + SOLE
Inc. No. 1
American Italian CL A 027070101 317 16,500 SH SOLE Filer + SOLE
Pasta Co. No. 1
Ampal Amern Israel CL A 032015109 923 70,000 SH SOLE Filer + SOLE
Corp. No. 1
Armor Holdings Inc. COM 042260109 941 62,700 SH SOLE Filer + SOLE
Corp. No. 1
Assisted Living COM 04543L109 125 200,000 SH SOLE Filer + SOLE
Concepts Inc. No. 1
Audiovox Corp. CL A 050757103 279 18,600 SH SOLE Filer + SOLE
No. 1
Autotote Corp. CL A 053323101 985 250,000 SH SOLE Filer + SOLE
No. 1
Avalon Holdings CL A 05343P109 59 19,400 SH SOLE Filer + SOLE
Corp. No. 1
Aviall Inc. New COM 05366B102 2,575 400,000 SH SOLE Filer + SOLE
No. 1
B I Incorporated COM NEW 055467203 2,852 352,325 SH SOLE Filer + SOLE
No. 1
BTG Inc. COM 05576J101 550 65,700 SH SOLE Filer + SOLE
No. 1
Baker J Inc. COM 057232100 4,059 902,000 SH SOLE Filer + SOLE
No. 1
Baker J Inc. SUB NT 057232AA8 266 350,000 PRN SOLE Filer + SOLE
CONV No. 1
7% 02
Barrett Business COM 068463108 3,375 675,000 SH SOLE Filer + SOLE
Services Inc. No. 1
Beverly Enterprises COM NEW 087851309 416 70,000 SH SOLE Filer + SOLE
Inc. No. 1
Blonder Tongue Labs COM 093698108 1,543 257,200 SH SOLE Filer + SOLE
Inc. No. 1
TOTAL $26,922 4,385,175
------- ---------
</TABLE>
Page 3 of 7
<PAGE>
<TABLE>
<CAPTION>
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
------------------ -------------- -------- -------- ------- --- ---- ---------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
CH Energy Group Inc. COM 12541M102 399 10,000 SH SOLE Filer + SOLE
No. 1
CTB Intl Corp. COM 125960104 5,002 672,500 SH SOLE Filer + SOLE
No. 1
CTN Media Group Inc. COM 12643W107 402 63,000 SH SOLE Filer + SOLE
No. 1
Cascade Corp. COM 147195101 467 30,000 SH SOLE Filer + SOLE
No. 1
Channell Coml Corp. COM 159186105 1,023 78,700 SH SOLE Filer + SOLE
No. 1
Commonwealth Tel COM 203349105 2,996 81,375 SH SOLE Filer + SOLE
Enterprises No. 1
Connectiv Inc. COM 206829103 358 20,000 SH SOLE Filer + SOLE
No. 1
Continental COM 211497102 35 34,000 SH SOLE Filer + SOLE
Information Sys New No. 1
Corning Inc. COM 219350105 2,079 7,000 SH SOLE Filer + SOLE
No. 1
Crestline Cap Corp. COM 226153104 1,505 75,000 SH SOLE Filer + SOLE
No. 1
Crown Crafts Inc. COM 228309100 412 387,700 SH SOLE Filer + SOLE
No. 1
Crown Group Inc. COM 228359105 137 29,200 SH SOLE Filer + SOLE
No. 1
Dal-Tile Intl Inc COM 23426R108 253 20,200 SH SOLE Filer + SOLE
No. 1
Dan Riv Inc GA CL A 235774106 216 50,000 SH SOLE Filer + SOLE
No. 1
Delta & Pine Ld Co COM 247357106 6,512 253,500 SH SOLE Filer + SOLE
No. 1
Denali Inc. COM 248221103 52 50,000 SH SOLE Filer + SOLE
No. 1
Ducommun Inc Del COM 264147109 1,785 126,900 SH SOLE Filer + SOLE
No. 1
Dwyer Group Inc. COM 267455103 38 15,000 SH SOLE Filer + SOLE
No. 1
Ellis Perry Intl COM 288853104 1,575 200,000 SH SOLE Filer + SOLE
Inc. No. 1
Entertainment Pptys COM SH 29380T105 372 35,000 SH SOLE Filer + SOLE
Tr BEN INT No. 1
Farrel Corp. NEW COM 311667109 87 64,700 SH SOLE Filer + SOLE
No. 1
Find SVP Inc. COM NEW 317718302 25 26,300 SH SOLE Filer + SOLE
No. 1
First Aviation Svcs COM 31865W108 9,455 1,879,392SH SOLE Filer + SOLE
