-----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, U2UhsyERX2KDGL07Ow1Qb51jANrXjZupa+f53E5dWfHfg3tfGdDDV52+hZunZx5c RvSX4B9J6pL1PWWoZf+L6w== 0000909012-10-000490.txt : 20101021 0000909012-10-000490.hdr.sgml : 20101021 20101021141407 ACCESSION NUMBER: 0000909012-10-000490 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101021 DATE AS OF CHANGE: 20101021 EFFECTIVENESS DATE: 20101021 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: 101134834 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 t306067.txt IRONWOOD INVESTMENT MGMT 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, 2010 ------------------- 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: John Barnett --------------------------------------------------------- Title: Chief Compliance Officer --------------------------------------------------------- Phone: 617.757.7609 --------------------------------------------------------- Signature, Place and Date of Signing: Boston, MA October , 2010 - ------------------------------- --------------- -------------------- [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: 156 ------------------- Form 13F Information Table Value Total: $225,327 ------------------- (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 429 32340.00 SH SOLE 32340.00 ATMI Inc. COM 00207r101 311 20920.00 SH SOLE 20920.00 Acco Brands Corp. COM 00081T108 1054 183273.00 SH SOLE 183158.00 Actividentity Corp COM 00506P103 2431 1120271.00 SH SOLE 1119881.00 Aes Corp Com COM 00130H105 333 29325.00 SH SOLE 29325.00 Airtran Hldgs Inc COM 00949P108 1513 205784.00 SH SOLE 205699.00 Albemarle Corp COM 012653101 526 11235.00 SH SOLE 11235.00 Amedisys Inc. COM 023436108 1039 43642.00 SH SOLE 43612.00 American Coml Lines Inc COM 025195405 1541 55273.00 SH SOLE 55238.00 American Railcar Inds COM 02916P103 318 20295.00 SH SOLE 20295.00 Analogic Corp New COM 032657207 3481 77562.01 SH SOLE 77527.01 Ariad Pharmaceuticals Inc COM 04033a100 2784 728777.00 SH SOLE 728537.00 Arrow Electronics COM 042735100 488 18265.00 SH SOLE 18265.00 Ascent Media Corp Com Ser A COM 043632108 1049 39284.00 SH SOLE 39259.00 Ashford Hospitality Trust COM 044103109 714 78905.00 SH SOLE 78905.00 BTU International COM 056032105 2135 308569.00 SH SOLE 308359.00 Bank Of Amer Corp COM 060505104 179 13665.00 SH SOLE 13665.00 Barnes Group Inc. COM 067806109 368 20905.00 SH SOLE 20905.00 Beacon Roofing Supply Inc COM 073685109 2453 168357.00 SH SOLE 168262.00 Belden Inc COM 077454106 413 15665.00 SH SOLE 15665.00 Berkshire Hills Bancorp Inc COM 084680107 2209 116524.00 SH SOLE 116459.00 Berry Petroleum Co. COM 085789105 266 8370.00 SH SOLE 8370.00 Boston Privt Finl Hldg Com COM 101119105 1119 171136.00 SH SOLE 171021.00 Bristol Myers Squibb COM 110122108 345 12732.00 SH SOLE 12732.00 Brocade Communctns Sys Com COM 111621306 243 41425.00 SH SOLE 41425.00 Bronco Drilling Co Inc COM 112211107 569 143224.00 SH SOLE 143134.00 CACI, Inc. COM 127190304 557 12300.00 SH SOLE 12300.00 CVR Energy Inc COM 12662p108 405 49050.00 SH SOLE 49050.00 Cache Inc. COM 127150308 2150 421501.00 SH SOLE 421301.00 Callaway Golf Co Com COM 131193104 1675 239322.00 SH SOLE 239187.00 Carter Inc. COM 146229109 3354 127385.00 SH SOLE 127320.00 Ce Franklin Ltd Com COM 125151100 357 53371.00 SH SOLE 53371.00 Celsion Corp COM 15117n305 172 56640.00 SH SOLE 56640.00 Cenveo Inc. COM 15670s105 388 77170.00 SH SOLE 77170.00 Chiquita Brands Inc. COM 170032809 2191 165454.00 SH SOLE 165374.00 Citigroup COM 172967101 49 12495.00 SH SOLE 12495.00 Commercial Vehicle Group COM 202608105 565 55455.00 SH SOLE 55455.00 Commscope, Inc. COM 203372107 278 11710.00 SH SOLE 11710.00 Comverge Inc. COM 205859101 1235 157181.00 SH SOLE 157086.00 Cpi Aerostructures COM 125919308 228 22775.00 SH SOLE 22775.00 