SECURITIES AND EXCHANGE COMMISSION
Form 13F Cover Page
Report for the Calendar Quarter Ended September 30, 1999
Check here if Amendment [ ]; Amendment No.
This Amendment
[_] is a restatement
[_] adds new holdings entries
Institutional Investment Manager Filing this Report:
Name: Wynnefield Capital Management, LLC
Address: One Penn Plaza, New York , New York 10119
- --------------------------------------------------------------------------------
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: Joshua H. Landes
Title: Member, General Partner
Phone: (212) 760-0814
/s/ Joshua H. Landos
- ----------------------------------------
New York, New York
November 15, 1999
Report Type (Check only one):
[_] 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 9
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FORM 13F Summary Page
Report Summary:
Number of Other Managers: 1
Form 13F Information Table Entry Total: 118_____
Form 13F Information Table Value Total: $ 172,265,200
List of Other Included Managers:
Provide a numbered list of the names and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report. [If there are no entries in this
list, state "none" and omit the column headings and list entries.]
No. 1
Form 13F File Number 28 - 7006
Name: Wynnefield Capital, Inc.
Page 2 of 9
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FORM 13F
Name of Reporting Manager Wynnefield Capital Management, LLC (SEC USE
ONLY) Name of Manager #1 Wynnefield Capital, Inc.
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ITEM 6
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ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 INVESTMENT DISCRETION ITEM 7 ITEM 8
- ------ ------ ------ ------ ------ SHARED-AS ------ -----------------
TITLE FAIR SHARES OR DEFINED SHARED MANA- VOTING AUTHORITY
OF CUSIP MARKET PRINCIPAL SOLE IN INSTR.V OTHER GERS SEE (SHARES)
NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) INSTR V. SOLE SHARED (C)
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Ansaldo Signal NV ORD N05515106 1,338,000 509,700 X Filer + #1 X
Royal Olympic Cruise COM V7780Z109 675,000 300,000 X Filer + #1 X
Lines Inc.
Airgas Inc. COM 009363102 2,656,000 250,000 X Filer + #1 X
Ambassadors Intl Inc. COM 023178106 2,100,000 160,000 Filer + #1 X
Ampal Amern Israel CL A 032015109 891,000 150,000 X Filer + #1 X
Corp.
Assisted Living COM 04543L109 0 160,000 X Filer + #1 X
Concepts Inc.
Audiovox Corp. CL A 050757103 319,000 18,600 X Filer + #1
Autotote Corp CL A 053323101 998,000 380,000 X Filer + #1 X
Avalon Hldgs Corp. CL A 05343P109 74,000 12,700 X Filer + #1 X
Avatar Hldgs Inc. COM 053494100 1,425,000 750,000 X Filer + #1 X
Aviall Inc. New COM 05366B102 6,741,000 657,700 X Filer + #1 X
BTG Inc. COM 05576J101 466,000 63,200 X Filer + #1 X
Baker J Inc. COM 057232100 4,671,000 692,000 X Filer + #1 X
Barrett Business COM 068463100 4,834,000 623,686 X Filer + #1 X
Services Inc.
Beverly Enterprises COM 087851309 293,000 70,000 X Filer + #1 X
In c. NEW
Blonder Tongue Labs COM 093698108 2,917,000 343,200 X Filer + #1 X
Inc.
Bolle Inc.. COM 097937106 1,169,000 415,597 X Filer + #1 X
Brush Wellman Inc. COM 117421107 1,034,000 70,400 X Filer + #1 X
TOTAL 32,601,000 5,626,783
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Page 3 of 9
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ITEM 6
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ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 INVESTMENT DISCRETION ITEM 7 ITEM 8
- ------ ------ ------ ------ ------ SHARED-AS ------ -----------------
TITLE FAIR SHARES OR DEFINED SHARED MANA- VOTING AUTHORITY
OF CUSIP MARKET PRINCIPAL SOLE IN INSTR.V OTHER GERS SEE (SHARES)
NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) INSTR V. SOLE SHARED (C)
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Calton Inc. New COM 131380206 44,000 35,500 X Filer + #1 X
NEW
CTB Intl Corp. COM 125960104 3,207,000 484,000 X Filer + #1 X
Commonwealth Tel COM 203349105 7,420,000 170,075 X Filer + #1 X
Enterprises
Continental COM 211497102 58,000 50,000 X Filer + #1 X
Information Ss New
Corporate Express COM 219888104 108,200 115,000 X Filer + #1 X
Inc.
