-----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, CIinl4mOEuGmauhrKVVxcQZnC61sGCicmmlGIOTN4GKbikFASx1Tx1ZluLRp1/cs J/oeZj1QY5/SOalzwz21FQ== 0001144204-10-046720.txt : 20100826 0001144204-10-046720.hdr.sgml : 20100826 20100826102213 ACCESSION NUMBER: 0001144204-10-046720 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100826 DATE AS OF CHANGE: 20100826 GROUP MEMBERS: JOSHUA H. LANDES GROUP MEMBERS: NELSON OBUS GROUP MEMBERS: WYNNEFIELD CAPITAL MANAGEMENT LLC GROUP MEMBERS: WYNNEFIELD CAPITAL, INC GROUP MEMBERS: WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. I GROUP MEMBERS: WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALLIED DEFENSE GROUP INC CENTRAL INDEX KEY: 0000003952 STANDARD INDUSTRIAL CLASSIFICATION: ORDNANCE & ACCESSORIES, (NO VEHICLES/GUIDED MISSILES) [3480] IRS NUMBER: 042281015 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-34327 FILM NUMBER: 101039249 BUSINESS ADDRESS: STREET 1: 8000 TOWERS CRESCENT DR STREET 2: SUITE 260 CITY: VIENNA STATE: VA ZIP: 22182 BUSINESS PHONE: 7038475268 MAIL ADDRESS: STREET 1: 8000 TOWERS CRESCENT DRIVE STREET 2: STE 750 CITY: VIENNA STATE: VA ZIP: 22182 FORMER COMPANY: FORMER CONFORMED NAME: ALLIED RESEARCH CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: ALLIED RESEARCH ASSOCIATES INC DATE OF NAME CHANGE: 19880601 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WYNNEFIELD PARTNERS SMALL CAP VALUE LP CENTRAL INDEX KEY: 0000899083 IRS NUMBER: 133688497 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 450 SEVENTH AVENUE STREET 2: SUITE 509 CITY: NEW YORK STATE: NY ZIP: 10123 BUSINESS PHONE: 212-760-0814 MAIL ADDRESS: STREET 1: 450 SEVENTH AVENUE STREET 2: SUITE 509 CITY: NEW YORK STATE: NY ZIP: 10123 SC 13D/A 1 v195287_sc13da.htm Unassociated Document
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D. C. 20549
 
SCHEDULE 13D/A
(Rule 13d-101)
Amendment No. 6

INFORMATION TO BE INCLUDED IN STATEMENTS FILED
PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO
FILED PURSUANT TO RULE 13d-2(a)
 
The Allied Defense Group, Inc.
(Name of Issuer)
 
Common Stock, $0.10 par value 
(Title of Class of Securities)
 
019118108
(CUSIP Number of Class of Securities)
 
Wynnefield Partners Small Cap Value, L.P.
450 Seventh Avenue, Suite 509
New York, New York 10123
Attention: Mr. Nelson Obus
 
 
Copy to:
 
Jeffrey S. Tullman, Esq.
Kane Kessler, P.C.
1350 Avenue of the Americas, 26th Floor
New York, New York 10019
(212) 541-6222
 
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
 
August 25, 2010
(Date of Event which Requires Filing of this Statement)
 
If the filing person has previously filed a Statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this Schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box o
 
(continued on following pages)
 

 
     
