Form D · Hedge Fund

IRONWOOD PARTNERS III LP

San Francisco, CA · CIK 0001423606

Offering snapshot reported Sep 17, 2012 · SEC filing

Reported sold
$86.1M
Indefinite offering
Investors reported
102
Form D · investor count
Minimum accepted
$0
Reported outside-investor minimum
First sale
Jul 1, 2007
As reported in this filing

Fundraising history

Reported sold
Reported amount sold by Form D filing date$0$43.1M$86.1MMar 13, 2009: $68,071,902.00Mar 13, 2009Aug 26, 2009: $68,071,902.00Sep 7, 2010: $79,614,564.00Sep 7, 2010Sep 14, 2011: $85,313,355.00Sep 14, 2011Sep 17, 2012: $86,148,355.00Sep 17, 2012

Dates are filing dates, not cash receipt dates. Decreases are reported revisions, not evidence of withdrawals. Separate offering histories are not added together.

What changed?

Latest filing versus its linked predecessor, where available.

  • Reported sold$85,313,355 → $86,148,355
  • Reported investors101 → 102

Filing history

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FiledFiling typeReported soldChange vs linked filingInvestorsSource
Sep 17, 2012Amendment$86,148,355$835,000vs Sep 14, 2011102SEC filing
Sep 14, 2011Amendment$85,313,355$5,698,791vs Sep 7, 2010101SEC filing
Sep 7, 2010Amendment$79,614,564$11,542,662vs Aug 26, 200995SEC filing
Aug 26, 2009Amendment$68,071,902$0vs Mar 13, 200984SEC filing
Mar 13, 2009Amendment$68,071,902No comparisonNot reportedSEC filing
Jan 9, 2008PaperNot reportedNo comparisonNot reportedSEC filing

Offering details

Securities
Pooled investment fund
Exemptions
06, 3C, 3C.7
Duration over one year
Yes
Business combination
No
Sales commissions
$268K (estimated)
Finders' fees
$0
Form D file number
021-113296
The General Partner pays up to 30% of its management fee to the selling agents - see item 12. The current offering commenced prior to 3/15/09; item 15 reflects the requested information commencing from such date.

Sales compensation recipients

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RecipientCRDAssociated broker-dealer
Citigroup Global Markets Inc.7059
City National Securities103705
Oppenheimer & Co. Inc.249
Morgan Keegan & Company, Inc.4161
Merrill Lynch, Pierce, Fenner & Smith Incorporated7691
Commerce Square Trading, LLC26554
MT Rushmore Securities LLC130955
Capital Management Partners, Inc.21973
EMCOR Securities, Inc.45722
Fortigent Securities Company, LLC46022
Metcircle Securties LLC132690
Osage Investments, Inc.118539

Source: Form D, filed Sep 17, 2012. Minimum accepted may differ from a standard advertised minimum.

Fund connections

The linked fund shows its most recently reported ADV details.

Matched by reported Form D file number

IRONWOOD PARTNERS III L.P.

Investment adviser: IRONWOOD CAPITAL MANAGEMENT CORP

Gross asset value
$52.8M
Beneficial owners
115
ADV minimum commitment
$500K

Reported in Form ADV on Jul 20, 2012. Fund assets and beneficial owners measure different things from Form D sales and investors.

Service providers

Fund administrator STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Investor statements: Yes (provided to all investors) Related to adviser: No
Auditor ROTHSTEIN KASS & CO. WALNUT CREEK, California, United States
Custodian CHARLES, FREDERIC & CO./THE BANK OF NEW YORK MELLON NEW YORK, New York, United States Related to adviser: No
Custodian STATE STREET BANK AND TRUST COMPANY BOSTON, Massachusetts, United States Related to adviser: No
Marketer COMMERCE SQUARE TRADING, LLC MEMPHIS, Tennessee, United States Related to adviser: No
Marketer CREDIT SUISSE SECURITIES (USA) LLC NEW YORK, New York, United States Related to adviser: No
Marketer FORTIGENT SECURITIES COMPANY, LLC. ROCKVILLE, Maryland, United States Related to adviser: No
Marketer HIGHTOWER SECURITIES, LLC CHICAGO, Illinois, United States Related to adviser: No
Marketer MORGAN KEEGAN & COMPANY, INC. MEMPHIS, Tennessee, United States Related to adviser: No
Marketer MORGAN STANLEY SMITH BARNEY LLC PURCHASE, New York, United States Related to adviser: No
Marketer OPPENHEIMER & CO. INC. NEW YORK, New York, United States Related to adviser: No
Marketer OSAGE INVESTMENTS, INC. BOCA RATON, Florida, United States Related to adviser: No
Marketer TRESTLE POINT, LLC LAWRENCEVILLE, Georgia, United States Related to adviser: No
Provider details
Annual audit
Yes
Prime brokers
No
Custodians
Yes
Administrator other than the adviser
Yes
External marketing
Yes

COMMERCE SQUARE TRADING, LLC
CRD 26554 · SEC 8-42622

CREDIT SUISSE SECURITIES (USA) LLC
CRD 816 · SEC 801-56264

FORTIGENT SECURITIES COMPANY, LLC.
CRD 46022 · SEC 8-51296

HIGHTOWER SECURITIES, LLC
CRD 116681 · SEC 8-53560

MORGAN KEEGAN & COMPANY, INC.
CRD 4161 · SEC 801-19665

MORGAN STANLEY SMITH BARNEY LLC
CRD 149777 · SEC 801-70103

OPPENHEIMER & CO. INC.
CRD 249 · SEC 801-887

OSAGE INVESTMENTS, INC.
CRD 118539 · SEC 8-53669

TRESTLE POINT, LLC
CRD 138494 · SEC 8-67165

Filing source

Form ADV 660657 · Jul 20, 2012 · Schedule D 7.B.(1), fund 805-4967959857

Official IAPD profile (latest public filing). Values are the most recently reported in our imported data; the public profile may show a newer filing.

People & organizations

Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.

People and organizations reported in Form D filings
NameReported role
Frederick Gans Executive
Jonathan Gans Executive
N/A Ironwood Capital Management Corporation Executive
William Mc Clelland Executive
Alison Sanger Executive
Nicholas Werner Executive
Ben Zack Executive

Issuer details

Industry: Pooled Investment Fund (See others in industry)

Address:
Ironwood Capital Management Corporation One Market, Steuart Tower, Suite 2500
San Francisco, CA, 94105