0001144204-11-036543.txt : 20110620
0001144204-11-036543.hdr.sgml : 20110620
20110620171000
ACCESSION NUMBER: 0001144204-11-036543
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110616
FILED AS OF DATE: 20110620
DATE AS OF CHANGE: 20110620
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: OBUS NELSON
CENTRAL INDEX KEY: 0001017043
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07872
FILM NUMBER: 11921506
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD CAPITAL INC
CENTRAL INDEX KEY: 0001251567
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07872
FILM NUMBER: 11921509
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVE
STREET 2: STE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 2129600814
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: LANDES JOSHUA
CENTRAL INDEX KEY: 0001251568
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07872
FILM NUMBER: 11921507
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: BREEZE-EASTERN CORP
CENTRAL INDEX KEY: 0000099359
STANDARD INDUSTRIAL CLASSIFICATION: AIRCRAFT PART & AUXILIARY EQUIPMENT, NEC [3728]
IRS NUMBER: 954062211
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: 35 MELANIE LANE
CITY: WHIPPANY
STATE: NJ
ZIP: 07981
BUSINESS PHONE: 973 602 1001
MAIL ADDRESS:
STREET 1: 35 MELANIE LANE
CITY: WHIPPANY
STATE: NJ
ZIP: 07981
FORMER COMPANY:
FORMER CONFORMED NAME: TRANSTECHNOLOGY CORP.
DATE OF NAME CHANGE: 20061006
FORMER COMPANY:
FORMER CONFORMED NAME: BREEZE-EASTERN CORP
DATE OF NAME CHANGE: 20061005
FORMER COMPANY:
FORMER CONFORMED NAME: TRANSTECHNOLOGY CORP
DATE OF NAME CHANGE: 19920703
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD PARTNERS SMALL CAP VALUE LP
CENTRAL INDEX KEY: 0000899083
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07872
FILM NUMBER: 11921512
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD
CENTRAL INDEX KEY: 0001030806
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07872
FILM NUMBER: 11921511
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD CAPITAL MANAGEMENT LLC
CENTRAL INDEX KEY: 0001056835
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07872
FILM NUMBER: 11921510
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WYNNEFIELD PARTNERS SMALL CAP VALUE LP I
CENTRAL INDEX KEY: 0001251565
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07872
FILM NUMBER: 11921513
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: CHANNEL PARTNERSHIP II L P
CENTRAL INDEX KEY: 0001273617
STATE OF INCORPORATION: NY
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-07872
FILM NUMBER: 11921508
BUSINESS ADDRESS:
STREET 1: 450 SEVENTH AVENUE SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
BUSINESS PHONE: 2127600278
MAIL ADDRESS:
STREET 1: 450 SEVENTH AVENUE SUITE 509
CITY: NEW YORK
STATE: NY
ZIP: 10123
4
1
v226294_ex.xml
STATEMENT OF CHANGES IN OWNERSHIP OF SECURITIES
X0303
4
2011-06-16
0
0000099359
BREEZE-EASTERN CORP
BZC
0001251565
WYNNEFIELD PARTNERS SMALL CAP VALUE LP I
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0000899083
WYNNEFIELD PARTNERS SMALL CAP VALUE LP
450 SEVENTH AVENUE
SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001030806
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD
450 SEVENTH AVE
STE 509
NEW YORK
NY
10123
0
0
1
0
0001056835
WYNNEFIELD CAPITAL MANAGEMENT LLC
450 SEVENTH AVE
STE 509
NEW YORK
NY
10123
0
0
1
0
0001251567
WYNNEFIELD CAPITAL INC
450 SEVENTH AVENUE., SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001273617
CHANNEL PARTNERSHIP II L P
450 SEVENTH AVENUE SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001251568
LANDES JOSHUA
450 SEVENTH AVENUE., SUITE 509
NEW YORK
NY
10123
0
0
1
0
0001017043
OBUS NELSON
0
0
1
0
Common Stock, par value $.001 per share
2011-06-16
4
P
0
45820
9.30
A
806965
D
Common Stock, par value $.001 per share
2011-06-16
4
P
0
56458
9.30
A
1310946
I
See Footnotes
As of June 16, 2011, Wynnefield Partners Small Cap Value, L.P. I, (the "Reporting Person") directly beneficially owns 806,965
shares of common stock, par value $.001 per share ("Common Stock") of Breeze-Eastern Corporation (the "Issuer"). Wynnefield
Capital Management, LLC, as the sole general partner of the Reporting Person, has an indirect beneficial ownership interest
in the shares of Common Stock that the Reporting Person directly beneficially owns. Nelson Obus and Joshua Landes, as
co-managing members of Wynnefield Capital Management, LLC, have an indirect beneficial ownership interest in the shares of
Common Stock that the Reporting Person directly beneficially owns.
