-----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, TU33XaW1nkvh5K6Gp3HgkGThqyl729d29tQwtx3a8XSYEp8n+BTwHUlMSrbALbfJ Rp9FC5dJFrkG8ch9yEomcw== 0000909012-10-000033.txt : 20100202 0000909012-10-000033.hdr.sgml : 20100202 20100202141310 ACCESSION NUMBER: 0000909012-10-000033 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100202 DATE AS OF CHANGE: 20100202 EFFECTIVENESS DATE: 20100202 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: 10566317 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 t305736.txt IRONWOOD UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 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 Compliance Officer ------------------------ Phone: 617.757.7609 ------------------------ Signature, Place and Date of Signing: Boston, MA - -------------------------- ------------------------ --------------------- [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: 153 -------------------- Form 13F Information Table Value Total: $207,859 -------------------- (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 448 32740.00 SH SOLE 32740.00 ATMI Inc. COM 00207r101 396 21285.00 SH SOLE 21285.00 Acco Brands Corp. COM 00081T108 1345 184705.00 SH SOLE 184590.00 Actividentity Corp COM 00506P103 2282 970965.00 SH SOLE 970575.00 Aes Corp Com COM 00130H105 389 29225.00 SH SOLE 29225.00 Airtran Hldgs Inc COM 00949P108 1089 208608.00 SH SOLE 208523.00 Akamai Technologies COM 00971T101 2178 85952.00 SH SOLE 85902.00 Albemarle Corp COM 012653101 442 12145.00 SH SOLE 12145.00 Allied Defense Group Com COM 019118108 525 110125.00 SH SOLE 110125.00 Amedisys Inc. COM 023436108 2361 48575.00 SH SOLE 48545.00 American Coml Lines Inc COM 025195405 1019 55599.00 SH SOLE 55564.00 American Railcar Inds COM 02916P103 228 20650.00 SH SOLE 20650.00 Analogic Corp New COM 032657207 3015 78303.01 SH SOLE 78268.01 Arena Resources Inc. COM 040049108 1925 44635.00 SH SOLE 44610.00 Ariad Pharmaceuticals Inc COM 04033a100 1674 734383.00 SH SOLE 734143.00 Arrow Electronics COM 042735100 485 16365.00 SH SOLE 16365.00 Ascent Media Corp Com Ser A COM 043632108 1013 39695.00 SH SOLE 39670.00 Ashford Hospitality Trust COM 044103109 411 88540.00 SH SOLE 88540.00 BTU International COM 056032105 1996 314269.00 SH SOLE 314059.00 Bank Of Amer Corp COM 060505104 200 13306.00 SH SOLE 13306.00 Barnes Group Inc. COM 067806109 325 19205.00 SH SOLE 19205.00 Beacon Roofing Supply Inc COM 073685109 2741 171291.00 SH SOLE 171196.00 Belden Inc COM 077454106 321 14665.00 SH SOLE 14665.00 Berkshire Hills Bancorp Inc COM 084680107 2430 117494.00 SH SOLE 117429.00 Boston Privt Finl Hldg Com COM 101119105 996 172634.00 SH SOLE 172519.00 Bristol Myers Squibb COM 110122108 324 12832.00 SH SOLE 12832.00 Bronco Drilling Co Inc COM 112211107 728 143645.00 SH SOLE 143555.00 C&d Technologies Inc COM 124661109 728 469419.00 SH SOLE 469119.00 CVR Energy Inc COM 12662p108 309 45100.00 SH SOLE 45100.00 Cache Inc. COM 127150308 1941 424747.00 SH SOLE 424547.00 Carter Inc. COM 146229109 3223 122788.00 SH SOLE 122713.00 Ce Franklin Ltd Com COM 125151100 364 54060.00 SH SOLE 54060.00 Celsion Corp COM 15117n305 185 56640.00 SH SOLE 56640.00 Cenveo Inc. COM 15670s105 660 75410.00 SH SOLE 75410.00 Chiquita Brands Inc. COM 170032809 2960 164069.00 SH SOLE 163989.00 Citigroup COM 172967101 42 12715.00 SH SOLE 12715.00 Commercial Vehicle Group COM 202608105 344 57470.00 SH SOLE 57470.00 Commscope, Inc. COM 203372107 283 10660.00 SH SOLE 10660.00 Cytec Industries COM 232820100 419 11495.00 SH SOLE 11495.00 Cytokinetics Inc. COM 23282w100 1101 378423.00 SH SOLE 378193.00 Danka Business Sys Plc Sponsor COM 236277109 51 