WYNNEFIELD CAPITAL INC

HTTP://WWW.WYNNEFIELDCAPITAL.COM NEW YORK, NY Investment Advisor Hedge Fund How do I update this listing?

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Wynnefield Capital is based out of New York. Wynnefield Capital is a hedge fund with 4 clients and discretionary assets under management (AUM) of $341,401,680 (Form ADV from 2022-03-30). Their last reported 13F filing for Q1 2022 included $261,967,000 in managed 13F securities and a top 10 holdings concentration of 97.93%. Wynnefield Capital's largest holding is DLH Holding Corp. with shares held of 3,924,879. Wynnefield Capital has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 126 13F filings, 1 13D filings, and 16 Form 4 filings

03/31/2022

13F Activity

  • Market Value $261.967 Million
  • Prior Market Value $280.034 Million
  • New Purchases1 stock
  • Additional Purchases5 stocks
  • Sold out of0 stocks
  • Reduced holdings in1 stock
  • Top 10 Holdings % 97.93 %
  • Turnover % [1]:4.55%
  • Turnover Alt % [2]: 0.06 %
  • Time Held Top20:15.75 quarters
  • Time Held Top10:17.40 quarters
  • Time Held All:20.14 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

03/31/2022

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2022-05-16

Performance for Q1 2022: -9.78%
Performance Last 4 Quarters: -20.79%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted

Global (ex. US) Holdings

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Source: Refinitiv

View Last Form Adv Compilation Report on Record

WYNNEFIELD CAPITAL, INC.
Classified as Hedge Fund
450 SEVENTH AVE SUITE 509
NEW YORK NY    10123
Country: United States

Business Phone: 212-760-0814
Fax: 212-760-0824
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Corporation
Organized in: DE
Number of employees: 3
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 341,402,000
Total Number of Clients: 4
Amount of client funds and securities by related persons: 341,402,000
Total Number of clients from related persons: 4
Disclosures:
Data above was derived from SEC filings.

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Insider Transactions in the past year

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WYNNEFIELD CAPITAL, INC.

ownership team - last updated 2022-03-30
Name Title Start Date Direct/Indirect % Ownership
OBUS, NELSON, JAY PRESIDENT 11/01/1992 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
WYNNEFIELD CAPITAL, INC. PRESIDENT direct 1992-11-01
LANDES, JOSHUA, HAIM EXECUTIVE VICE PRESIDENT / SECRETARY / TREASURER 11/01/1992 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
WYNNEFIELD CAPITAL, INC. EXECUTIVE VICE PRESIDENT / SECRETARY / TREASURER direct 1992-11-01
LIU, W. ALEX CHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER 01/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
WYNNEFIELD CAPITAL, INC. CHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER direct 2020-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD. Cayman Islands 805-5231816004 Hedge Fund 53,445,096 250,000
WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I United States 805-5599185498 Hedge Fund 170,560,364 250,000
WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. United States 805-1480027155 Hedge Fund 102,922,760 250,000

WYNNEFIELD CAPITAL, INC.

ownership team - last updated 2021-03-22
Name Title Start Date Direct/Indirect % Ownership
OBUS, NELSON, JAY PRESIDENT 11/01/1992 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
WYNNEFIELD CAPITAL, INC. PRESIDENT direct 1992-11-01
LANDES, JOSHUA, HAIM EXECUTIVE VICE PRESIDENT / SECRETARY / TREASURER 11/01/1992 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
WYNNEFIELD CAPITAL, INC. EXECUTIVE VICE PRESIDENT / SECRETARY / TREASURER direct 1992-11-01
LIU, ALEX CHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER 01/01/2020 Direct less than 5%
Fund Name Position direct/indirect start date end date
WYNNEFIELD CAPITAL, INC. CHIEF COMPLIANCE OFFICER / CHIEF OPERATING OFFICER direct 2020-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. United States 805-1480027155 Hedge Fund 71,023,693 250,000
WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I United States 805-5599185498 Hedge Fund 118,408,557 250,000
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD. Cayman Islands 805-5231816004 Hedge Fund 38,446,501 250,000

WYNNEFIELD CAPITAL, INC.

ownership team - last updated 2020-03-30
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. United States 805-1480027155 Hedge Fund 64,054,515 250,000
WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I United States 805-5599185498 Hedge Fund 102,823,757 250,000
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD. Cayman Islands 805-5231816004 Hedge Fund 40,762,821 250,000

WYNNEFIELD CAPITAL, INC.

ownership team - last updated 2019-03-29
Name Title Start Date Direct/Indirect % Ownership
OBUS, NELSON, JAY PRESIDENT 11/01/1992 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
WYNNEFIELD CAPITAL, INC. PRESIDENT direct 1992-11-01
LANDES, JOSHUA, HAIM EXECUTIVE VICE PRESIDENT / SECRETARY / TREASURER 11/01/1992 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
WYNNEFIELD CAPITAL, INC. EXECUTIVE VICE PRESIDENT / SECRETARY / TREASURER direct 1992-11-01
WASSERMAN, FREDERICK, GERALD CHIEF COMPLIANCE OFFICER 02/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
WYNNEFIELD CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2012-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. United States 805-1480027155 Hedge Fund 72,423,336 250,000
WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I United States 805-5599185498 Hedge Fund 111,080,980 250,000
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD. Cayman Islands 805-5231816004 Hedge Fund 42,044,961 250,000

WYNNEFIELD CAPITAL, INC.

ownership team - last updated 2017-07-06
Name Title Start Date Direct/Indirect % Ownership
OBUS, NELSON, JAY PRESIDENT 11/01/1992 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
WYNNEFIELD CAPITAL, INC. PRESIDENT direct 1992-11-01
LANDES, JOSHUA, HAIM EXECUTIVE VICE PRESIDENT / SECRETARY / TREASURER 11/01/1992 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
ASSET & FINANCIAL PLANNING, LTD BENEFICIAL OWNER OF 30MILLION COMMON SHARES AND A MEMBER OF A SCHEDULE 13D GROUP WHICH CONTROLS 33.4% indirect 2007-08-01
WYNNEFIELD CAPITAL, INC. EXECUTIVE VICE PRESIDENT / SECRETARY / TREASURER direct 1992-11-01
WASSERMAN, FREDERICK, GERALD CHIEF COMPLIANCE OFFICER 02/01/2012 Direct less than 5%
Fund Name Position direct/indirect start date end date
WYNNEFIELD CAPITAL, INC. CHIEF COMPLIANCE OFFICER direct 2012-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. United States 805-1480027155 Hedge Fund 111,705,000 250,000
WYNNEFIELD PARTNERS SMALL CAP VALUE L.P. I United States 805-5599185498 Hedge Fund 177,829,000 250,000
WYNNEFIELD SMALL CAP VALUE OFFSHORE FUND LTD. Cayman Islands 805-5231816004 Hedge Fund 70,810,000 250,000

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