Covance Inc. COM 222816100 183,000 20,000 X Filer + #1 X
Crown Group Inc. COM 228359105 139,000 29,200 Filer + #1 X
Crown Crafts Inc. COM 228309100 1,328,000 425,000 X Filer + #1 X
Datametrics Corp COM 238085104 165,000 115,000 X Filer + #1 X
Denali Inc. COM 248221103 169,000 37,500 X Filer + #1 X
Department 56 Inc. COM 249509100 310,000 13,000 X Filer + #1 X
Ducommun Inc . COM 264147109 1,381,000 127,000 X Filer + #1 X
Del
Dwyer Group Inc. COM 267455103 45,000 15,000 X Filer + #1 X
Factory 2-U Inc. COM 303072102 878,000 30,400 X Filer + #1 X
Farrel Corp NEW COM 311667109 45,000 26,700 X Filer + #1 X
Find SVP Inc. COM NEW 317718302 25,000 26,300 X Filer + #1 X
Firearms Training CL A 318120102 7,000 10,000 X Filer + #1 X
Sys Inc.
First Aviation Svcs COM 31865M108 9,492,000 1,725,892 X Filer + #1 X
Inc.
Gatx Corp COM 361448103 2,465,000 80,000 X Filer + #1 X
TOTAL 27,469,200 3,535,567
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Page 4 of 9
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ITEM 6
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ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 INVESTMENT DISCRETION ITEM 7 ITEM 8
- ------ ------ ------ ------ ------ SHARED-AS ------ -----------------
TITLE FAIR SHARES OR DEFINED SHARED MANA- VOTING AUTHORITY
OF CUSIP MARKET PRINCIPAL SOLE IN INSTR.V OTHER GERS SEE (SHARES)
NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) INSTR V. SOLE SHARED (C)
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
G-III ApparelGroup COM 36237H101 426,000 143,532 X Filer + #1 X
Ltd
Garden Ridge Corp. COM 36541P104 391,000 53,500 X Filer + #1 X
General CL A 369385109 3,334,000 668,740 X Filer + #1 X
Communication Inc.
Government Tech- COM 383750106 1,378,000 373,750 X Filer + #1
nology Svcs Inc.
Greenbrier Cos Inc. COM 393657101 913,000 83,000 X Filer + #1 X
Guess Inc. COM 401617105 533,000 42,000 X Filer + #1 X
HMG Worldwide Corp. COM 404235105 608,000 135,000 X Filer + #1 X
Halsey Drug Co. COM 406369108 68,000 30,000 X Filer + #1 X
Hansen Nat Corp COM 411310105 238,000 50,000 X Filer + #1 X
Harsco Corp COM 415864107 644,000 25,000 X Filer + #1 X
Hawk Corp CL A 420089104 151,000 28,000 X Filer + #1 X
Hello Direct Inc. COM 423402106 2,086,000 251,000 X Filer + #1 X
ICO Hldgs Inc. COM 449293109 589,000 314,200 X Filer + #1 X
ITC Learning Corp COM 45031S106 142,000 34,500 X Filer + #1 X
Imperial Sugar Co. COM 453096109 1,096,000 177,200 X Filer + #1 X
New
Integrated Health COM 45812C106 181,000 100,080 X Filer + #1 X
Svcs Inc.
