-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KBI3Wd1/nVFATNqjgeTUHwUW/UmBfjbmS+21y8yuxlLE9Wk67iR4rdkm1JXWwN6d hn+EfHxqEslNXSJVrI0x3A== 0001144204-11-008435.txt : 20110214 0001144204-11-008435.hdr.sgml : 20110214 20110214160554 ACCESSION NUMBER: 0001144204-11-008435 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WYNNEFIELD CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001056835 IRS NUMBER: 134018186 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-07006 FILM NUMBER: 11607574 BUSINESS ADDRESS: STREET 1: 450 SEVENTH AVE STREET 2: STE 509 CITY: NEW YORK STATE: NY ZIP: 10123 BUSINESS PHONE: 2127600814 MAIL ADDRESS: STREET 1: 450 SEVENTH AVE STREET 2: STE 509 CITY: NEW YORK STATE: NY ZIP: 10123 13F-HR 1 v210410_13f-hr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2010. 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, L.L.C. 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: Name: Joshua H. Landes Title: Managing Member Phone: (212) 760-0814 Signature, Place and Date of Signing: /s/ Joshua H. Landes New York, NY February 14, 2011 Report Type (Check one only): |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 Wynnefield Capital Management, L.L.C. Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 51 Form 13F Information Table Value Total: $203,545,000 List of Other Included Managers: None FORM 13F INFORMATION TABLE FOR THE QUARTER ENDED 12/31/2010
- ------------------------------------------------------------------------------------------------------------------------------------ Title of Value Investment Sole Voting Name of Issuer Class Cusip (x$1000) Shares Discretion Authority - ------------------------------------------------------------------------------------------------------------------------------------ ALEXCO RESOURCE CORP COMM 01535P106 171 20,875 Sole 20,875 AMERICA SERVICE GROUP INC COMM 02364L109 212 13,975 Sole 13,975 AMERICAN INDEPENDENCE CORP COMM 026760405 61 12,600 Sole 12,600 BREEZE-EASTERN CORP COMM 106764103 14,311 2,015,633 Sole 2,015,633 CAGLES INC-CLASS A COMM 127703106 2,130 244,807 Sole 244,807 CDC SOFTWARE CORP-ADR ADRS 12507Y108 2,272 359,984 Sole 359,984 COLONIAL FINANCIAL SERVICES INC COMM 19566B101 154 12,628 Sole 12,628 CORE-MARK HOLDING CO INC COMM 218681104 25,317 716,752 Sole 716,752 CROWN CRAFTS INC COMM 228309100 8,095 1,573,573 Sole 1,573,573 EASYLINK SERVICES INTL-CL A COMM 277858106 10,357 2,553,726 Sole 2,553,726 EURAND NV COMM N31010106 9,809 850,738 Sole 850,738 FEDERAL SIGNAL CORP COMM 313855108 892 130,000 Sole 130,000 GLOBAL POWER EQUIPMENT GROUP INC COMM 37941P306 16,325 714,798 Sole 714,798 HANDY & HARMAN LTD COMM 410315105 4,990 438,219 Sole 438,219 HECKMANN CORP COMM 422680108 2,248 435,000 Sole 435,000 HEELYS INC COMM 42279M107 334 110,000 Sole 110,000 HOOPER HOLMES COMM 439104100 16 23,200 Sole 23,200 ICON PLC - SPONSORED ADR ADRS 45103T107 8,747 399,700 Sole 399,700 INDEPENDENCE HOLDING CO COMM 453440307 105 12,900 Sole 12,900 INTEGRAL SYSTEMS INC/MD COMM 45810H107 6,001 605,540 Sole 605,540 IPATH DOW JONES-AIG COMMDTY ETF 06738C778 157 3,200 Sole 3,200 KID BRANDS INC COMM 49375T100 2,407 301,503 Sole 301,503 LANDEC CORP COMM 514766104 7,365 1,247,218 Sole 1,247,218 MAG SILVER CORP COMM 55903Q104 503 40,400 Sole 40,400 MOTORCAR PARTS OF AMERICA IN COMM 620071100 5,517 423,077 Sole 423,077 MOUNTAIN PROVINCE DIAMONDS COMM 62426E402 671 102,485 Sole 102,485 MVC CAPITAL INC COMM 553829102 22,301 1,567,480 Sole 1,567,480 NAPCO SECURITY SYSTEMS INC COMM 630402105 41 23,440 Sole 23,440 NATURES SUNSHINE PRODS INC COMM 639027101 10,280 1,191,892 Sole 1,191,892 NEVADA GOLD & CASINOS INC COMM 64126Q206 627 615,188 Sole 615,188 NOBEL LEARNING COMMUNITIES COMM 654889104 7,814 1,075,659 Sole 1,075,659 OBA FINANCIAL SERVICES INC COMM 67424G101 138 10,000 Sole 10,000 ONVIA INC COMM 68338T403 46 10,000 Sole 10,000 OVERHILL FARMS INC COMM 690212105 309 55,701 Sole 55,701 PEOPLES FEDERAL BANCSHARES I COMM 711037101 130 10,000 Sole 10,000 PHC INC-CL A (MASS) COMM 693315103 184 130,000 Sole 130,000 PHYSICIANS FORMULA HOLDINGS COMM 719427106 1,507 497,890 Sole 497,890 PILGRIM'S PRIDE CORP COMM 72147K108 177 25,000 Sole 25,000 PLATINUM GROUP METALS LTD COMM 72765Q205 133 50,000 Sole 50,000 PROSHARES ULTRA GOLD ETF 74347W601 10,056 142,200 Sole 142,200 PROVIDENT FINANCIAL HLDGS COMM 743868101 72 10,000 Sole 10,000 SONDE RESOURCES CORP COMM 835426107 80 22,180 Sole 22,180 SUMMER INFANT INC COMM 865646103 13,604 1,861,406 Sole 1,861,406 TEAMSTAFF INC COMM 87815U303 613 1,744,092 Sole 1,744,092 U S ENERGY CORP - WYOMING COMM 911805109 152 25,000 Sole 25,000 ULTRASHORT LEHMAN 20+ YEAR ETF 74347R297 1,951 52,680 Sole 52,680 VCG HOLDING CORP COMM 91821K101 76 35,000 Sole 35,000 VISHAY PRECISION GROUP INC COMM 92835K103 188 10,000 Sole 10,000 VITACOST.COM INC COMM 92847A200 2,623 610,000 Sole 610,000 WESTMORELAND COAL CO COMM 960878106 1,134 95,000 Sole 95,000 WINTHROP REALTY TRUST REIT 976391300 142 11,091 Sole 11,091
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