Wynnefield Capital 13F holdings, Q3 2011
Holdings as of September 30, 2011 · filings on SEC EDGAR · this is the latest filing on record
Wynnefield Capital disclosed 30 US equity positions worth $173.3m in its Q3 2011 13F filing. The largest position was DIREXION SMALL CAP BEAR 3X ETF at 16.8% of the reported book, followed by CORE and MVC CAPITAL INC COMM. Against the Q2 2011 filing, it opened 3 new positions, added to 11 and reduced 6 among the top 30 holdings.
What did Wynnefield Capital own in Q3 2011? Top 30 positions
| # | Stock | Sector | Weight | Value | Shares | Δ shares | vs Q2 2011 |
|---|---|---|---|---|---|---|---|
| 1 | DIREXION SMALL CAP BEAR 3X ETF | 16.8% | $29.1m | 550,000 | -1% | reduced | |
| 2 | CORE CORE-MARK HOLDING CO INC COMM | 12.3% | $21.3m | 705,600 | -2% | reduced | |
| 3 | MVC CAPITAL INC COMM | 9.3% | $16.1m | 1,565,258 | 6% | added | |
| 4 | NATR NATURES SUNSHINE PRODS INC COMM | Consumer Defensive | 8.2% | $14.3m | 1,059,921 | -9% | reduced |
| 5 | LANDEC CORP COMM | 7.3% | $12.7m | 2,497,924 | 24% | added | |
| 6 | BREEZE-EASTERN CORP COMM | 7.2% | $12.5m | 2,117,911 | 0% | held | |
| 7 | API TECHNOLOGIES CORP COMM | 5.7% | $10.0m | 2,520,000 | 0% | held | |
| 8 | EASYLINK SERVICES INTL-CL A COMM | 5.7% | $9.8m | 2,296,226 | -10% | reduced | |
| 9 | ADVANCED PHOTONIX INC-CL A RSTD | 4.7% | $8.2m | 2,075,750 | 0% | held | |
| 10 | HECKMANN CORP COMM | 3.8% | $6.6m | 1,296,700 | 200% | added | |
| 11 | KTOS KRATOS DEFENSE & SECURITY COMM | Industrials | 2.9% | $5.0m | 740,000 | – | new |
| 12 | CHIQUITA BRANDS INTL COMM | 2.4% | $4.1m | 495,000 | – | new | |
| 13 | ROTECH HEALTHCARE INC COMM | 2.2% | $3.9m | 1,887,500 | 12% | added | |
| 14 | FSS FEDERAL SIGNAL CORP COMM | Industrials | 1.7% | $3.0m | 697,762 | 122% | added |
| 15 | VITACOST.COM INC COMM | 1.7% | $2.9m | 610,000 | 0% | held | |
| 16 | PRIMO WATER CORP COMM | 1.6% | $2.8m | 490,000 | – | new | |
| 17 | ULTRASHORT LEHMAN 20+ YEAR ETF | 1.1% | $2.0m | 102,300 | 96% | added | |
| 18 | CDC SOFTWARE CORP-ADR ADRS | 0.8% | $1.4m | 417,447 | 16% | added | |
| 19 | HALO HALOZYME THERAPEUTICS INC COMM | Healthcare | 0.7% | $1.2m | 200,000 | 747% | added |
| 20 | KINDRED HEALTHCARE INC COMM | 0.6% | $1.1m | 140,000 | 87% | added | |
| 21 | PHYSICIANS FORMULA HOLDINGS COMM | 0.6% | $1.1m | 479,700 | -0% | held | |
| 22 | NEVADA GOLD & CASINOS INC COMM | 0.6% | $1.1m | 615,188 | -1% | reduced | |
| 23 | SMTC CORPORATION COMM | 0.4% | $727.0k | 723,450 | 45% | added | |
| 24 | WESTMORELAND COAL CO COMM | 0.4% | $621.0k | 80,000 | 0% | held | |
| 25 | SUN HEALTHCARE GROUP INC NEW COMM | 0.3% | $567.0k | 210,000 | 0% | held | |
| 26 | PHC INC-CL A (MASS) COMM | 0.3% | $564.0k | 259,018 | -22% | reduced | |
| 27 | ULTRAPETROL (BAHAMAS) LTD COMM | 0.1% | $227.0k | 100,000 | 0% | held | |
| 28 | PPC PILGRIM'S PRIDE CORP COMM | Consumer Defensive | 0.1% | $214.0k | 50,000 | 100% | added |
| 29 | OVERHILL FARMS INC COMM | 0.1% | $199.0k | 55,701 | 0% | held | |
| 30 | US NATURAL GAS FUND LP ETF | 0.1% | $90.0k | 10,000 | 0% | held |
Weights are shares of the reported long US equity book (options excluded). Values are as filed, normalised to whole dollars. Share changes compare against the immediately preceding filing only.