510091.00 SH SOLE 510091.00 Darling International COM 237266101 934 111505.00 SH SOLE 111435.00 Denbury Resources Inc. COM 247916208 217 14665.00 SH SOLE 14665.00 Diana Shipping Inc. COM y2066g104 2268 156615.00 SH SOLE 156530.00 Digital River Inc. COM 25388b104 1311 48565.00 SH SOLE 48535.00 Dolan Media Company COM 25659p402 1823 178555.00 SH SOLE 178485.00 Durect Corp COM 266605104 4842 1960227.00 SH SOLE 1959217.00 Dycom Industries COM 267475101 1381 171997.00 SH SOLE 171907.00 Dynegy Inc Del COM 26817G102 1181 652348.00 SH SOLE 652088.00 Ems Technologies Inc COM 26873N108 2161 149012.00 SH SOLE 148932.00 Esterline Corp. COM 297425100 286 7025.00 SH SOLE 7025.00 Exxon Mobil Corp COM 30231G102 984 14436.00 SH SOLE 14436.00 Ferro Corp COM 315405100 408 49535.00 SH SOLE 49535.00 First Mercury Finl Com COM 320841109 1656 120823.00 SH SOLE 120743.00 Flanders Corp. COM 338494107 1791 401508.00 SH SOLE 401273.00 Freightcar America Inc. COM 357023100 856 43175.00 SH SOLE 43150.00 Frontier Oil Corp. COM 35914P105 2150 178547.00 SH SOLE 178457.00 General Electric COM 369604103 498 32891.00 SH SOLE 32891.00 Goodyear Tire & Rubr Co COM 382550101 374 26560.00 SH SOLE 26560.00 Group 1 Automotive COM 398905109 412 14525.00 SH SOLE 14525.00 Gsi Group Inc COM 36229U102 130 150292.00 SH SOLE 150202.00 Hanover Insurance Group Inc COM 410867105 3045 68533.00 SH SOLE 68508.00 Hewlett Packard COM 428236103 860 16700.00 SH SOLE 16700.00 Hudson Highland Group Inc COM 443792106 1078 226989.00 SH SOLE 226844.00 Ico Hldgs Inc COM 449293109 4793 655627.00 SH SOLE 655312.00 Interline Brands Inc. COM 458743101 304 17585.00 SH SOLE 17585.00 International Coal Group Inc COM 45928H106 2182 565266.00 SH SOLE 565006.00 Intl Business Machines COM 459200101 1116 8529.00 SH SOLE 8529.00 Jarden Corp. COM 471109108 920 29755.00 SH SOLE 29755.00 Jos A Bank Clothiers Inc COM 480838101 3770 89364.00 SH SOLE 89309.00 Kenexa Corp Com COM 488879107 2233 171340.00 SH SOLE 171235.00 Knoll Inc. COM 498904200 276 26705.00 SH SOLE 26705.00 Kona Grill Inc COM 50047H201 561 191297.00 SH SOLE 191171.00 LTX-Credence Corp Com COM 502403108 688 386341.00 SH SOLE 386166.00 Lincare Holdings Inc. COM 532791100 396 10675.00 SH SOLE 10675.00 Livewire Mobile Inc Com COM 53837p201 221 82532.50 SH SOLE 82498.50 Louisiana-Pacific Corp. COM 546347105 188 26915.00 SH SOLE 26915.00 Lubrizol Corp. COM 549271104 393 5390.00 SH SOLE 5390.00 MB Financial Bank COM 55264u108 281 14280.00 SH SOLE 14280.00 Madden Steven Ltd COM 556269108 3624 87887.00 SH SOLE 87837.00 Magnetek Inc. COM 559424106 244 158191.00 SH SOLE 158091.00 Manitex Intl Inc Com COM 563420108 166 86430.00 SH SOLE 86430.00 Manitowoc Inc. COM 563571108 437 43865.00 SH SOLE 43865.00 Material Sciences Corp COM 576674105 392 221653.00 SH SOLE 221553.00 Maxwell Technologies Inc COM 577767106 1759 98615.00 SH SOLE 98550.00 Mckesson COM 58155Q103 882 14114.00 SH SOLE 14114.00 Measurement Specialties Inc COM 583421102 857 85225.00 SH SOLE 85175.00 Mens Wearhouse Inc. COM 587118100 280 13315.00 SH SOLE 13315.00 Mentor Graphics Corp COM 587200106 2148 243230.00 SH SOLE 243080.00 Merck COM 58933y105 282 7724.00 SH SOLE 7724.00 Mercury Computer Systems COM 589378108 3322 301690.00 SH SOLE 301500.00 Metalico Inc COM 591176102 1766 358858.00 SH SOLE 358623.00 Mocon Inc COM 607494101 249 27045.00 SH SOLE 27045.00 Moduslink Global Solut Com COM 60786L107 1686 179213.00 SH SOLE 179104.00 Motorola COM 620076109 103 13210.00 SH SOLE 13210.00 NCR Corporation COM 62886e108 460 41320.00 SH SOLE 41320.00 Nautilus Inc COM 63910B102 613 302162.00 SH SOLE 302022.00 NetSuite Inc. COM 64118q107 789 49355.00 