CUSIP No. 019118108 
13D/A 
 Page 2 of Pages 11
 
1. NAME OF REPORTING PERSON:
Wynnefield Partners Small Cap Value, L.P.
S.S. OR I.R.S. IDENTIFICATION No. OF ABOVE PERSON: 13-3688497
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) £
(b) £
3. SEC USE ONLY
4. SOURCE OF FUNDS
 WC (SEE ITEM 3)
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
 PURSUANT TO ITEMS 2(d) OR 2(e)                                                                                                 o 
6. CITIZENSHIP OR PLACE OF ORGANIZATION
 DELAWARE
NUMBER OF
SHARES
7. SOLE VOTING POWER
141,500 shares (See Item 5)
BENEFICIALLY
OWNED BY
8. SHARED VOTING POWER
-0- (See Item 5)
EACH REPORTING
PERSON
9. SOLE DISPOSITIVE POWER
141,500 shares (See Item 5)
WITH
10. SHARED DISPOSITIVE POWER
      -0- (See Item 5)
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   141,500 Shares (See Item 5)
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
o
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
   2.2 % (See Item 5)
14. TYPE OF REPORTING PERSON
   PN

 


     
CUSIP No. 019118108 
13D/A 
 Page 3 of Pages 11
 
1. NAME OF REPORTING PERSON:
Wynnefield Small Cap Value Offshore Fund, Ltd.
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: Not Applicable
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) £
(b) £
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC (SEE ITEM 3)
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
 PURSUANT TO ITEMS 2 (d) OR 2 (e)                            o 
6. CITIZENSHIP OR PLACE OF ORGANIZATION
 CAYMAN ISLANDS
NUMBER OF
SHARES
7. SOLE VOTING POWER
223,635 shares (See Item 5)
BENEFICIALLY
OWNED BY
8. SHARED VOTING POWER
 -0- (See Item 5)
EACH
REPORTING
9. SOLE DISPOSITIVE POWER
 223,635 shares (See Item 5)
PERSON
WITH
10. SHARED DISPOSITIVE POWER
   -0- (See Item 5)
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
223,635 shares (See Item 5)
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
o
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
   3.5% (See Item 5)
14. TYPE OF REPORTING PERSON
   CO



     
CUSIP No. 019118108 
13D/A 
 Page 4 of Pages 11
 
1. NAME OF REPORTING PERSON:
Wynnefield Partners Small Cap Value, L.P. I
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 13-3953291
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) £
(b) £
3. SEC USE ONLY
4. SOURCE OF FUNDS
WC (SEE ITEM 3)
    5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
 PURSUANT TO ITEMS 2(d) OR 2(e) o
6. CITIZENSHIP OR PLACE OF ORGANIZATION
 DELAWARE
NUMBER OF
SHARES
7. SOLE VOTING POWER
 222,100 shares (See Item 5)
BENEFICIALLY
OWNED BY
8. SHARED VOTING POWER
 -0- (See Item 5)
EACH
REPORTING
9. SOLE DISPOSITIVE POWER
 222,100 shares (See Item 5)
PERSON
WITH
10. SHARED DISPOSITIVE POWER
   -0- (See Item 5)
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   222,100 shares (See Item 5)
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
o
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
   3.4% (See Item 5)
14. TYPE OF REPORTING PERSON
   PN

 


     
CUSIP No. 019118108 
13D/A 
 Page 5 of Pages 11
 
1. NAME OF REPORTING PERSON:
Nelson Obus
S.S. OR I.R.S. IDENTIFICATION No. OF ABOVE PERSON:
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) £
(b) £
3. SEC USE ONLY
4. SOURCE OF FUNDS
 AF (SEE ITEM 3)
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
 PURSUANT TO ITEMS 2(d) OR 2(e) o
6. CITIZENSHIP OR PLACE OF ORGANIZATION
 UNITED STATES OF AMERICA
NUMBER OF
SHARES
7. SOLE VOTING POWER
 -0- shares (See Item 5)
BENEFICIALLY
OWNED BY
8. SHARED VOTING POWER
 587,235 shares (See Item 5)
EACH REPORTING
PERSON
9. SOLE DISPOSITIVE POWER
 -0- shares (See Item 5)
WITH
10. SHARED DISPOSITIVE POWER
   587,235 shares (See Item 5)
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   587,235 shares (See Item 5)
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
o
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
   9.1% (See Item 5)
14. TYPE OF REPORTING PERSON
   IN
 
 


