-----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, S6JIIr/dTIE/A5Up+/wuQfozyKbqzEvuAqdljOx6MtvfERNE/7CFGAo6NmrdcJEt v0EXwO8jhc6gbbNPZ6HrhQ== 0000909012-09-001341.txt : 20091105 0000909012-09-001341.hdr.sgml : 20091105 20091105140638 ACCESSION NUMBER: 0000909012-09-001341 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091105 DATE AS OF CHANGE: 20091105 EFFECTIVENESS DATE: 20091105 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: 091160651 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 t305656.txt [OBJECT OMITTED]UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 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 Compliance Officer ------------------------ Phone: 617.757.7609 ------------------------ Signature, Place and Date of Signing: Boston, MA 11/ /09 - -------------------------- ------------------------ --------------------- [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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 154 -------------------- Form 13F Information Table Value Total: $248,661 -------------------- (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 329 33105.00 SH SOLE 33105.00 Acco Brands Corp. COM 00081T108 1361 188470.00 SH SOLE 188470.00 Actividentity Corp COM 00506P103 2667 962870.00 SH SOLE 962870.00 Aes Corp Com COM 00130H105 434 29275.00 SH SOLE 29275.00 Airtran Hldgs Inc COM 00949P108 1344 214998.00 SH SOLE 214998.00 Akamai Technologies COM 00971T101 1726 87720.00 SH SOLE 87720.00 Albemarle Corp COM 012653101 1689 48815.00 SH SOLE 48815.00 Allied Defense Group Com COM 019118108 580 111325.00 SH SOLE 111325.00 American Coml Lines Inc COM 025195405 1659 56960.00 SH SOLE 56960.00 American Railcar Inds COM 02916P103 222 20885.00 SH SOLE 20885.00 Ampco Pittsburgh B COM 032037103 291 10960.00 SH SOLE 10960.00 Analogic Corp New COM 032657207 2935 79285.01 SH SOLE 79285.01 Arena Resources Inc. COM 040049108 1600 45060.00 SH SOLE 45060.00 Ariad Pharmaceuticals Inc COM 04033a100 1387 627643.00 SH SOLE 627643.00 Arrow Electronics COM 042735100 1570 55765.00 SH SOLE 55765.00 Ascent Media Corp Com Ser A COM 043632108 1039 40585.00 SH SOLE 40585.00 Ashford Hospitality Trust COM 044103109 1525 440755.00 SH SOLE 440755.00 BTU International COM 056032105 1296 211069.00 SH SOLE 211069.00 Bank Of Amer Corp COM 060505104 244 14414.00 SH SOLE 14414.00 Barnes Group Inc. COM 067806109 1228 71855.00 SH SOLE 71855.00 Beacon Roofing Supply Inc COM 073685109 2794 174827.00 SH SOLE 174827.00 Belden Inc COM 077454106 1706 73865.00 SH SOLE 73865.00 Berkshire Hills Bancorp Inc COM 084680107 2404 109589.00 SH SOLE 109589.00 Berry Petroleum Co. COM 085789105 1329 49620.00 SH SOLE 49620.00 Boston Privt Finl Hldg Com COM 101119105 1144 176817.00 SH SOLE 176817.00 Bristol Myers Squibb COM 110122108 289 12832.00 SH SOLE 12832.00 Bronco Drilling Co Inc COM 112211107 964 147130.00 SH SOLE 147130.00 C&d Technologies Inc COM 124661109 1035 481374.00 SH SOLE 481374.00 CACI, Inc. COM 127190304 912 19290.00 SH SOLE 19290.00 Cache Inc. COM 127150308 2159 435242.00 SH SOLE 435242.00 Carter Inc. COM 146229109 3344 125246.00 SH SOLE 125246.00 Ce Franklin Ltd Com COM 125151100 434 62920.00 SH SOLE 62920.00 Celsion Corp COM 15117n305 199 56640.00 SH SOLE 56640.00 Cenveo Inc. COM 15670s105 2568 371085.00 SH SOLE 371085.00 Chiquita Brands Inc. COM 170032809 2872 177709.00 SH SOLE 177709.00 Citigroup COM 172967101 62 12725.00 SH SOLE 12725.00 Commercial Vehicle Group COM 202608105 1658 254670.00 SH SOLE 254670.00 Commscope, Inc. COM 203372107 297 9910.00 SH SOLE 9910.00 Cytec Industries COM 232820100 1909 58795.00 SH SOLE 58795.00 Cytokinetics Inc. COM 23282w100 2042 385958.00 SH SOLE 385958.00 Danka Business Sys Plc