SECURITIES AND EXCHANGE COMMISSION
FORM 13F COVER PAGE
REPORT FOR THE CALENDAR QUARTER ENDED DECEMBER 31, 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
- ------------------------------------
New York, New York
February 14, 2000
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 8 Pages
<PAGE>
FORM 13F Summary Page
Report Summary:
Number of Other Managers: 1
Form 13F Information Table Entry Total: 103
Form 13F Information Table Value Total: $ 156,893,006
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 8 Pages
<PAGE>
<TABLE>
<CAPTION>
FORM 13F
--------------
Name of Reporting Manager WYNNEFIELD CAPITAL MANAGEMENT, LLC (SEC USE ONLY)
Name of Manager #1 WYNNEFIELD CAPITAL, INC. --------------
- ------------------------------------------------------------------------------------------------------------------------------------
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Name of Title CUSIP Number Fair Market Shares or Investment Discretion
Issuer of Class Value Principal --------------------- Managers Voting Authority(Shares)
Amount (a)Sole (a)Shared-as (b)Shared- See Instr.--------------------------
Defined in Other V (a)Sole (b)Shared (c)None
Instr. V
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Ansaldo Signal NV ORD N05515106 1,202,000 663,300 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Royal Olympic Cruise COM V7780Z109 1,345,000 298,500 X Filer + #1 X
Lines Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Airgas Inc. COM 009363102 1,834,000 193,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Ambassadors Intl Inc. COM 023178106 2,638,000 241,200 Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Ampal Amern Israel CL A 032015109 1,588,000 150,000 X Filer + #1 X
Corp.
- ------------------------------------------------------------------------------------------------------------------------------------
Assisted Living COM 04543L109 427,000 207,000 X Filer + #1 X
Concepts Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Audiovox Corp. CL A 050757103 565,000 18,600 X Filer + #1
- ------------------------------------------------------------------------------------------------------------------------------------
Autotote Corp CL A 053323101 1,235,000 380,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Avalon Hldgs Corp. CL A 05343P109 97,000 19,400 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Avatar Hldgs Inc. COM 053494100 1,146,000 65,500 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Aviall Inc. New COM 05366B102 5,494,000 671,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
BI Incorporated COM 055467203 1,576,000 208,400 X Filer + #1 X
NEW
- ------------------------------------------------------------------------------------------------------------------------------------
BTG Inc. COM 05576J101 521,000 63,200 X Filer + #1 X
Baker J Inc. COM 057232100 4,418,000 752,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Barrett Business COM 068463100 4,132,000 623,686 X Filer + #1 X
Services Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Beverly Enterprises COM 087851309 506,000 70,000 X Filer + #1 X
Inc. NEW
- ------------------------------------------------------------------------------------------------------------------------------------
Blonder Tongue Labs COM 093698108 1,691,000 338,200 X Filer + #1 X
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
TOTAL 30,415,000 4,962,986
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Page 3 of 8 Pages
<PAGE>
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Name of Title CUSIP Number Fair Market Shares or Investment Discretion
Issuer of Class Value Principal --------------------- Managers Voting Authority(Shares)
Amount (a)Sole (a)Shared-as (b)Shared- See Instr.--------------------------
Defined in Other V (a)Sole (b)Shared (c)None
Instr. V
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Bolle Inc.. COM 097937106 2,104,000 415,597 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Brush Wellman Inc. COM 117421107 1,345,000 80,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Calton Inc. New COM 131380206 60,000 35,500 X Filer + #1 X
NEW
- ------------------------------------------------------------------------------------------------------------------------------------
CTB Intl Corp. COM 125960104 2,844,000 484,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Commonwealth Tel COM 203349105 8,078,000 153,875 X Filer + #1 X
Enterprises
- ------------------------------------------------------------------------------------------------------------------------------------
Continental COM 211497102 45,000 34,000 X Filer + #1 X
Information Sys New
- ------------------------------------------------------------------------------------------------------------------------------------
Covance Inc. COM 222816100 541,000 50,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Crown Group Inc. COM 228359105 137,000 29,200 Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Crown Crafts Inc. COM 228309100 1,207,000 419,700 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Datametrics Corp COM 238085104 151,000 115,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Delta & Pine Lo Co COM 247357106 348,000 20,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Denali Inc. COM 248221103 156,000 50,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Ducommun Inc. COM 264147109 1,272,000 117,000 X Filer + #1 X
Del
- ------------------------------------------------------------------------------------------------------------------------------------
Dwyer Group Inc. COM 267455103 33,000 15,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Ellis Perry Intl Inc. COM 208853104 2,300,000 200,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Factory 2-U Inc. COM 303072102 448,000 15,802 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Farrel Corp NEW COM 311667109 113,000 64,700 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Find SVP Inc. COM 317718302 53,000 26,300 X Filer + #1 X