     
CUSIP No. 019118108 
13D/A 
 Page 6 of Pages 11
 
1. NAME OF REPORTING PERSON:
 Joshua H. Landes
 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON:
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) £
(b) £
3. SEC USE ONLY
4. SOURCE OF FUNDS
 AF  (SEE ITEM 3)
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
 PURSUANT TO ITEMS 2(d) OR 2(e) o
6. CITIZENSHIP OR PLACE OF ORGANIZATION
 UNITED STATES OF AMERICA
NUMBER OF
SHARES
7. SOLE VOTING POWER
 -0- shares (See Item 5)
BENEFICIALLY
OWNED BY
8. SHARED VOTING POWER
 587,235 shares (See Item 5)
EACH
REPORTING
9. SOLE DISPOSITIVE POWER
 -0- shares (See Item 5)
PERSON
WITH
10. SHARED DISPOSITIVE POWER
   587,235 shares (See Item 5)
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   587,235 shares (See Item 5)
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
o
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
   9.1% (See Item 5)
14. TYPE OF REPORTING PERSON
   IN
 



     
CUSIP No. 019118108 
13D/A 
 Page 7 of Pages 11
 
1. NAME OF REPORTING PERSON:
 Wynnefield Capital Management LLC
 S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: 13-4018186
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) £
(b) £
3. SEC USE ONLY
4. SOURCE OF FUNDS
 AF (SEE ITEM 3)
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
 PURSUANT TO ITEMS 2(d) OR 2(e) o
6. CITIZENSHIP OR PLACE OF ORGANIZATION
 NEW YORK
NUMBER OF
SHARES
7. SOLE VOTING POWER
 363,600 shares (See Item 5)
BENEFICIALLY
OWNED BY
8. SHARED VOTING POWER
 -0- (See Item 5)
EACH
REPORTING
9. SOLE DISPOSITIVE POWER
 363,600 shares (See Item 5)
PERSON
WITH
10. SHARED DISPOSITIVE POWER
   -0- (See Item 5)
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   363,600 shares (See Item 5)
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
o
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
   5.6% (See Item 5)
14. TYPE OF REPORTING PERSON
   OO (Limited Liability Company)
 
 


     
CUSIP No. 019118108 
13D/A 
 Page 8 of Pages 11
 
1. NAME OF REPORTING PERSON:
 Wynnefield Capital, Inc.
  S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: N/A
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) £
(b) £
3. SEC USE ONLY
4. SOURCE OF FUNDS
 AF (SEE ITEM 3)
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
 PURSUANT TO ITEMS 2(d) OR 2(e) o
6. CITIZENSHIP OR PLACE OF ORGANIZATION
 CAYMAN ISLANDS
NUMBER OF
SHARES
7. SOLE VOTING POWER
 223,635 shares (See Item 5)
BENEFICIALLY
OWNED BY
8. SHARED VOTING POWER
 -0- (See Item 5)
EACH
REPORTING
9. SOLE DISPOSITIVE POWER
 223,635 shares (See Item 5)
PERSON
WITH
10. SHARED DISPOSITIVE POWER
   -0- (See Item 5)
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   223,635 shares (See Item 5)
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
o
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
   3.5% (See Item 5)
14. TYPE OF REPORTING PERSON
   CO
 

 
       
CUSIP No. 019118108 
13D/A 
 Page 9 of Pages 11
 
Item 1. Security and Issuer.