Inc. No. 1
Foster L B Co. COM 350060109 124 36,200 SH SOLE Filer + SOLE
No. 1
Full Line Distrs COM 35967N106 58 47,500 SH SOLE Filer + SOLE
Inc. No. 1
G-III Apparel Group COM 36237H101 1,463 207,132 SH SOLE Filer + SOLE
Ltd No. 1
TOTAL $36,830 4,500,299
------- ---------
</TABLE>
Page 4 of 7
<PAGE>
<TABLE>
<CAPTION>
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
------------------ -------------- -------- -------- ------- --- ---- ---------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Gatx Corp. COM 361448103 2,094 50,000 SH SOLE Filer + SOLE
No. 1
General CL A 369385109 5,028 702,640 SH SOLE Filer + SOLE
Communication Inc. No. 1
Genzyme Corp COM 372917609 148 20,000 SH SOLE Filer + SOLE
No. 1
GTSI Corp COM 36238K103 339 104,175 SH SOLE Filer + SOLE
No. 1
Hansen Nat Corp COM 411310105 141 26,000 SH SOLE Filer + SOLE
No. 1
Harsco Corp COM 415864107 1,103 50,000 SH SOLE Filer + SOLE
No. 1
Healthgate Data Corp COM 42222H106 27 25,000 SH SOLE Filer + SOLE
No. 1
Hello Direct Inc. COM 423402106 2,563 250,000 SH SOLE Filer + SOLE
No. 1
ICO Hldgs Inc. COM 449293109 980 490,000 SH SOLE Filer + SOLE
No. 1
IT Group Inc. COM 465266104 570 120,000 SH SOLE Filer + SOLE
No. 1
JPS Packaging Co. COM 46623H102 793 176,250 SH SOLE Filer + SOLE
No. 1
Jo-Ann Stores Inc. CL B 47758P208 1,173 182,200 SH SOLE Filer + SOLE
NON-VTG No. 1
Key3Media Group Inc. COM 49326R104 4,277 391,000 SH SOLE Filer + SOLE
No. 1
Keystone Automotive COM 49338N109 1,059 220,000 SH SOLE Filer + SOLE
Inds Inc. No. 1
Labone Inc. New COM 50540L105 514 60,000 SH SOLE Filter + SOLE
No. 1
Ladish Inc. COM NEW 505754200 3,783 291,017 SH SOLE Filer + SOLE
No. 1
Layne Christensen COM 521050104 1,581 401,500 SH SOLE Filer + SOLE
Co. No. 1
Marisa Christina COM 570268102 56 52,600 SH SOLE Filer + SOLE
Inc. No. 1
Monmouth Cap Corp. COM 609524103 76 30,275 SH SOLE Filer + SOLE
No. 1
Monro Muffler Brake COM 610236101 4,073 374,500 SH SOLE Filer + SOLE
Inc. No. 1
TOTAL $30,378 4,017,157
------- ---------
</TABLE>
Page 5 of 7
<PAGE>
<TABLE>
<CAPTION>
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
------------------ -------------- -------- -------- ------- --- ---- ---------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Morton Industrial CL A 619328107 388 113,010 SH SOLE Filer + SOLE
Group No. 1
Niagara Corp. COM 653349100 1,238 335,619 SH SOLE Filer + SOLE
No. 1
Novel Denim Holdgs ORD G6674P109 320 40,000 SH SOLE Filer + SOLE
Ltd No. 1
OPTI Inc. COM 683960108 54 10,000 SH SOLE Filer + SOLE
No. 1
Opticare Health COM 68386P105 236 343,005 SH SOLE Filer + SOLE
Sys Inc. No. 1
PBOC Hldgs Inc. COM 69316G108 1,497 178,800 SH SOLE Filer + SOLE
No. 1
PMR Corp. COM 693451106 49 21,600 SH SOLE Filer + SOLE
No. 1
Packaged Ice Inc. COM 695148106 68 24,700 SH SOLE Filer + SOLE
No. 1
Petroquest Energy COM 716748108 72 22,100 SH SOLE Filer + SOLE
Inc. No. 1
Phoenix Gold Intl COM 719068108 754 415,950 SH SOLE Filer + SOLE
Inc. No. 1
Pilgrims Pride CL B 721467108 305 44,300 SH SOLE Filer + SOLE
Corp. No. 1
Pricesmart Inc. COM 741511109 11,625 300,000 SH SOLE Filer + SOLE