International Airl COM 458865201 576,000 128,100 X Filer + #1 X
Support Grp NEW
IT Group Inc. COM 465266104 473,000 49,150 X Filer + #1 X
JPS Packaging Co. COM 46623H102 605,000 142,250 X Filer + #1 X
TOTAL 14,432,000 2,829,002
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Page 5 of 9
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ITEM 6
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ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 INVESTMENT DISCRETION ITEM 7 ITEM 8
- ------ ------ ------ ------ ------ SHARED-AS ------ -----------------
TITLE FAIR SHARES OR DEFINED SHARED MANA- VOTING AUTHORITY
OF CUSIP MARKET PRINCIPAL SOLE IN INSTR.V OTHER GERS SEE (SHARES)
NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) INSTR V. SOLE SHARED (C)
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Jackpot Enterprises COM 466392107 1,356,000 155,000 X Filer + #1 X
Inc.
Jo-Ann Stores Inc. CL B 47758P208 2,061,000 182,200 X Filer + #1 X
Non-vtg
Kellstrom Inds Inc.. COM 488035106 3,190,000 321,000 X Filer + #1 X
LTV Corp. New COM 501921100 58,000 11,000 X Filer + #1 X
LSB Indus Inc. COM 502160104 203,000 114,200 X Filer + #1 X
Layne Christensen Co. COM 5210501;04 158,000 15,090 X Filer + #1 X
Ladish Inc. COM 505754200 1,892,000 291,017 X Filer + #1 X
NEW
Marisa Christina Inc. COM 570268102 82,000 52,600 X Filer + #1 X
Mark IV Inds inc. COM 570387100 1,405.000 71,800 x Filer + #1
McNaughton Apparel COM 582524104 2,275,000 260,000 X Filer + #1 X
Group Inc.
Monmouth Cap Corp. COM 609524105 76,000 30,275 X Filer + #1
Monro Muffler Brake COM 610236101 2,108,000 301,100 X Filer + #1 X
Inc.
Morton Industrial CL A 619328107 523,000 113,010 X Filer + #1 X
Group
Motorcar Parts & COM 620071100 151,000 66,980 X Filer + #1 X
Accessories
NPC International In COM 629360306 184,000 10,400 X Filer + #1 X
Niagara Corp COM 653349100 712,000 160,500 X Filer + #1 X
Noodle Kidoodle Inc. COM 655370104 928,000 225,000 X Filer + #1 X
Olsten Corp. COM 681385100 1,027,000 99,000 X Filer + #1 X
TOTAL 18,389,000 2,480,172
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Page 6 of 9
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ITEM 6
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ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 INVESTMENT DISCRETION ITEM 7 ITEM 8
- ------ ------ ------ ------ ------ SHARED-AS ------ -----------------
TITLE FAIR SHARES OR DEFINED SHARED MANA- VOTING AUTHORITY
OF CUSIP MARKET PRINCIPAL SOLE IN INSTR.V OTHER GERS SEE (SHARES)
NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) INSTR V. SOLE SHARED (C)
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
O'Sullivan Inds COM 688609106 1,487,000 100,000 X Filer + #1 X
Hldgs Inc.
Overland Data Inc. COM 690213103 1,010,000 191,200 X Filer + #1
Pboc Hldgs Inc COM 69316G108 1,129,000 140,000 X Filer + # 1 X
Packaged Ice Inx. COM 695148106 523,000 155,000 X Filer + #1 X
Phillips Van Heusen COM 718592108 334,000 38,200 X Filer + #1 X
Corp
Phoenix Gold Intl COM 719068108 936,000 415,950 X Filer + #1 X
Inc.
Pinnacle Global COM 723465100 86,000 18,000 X Filer + #1 X
Group Inc.
Pricesmart Inc.E COM 741511109 11,061,000 303,050 X Filer + #l
Primark Corp COM 741903108 5,356,000 190,000 X Filer + #1 X
RCN Corp COM 749361101 2,870,000 69,150 X Filer + #1 X
Railtex Inc. COM 750766107 1,310,000 80,000 X Filer + #1 X
Rankin Automotive COM 753050103 159,000 52,575 X Filer + #1 X
Group Inc.
Reliance Group COM 7594664100 222,000 55,600 X Filer + #1 X
Holdings Inc.