Cytokinetics Inc. COM 23282w100 2179 825329.00 SH SOLE 824869.00 Darling International COM 237266101 2613 306700.00 SH SOLE 306560.00 Denbury Resources Inc. COM 247916208 231 14545.00 SH SOLE 14545.00 Diana Shipping Inc. COM y2066g104 2151 169373.00 SH SOLE 169288.00 Digital River Inc. COM 25388b104 3154 92667.00 SH SOLE 92612.00 Durect Corp COM 266605104 4940 1945028.00 SH SOLE 1944018.00 Dycom Industries COM 267475101 1701 170313.00 SH SOLE 170223.00 Dynamics Research Corp. COM 268057106 286 27800.00 SH SOLE 27800.00 Ems Technologies Inc COM 26873N108 2846 152754.00 SH SOLE 152674.00 Esterline Corp. COM 297425100 413 7225.00 SH SOLE 7225.00 Exxon Mobil Corp COM 30231G102 874 14151.00 SH SOLE 14151.00 FTI Consulting Inc. COM 302941109 805 23200.00 SH SOLE 23200.00 Ferro Corp COM 315405100 507 39325.00 SH SOLE 39325.00 First California Financial Gro COM 319395109 97 39260.00 SH SOLE 39260.00 First Mercury Finl Com COM 320841109 1208 119835.00 SH SOLE 119755.00 Flanders Corp. COM 338494107 1212 397428.00 SH SOLE 397193.00 Freightcar America Inc. COM 357023100 1052 42752.00 SH SOLE 42727.00 Frontier Oil Corp. COM 35914P105 2371 176965.00 SH SOLE 176875.00 General Electric COM 369604103 500 30796.00 SH SOLE 30796.00 Global Industries LTD COM 379336100 3113 569097.00 SH SOLE 568837.00 Goodyear Tire & Rubr Co COM 382550101 273 25400.00 SH SOLE 25400.00 Group 1 Automotive COM 398905109 492 16475.00 SH SOLE 16475.00 Hanover Insurance Group Inc COM 410867105 3230 68725.00 SH SOLE 68700.00 Hewlett Packard COM 428236103 673 15994.00 SH SOLE 15994.00 Hudson Highland Group Inc COM 443792106 776 225494.00 SH SOLE 225349.00 Insteel Industries Inc. COM 45774w108 367 40900.00 SH SOLE 40900.00 Intel COM 458140100 247 12851.00 SH SOLE 12851.00 International Coal Group Inc COM 45928H106 2704 508362.00 SH SOLE 508102.00 Intl Business Machines COM 459200101 1146 8546.00 SH SOLE 8546.00 Jarden Corp. COM 471109108 1004 32255.00 SH SOLE 32255.00 Jos A Bank Clothiers Inc COM 480838101 5487 128773.50 SH SOLE 128706.50 Kenexa Corp Com COM 488879107 2968 169422.00 SH SOLE 169317.00 Kona Grill Inc COM 50047H201 780 225502.00 SH SOLE 225376.00 LTX-Credence Corp Com COM 502403207 701 335191.00 SH SOLE 335016.00 Lincare Holdings Inc. COM 532791100 407 16237.00 SH SOLE 16237.00 Livewire Mobile Inc Com COM 53837p201 226 81409.00 SH SOLE 81375.00 Louisiana-Pacific Corp. COM 546347105 203 26835.00 SH SOLE 26835.00 Lubrizol Corp. COM 549271104 479 4520.00 SH SOLE 4520.00 Madden Steven Ltd COM 556269108 4415 107537.00 SH SOLE 107477.00 Manitex Intl Inc Com COM 563420108 207 86430.00 SH SOLE 86430.00 Manitowoc Inc. COM 563571108 347 28615.00 SH SOLE 28615.00 Material Sciences Corp COM 576674105 975 218504.00 SH SOLE 218404.00 Maxwell Technologies Inc COM 577767106 1424 97455.00 SH SOLE 97390.00 Mckesson COM 58155Q103 850 13762.00 SH SOLE 13762.00 Meadowbrook Insurance Group COM 58319P108 428 47750.00 SH SOLE 47750.00 Measurement Specialties Inc COM 583421102 1571 85009.00 SH SOLE 84959.00 Mens Wearhouse Inc. COM 587118100 322 13515.00 SH SOLE 13515.00 Mentor Graphics Corp COM 587200106 2541 240371.00 SH SOLE 240221.00 Merck COM 58933y105 277 7524.00 SH SOLE 7524.00 Mercury Computer Systems COM 589378108 3586 298093.00 SH SOLE 297903.00 Metalico Inc COM 591176102 1359 354771.00 SH SOLE 354536.00 Mocon Inc COM 607494101 338 27045.00 SH SOLE 27045.00 Moduslink Global Solut Com COM 60786L107 1137 179030.00 SH SOLE 178921.00 Motorola COM 620076109 110 12885.00 SH SOLE 12885.00 NCR Corporation COM 62886e108 832 61070.00 SH SOLE 61070.00 Nautilus Inc COM 63910B102 398 299517.00 SH SOLE 299377.00 NetSuite Inc. COM 64118q107 1452 61605.00 SH SOLE 61570.00 Newalliance Bancshares Inc COM 650203102 1979 156782.00 SH SOLE 156697.00 Newpark Res Inc COM 651718504 2995 356579.00 