0000909012-11-000527.txt : 20111020 0000909012-11-000527.hdr.sgml : 20111020 20111020150521 ACCESSION NUMBER: 0000909012-11-000527 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111020 DATE AS OF CHANGE: 20111020 EFFECTIVENESS DATE: 20111020 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: 111150166 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 t306516.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: September 30, 2011 ------------------- 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: /s/ JOHN O. BARNETT Boston, MA October 20, 2011 ------------------------------- --------------- -------------------- [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: $366,620 ------------------- (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 E S Corp COM 00130H105 275 28225.00 SH SOLE 28225.00 A T M I Inc COM 00207r101 2534 160205.00SH SOLE 160205.00 Acco Brands Corp COM 00081T108 1631 341844.00SH SOLE 341844.00 Albemarle Corp COM 012653101 457 11305.00 SH SOLE 11305.00 Amag Pharma Inc COM 00163U106 4977 337173.00SH SOLE 337173.00 Amedisys Inc COM 023436108 1204 81256.00 SH SOLE 81256.00 America's Car-Mart Inc. COM 03062t105 778 26800.00 SH SOLE 26800.00 American Railcar Inds COM 02916P103 185 12030.00 SH SOLE 12030.00 Amern Superconductor Cp COM 030111108 953 242522.00SH SOLE 242522.00 Analogic Corp COM 032657207 5856 128955.01SH SOLE 128955.01 Ariad Pharmaceuticals Inc COM 04033a100 6713 763686.00SH SOLE 763686.00 Arrow Electronics COM 042735100 816 29365.00 SH SOLE 29365.00 Ascent Capital Group COM 043632108 2900 73752.00 SH SOLE 73752.00 Ashford Hospitality Tr Reit COM 044103109 537 76555.00 SH SOLE 76555.00 B T U International Inc COM 056032105 2106 474221.00SH SOLE 474221.00 Bank Of America Corp COM 060505104 84 13770.00 SH SOLE 13770.00 Barnes Group Inc COM 067806109 400 20755.00 SH SOLE 20755.00 Barrett Business Services Inc. COM 068463108 692 49650.00 SH SOLE 49650.00 Beacon Roofing Supply COM 073685109 4634 289835.00SH SOLE 289835.00 Belden Inc COM 077454106 401 15565.00 SH SOLE 15565.00 Benchmark Electronics COM 08160h101 135 10385.00 SH SOLE 10385.00 Berkshire Hills Bancorp COM 084680107 3740 202486.00SH SOLE 202486.00 Berry Petroleum Co Cl A COM 085789105 255 7200.00 SH SOLE 7200.00 Boston Private Finl Hldg COM 101119105 4975 846068.00SH SOLE 846068.00 Bristol-Myers Squibb Co COM 110122108 400 12732.00 SH SOLE 12732.00 Brocade Communs Sys New COM 111621306 364 84330.00 SH SOLE 84330.00 C A C I Inc Cl A COM 127190304 612 12250.00 SH SOLE 12250.00 C E Franklin Ltd F COM 125151100 417 51326.00 SH SOLE 51326.00 C S G Systems Intl Inc COM 126349109 4358 344785.00SH SOLE 344785.00 Cache Inc New COM 127150308 3824 766404.00SH SOLE 766404.00 Callaway Golf COM 131193104 2334 451539.00SH SOLE 451539.00 Carrizo Oil & Gas Inc COM 144577103 3512 162951.00SH SOLE 162951.00 Carters Inc COM 146229109 6671 218419.00SH SOLE 218419.00 Castle A M & Co COM 148411101 402 36740.00 SH SOLE 36740.00 Celsion Corp New COM 15117n305 104 41655.00 SH SOLE 41655.00 Cenveo Inc COM 15670s105 638 212050.00SH SOLE 212050.00 Ceradyne Inc Com COM 156710105 2805 104300.00SH SOLE 104300.00 Chiquita Brands Intl New COM 170032809 2413 289346.00SH SOLE 289346.00 City National Corp. COM 178566105 3703 98065.00 SH SOLE 98065.00 Columbia Banking Systems COM 197236102 4059 283463.00SH SOLE 283463.00 Commercial Vehicle Group COM 202608105 438 66605.00 SH SOLE 66605.00 Comverge Inc COM 205859101 533 293109.00SH SOLE 293109.00 Cpi Aerostructures New COM 125919308 254 26685.00 SH SOLE 26685.00 Cytokinetics Inc COM 23282W100 1723 1472587.00SH SOLE 1472587.00 Darling