-----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, TT60y9ZnGVPOLm+apugqDxm/0RsStmpTkG/0EqZsuFcZVR4jl9VM3CfcyZtubiSQ /AXMrMBxmlwTFX+tyOgbAg== 0000894579-09-000374.txt : 20090513 0000894579-09-000374.hdr.sgml : 20090513 20090513133029 ACCESSION NUMBER: 0000894579-09-000374 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090513 DATE AS OF CHANGE: 20090513 EFFECTIVENESS DATE: 20090513 FILER: COMPANY DATA: COMPANY CONFORMED NAME: IRONWOOD INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001127761 IRS NUMBER: 043386084 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06155 FILM NUMBER: 09821550 BUSINESS ADDRESS: STREET 1: 21 CUSTOM HOUSE STREET, SUITE 240 CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6177577630 MAIL ADDRESS: STREET 1: 21 CUSTOM HOUSE STREET STREET 2: SUITE 240 CITY: BOSTON STATE: MA ZIP: 02110 FORMER COMPANY: FORMER CONFORMED NAME: IRONWOOD CAPITAL MANAGEMENT LLC DATE OF NAME CHANGE: 20001103 13F-HR 1 iim13fhr051309.txt FORM 13F-HR - IRONWOOD INVESTMENT MANAGEMENT, LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2009 ------------------ 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: Ironwood Investment Management, LLC ----------------------------------- Address: 21 Custom House Street, Suite 240 ----------------------------------- Boston, MA 02110 ----------------------------------- Form 13F File Number: 28-06155 -------- 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: Charles J. Daly ------------------------ Title: Chief Financial Officer ------------------------ Phone: 617.757.7609 ------------------------ Signature, Place and Date of Signing: /s/ Charles J. Daly Boston, MA May 13, 2009 ------------------------ -------------------- ------------------ [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).) List of Other Managers Reporting for this Manager: None. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 123 -------------------- Form 13F Information Table Value Total: $170,517 -------------------- (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.
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ----------- ----- ------ ----- A.M. Castle & Co. com 148411101 513 57,540 SH SOLE 33,195 24,345 Acco Brands Corp. com 00081T108 187 190,720 SH SOLE 190,720 Actividentity Corp com 00506P103 2,569 1,253,236 SH SOLE 1,150,012 103,224 Aes Corp Com com 00130H105 169 29,160 SH SOLE 29,160 Airtran Hldgs Inc com 00949P108 991 217,712 SH SOLE 217,712 Akamai Technologies com 00971T101 913 47,070 SH SOLE 47,070 Allied Defense Group Com com 019118108 3,430 868,425 SH SOLE 812,080 56,345 American Coml Lines Inc com 025195207 731 230,625 SH SOLE 230,625 American Railcar Inds com 02916P103 278 36,460 SH SOLE 20,940 15,520 Ampco Pittsburgh B com 032037103 251 18,900 SH SOLE 10,985 7,915 Analogic Corp New com 032657207 2,758 86,148 SH SOLE 80,088 6,060 Ariad Pharmaceuticals Inc com 04033a100 3,190 2,680,407 SH SOLE 2,539,353 141,054 BTU International com 056032105 732 218,650 SH SOLE 218,650 Bank Of Amer Corp com 060505104 98 14,414 SH SOLE 14,414 Beacon Roofing Supply Inc com 073685109 3,336 249,124 SH SOLE 249,124 Berkshire Hills Bancorp Inc com 084680107 2,649 115,583 SH SOLE 110,875 4,708 Bionova Inc Com com 090643107 451 1,918,491 SH SOLE 1,918,491 Boston Privt Finl Hldg Com com 101119105 628 179,003 SH SOLE 179,003 Bristol Myers Squibb com 110122108 273 12,432 SH SOLE 12,432 Bronco Drilling