Sponsor COM 236277109 996 9490119.00 SH SOLE 9490119.00 Denbury Resources Inc. COM 247916208 223 14770.00 SH SOLE 14770.00 Dolan Media Company COM 25659p402 2111 176100.00 SH SOLE 176100.00 Durect Corp COM 266605104 5268 1972982.00 SH SOLE 1972982.00 Dycom Industries COM 267475101 1891 153752.00 SH SOLE 153752.00 Dynegy Inc Del COM 26817G102 1538 603055.00 SH SOLE 603055.00 Education Realty Trust Inc. COM 28140h104 909 153250.00 SH SOLE 153250.00 Ems Technologies Inc COM 26873N108 2998 144002.00 SH SOLE 144002.00 Esterline Corp. COM 297425100 1424 36325.00 SH SOLE 36325.00 Exxon Mobil Corp COM 30231G102 1035 15091.00 SH SOLE 15091.00 First Mercury Finl Com COM 320841109 1646 123598.00 SH SOLE 123598.00 Flanders Corp. COM 338494107 2122 411163.00 SH SOLE 411163.00 Freightcar America Inc. COM 357023100 1069 43995.00 SH SOLE 43995.00 Frontier Oil Corp. COM 35914P105 2530 181717.00 SH SOLE 181717.00 General Electric COM 369604103 527 32123.99 SH SOLE 32123.99 Goodyear Tire & Rubr Co COM 382550101 452 26535.00 SH SOLE 26535.00 Group 1 Automotive COM 398905109 1926 71737.00 SH SOLE 71737.00 Gsi Group Inc COM 36229U102 116 154562.00 SH SOLE 154562.00 HCC Insurance Holdings Inc. COM 404132102 1781 65130.00 SH SOLE 65130.00 Hanover Insurance Group Inc COM 410867105 2881 69696.00 SH SOLE 69696.00 Hewlett Packard COM 428236103 820 17376.00 SH SOLE 17376.00 Hudson Highland Group Inc COM 443792106 708 232779.00 SH SOLE 232779.00 Ico Hldgs Inc COM 449293109 3118 667638.00 SH SOLE 667638.00 Insteel Industries Inc. COM 45774w108 1091 91317.00 SH SOLE 91317.00 Interline Brands Inc. COM 458743101 1875 111284.00 SH SOLE 111284.00 International Coal Group Inc COM 45928H106 2343 581351.00 SH SOLE 581351.00 Intl Business Machines COM 459200101 1029 8601.00 SH SOLE 8601.00 Invacare Corp. COM 461203101 1185 53180.00 SH SOLE 53180.00 Jarden Corp. COM 471109108 2682 95555.00 SH SOLE 95555.00 Jos A Bank Clothiers Inc COM 480838101 4090 91349.00 SH SOLE 91349.00 Kenexa Corp Com COM 488879107 2356 174770.00 SH SOLE 174770.00 Knoll Inc. COM 498904200 832 79795.00 SH SOLE 79795.00 Kona Grill Inc COM 50047H201 653 196578.00 SH SOLE 196578.00 LTX-Credence Corp Com COM 502403108 652 395166.00 SH SOLE 395166.00 Lincare Holdings Inc. COM 532791100 1365 43675.00 SH SOLE 43675.00 Livewire Mobile Inc Com COM 53837P102 334 857316.00 SH SOLE 857316.00 Louisiana-Pacific Corp. COM 546347105 172 25815.00 SH SOLE 25815.00 Lubrizol Corp. COM 549271104 339 4740.00 SH SOLE 4740.00 MB Financial Bank COM 55264u108 1369 65280.00 SH SOLE 65280.00 Madden Steven Ltd COM 556269108 4211 114386.00 SH SOLE 114386.00 Magnetek Inc. COM 559424106 432 276866.00 SH SOLE 276866.00 Manitex Intl Inc Com COM 563420108 182 77620.00 SH SOLE 77620.00 Manitowoc Inc. COM 563571108 2206 232975.00 SH SOLE 232975.00 Material Sciences Corp COM 576674105 440 225888.00 SH SOLE 225888.00 Maxwell Technologies Inc COM 577767106 1858 100810.00 SH SOLE 100810.00 Mckesson COM 58155Q103 859 14430.00 SH SOLE 14430.00 Measurement Specialties Inc COM 583421102 889 87045.00 SH SOLE 87045.00 Mens Wearhouse Inc. COM 587118100 1255 50815.00 SH SOLE 50815.00 Mentor Graphics Corp COM 587200106 2308 247920.00 SH SOLE 247920.00 Merck COM 589331107 244 7724.00 SH SOLE 7724.00 Mercury Computer Systems COM 589378108 3036 307930.00 SH SOLE 307930.00 Metalico Inc COM 591176102 1531 367127.00 SH SOLE 367127.00 Mfri Inc Com COM 552721102 96 13390.00 SH SOLE 13390.00 Mocon Inc COM 607494101 230 27045.00 SH SOLE 27045.00 Moduslink Global Solut Com COM 60786L107 1484 183414.00 SH SOLE 183414.00 Motorola COM 620076109 157 18260.00 SH SOLE 18260.00 NCR Corporation COM 62886e108 1502 108670.00 SH SOLE 108670.00 Nautilus Inc COM 63910B102 529 310892.00 SH