0000894579-11-000287.txt : 20111110 0000894579-11-000287.hdr.sgml : 20111110 20111110132053 ACCESSION NUMBER: 0000894579-11-000287 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111110 DATE AS OF CHANGE: 20111110 EFFECTIVENESS DATE: 20111110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NEW GENERATION ADVISORS LLC CENTRAL INDEX KEY: 0001107211 IRS NUMBER: 043020600 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10779 FILM NUMBER: 111194388 BUSINESS ADDRESS: STREET 1: 49 UNION STREET CITY: MANCHESTER STATE: MA ZIP: 01944 BUSINESS PHONE: 978-704-6200 MAIL ADDRESS: STREET 1: 49 UNION STREET CITY: MANCHESTER STATE: MA ZIP: 01944 FORMER COMPANY: FORMER CONFORMED NAME: NEW GENERATION ADVISERS LLC DATE OF NAME CHANGE: 20080731 FORMER COMPANY: FORMER CONFORMED NAME: NEW GENERATION ADVISERS INC DATE OF NAME CHANGE: 20000217 13F-HR 1 nga13fhr110911.txt FORM 13F-HR 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, 2011 ------------------ Check here if Amendment [ ]; Amendment Number: ------------------ This Amendment (check only one): [ ] is a restatement [ ] add new holdings entries Institutional Investment Manager Filing this Report: Name: New Generation Advisors, LLC ---------------------------- Address: 49 Union Street ---------------------------- Manchester, MA 01944 ---------------------------- Form 13F File Number: 28-10779 -------- 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 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: George Putnam, III ------------------------------- Title: President ------------------------------- Phone: 978-704-6200 ------------------------------- Signature, Place and Date of Signing: /s/ George Putnam III Manchester, MA November 10, 2011 --------------------- ----------------- ------------------- [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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------- Form 13F Information Table Entry Total: 56 ------------- Form 13F Information Table Value Total: $202,099 ------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) 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. None.
Title of Value Investment Other Voting Authority Name of Issuer Class Cusip ($1000) Shares Discretion Managers Sole Shared None ------------------------------------------------------------------------------------------------------------------------------------ ABITIBIBOWATER INC COMMON 003687209 1,260 84,006 SOLE NONE 84,006 ACCO BRANDS CORP COMMON 00081T108 3,450 723,365 SOLE NONE 723,365 ACCURIDE CORP COMMON 00439T206 7,686 1,501,215 SOLE NONE 1,501,215 BALTIC TRADING LTD COMMON Y0553W103 1,454 312,771 SOLE NONE 312,771 BANK OF AMERICA CORP COMMON 060505104 1,958 320,000 SOLE NONE 320,000 BANK OF AMERICA CORP 13.3000 EXP01/16/2019 WTS 060505146 3,833 1,414,360 SOLE NONE 1,414,360 BANK OF AMERICA CORP 30.7900 EXP10/28/2018 WTS 060505153 1,170 1,376,975 SOLE NONE 1,376,975 BLUELINX HOLDINGS INC COMMON 09624H109 1,459 1,006,186 SOLE NONE 1,006,186 BUILDERS FIRSTSOURCE, INC COMMON 12008R107 1,598 1,258,468 SOLE NONE 1,258,468 CALPINE CORP COMMON 131347304 4,320 306,787 SOLE NONE 306,787 CHARTER COMMUNICATIONS, INC CL A 16117M305 9,611 205,190 SOLE NONE 205,190 DELTA AIR LINES, INC COMMON 