SH SOLE 49320.00 Newalliance Bancshares Inc COM 650203102 1906 158667.00 SH SOLE 158582.00 Newpark Res Inc COM 651718504 2195 518798.00 SH SOLE 518498.00 Northwestern Corp Com New COM 668074305 340 13068.00 SH SOLE 13068.00 Novavax Corp COM 670002104 2380 894741.00 SH SOLE 894356.00 Olin Corp COM 680665205 353 20165.00 SH SOLE 20165.00 Papa John's International COM 698813102 248 10600.00 SH SOLE 10600.00 Pegasystems Inc COM 705573103 5870 172641.00 SH SOLE 172556.00 Pepsico COM 713448108 345 5668.00 SH SOLE 5668.00 Perficient Inc Com COM 71375U101 1578 187130.00 SH SOLE 187015.00 PetMed Express Inc. COM 716382106 259 14670.00 SH SOLE 14670.00 Petrohawk Energy Corp COM 716495106 1553 64740.00 SH SOLE 64705.00 Pfizer COM 717081103 296 16263.00 SH SOLE 16263.00 Plato Learning Inc COM 72764Y100 1095 251197.00 SH SOLE 251042.00 Pma Cap Corp COM 693419202 2412 382927.00 SH SOLE 382687.00 Polyone Corp COM 73179P106 970 129845.00 SH SOLE 129845.00 Prestige Brand Holdings Inc. COM 74112d101 1846 234833.00 SH SOLE 234708.00 Progessive Corp Ohio COM 743315103 259 14375.00 SH SOLE 14375.00 Progress Software Corp COM 743312100 5623 192435.00 SH SOLE 192330.00 Pros Holdings Inc. COM 74346y103 124 11980.00 SH SOLE 11980.00 Quadramed Corp COM 74730W507 213 25360.00 SH SOLE 25360.00 Reddy Ice Holdings COM 75734r105 622 145055.00 SH SOLE 145055.00 Rti International Metals Inc. COM 74973w107 2969 117957.00 SH SOLE 117902.00 Russell Value Index COM 464287630 271 4665.00 SH SOLE 4665.00 Shaw Group Inc. COM 820280105 4202 146144.00 SH SOLE 146074.00 Shoe Carnival Inc COM 824889109 2160 105524.00 SH SOLE 105464.00 Silgan Holdings Inc. COM 827048109 574 9915.00 SH SOLE 9915.00 Sonus Networks Inc COM 835916107 1446 685191.00 SH SOLE 684796.00 Southwest Bancorp Okla Com COM 844767103 595 85715.00 SH SOLE 85660.00 St. Mary Land & Exploration Co COM 792228108 508 14845.00 SH SOLE 14845.00 Stancorp Finl Group Inc COM 852891100 1943 48551.00 SH SOLE 48526.00 Steel Dynamics Inc. COM 858119100 324 18300.00 SH SOLE 18300.00 Strategic Diagnostics Inc COM 862700101 497 365375.00 SH SOLE 365175.00 Sunopta Inc COM 8676EP108 2253 670482.00 SH SOLE 670092.00 Sycamore Networks Inc COM 871206405 1125 53811.00 SH SOLE 53777.00 Sypris Solutions Inc COM 871655106 975 345613.00 SH SOLE 345398.00 TTM Technologies COM 87305r109 263 22840.00 SH SOLE 22840.00 Tempur-Pedic Intl Inc COM 88023U101 5534 234190.00 SH SOLE 234060.00 Terex COM 880779103 2549 128690.00 SH SOLE 128635.00 The Scotts Miracle Gro Company COM 810186106 683 17370.00 SH SOLE 17370.00 TriCo Bancshares COM 896095106 1308 78580.00 SH SOLE 78530.00 Tutor Perini Corp. COM 901109108 308 17060.00 SH SOLE 17060.00 U S Physical Therapy Inc COM 90337L108 3881 229224.00 SH SOLE 229094.00 Universal Fst Prods Inc COM 913543104 1175 31909.00 SH SOLE 31889.00 Varian Semiconductor Equip Ass COM 922207105 9250 257807.00 SH SOLE 257677.00 Vicor Corp COM 925815102 1733 186292.00 SH SOLE 186182.00 Vivus Inc COM 928551100 2295 249432.00 SH SOLE 249277.00 Volcano Corp. COM 928645100 2035 117100.00 SH SOLE 117035.00 Watts Water Technologies, Inc. COM 942749102 2454 79358.00 SH SOLE 79308.00 Wausau Paper Corp COM 943315101 3855 332304.00 SH SOLE 332134.00 Western Digital COM 958102105 287 6490.00 SH SOLE 6490.00 Whitney Holding Corporation Co COM 966612103 863 94739.00 SH SOLE 94679.00 Whole Foods Market COM 966837106 3487 127047.00 SH SOLE 126982.00 Williams Control Inc COM 969465608 599 75965.00 SH SOLE 75965.00 Xerox Corp COM 984121103 97 11480.00 SH SOLE 11480.00 Zoran Corp Com COM 98975F101 1954 176826.00 SH SOLE 176711.00
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