-----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, T00Dy67DcybLPpMhw2amS3g9Izn/D5VXRyFwj1E3j+Wgh6Z9b/RtMDsbfXCBSH+F P/UmmGlNo1FQ5C5+4T2wJw== 0001405086-09-001112.txt : 20091113 0001405086-09-001112.hdr.sgml : 20091113 20091113133155 ACCESSION NUMBER: 0001405086-09-001112 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: J.H. Whitney Investment Management, LLC CENTRAL INDEX KEY: 0001426128 IRS NUMBER: 201025478 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12714 FILM NUMBER: 091180518 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE STREET 2: SUITE 1307 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 212-835-1974 MAIL ADDRESS: STREET 1: 375 PARK AVENUE STREET 2: SUITE 1307 CITY: NEW YORK STATE: NY ZIP: 10152 13F-HR 1 f00650885.txt 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 an Amendment [ ]; Amendment Number: _________ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. INSTITUTIONAL INVESTMENT MANAGER FILING THIS REPORT: Name: J.H. Whitney Investment Management, LLC Address: 375 Park Avenue, Suite 1307 New York, New York 10152 Form 13F File Number: 028-12714 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 it 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 M.B. O'Connor, Managing Member Phone: (212) 835-1950 Signature, Place, and Date of Signing: /s/ John M.B. O'Connor New York, New York November 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: Two (2) Form 13F Information Table Entry Total: 28 Form 13F Information Table Value Total: $25,142 (thousands) LIST OF OTHER INCLUDED MANAGERS: - --------------------------------------------------------------- |NO.|FORM 13F FILE NO.| NAME | - --------------------------------------------------------------- | 1 | 028-12717 |Whitney Green River Management Co., LLC| - --------------------------------------------------------------- | 2 | 028-12716 |Whitney Green River GP, LLC | - --------------------------------------------------------------- 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP x($1000) PRN AMT PRN CALL DISCRETN MANAGER SOLE SHARED NONE ALLIED HEALTHCARE INTL INC COM 01923A109 2,045 730,236 SH DEFINED 1,2 730,236 0 0 ALLSCRIPTS HEALTHC SOL COM 01988P108 209 10,300 SH DEFINED 1,2 10,300 0 0 ARGAN INC COM 04010E109 306 22,788 SH DEFINED 1,2 22,788 0 0 ARRIS GROUP INC COM 04269Q100 1,717 132,000 SH DEFINED 1,2 132,000 0 0 CASH AMER INTL INC COM 14754D100 1,206 40,000 SH DEFINED 1,2 40,000 0 0 DARLING INTL INC COM 237266101 394 53,600 SH DEFINED 1,2 53,600 0 0 DOLLAR FIN CORP COM 256664103 2,169 135,400 SH DEFINED 1,2 135,400 0 0 EPIQ SYS INC COM 26882D109 786 54,200 SH DEFINED 1,2 54,200 0 0 EZCORP INC CL A NON VTG 302301106 492 36,000 SH DEFINED 1,2 36,000 0 0 GENESIS LEASE LTD ADR 37183T107 1,143 127,700 SH DEFINED 1,2 127,700 0 0 HARRIS STRATEX NTWRKS INC CL A 41457P106 259 37,000 SH DEFINED 1,2 37,000 0 0 HERBALIFE LTD COM USD SHS G4412G101 2,030 62,000 SH DEFINED 1,2 62,000 0 0 HYPERCOM CORP COM 44913M105 581 187,435 SH DEFINED 1,2 187,435 0 0 ICON PUB LTD CO SPONSORED ADR 45103T107 207 8,450 SH DEFINED 1,2 8,450 0 0 INVERNESS MED INNOVATIONS IN COM 46126P106 1,966 50,770 SH DEFINED 1,2 50,770 0 0 ITRON INC COM 465741106 449 7,000 SH DEFINED 1,2 7,000 0 0 LIBERTY MEDIA CORP NEW ENT COM SER A 53071M500 1,528 49,100 SH DEFINED 1,2 49,100 0 0 METROPCS COMMUNICATIONS INC COM 591708102 468 50,000 SH DEFINED 1,2 50,000 0 0 NMT MED INC COM 629294109 240 116,369 SH DEFINED 1,2 116,369 0 0 PAREXEL INTL CORP COM 699462107 262 19,300 SH DEFINED 1,2 19,300 0 0 PHARMACEUTICAL PROD DEV INC COM 717124101 204 9,300 SH DEFINED 1,2 9,300 0 0 PORTFOLIO RECOVERY ASSOCS INC COM 73640Q105 1,763 38,900 SH DEFINED 1,2 38,900 0 0 SCHOOL SPECIALTY INC COM 807863105 1,684 71,000 SH DEFINED 1,2 71,000 0 0 SUNOPTA INC COM 8676EP108 689 170,000 SH DEFINED 1,2 170,000 0 0 TELETECH HOLDINGS INC COM 879939106 853 50,000 SH DEFINED 1,2 50,000 0 0 TRANSDIGM GROUP INCORPORATED COM 893641100 747 15,000 SH DEFINED 1,2 15,000 0 0 VCA ANTECH INC COM 918194101 538 20,000 SH DEFINED 1,2 20,000 0 0 WEST PHARMACEUTICAL SVCS INC COM 955306105 207 5,100 SH DEFINED 1,2 5,100 0 0
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