Intl Inc COM 237266101 6237 495399.00SH SOLE 495399.00 Denbury Res Inc New COM 247916208 166 14475.00 SH SOLE 14475.00 Diana Shipping Inc F COM Y2066G104 2151 289846.00SH SOLE 289846.00 Digital River Inc COM 25388B104 3439 165897.00SH SOLE 165897.00 Dolan Company COM 25659P402 2663 296235.00SH SOLE 296235.00 Durect Corp COM 266605104 5336 3314581.00SH SOLE 3314581.00 Dycom Industries Inc COM 267475101 4218 275668.00SH SOLE 275668.00 Dynamics Research Corp. COM 268057106 248 27800.00 SH SOLE 27800.00 Energysolutions Inc COM 292756202 3083 873404.00SH SOLE 873404.00 Esterline Corp. COM 297425100 385 7425.00 SH SOLE 7425.00 Exxon Mobil Corporation COM 30231G102 984 13546.00 SH SOLE 13546.00 F T I Consulting Inc COM 302941109 863 23450.00 SH SOLE 23450.00 Ferro Corp COM 315405100 512 83245.00 SH SOLE 83245.00 First Niagara Finl New COM 33582V108 3982 435211.00SH SOLE 435211.00 Flanders Corp COM 338494107 2084 706524.00SH SOLE 706524.00 Freightcar America Inc COM 357023100 1156 80242.00 SH SOLE 80242.00 Galena Biopharma Inc. COM 363256108 134 205920.00SH SOLE 205920.00 General Electric Company COM 369604103 466 30611.00 SH SOLE 30611.00 Gfi Group Inc COM 361652209 219 54495.00 SH SOLE 54495.00 Global Industries Ltd COM 379336100 9596 1211656.00SH SOLE 1211656.00 Goodyear Tire & Rubber COM 382550101 253 25070.00 SH SOLE 25070.00 Griffon Corp COM 398433102 566 69150.00 SH SOLE 69150.00 Group 1 Automotive COM 398905109 586 16475.00 SH SOLE 16475.00 Hancock Holding Co COM 410120109 1971 73501.20 SH SOLE 73501.20 Hanover Insurance Group COM 410867105 5361 151026.00SH SOLE 151026.00 Hewlett-Packard Company COM 428236103 504 22429.00 SH SOLE 22429.00 Hollyfrontier Corp COM 436106108 3942 150325.18SH SOLE 150325.18 Hudson Highland Group COM 443792106 1437 420121.00SH SOLE 420121.00 Insteel Industries Inc. COM 45774w108 134 13330.00 SH SOLE 13330.00 Intel Corp COM 458140100 269 12601.00 SH SOLE 12601.00 Intl Business Machines COM 459200101 1405 8036.00 SH SOLE 8036.00 Jarden Corp. COM 471109108 912 32255.00 SH SOLE 32255.00 Joseph A Bank Clothiers COM 480838101 10364 222271.00SH SOLE 222271.00 Kenexa Corporation COM 488879107 4968 317635.00SH SOLE 317635.00 Kona Grill Inc COM 50047H201 2152 387677.00SH SOLE 387677.00 Limelight Networks Inc COM 53261M104 2835 1201275.00SH SOLE 1201275.00 Lincare Holdings Inc. COM 532791100 365 16237.00 SH SOLE 16237.00 Ltx-Credence Corp New COM 502403207 1259 238062.33SH SOLE 238062.33 Madden Steven Ltd COM 556269108 7278 241804.50SH SOLE 241804.50 Manitex International COM 563420108 162 45615.00 SH SOLE 45615.00 Manitowoc Inc. COM 563571108 192 28615.00 SH SOLE 28615.00 Material Sciences Corp COM 576674105 2215 344420.00SH SOLE 344420.00 Maxwell Technologies Inc COM 577767106 3317 180160.00SH SOLE 180160.00 Mckesson Corporation COM 58155Q103 816 11227.00 SH SOLE 11227.00 Meadowbrook Insurance Gp COM 58319P108 4252 477244.00SH SOLE 477244.00 Measurement Specialties COM 583421102 3903 150328.00SH SOLE 150328.00 Mens Wearhouse Inc. COM 587118100 352 13515.00 SH SOLE 13515.00 Mentor Graphics Corp COM 587200106 4227 439441.00SH SOLE 439441.00 Merck & Co Inc New COM 58933y105 218 6674.00 SH SOLE 6674.00 Mercury Computer Systems COM 589378108 6366 553553.00SH SOLE 553553.00 Metalico Inc COM 591176102 2561 656765.00SH SOLE 656765.00 Mocon Inc COM 607494101 359 22796.00 SH SOLE 22796.00 Moduslink Global Sol Inc COM 60786L107 1169 335098.00SH SOLE 335098.00 N C R Corp New COM 62886e108 1033 61170.00 SH SOLE 61170.00 Nautilus Inc COM 63910B102 840 560247.00SH SOLE 560247.00 Newmarket Corp. COM 651587107 509 3350.00 SH SOLE 3350.00 Newpark Resources Inc