247361702 5,815 775,344 SOLE NONE 775,344 DORAL FINANCIAL CORP COMMON 25811P886 3,093 2,837,382 SOLE NONE 2,837,382 EUROSEAS LTD COMMON Y23592200 2,073 655,870 SOLE NONE 655,870 EXCEL MARITIME CARRIERS LTD COMMON V3267N107 3,386 1,627,759 SOLE NONE 1,627,759 EXIDE TECHNOLOGIES COMMON 302051206 3,679 919,747 SOLE NONE 919,747 FAIRPOINT COMMUNICATIONS, INC COMMON 305560302 6,676 1,552,537 SOLE NONE 1,552,537 FEDERAL MOGUL CORP COMMON 313549404 1,791 121,428 SOLE NONE 121,428 FIFTH THIRD BANCORP COMMON 316773100 4,834 478,640 SOLE NONE 478,640 GENERAL MOTORS CO COMMON 37045V100 3,464 171,674 SOLE NONE 171,674 GENERAL MOTORS CO 10.0000 EXP07/10/2016 WTS 37045V118 3,718 319,452 SOLE NONE 319,452 GENERAL MOTORS CO 18.3300 EXP07/10/2019 WTS 37045V126 2,755 347,452 SOLE NONE 347,452 GLOBAL GEOPHYSICAL SERVICES INC COMMON 37946S107 1,947 244,231 SOLE NONE 244,231 THE GOODYEAR TIRE & RUBBER COMPANY COMMON 382550101 3,319 328,924 SOLE NONE 328,924 JPMORGAN CHASE & CO. 42.4200 EXP10/28/2018 WTS 46634E114 4,309 462,837 SOLE NONE 462,837 KEMET CORP COMMON 488360207 4,722 660,393 SOLE NONE 660,393 KEYCORP COMMON 493267108 4,297 724,602 SOLE NONE 724,602 LEAP WIRELESS INTL INC COMMON 521863308 3,549 513,660 SOLE NONE 513,660 LEAR CORP COMMON 521865204 6,747 157,275 SOLE NONE 157,275 LENNAR CORP CL A 526057104 6,967 514,540 SOLE NONE 514,540 METROPCS COMMUNICATIONS, INC COMMON 591708102 10,266 1,179,273 SOLE NONE 1,179,273 MGIC INVESTMENT CORP COMMON 552848103 2,830 1,513,363 SOLE NONE 1,513,363 OWENS CORNING COMMON 690742101 2,435 112,319 SOLE NONE 112,319 OWENS CORNING INC 45.2500 EXP10/31/2013 SERIES B WTS 690742127 58 44,817 SOLE NONE 44,817 PENNYMAC MTG INVT TR COMMON 70931T103 4,182 263,024 SOLE NONE 263,024 PLAINS EXPL & PROD CO LP COMMON 726505100 7,075 311,558 SOLE NONE 311,558 PMI GROUP, INC COMMON 69344M101 320 1,600,765 SOLE NONE 1,600,765 THE PNC FINANCIAL SERVICES GROUP, INC. 67.3300 EXP12/31/2018 WTS 693475121 2,517 281,525 SOLE NONE 281,525 RADIAN GROUP INC COMMON 750236101 1,707 779,300 SOLE NONE 779,300 REGIONS FINANCIAL CORP COMMON 7591EP100 2,958 888,264 SOLE NONE 888,264 REVLON INC CL A 761525609 2,897 235,106 SOLE NONE 235,106 ROCK-TENN CO CL A 772739207 2,873 59,016 SOLE NONE 59,016 SERACARE LIFE SCIENCES, INC COMMON 81747T104 26 8,979 SOLE NONE 8,979 SOLUTIA INC COMMON 834376501 4,777 371,728 SOLE NONE 371,728 SOLUTIA INC 29.7000 EXP12/31/2013 WTS 834376147 107 160,053 SOLE NONE 160,053 STERLING FINANCIAL CORP COMMON 859319303 458 36,995 SOLE NONE 36,995 SUNTRUST BANKS INC COMMON 867914103 3,774 210,239 SOLE NONE 210,239 SYNOVUS FINANCIAL CORP COMMON 87161C105 2,195 2,051,491 SOLE NONE 2,051,491 TENET HEALTHCARE CORP COMMON 88033G100 2,943 716,148 SOLE NONE 716,148 TERADYNE INC COMMON 880770102 5,871 533,285 SOLE NONE 533,285 U.S. CONCRETE INC COMMON 90333L201 1,135 276,088 SOLE NONE 276,088 UNITED CONTINENTAL HOLDING INC COMMON 910047109 9,033 466,083 SOLE NONE 466,083 US AIRWAYS GROUP INC COMMON 90341W108 7,059 1,283,390 SOLE NONE 1,283,390 VISHAY INTERTECHNOLOGY COMMON 928298108 4,801 574,244 SOLE NONE 574,244 VISTEON CORP COMMON 92839U206 1,398 32,500 SOLE NONE 32,500 WELLS FARGO & CO 34.0100 EXP10/28/2018 WTS 949746119 3,464 449,853 SOLE NONE 449,853 202,099