As of June 16, 2011, the Reporting Person has an indirect beneficial ownership interest in 549,937 shares of Common Stock
which are directly beneficially owned by Wynnefield Partners Small Cap Value, L.P., as members of a group under Section
13(d) of the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Wynnefield Partners Small Cap Value, L.P.,
which maintains offices at the same address as the Reporting Person, is filing this Form jointly with the Reporting Person.
Wynnefield Capital Management, LLC, as the sole general partner of Wynnefield Partners Small Cap Value, L.P., has an
indirect beneficial ownership interest in the shares of Common Stock that Wynnefield Partners Small Cap Value L.P. directly
beneficially owns. Nelson Obus and Joshua Landes, as co-managing members of Wynnefield Capital Management, LLC, have an
indirect beneficial ownership interest in the shares of Common Stock that the Reporting Person directly beneficially owns.
As of June 16, 2011, the Reporting Person has an indirect beneficial ownership interest in 722,609 shares of Common Stock,
which are directly beneficially owned by Wynnefield Small Cap Value Offshore Fund, Ltd., as members of a group under Section
13(d) of the Exchange Act. Wynnefield Small Cap Value Offshore Fund, Ltd., which maintains offices at the same address as
the Reporting Person, is filing this Form jointly with the Reporting Person. Wynnefield Capital, Inc. as the sole investment
manager of Wynnefield Small Cap Value Offshore Fund, Ltd., has an indirect beneficial ownership interest in the shares of
Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns. Nelson Obus and Joshua Landes,
as principal executive officers of Wynnefield Capital, Inc., have an indirect beneficial ownership interest in the shares of
Common Stock that Wynnefield Small Cap Value Offshore Fund, Ltd. directly beneficially owns.
As of June 16, 2011, the Reporting Person had an indirect beneficial ownership interest in 38,400 shares of Common Stock,
which are directly beneficially owned by Channel Partnership II, L.P., as members of a group under Section 13(d) of the
Exchange. Channel Partnership II, L.P., which maintains offices at the same address as the Reporting Person, is filing this
Form jointly with the Reporting Person. Mr. Obus, as the sole general partner of Channel Partnership II, L.P., has an
indirect beneficial ownership interest in the shares of Common Stock that Channel Partnership II, L.P. directly beneficially
owned.
Each of the Reporting Owners identified in this statement disclaims beneficial ownership of the securities described in this
statement, except to the extent of their individual respective pecuniary interest in such securities. The filing of this
statement shall not be deemed an admission that any of the Reporting Owners identified in this statement are, for purposes
of Section 16 of the Exchange Act or otherwise, the beneficial owner of any securities specified in this statement other
than those directly beneficially owned by them.
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND, LTD., By: Wynnefield Capital, Inc., /s/ Nelson Obus, President
2011-06-20
WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P., By: Wynnefield Capital Management, LLC, General Partner, /s/ Nelson Obus, Managing Member
2011-06-20
WYNNEFIELD PARTNERS SMALL CAP VALUE, L.P. I, By: Wynnefield Capital Management, LLC, General Partner, /s/ Nelson Obus, Managing Member
2011-06-20
WYNNEFIELD CAPITAL MANAGEMENT, LLC, /s/ Nelson Obus, Managing Member
2011-06-20
WYNNEFIELD CAPITAL, INC., /s/ Nelson Obus, President
2011-06-20
Channel Partnership II, L.P., /s/ Nelson Obus, General Partner
2011-06-20
/s/ Nelson Obus
2011-06-20
/s/ Joshua Landes
2011-06-20