NEW
- ------------------------------------------------------------------------------------------------------------------------------------
Firearms Training CL A 318120102 5,000 10,000 X Filer + #1 X
Sys Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
First Aviation Svcs COM 31865M108 9,029,000 1,828,592 X Filer + #1 X
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Foster L B. Co. COM 350060109 176,000 36,200 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Gatx Corp COM 361448103 2,315,000 68,600 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
TOTAL 32,760,000 4,269,066
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Page 4 of 8
<PAGE>
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Name of Title CUSIP Number Fair Market Shares or Investment Discretion
Issuer of Class Value Principal --------------------- Managers Voting Authority(Shares)
Amount (a)Sole (a)Shared-as (b)Shared- See Instr.--------------------------
Defined in Other V (a)Sole (b)Shared (c)None
Instr. V
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
- ------------------------------------------------------------------------------------------------------------------------------------
G-III Apparel Group COM 36237H101 529,000 144,552 X Filer + #1 X
Ltd
- ------------------------------------------------------------------------------------------------------------------------------------
General CL A 369385109 3,242,000 751,840 X Filer + #1 X
Communication Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Genzyme Corp COM 372917609 116,000 20,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Government Tech- COM 383750106 932,000 363,750 X Filer + #1
nology Svcs Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Greenbrier Cos Inc. COM 393657101 315,000 36,500 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Guess Inc. COM 401617105 653,000 30,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Halsey Drug Co. COM 406369108 22,000 23,500 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Harsco Corp COM 415864107 1,270,000 40,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Hawk Corp CL A 420089104 87,000 15,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Hello Direct Inc. COM 423402106 3,702,000 251,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
ICO Hldgs Inc. COM 449293109 471,000 314,200 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
IT Group Inc. COM 465266104 664,000 72,300 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
JPS Packaging Co. COM 46623H102 497,000 167,250 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Jackpot Enterprises COM 466392107 83,000 100,000 X Filer + #1 X
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Jo-Ann Stores Inc. CL B 47758P208 1,833,000 182,200 X Filer + #1 X
Non
-tg
- ------------------------------------------------------------------------------------------------------------------------------------
Kellstrom Inds Inc.. COM 488035106 2,900,000 320,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
LTV Corp. New COM 501921100 41,000 10,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Layne Christensen Co. COM 5210501;04 105,000 15,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Ladish Inc. COM 505754200 1,892,000 291,017 X Filer + #1 X
NEW
- ------------------------------------------------------------------------------------------------------------------------------------
Marisa Christina Inc. COM 570268102 95,000 52,600 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
McNaughton Apparel COM 582524104 1,805,000 260,000 X Filer + #1
Grp Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Monmouth Cap Corp. COM 609524105 77,000 30,275 X Filer + #1
- ------------------------------------------------------------------------------------------------------------------------------------
TOTAL 21,331,000 3,490,000
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Page 5 of 8
<PAGE>
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Name of Title CUSIP Number Fair Market Shares or Investment Discretion
Issuer of Class Value Principal --------------------- Managers Voting Authority(Shares)
Amount (a)Sole (a)Shared-as (b)Shared- See Instr.--------------------------
Defined in Other V (a)Sole (b)Shared (c)None
Instr. V
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
Monro Muffler Brake COM 610236101 2,663,000 355,100 X Filer + #1 X
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Morton Industrial CL A 619328107 560,000 113,010 X Filer + #1 X
Group
- ------------------------------------------------------------------------------------------------------------------------------------
Niagara Corp COM 653349100 1,158,000 280,619 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Noodle Kidoodle Inc. COM 655370104 244,000 50,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Olsten Corp. COM 681385100 1,177,000 104,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Opticare Health Sys. COM 68386P105 392,000 112,005 X Filer + #1 X
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Overland Data Inc. COM 690213103 1,015,000 140,000 X Filer + #1
- ------------------------------------------------------------------------------------------------------------------------------------
Pboc Hldgs Inc COM 69316G108 1,321,000 140,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
PMR Corp. COM 693451106 31,000 10,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Packaged Ice Inx. COM 695148106 179,000 55,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Phillips Van Heusen COM 718592108 318,000 38,200 X Filer + #1 X
Corp
- ------------------------------------------------------------------------------------------------------------------------------------
Phoenix Gold Intl COM 719068108 1,144,000 415,950 X Filer + #1 X
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Pinnacle Global COM 723465100 72,000 18,000 X Filer + #1 X
Group Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Pricesmart Inc.E COM 741511109 11,816,000 303,050 X Filer + #l