COM 651718504 3845 631432.00SH SOLE 631432.00 Northwestern Corp New COM 668074305 394 12348.00 SH SOLE 12348.00 Novavax Inc COM 670002104 2360 1474698.00SH SOLE 1474698.00 Old Republic Intl Corp COM 680223104 3387 379682.00SH SOLE 379682.00 Olin Corp COM 680665205 344 19080.00 SH SOLE 19080.00 Pegasystems Inc COM 705573103 9138 298534.00SH SOLE 298534.00 Pepsico Incorporated COM 713448108 325 5255.00 SH SOLE 5255.00 Perficient Inc COM 71375U101 3548 484724.00SH SOLE 484724.00 Pfizer Incorporated COM 717081103 214 12089.00 SH SOLE 12089.00 Pilgrim's Pride Corp. COM 72147k108 259 60670.00 SH SOLE 60670.00 Polyone Corp COM 73179P106 221 20670.00 SH SOLE 20670.00 Prestige Brands Holdings COM 74112D101 3657 404040.00SH SOLE 404040.00 Progress Software Corp COM 743312100 6754 384852.00SH SOLE 384852.00 Progressive Corp Ohio COM 743315103 246 13840.00 SH SOLE 13840.00 Quiksilver Inc. COM 74838c106 1743 571400.00SH SOLE 571400.00 R T I Intl Metals Inc COM 74973W107 4225 181170.00SH SOLE 181170.00 Reddy Ice Holdings COM 75734r105 222 177640.00SH SOLE 177640.00 Rex Energy Corp COM 761565100 6558 518380.00SH SOLE 518380.00 Rockville Financial New COM 774188106 1606 169460.00SH SOLE 169460.00 Sandridge Energy Inc COM 80007P307 3663 658755.77SH SOLE 658755.77 Schulman A Inc COM 808194104 2946 173400.60SH SOLE 173400.60 Scotts Miracle Gro Co COM 810186106 634 14220.00 SH SOLE 14220.00 Shaw Group Inc COM 820280105 5204 239391.00SH SOLE 239391.00 Shoe Carnival Inc COM 824889109 4617 195621.00SH SOLE 195621.00 Sm Energy Company COM 78454l100 655 10795.00 SH SOLE 10795.00 Sonus Networks Inc COM 835916107 2585 1196552.00SH SOLE 1196552.00 Southwest Airlines Co COM 844741108 930 115633.44SH SOLE 115633.44 Southwest Bancorp Okla COM 844767103 763 180770.00SH SOLE 180770.00 Spectrum Pharmaceuticals Inc. COM 84763a108 318 41640.00 SH SOLE 41640.00 Stancorp Finl Group Inc COM 852891100 3649 132360.00SH SOLE 132360.00 Steel Dynamics Inc COM 858119100 494 49750.00 SH SOLE 49750.00 Sterling Construction Co COM 859241101 466 41750.00 SH SOLE 41750.00 Strat Diagnostics Inc COM 862700101 1095 629375.00SH SOLE 629375.00 Sunopta Inc F COM 8676EP108 5797 1175860.00SH SOLE 1175860.00 Sycamore Netwrks Inc New COM 871206405 1785 98890.50 SH SOLE 98890.50 Synta Pharmaceuticals COM 87162t206 174 53400.00 SH SOLE 53400.00 Sypris Solutions Inc COM 871655106 1915 638472.00SH SOLE 638472.00 Teleflex Incorporated COM 879369106 5327 99079.00 SH SOLE 99079.00 Teletech Holdings Inc COM 879939106 5107 335111.00SH SOLE 335111.00 Tempur Pedic Intl COM 88023U101 16644 316372.00SH SOLE 316372.00 Terex Corp COM 880779103 2304 224590.00SH SOLE 224590.00 Trico Bancshs Chico Ca COM 896095106 1773 144472.00SH SOLE 144472.00 Triquint Semiconductor, Inc. COM 89674K103 3592 715490.00SH SOLE 715490.00 Ttm Technologies Inc COM 87305r109 865 90925.00 SH SOLE 90925.00 Tutor Perini Corp COM 901109108 271 23565.00 SH SOLE 23565.00 U S Physical Therapy COM 90337L108 7447 402114.00SH SOLE 402114.00 Universal Forest Product COM 913543104 1414 58790.00 SH SOLE 58790.00 Vicor Corp COM 925815102 2949 337032.00SH SOLE 337032.00 Vivus Inc COM 928551100 2758 341817.00SH SOLE 341817.00 Volcano Corporation COM 928645100 6177 208459.00SH SOLE 208459.00 Watts Water Tech Inc A Class A COM 942749102 3911 146741.00SH SOLE 146741.00 Wausau Paper Corp COM 943315101 3849 602315.00SH SOLE 602315.00 Western Digital Corp COM 958102105 389 15140.00 SH SOLE 15140.00 Whole Foods Market Inc COM 966837106 448 6855.00 SH SOLE 6855.00 Williams Controls New COM 969465608 806 73877.00 SH SOLE 73877.00 Xerox Corp COM 984121103 76 10965.58 SH SOLE 10965.58