0000947055-12-000005.txt : 20121114 0000947055-12-000005.hdr.sgml : 20121114 20121114151701 ACCESSION NUMBER: 0000947055-12-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROCKWOOD INVESTMENT MANAGEMENT, INC CENTRAL INDEX KEY: 0000947055 IRS NUMBER: 133385553 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11709 FILM NUMBER: 121203874 BUSINESS ADDRESS: STREET 1: 35 MASON STREET STREET 2: 4TH FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2036250047 MAIL ADDRESS: STREET 1: 35 MASON STREET STREET 2: 4TH FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWOOD ASSET MANAGEMENT, LLC DATE OF NAME CHANGE: 20111114 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWOOD ASSET MANAGEMENT, INC DATE OF NAME CHANGE: 20061103 FORMER COMPANY: FORMER CONFORMED NAME: ROCKWOOD PARTNERS L P DATE OF NAME CHANGE: 19950622 13F-HR 1 3Q2012Rockwood13F.txt ROCKWOOD INVESTMENT MANAGEMENT, INC. 1 3Q2012Rockwood13F.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, 2012 Check here if Amendment |_|; Amendment Number: _____ This Amendment (Check only one.): |_| is a restatement. |_| adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Rockwood Investment Management, Inc. Address: 35 Mason Street, 4th Floor Greenwich, CT 06830 Form 13F File Number: 028-11709 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: Jay Buck Title: President Phone: 203-625-0047 Signature, Place, and Date of Signing: /s/ Jay Buck Greenwich, CT 11/14/12 ---------------------- -------------------- -------- (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: 43 Form 13F Information Value Total (thousands): $43,703 List of Other Included Managers: NONE Form 13F-HR Information Table
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE -------------------- --------- --------- -------- -------- --- ---- ------- ---------- -------- -------- -------- BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 265 3000 SH Sole 3000 0 0 BLACKROCK ENHANCED EQT DIV T COM 09251A104 227 30000 SH Sole 30000 0 0 BLACKROCK ENHANCED GOVT FD I COM 09255K108 2605 167000 SH Sole 167000 0 0 BLACKROCK INTL GRWTH & INC T COM BENE INTER 092524107 507 69600 SH Sole 69600 0 0 BOULDER GROWTH & INCOME FD I COM 101507101 987 150729 SH Sole 150729 0 0 BOULDER TOTAL RETURN FD INC COM 101541100 585 32500 SH Sole 32500 0 0 CATERPILLAR INC DEL COM 149123101 258 3000 SH Sole 3000 0 0 CAZADOR ACQUISITION CORPORAT SHS G19867103 502 50000 SH Sole 50000 0 0 CENTRAL SECS CORP COM 155123102 467 23131 SH Sole 23131 0 0 CHIMERA INVT CORP COM 16934Q109 799 295000 SH Sole 295000 0 0 CORNERSTONE PROGRESSIVE RTN COM 21925C101 1420 250000 SH Sole 250000 0 0 CORNERSTONE STRATEGIC VALUE COM NEW 21924B203 662 87200 SH Sole 87200 0 0 DELL INC COM 24702R101 99 10000 SH Sole 10000 0 0 DNP SELECT INCOME FD COM 23325P104 1490 151125 SH Sole 151125 0 0 EATON VANCE RISK MNGD DIV EQ COM 27829G106 1155 109700 SH Sole 109700 0 0 EATON VANCE TAX MNGD GBL DV COM 27829F108 3245 368297 SH Sole 368297 0 0 EATON VANCE TX ADV GLB DIV O COM 27828U106 1349 68200 SH Sole 68200 0 0 EATON VANCE TX MGD DIV EQ IN COM 27828N102 2378 250000 SH Sole 250000 0 0 EATON VANCE TXMGD GL BUYWR O COM 27829C105 884 79600 SH Sole 79600 0 0 ELLINGTON FINANCIAL LLC COM 288522303 351 15379 SH Sole 15379 0 0 FIRSTHAND TECH VALUE FD INC COM 33766Y100 1021 58547 SH Sole 58547 0 0 FLAGSTAR BANCORP INC COM NEW 337930507 413 375000 SH Sole 375000 0 0 GABELLI HLTHCARE & WELLNESS SHS 36246K103 436 47870 SH Sole 47870 0 0 GENERAL AMERN INVS INC COM 368802104 1654 56925 SH Sole 56925 0 0 GSV CAP CORP COM 36191J101 354 41000 SH Sole 41000 0 0 HERCULES TECH GROWTH CAP INC COM 427096508 1376 125000 SH Sole 125000 0 0 HEWLETT PACKARD CO COM 428236103 171 10000 SH Sole 10000 0 0 IMPERIAL HLDGS INC COM 452834104 384 112500 SH Sole 112500 0 0 INDIA FD INC COM 454089103 1712 73664 SH Sole 73664 0 0 J F CHINA REGION FD INC COM 46614T107 491 39000 SH Sole 39000 0 0 MADISON STRTG SECTOR PREM FD COM 558268108 147 12244 SH Sole 12244 0 0 MVC CAPITAL INC COM 553829102 430 33612 SH Sole 33612 0 0 NEWCASTLE INVT CORP COM 65105M108 1571 208600 SH Sole 208600 0 0 PENNANTPARK INVT CORP COM 708062104 265 25000 SH Sole 25000 0 0 REAVES UTIL INCOME FD COM SH BEN INT 756158101 5056 200000 SH Sole 200000 0 0 RMR REAL ESTATE INCOME FUND COM 76970B101 3372 190200 SH Sole 190200 0 0 SINGAPORE FD INC COM 82929L109 177 12800 SH Sole 12800 0 0 SPECIAL OPPORTUNITIES FD INC COM 84741T104 204 13000 SH Sole 13000 0 0 STAPLES INC COM 855030102 230 20000 SH Sole 20000 0 0 THAI CAP FD INC COM NEW 882905201 319 27300 SH Sole 27300 0 0 THAI FD INC COM 882904105 879 50000 SH Sole 50000 0 0 WESTERN ASSET MTG CAP CORP COM 95790D105 2220 100000 SH Sole 100000 0 0 ZWEIG TOTAL RETURN FD INC COM NEW 989837208 586 46250 SH Sole 46250 0 0