- ------------------------------------------------------------------------------------------------------------------------------------
Primark Corp COM 741903108 1,947,000 70,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
RCN Corp COM 749361101 3,349,000 69,150 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Railtex Inc. COM 750766107 1,400,000 78,900 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Rankin Automotive COM 753050103 105,000 52,575 X Filer + #1 X
Group Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
SCP Pool COM 784020102 4,928,000 190,000 X Filer + #1
- ------------------------------------------------------------------------------------------------------------------------------------
Safety 1st;Inc. COM 786475103 5,543,000 721,050 X Filer + #1
- ------------------------------------------------------------------------------------------------------------------------------------
Safety-Kleen Corp COM 78648R203 2,376,000 210,000 X Filer + #1 X
NEW NEW
- ------------------------------------------------------------------------------------------------------------------------------------
Scheid Vineyards Inc. CL A 806403101 363,000 100,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
TOTAL 42,101,000 3,626,609
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Page 6 of 8 Pages
<PAGE>
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Name of Title CUSIP Number Fair Market Shares or Investment Discretion
Issuer of Class Value Principal --------------------- Managers Voting Authority(Shares)
Amount (a)Sole (a)Shared-as (b)Shared- See Instr.--------------------------
Defined in Other V (a)Sole (b)Shared (c)None
Instr. V
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
- ------------------------------------------------------------------------------------------------------------------------------------
Sequa Corporation CL A 817320104 3,673,000 68,100 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Sequa Corporation CL B 817320203 438,000 7,300 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Simon Transn Svcs CL A 828813105 2,703,000 450,500 X Filer + #1 X
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
SOS Staffing Svcs COM 78462X104 701,000 165,000 X Filer + #1 X
Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Specialty Catalog COM 84748Q103 1,103,000 271,600 X Filer + #1 X
Corp
- ------------------------------------------------------------------------------------------------------------------------------------
Sunsource Inc. COM 867948101 170,000 40,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Sylvan Inc. COM 871371100 8,156,000 1,019,486 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Tasty Baking Co. COM 876553306 3,274,000 388,061 X Filer + #1
- ------------------------------------------------------------------------------------------------------------------------------------
TBC CORP COM 872180104 309,000 63,500 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Total Renal Care COM 89151A107 669,000 100,000
Hldgs Inc.
- ------------------------------------------------------------------------------------------------------------------------------------
Triumph Group Inc. COM 896818101 460,000 190,000 X Filer + #1 X
New
- ------------------------------------------------------------------------------------------------------------------------------------
Tropical Sportswear COM 89708P102 810,000 51,000 X Filer + #1 X
Intl Corp.
- ------------------------------------------------------------------------------------------------------------------------------------
US Home & Garden Inc. COM 902939107 138,000 50,000
- ------------------------------------------------------------------------------------------------------------------------------------
US Liquids Inc. COM 902974104 628,000 75,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
US Inds Inc. New COM 912080108 2,590,000 185,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Ventas Inc. COM 92276F100 1,472,000 351,500 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
WHX Corp COM 929248102 405,000 45,000 X Filer + #1
- ------------------------------------------------------------------------------------------------------------------------------------
TOTAL 27,699,000 3,521,047
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Page 7 of 8 Pages
<PAGE>
<TABLE>
<CAPTION>
- ------------------------------------------------------------------------------------------------------------------------------------
Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Item 8:
Name of Title CUSIP Number Fair Market Shares or Investment Discretion
Issuer of Class Value Principal --------------------- Managers Voting Authority(Shares)
Amount (a)Sole (a)Shared-as (b)Shared- See Instr.--------------------------
Defined in Other V (a)Sole (b)Shared (c)None
Instr. V
- ------------------------------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C> <C> <C> <C> <C>
- ------------------------------------------------------------------------------------------------------------------------------------
Wackenhut Corp. COM Ser 929794303 206,006 20,000 X Filer + #1 X
B
- ------------------------------------------------------------------------------------------------------------------------------------
Westmoreland Coal Co COM 960878106 2,303,000 708,700 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
Weston Roy F Inc. Cl A 961137106 78,000 38,000 X Filer + #1 X
- ------------------------------------------------------------------------------------------------------------------------------------
TOTAL 2,587,006 766,700
- ------------------------------------------------------------------------------------------------------------------------------------
GRAND TOTAL 156,893,006 20,637,392
- ------------------------------------------------------------------------------------------------------------------------------------
</TABLE>
Page 8 of 8 Pages