No. 1
Printrak Intl Inc. COM 742574106 848 71,000 SH SOLE Filer + SOLE
No. 1
RCN Corp. COM 749361101 293 14,150 SH SOLE Filer + SOLE
No. 1
Rankin Automotive COM 753050103 36 52,575 SH SOLE Filer + SOLE
Group Inc. No. 1
Scheid Vineyards CL A 806403101 375 100,000 SH SOLE Filer + SOLE
Inc. No. 1
Sequa Corporation CL A 817320104 3,188 75,000 SH SOLE Filer + SOLE
No. 1
Sequa Corporation CL B 817320203 434 7,300 SH SOLE Filer + SOLE
No. 1
TOTAL $21,780 2,169,109
------- ---------
</TABLE>
Page 6 of 7
<PAGE>
<TABLE>
<CAPTION>
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
------------------ -------------- -------- -------- ------- --- ---- ---------- -------- ---- ------ ----
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Simon Transn Svcs CL A 828813105 1,992 322,000 SH SOLE Filer + SOLE
Inc. No. 1
Six Flags Inc. COM 83001P109 1,550 100,000 SH SOLE Filer + SOLE
No. 1
SOS Staffing Svcs COM 78462X104 506 200,000 SH SOLE Filer + SOLE
Inc. No. 1
Specialty Catalog COM 84748Q103 1,337 534,699 SH SOLE Filer + SOLE
Corp. No. 1
Sunsource Inc. COM 867948101 158 40,000 SH SOLE Filer + SOLE
No. 1
Sylvan Inc. COM 871371100 10,237 1,063,586SH SOLE Filer + SOLE
No. 1
Syntellect Inc. COM 87161L105 2,248 250,600 SH SOLE Filer + SOLE
No. 1
Tasty Baking Co. COM 876553306 4,355 409,861 SH SOLE Filer + SOLE
No. 1
Tropical Sportswear COM 89708P102 1,713 100,000 SH SOLE Filer + SOLE
Intl. Corp. No. 1
U.S. Home & Garden COM 902939107 206 110,000 SH SOLE Filer + SOLE
Inc. No. 1
U.S. Liquids Inc. COM 902974104 448 119,400 SH SOLE Filer + SOLE
No. 1
U.S. Inds Inc. New COM 912080108 2,186 220,000 SH SOLE Filer + SOLE
No. 1
United Indl Corp. COM 910671106 361 33,200 SH SOLE Filer + SOLE
No. 1
Ventas Inc. COM 92276F100 2,025 405,000 SH SOLE Filer + SOLE
No. 1
Vitech Amer Inc. COM 928489103 1,163 300,109 SH SOLE Filer + SOLE
No. 1
Water Pik COM 94113U100 823 84,950 SH SOLE Filer + SOLE
Technologies Inc. No. 1
West Pharmaceutical COM 955306105 1,277 54,942 SH SOLE Filer + SOLE
Svsc Inc. No. 1
Westmoreland Coal COM 960878106 3,904 761,700 SH SOLE Filer + SOLE
Co. No. 1
Westmoreland Coal PFD DP 960878304 1,644 82,200 SH SOLE Filer + SOLE
Co. A CV1/4 No. 1
Weston Roy F Inc. CL A 961137106 140 38,000 SH SOLE Filer + SOLE
No. 1
Woodhead Inds Inc. COM 979438108 820 39,400 SH SOLE Filer + SOLE
No. 1
Zany Brainy Inc. COM 98906Q101 118 61,648 SH SOLE Filer + SOLE
No. 1
TOTAL $39,211 5,331,295
------- ---------
GRAND TOTAL $155,121 20,403,035
======== ==========
<FN>
________________
*It should be noted that all prior filings on and amendments to Form 13F by the
Reporting Manager, Wynnefield Capital Management, LLC, have been filed under the
name and Central Index Key number for Wynnefield Partners Small Cap Value, L.P.
From the date of this Form 13F forward, all filings by the Reporting Manager
with the Securities and Exchange Commission will be made under the name and
Central Index Key number for Wynnefield Capital Management, LLC.
</FN>
</TABLE>
Page 7 of 7
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