SCP Pool COM 784020102 7,607,000 336,224 X Filer + #1
Safety 1st ;Inc. COM 786475103 5,092,000 721,050 X Filer + #1
Safety-Kleen Corp COM NEW 78648R203 2,458,000 200,000 X Filer + # X
NEW
Saga Communications CL A 786598102 2,212,000 95,400 X Filer + #1 X
Scheid Vineyards Inc. CL A 806403101 463,000 100,000 X Filer + #1 X
Sequa Corporation CL A 817320104 4,324,000 68,100 X Filer + #1 X
Sequa Corporation CL B 817320203 500,000 7,300 X Filer + #1 X
TOTAL 49,139,000 3,336,799
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Page 7 of 9
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ITEM 6
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ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 INVESTMENT DISCRETION ITEM 7 ITEM 8
- ------ ------ ------ ------ ------ SHARED-AS ------ -----------------
TITLE FAIR SHARES OR DEFINED SHARED MANA- VOTING AUTHORITY
OF CUSIP MARKET PRINCIPAL SOLE IN INSTR.V OTHER GERS SEE (SHARES)
NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) INSTR V. SOLE SHARED (C)
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Simon Transn Svcs CL A 828813105 2,112,000 450,000 X Filer + #1 X
Inc.
Sirena Apparel Group COM 82966Q102 0 48,800 X Filer + #1 X
Inc.
SOS Staffing Svcs COM 78462X104 949,000 165,000 X Filer + #1 X
inc.
Specialty Catalog COM 84748Q103 977,000 2260,500 X Filer + #1 X
Corp
Sundance Homes Inc. COM 86724Q106 15,000 11,400 X Filer + #1 X
Sunsource Inc. COM 867948101 56,000 11,400 X Filer + #1 X
Sylvan Inc. COM 871371100 10,049,000 992,500 X Filer + #1 X
Tasty Baking Co. COM 876553306 2,841,000 244,400 X Filer + #1
TBC CORP COM 872180104 448,000 63,500 X Filer + #1 X
Timberland Co. CL A 887100105 307,000 8,600 X Filer + #1 X
Triumph Group Inc. COM 896818101 2,133,000 80,500 X Filer + #1 X
New
Tropical Sportswear COM 89708P102 950,000 51,000 X Filer + #1 X
Intl Corp.
U S B Hldg COM 902910108 404,000 28,084 X Filer + #1 X
Inc.
US Liquids Inc. COM 902974104 371,000 60,000 X Filer + #1 X
United Retail Group COM 911380103 319,000 25,000 X Filer + #1 X
Inc.
US Inds Inc. New COM 912080108 2,635,000 170,000 X Filer + #1 X
Unova Inc. COM 91529B106 174,000 13,400 X Filer + #1 X
Ventas Inc. COM 92276F100 1,736,000 351,500 X Filer + #1 X
WHX Corp COM 929248102 447,000 45,000 X Filer + #1
TOTAL 26,923,000 5,080,584
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Page 8 of 9
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ITEM 6
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ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 INVESTMENT DISCRETION ITEM 7 ITEM 8
- ------ ------ ------ ------ ------ SHARED-AS ------ -----------------
TITLE FAIR SHARES OR DEFINED SHARED MANA- VOTING AUTHORITY
OF CUSIP MARKET PRINCIPAL SOLE IN INSTR.V OTHER GERS SEE (SHARES)
NAME OF ISSUER CLASS NUMBER VALUE AMOUNT (A) (B) (C) INSTR V. SOLE SHARED (C)
<S> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C> <C>
Westmoreland Coal Co COM 960878106 2,429,000 693,900 X Filer + #1 X
Westmoreland Coal Co PFD DP 960878304 352,000 19,155 X Filer + #1 X
A CIV/4
Weston Roy F Inc. Cl A 961137106 47,000 18,000 X Filer + #1 X
Veterinary Ctrs Amer COM 925514101 484,000 44,000 X Filer + #1 X
Inc.
TOTAL 3,312,000 775,055
GRAND TOTAL 172,265,200 23,663,962
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Page 9 of 9