SH SOLE 356384.00 Northwestern Corp Com New COM 668074305 366 12843.00 SH SOLE 12843.00 Novavax Corp COM 670002104 1935 883744.00 SH SOLE 883359.00 Olin Corp COM 680665205 400 19820.00 SH SOLE 19820.00 Pegasystems Inc COM 705573103 5288 170304.00 SH SOLE 170219.00 Pepsico COM 713448108 349 5255.00 SH SOLE 5255.00 Perficient Inc Com COM 71375U101 1697 185645.00 SH SOLE 185530.00 PetMed Express Inc. COM 716382106 282 16110.00 SH SOLE 16110.00 Petrohawk Energy Corp COM 716495106 1037 64262.00 SH SOLE 64227.00 Pfizer COM 717081103 274 15963.00 SH SOLE 15963.00 Pma Cap Corp COM 693419202 2870 380639.00 SH SOLE 380399.00 Polyone Corp COM 73179P106 727 60105.00 SH SOLE 60105.00 Prestige Brand Holdings Inc. COM 74112d101 2458 248543.00 SH SOLE 248418.00 Progessive Corp Ohio COM 743315103 290 13875.00 SH SOLE 13875.00 Progress Software Corp COM 743312100 4786 144589.00 SH SOLE 144509.00 Pros Holdings Inc. COM 74346y103 111 11980.00 SH SOLE 11980.00 Reddy Ice Holdings COM 75734r105 408 179105.00 SH SOLE 179105.00 Rti International Metals Inc. COM 74973w107 3575 116765.00 SH SOLE 116710.00 Russell Value Index COM 464287630 281 4535.00 SH SOLE 4535.00 SM Energy Company COM 78454l100 414 11045.00 SH SOLE 11045.00 SandRidge Energy Inc. COM 80007p307 2200 387370.77 SH SOLE 387156.77 Schulman A Inc COM 808194104 1939 96204.00 SH SOLE 96147.00 Shaw Group Inc. COM 820280105 4851 144550.00 SH SOLE 144480.00 Shoe Carnival Inc COM 824889109 2102 103973.00 SH SOLE 103913.00 Skilled Healthcare Group Inc COM 83066r107 66 16800.00 SH SOLE 16800.00 Sonus Networks Inc COM 835916107 2400 679855.00 SH SOLE 679460.00 Southwest Bancorp Okla Com COM 844767103 1103 85055.00 SH SOLE 85000.00 Spectrum Pharmaceuticals Inc. COM 84763a108 197 47140.00 SH SOLE 47140.00 Stancorp Finl Group Inc COM 852891100 1820 47882.00 SH SOLE 47857.00 Steel Dynamics Inc. COM 858119100 678 48050.00 SH SOLE 48050.00 Sterling Construction Co COM 859241101 507 40950.00 SH SOLE 40950.00 Strategic Diagnostics Inc. COM 862700101 583 359884.00 SH SOLE 359684.00 Sunopta Inc COM 8676EP108 4055 665908.00 SH SOLE 665518.00 Sycamore Networks Inc COM 871206405 1724 53207.50 SH SOLE 53173.50 Synta Pharmaceuticals Corp COM 87162t206 203 50980.00 SH SOLE 50980.00 Sypris Solutions Inc COM 871655106 1079 348068.00 SH SOLE 347853.00 TTM Technologies COM 87305r109 749 76490.00 SH SOLE 76490.00 Teletech Holdings, Inc COM 879939106 1062 71569.00 SH SOLE 71524.00 Tempur-Pedic Intl Inc COM 88023U101 6384 205920.00 SH SOLE 205805.00 Terex COM 880779103 2920 127397.00 SH SOLE 127342.00 The Dolan Company COM 25659p402 2322 204247.00 SH SOLE 204177.00 The Scotts Miracle Gro Company COM 810186106 917 17720.00 SH SOLE 17720.00 TriCo Bancshares COM 896095106 1199 77994.00 SH SOLE 77944.00 Tutor Perini Corp. COM 901109108 337 16770.00 SH SOLE 16770.00 U S Physical Therapy Inc COM 90337L108 3783 226244.00 SH SOLE 226114.00 Universal Fst Prods Inc COM 913543104 927 31698.00 SH SOLE 31678.00 Varian Semiconductor Equip Ass COM 922207105 7427 258049.00 SH SOLE 257919.00 Vicor Corp COM 925815102 2697 184588.00 SH SOLE 184478.00 Vivus Inc COM 928551100 1233 184318.00 SH SOLE 184208.00 Volcano Corp. COM 928645100 3009 115816.00 SH SOLE 115751.00 Watts Water Technologies, Inc. COM 942749102 2683 78806.00 SH SOLE 78756.00 Wausau Paper Corp COM 943315101 2813 339344.00 SH SOLE 339174.00 Western Digital COM 958102105 413 14540.00 SH SOLE 14540.00 Whitney Holding Corporation Co COM 966612103 771 94423.00 SH SOLE 94363.00 Whole Foods Market COM 966837106 4608 124184.00 SH SOLE 124119.00 Williams Control Inc COM 969465608 690 75677.00 SH SOLE 75677.00 Xerox Corp COM 984121103 118 11364.52 SH SOLE 11364.52 Zoran Corp Com COM 98975F101 1337 174977.00 SH SOLE 174862.00
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