Co Inc com 112211107 783 148,938 SH SOLE 148,938 C&d Technologies Inc com 124661109 901 487,260 SH SOLE 487,260 Cache Inc. com 127150308 1,266 439,424 SH SOLE 439,424 Carter Inc. com 146229109 2,384 126,747 SH SOLE 126,747 Ce Franklin Ltd Com com 125151100 460 111,065 SH SOLE 62,975 48,090 Celsion Corp com 15117n305 4,374 1,214,930 SH SOLE 1,214,930 Charlotte Russe Hldg com 161048103 1,409 172,841 SH SOLE 172,841 Chiquita Brands Inc. com 170032809 1,462 220,465 SH SOLE 190,720 29,745 Citigroup com 172967101 32 12,725 SH SOLE 12,725 Citizens First Bancorp Inc com 17461R106 114 106,499 SH SOLE 106,499 Danka Business Sys Plc Sponsor com 236277109 1,151 10,185,099 SH SOLE 9,490,119 694,980 Denbury Resources Inc. com 247916208 220 14,785 SH SOLE 14,785 Durect Corp com 266605104 7,540 3,381,010 SH SOLE 3,280,955 100,055 Dycom Industries com 267475101 848 146,470 SH SOLE 146,470 Dynegy Inc Del com 26817G102 960 680,776 SH SOLE 608,686 72,090 Eastern Insurance Holdings Inc com 276534104 407 52,370 SH SOLE 29,835 22,535 Ems Technologies Inc com 26873N108 2,351 134,643 SH SOLE 134,643 Exxon Mobil Corp com 30231G102 1,009 14,811 SH SOLE 14,811 First Mercury Finl Com com 320841109 1,060 73,385 SH SOLE 73,385 Flanders Corp. com 338494107 1,686 417,221 SH SOLE 417,221 Freightcar America Inc. com 357023100 781 44,545 SH SOLE 44,545 Frontier Oil Corp. com 35914P105 2,564 200,494 SH SOLE 183,434 17,060 General Electric com 369604103 298 29,443 SH SOLE 29,443 Goodyear Tire & Rubr Co com 382550101 172 27,555 SH SOLE 27,555 Gsi Group Inc com 36229U102 148 156,161 SH SOLE 156,161 Hanover Insurance Group Inc com 410867105 4,550 157,876 SH SOLE 148,826 9,050 Hewlett Packard com 428236103 570 17,776 SH SOLE 17,776
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ ------ ------ ----- Hollis-Eden Pharmaceuticals In com 435902101 125 260,609 SH SOLE 260,609 Hudson Highland Group Inc com 443792106 262 235,643 SH SOLE 235,643 I-Many Inc com 44973Q103 671 2,683,861 SH SOLE 2,683,861 Ico Hldgs Inc com 449293109 3,832 1,860,055 SH SOLE 1,784,940 75,115 Infocus Corp com 45665b106 310 517,125 SH SOLE 296,860 220,265 International Coal Group Inc com 45928H106 1,071 665,010 SH SOLE 606,678 58,332 Intl Business Machines com 459200101 937 9,671 SH SOLE 9,671 Jos A Bank Clothiers Inc com 480838101 3,999 143,810 SH SOLE 143,810 Kenexa Corp Com com 488879107 676 125,330 SH SOLE 125,330 Kirby Corporation com 497266106 212 7,940 SH SOLE 4,560 3,380 Kona Grill Inc com 50047H201 242 146,863 SH SOLE 146,863 LTX-Credence Corp Com com 502403108 112 398,891 SH SOLE 398,891 Livewire Mobile Inc Com com 53837P102 113 871,561 SH SOLE 871,561 Madden Steven Ltd com 556269108 2,846 151,534 SH SOLE 151,534 Magnetek Inc. com 559424106 3,551 1,972,745 SH SOLE 1,832,859 139,886 Manitex Intl Inc Com com 563420108 1,506 1,601,620 SH SOLE 1,601,620 Material Sciences Corp com 576674105 521 964,390 SH SOLE 956,725 7,665 Maxwell Technologies Inc com 577767106 706 101,629 SH SOLE 101,629 Mckesson com 58155Q103 514 14,680 SH SOLE 14,680 Measurement Specialties Inc com 583421102 359 87,771 SH SOLE 87,771 Mentor Graphics Corp com 587200106 1,114 250,898 SH SOLE 250,898 Merck com 589331107 207 7,724 SH SOLE 7,724 Mercury Computer Systems com 589378108 1,713 309,800 SH SOLE 309,800 Metalico Inc com 591176102 631 371,216 SH SOLE 371,216 Mfri Inc Com com 552721102 1,980 313,716 SH SOLE 296,761 16,955 Mocon Inc com 