SOLE 310892.00 NetSuite Inc. COM 64118q107 775 50670.00 SH SOLE 50670.00 Newalliance Bancshares Inc COM 650203102 1647 153897.00 SH SOLE 153897.00 Newpark Res Inc COM 651718504 1701 529808.00 SH SOLE 529808.00 Northwestern Corp Com New COM 668074305 238 9723.00 SH SOLE 9723.00 Novagold Res Inc COM 66987E206 953 186226.00 SH SOLE 186226.00 Novavax Corp COM 670002104 3605 910361.00 SH SOLE 910361.00 Olin Corp COM 680665205 253 14535.00 SH SOLE 14535.00 Papa John's International COM 698813102 1487 60530.00 SH SOLE 60530.00 Pegasystems Inc COM 705573103 6065 175653.00 SH SOLE 175653.00 Pepsico COM 713448108 351 5980.00 SH SOLE 5980.00 Perficient Inc Com COM 71375U101 1580 191100.00 SH SOLE 191100.00 Perot Systems Corp. COM 714265105 1600 53865.00 SH SOLE 53865.00 Petrohawk Energy Corp COM 716495106 1594 65859.00 SH SOLE 65859.00 Pfizer COM 717081103 262 15828.00 SH SOLE 15828.00 Plato Learning Inc COM 72764Y100 1109 256732.00 SH SOLE 256732.00 Pma Cap Corp COM 693419202 2235 392762.00 SH SOLE 392762.00 Polyone Corp COM 73179P106 878 131560.00 SH SOLE 131560.00 Prestige Brand Holdings Inc. COM 74112d101 2544 361295.00 SH SOLE 361295.00 Progessive Corp Ohio COM 743315103 240 14475.00 SH SOLE 14475.00 Progress Software Corp COM 743312100 4447 196325.00 SH SOLE 196325.00 Quadramed Corp COM 74730W507 178 25360.00 SH SOLE 25360.00 Reddy Ice Holdings COM 75734r105 2866 526790.00 SH SOLE 526790.00 Rti International Metals Inc. COM 74973w107 2975 119410.00 SH SOLE 119410.00 Russell Value Index COM 464287630 635 11245.00 SH SOLE 11245.00 Semitool Inc Com COM 816909105 2181 258141.00 SH SOLE 258141.00 Shaw Group Inc. COM 820280105 4758 148264.00 SH SOLE 148264.00 Shoe Carnival Inc COM 824889109 1656 107379.00 SH SOLE 107379.00 Silgan Holdings Inc. COM 827048109 1620 30715.00 SH SOLE 30715.00 Sonus Networks Inc COM 835916107 1488 701806.00 SH SOLE 701806.00 Southwest Bancorp Okla Com COM 844767103 1230 87640.00 SH SOLE 87640.00 St. Mary Land & Exploration Co COM 792228108 1938 59695.00 SH SOLE 59695.00 Stancorp Finl Group Inc COM 852891100 1231 30485.00 SH SOLE 30485.00 Steel Dynamics Inc. COM 858119100 1261 82200.00 SH SOLE 82200.00 Strategic Diagnostics Inc COM 862700101 656 372675.00 SH SOLE 372675.00 Sunopta Inc COM 8676EP108 2777 685792.00 SH SOLE 685792.00 Sycamore Networks Inc COM 871206108 1665 551251.00 SH SOLE 551251.00 Sypris Solutions Inc COM 871655106 903 354023.00 SH SOLE 354023.00 TTM Technologies COM 87305r109 1833 159840.00 SH SOLE 159840.00 Tempur-Pedic Intl Inc COM 88023U101 4890 258165.00 SH SOLE 258165.00 Terex COM 880779103 2842 137120.00 SH SOLE 137120.00 The Scotts Miracle Gro Company COM 810186106 1669 38870.00 SH SOLE 38870.00 TriCo Bancshares COM 896095106 635 38735.00 SH SOLE 38735.00 U S Physical Therapy Inc COM 90337L108 3535 234584.00 SH SOLE 234584.00 Universal Fst Prods Inc COM 913543104 1291 32709.00 SH SOLE 32709.00 Varian Semiconductor Equip Ass COM 922207105 9329 284081.00 SH SOLE 284081.00 Vicor Corp COM 925815102 1465 189742.00 SH SOLE 189742.00 Vivus Inc COM 928551100 2653 254577.00 SH SOLE 254577.00 Volcano Corp. COM 928645100 1985 118030.00 SH SOLE 118030.00 Watts Water Technologies, Inc. COM 942749102 2450 80978.00 SH SOLE 80978.00 Wausau Paper Corp COM 943315101 3382 338222.00 SH SOLE 338222.00 Western Digital COM 958102105 237 6490.00 SH SOLE 6490.00 Whitney Holding Corporation Co COM 966612103 928 97244.00 SH SOLE 97244.00 Whole Foods Market COM 966837106 3950 129535.00 SH SOLE 129535.00 Williams Control Inc COM 969465608 687 76455.00 SH SOLE 76455.00 Xerox Corp COM 984121103 89 11480.00 SH SOLE 11480.00 Zoran Corp Com COM 98975F101 2082 180701.00 SH SOLE 180701.00
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