This Amendment No. 6 (the "Amendment") amends the Statement of Beneficial Ownership on Schedule 13D, originally filed with the Securities and Exchange Commission (the "Commission") on November 23, 2005, and as further amended on January 17, 2006, July 24, 2006, December 13, 2006, December 20, 2006 and June 29, 2007 (the "Schedule 13D") by Wynnefield Partners Small Cap Value, L.P. (the "Partnership"), Wynnefield Partners Small Cap Value, L.P. I (the "Partnership-I"), Wynnefield Small Cap Value Offshore Fund, Ltd. (the "Fund"), Wynnefield Capital Management, LLC ("WCM"), Wynnefield Capital, Inc. ("WCI"), Nelson Obus (“Mr. Obus”) and Joshua Landes (“Mr. Landes” and, collectively with Partnership, Partnership-I, Fund, WCM, and Mr. Obus, the "Wynnefield Group") with respect to shares of common stock, $0.10 par value (the “Common Stock”), of The Allied Defense Group, Inc., a Delaware corporation with its principal executive offices located at 8000 Towers Crescent Drive, Vienna, VA 22182 (the "Issuer"). Unless specifically amended hereby, the disclosures set forth in the Schedule 13D shall remain unchanged.

 

 
        
CUSIP No. 019118108 
13D/A 
 Page 10 of Pages 11
 
Item 4. Purpose of Transaction.
 
Item 4 of the Schedule 13D is hereby amended by the addition of the following:
 
    On August 23, 2010, representatives of the Wynnefield Group contacted several members of the Issuer's Board of Directors to express their objection to the proposed Plan of Dissolution - Proposal 2 to the Issuer's Proxy Statement on Schedule 14A dated July 27, 2010 (the "Proxy Statement") in connection with the Special Meeting of Stockholders scheduled to be held on August 31, 2010 (the "Stockholders Meeting").

Among other things, Wynnefield objected to (i) the Issuer's intention to file a certificate of dissolution immediately following consummation of the proposed sale of all of the Issuer's assets to Chemring Group, PLC (if approved by stockholders at the Stockholders Meeting); (ii) closing the Issuer's stock transfer books upon filing of the certificate of dissolution, thereby preventing any further market transactions in the Issuer's Common Stock; and (iii) the Issuer's intention to terminate its reporting obligations under the Securities Exchange Act of 1934, as amended (the "34 Act").

After seeking the views of several other of the Issuer's institutional stockholders, the Wynnefield Group advised the Issuer of its intention to vote against the Plan of Dissolution, and that it would encourage other stockholders to do the same, unless the Issuer addressed the stockholders' concerns.

As a result of further discussions between the Wynnefield Group and the Issuer, the Issuer agreed to adjourn the stockholder vote on Proposal 2 - the Plan of Dissolution - for approximately 30 days to on or about September 30, 2010; refrain from filing a certificate of dissolution (in the event Proposal 2 is approved by stockholders) until at least August 31, 2011; and to continue to file all periodic reports with the Securities and Exchange Commission required under the 34 Act.

On August 25, 2010, the Issuer filed a supplement to the  Proxy Statement reflecting these commitments.

The Wynnefield Group appreciates the support it has received from the Company's other institutional stockholders for its efforts to protect the interests of all stockholders.
 

 
         
CUSIP No. 019118108 
13D/A 
 Page 11 of  Pages 11

SIGNATURE
 
After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this Schedule is true, complete and correct.
 
Dated: August 26, 2010
 
 
WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P.
     
  By: Wynnefield Capital Management, LLC,
    its General Partner
     
  By: /s/ Nelson Obus                                             
   
Nelson Obus, Co-Managing Member
     
  WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. I
     
  By: Wynnefield Capital Management, LLC,
    its General Partner
     
  By: /s/ Nelson Obus    
    Nelson Obus, Co-Managing Member
     
  WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD.
     
  By: Wynnefield Capital, Inc.,
   
its Investment Manager
     
  By: /s/ Nelson Obus    
   
Nelson Obus, President
     
  WYNNEFIELD CAPITAL MANAGEMENT, LLC
     
  By: /s/ Nelson Obus    
   
Nelson Obus, Co-Managing Member
     
 
WYNNEFIELD CAPITAL, INC.
     
  By: /s/ Nelson Obus    
   
Nelson Obus, President
     
    /s/ Nelson Obus    
   
Nelson Obus, Individually
     
    /s/ Joshua H. Landes   
   
Joshua H. Landes, Individually
 

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