607494101 5,240 638,257 SH SOLE 638,257 Moduslink Global Solut Com com 60786L107 480 185,309 SH SOLE 185,309 Motorola com 620076109 77 18,260 SH SOLE 18,260 Nautilus Inc com 63910B102 198 313,897 SH SOLE 313,897 Newalliance Bancshares Inc com 650203102 2,016 171,713 SH SOLE 155,548 16,165 Newpark Res Inc com 651718504 1,357 536,359 SH SOLE 536,359 Northwestern Corp Com New com 668074305 253 11,790 SH SOLE 6,760 5,030 Novagold Res Inc com 66987E206 523 189,490 SH SOLE 189,490 Novavax Corp com 670002104 3,484 3,416,017 SH SOLE 3,193,623 222,394 Olin Corp com 680665205 308 21,560 SH SOLE 12,380 9,180 Omnova Solutions Inc com 682129101 2,992 1,719,295 SH SOLE 1,619,430 99,865 Parallel Pete Corp Del com 699157103 224 174,946 SH SOLE 174,946 Pegasystems Inc com 705573103 4,724 254,400 SH SOLE 254,400 Pepsico com 713448108 308 5,980 SH SOLE 5,980 Perficient Inc Com com 71375U101 1,043 193,235 SH SOLE 193,235 Petrohawk Energy Corp com 716495106 1,277 66,402 SH SOLE 66,402 Pfizer com 717081103 209 15,373 SH SOLE 15,373 Plato Learning Inc com 72764Y100 457 256,699 SH SOLE 256,699 Pma Cap Corp com 693419202 1,657 397,414 SH SOLE 397,414 Polyone Corp com 73179P106 2,385 1,032,675 SH SOLE 961,140 71,535 Progessive Corp Ohio com 743315103 195 14,475 SH SOLE 14,475 Progress Software Corp com 743312100 3,445 198,446 SH SOLE 198,446 Proliance International Inc com 74340r104 112 700,310 SH SOLE 401,300 299,010 Quadramed Corp com 74730W507 3,312 548,365 SH SOLE 548,365 RXI Pharmaceuticals Corp Com com 74978T109 768 150,980 SH SOLE 150,980 Rti International Metals Inc. com 74973w107 1,487 127,055 SH SOLE 118,585 8,470 Semitool Inc Com com 816909105 727 261,352 SH SOLE 261,352
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ ------ ------ ----- Shaw Group Inc. com 820280105 4,317 157,489 SH SOLE 149,279 8,210 Shoe Carnival Inc com 824889109 1,126 108,789 SH SOLE 108,789 Softbrands Inc com 83402A107 195 722,533 SH SOLE 294,406 428,127 Sonus Networks Inc com 835916107 1,115 709,984 SH SOLE 709,984 Southwest Bancorp Okla Com com 844767103 832 88,648 SH SOLE 88,648 Strategic Diagnostics Inc com 862700101 407 377,003 SH SOLE 377,003 Sunopta Inc com 8676EP108 1,197 692,167 SH SOLE 692,167 Sycamore Networks Inc com 871206108 1,492 558,749 SH SOLE 558,749 Sypris Solutions Inc com 871655106 332 364,373 SH SOLE 364,373 Tempur-Pedic Intl Inc com 88023U101 2,063 282,589 SH SOLE 265,204 17,385 Terex com 880779103 1,426 154,175 SH SOLE 137,705 16,470 Trident Microsystems com 895919108 212 145,180 SH SOLE 83,925 61,255 U S Physical Therapy Inc com 90337L108 2,301 237,655 SH SOLE 237,655 Universal Fst Prods Inc com 913543104 883 33,175 SH SOLE 33,175 Varian Semiconductor Equip Aas com 922207105 6,193 285,904 SH SOLE 285,904 Vermillion Inc. com 92407M206 251 838,227 SH SOLE 838,227 Vicor Corp com 925815102 938 191,921 SH SOLE 191,921 Vivus Inc com 928551100 2,719 629,392 SH SOLE 629,392 Watts Water Technologies, Inc. com 942749102 1,603 81,978 SH SOLE 81,978 Wausau Paper Corp com 943315101 1,916 364,240 SH SOLE 341,700 22,540 Whitney Holding Corporation Co com 966612103 1,129 98,566 SH SOLE 98,566 Whole Foods Market com 966837106 2,204 131,165 SH SOLE 131,165 Williams Control Inc com 969465608 2,894 578,820 SH SOLE 540,810 38,010 Xerox Corp com 984121103 52 11,480 SH SOLE 11,480 Zoran Corp Com com 98975F101 1,609 182,805 SH SOLE 182,805
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