The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM D Notice of Exempt Offering of Securities |
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1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
| Entity Type | ||||||||||||
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0001365495 |
Cayman Islands Exempted | ||||||||||||||
Name of Issuer | |||||||||||||||
IRONWOOD INSTITUTIONAL LTD | |||||||||||||||
Jurisdiction of Incorporation/Organization | |||||||||||||||
CAYMAN ISLANDS | |||||||||||||||
Year of Incorporation/Organization | |||||||||||||||
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2. Principal Place of Business and Contact Information
Name of Issuer | |||
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IRONWOOD INSTITUTIONAL LTD | |||
Street Address 1 | Street Address 2 | ||
CITCO FUND SERVICES (CAYMAN ISLANDS) LTD | REGATTA OFFICE PK W. BAY RD BOX 31106SMB | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
GEORGE TOWN, GRAND CAYMAN | E9 | KY1-1205 | 345-949-3977 |
3. Related Persons
Last Name | First Name | Middle Name |
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Ironwood Capital Management Corporation | n/a | |
Street Address 1 | Street Address 2 | |
One Market, Steuart Tower | Suite 2500 | |
City | State/Province/Country | ZIP/PostalCode |
San Francisco | CA | 94105 |
Relationship: | X | Executive Officer | Director | Promoter |
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Clarification of Response (if Necessary):
Investment ManagerLast Name | First Name | Middle Name |
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Gans | Jonathan | |
Street Address 1 | Street Address 2 | |
Ironwood Capital Management Corporation | One Market, Steuart Tower, Suite 2500 | |
City | State/Province/Country | ZIP/PostalCode |
San Francisco | CA | 94105 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Cater | Phillip | |
Street Address 1 | Street Address 2 | |
International Management Services Ltd. | P.O. Box 61, Harbour Centre | |
City | State/Province/Country | ZIP/PostalCode |
George Town, Grand Cayman | E9 | 00000 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
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Goodall | Ian | |
Street Address 1 | Street Address 2 | |
International Management Services Ltd. | P.O. Box 61, Harbour Centre | |
City | State/Province/Country | ZIP/PostalCode |
George Town, Grand Cayman | E9 | 00000 |
Relationship: | Executive Officer | X | Director | Promoter |
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Clarification of Response (if Necessary):
4. Industry Group
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5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range | ||
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No Revenues | No Aggregate Net Asset Value | |||
$1 - $1,000,000 | $1 - $5,000,000 | |||
$1,000,001 - $5,000,000 | $5,000,001 - $25,000,000 | |||
$5,000,001 - $25,000,000 | $25,000,001 - $50,000,000 | |||
$25,000,001 - $100,000,000 | $50,000,001 - $100,000,000 | |||
Over $100,000,000 | Over $100,000,000 | |||
Decline to Disclose | X | Decline to Disclose | ||
Not Applicable | Not Applicable |
6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply)
Rule 504(b)(1) (not (i), (ii) or (iii)) | Rule 505 | |||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(i) | X | Rule 506 | ||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(ii) | Securities Act Section 4(5) | |||||||||||||||||||||||||||||||||||
Rule 504 (b)(1)(iii) | X | Investment Company Act Section 3(c) | ||||||||||||||||||||||||||||||||||
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7. Type of Filing
New Notice | Date of First Sale | 2006-05-01 | First Sale Yet to Occur | ||||||
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
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9. Type(s) of Securities Offered (select all that apply)
Equity | X | Pooled Investment Fund Interests | |
Debt | Tenant-in-Common Securities | ||
Option, Warrant or Other Right to Acquire Another Security | Mineral Property Securities | ||
Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security | Other (describe) | ||
10. Business Combination Transaction
Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
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Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $100,000 | USD |
12. Sales Compensation
Recipient |
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City National Securities | 103705 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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400North Roxbury Drive | Suite 400 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Beverly Hills | CA | 90210 | |||||
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Recipient |
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Citigroup Global Markets, Inc. | 7059 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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390-388 Greenwich Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NY | 10013 | |||||
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Recipient |
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Oppenheimer & Co. Inc. | 249 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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125 Broad Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NY | 10004 | |||||
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Recipient |
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Morgan Keegan & Company, Inc. | 4161 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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Fifty Front Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Memphis | TN | 38103 | |||||
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Recipient |
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Merrill Lynch, Pierce, Fenner & Smith Incorporated | 7691 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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4 World Financial Center | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NY | 10281 | |||||
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Recipient |
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Trading Services Group, LLC | 26554 | |||||||||||||||||
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None | None | |||||||||||||||||
Street Address 1 | Street Address 2 | |||||||||||||||||
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6075 Poplar Avenue | Crescent Circle, Suite 700 | |||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | ||||||||||||||||
Memphis | TN | 38119 | ||||||||||||||||
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Recipient |
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MT Rushmore Securities LLC | 130955 | ||||||||||||||||||||||||||||||||||||||||||||||||
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None | None | ||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||
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1661 Highway 1 | |||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||
Fairfield | IA | 52556 | |||||||||||||||||||||||||||||||||||||||||||||||
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Recipient |
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Capital Management Partners, Inc. | 21973 | ||||||||||||||||||||
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None | None | ||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||
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1100 North Fourth Street | Suite 141 | ||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||
Fairfield | IA | 52556 | |||||||||||||||||||
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Recipient |
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EMCOR Securities, Inc. | 45722 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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400 Madison Avenue | Suite 8A | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NY | 10017 | |||||
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Recipient |
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Fortigent Securities Company, LLC | 46022 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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2600 Tower Oaks Blvd. | Suite 500 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Rockville | MD | 20852 | |||||
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Recipient |
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Metcircle Securities LLC | 132690 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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103 East 84th Street | Suite 5B | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NY | 10028 | |||||
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Recipient |
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RA Bench Securities, Inc. | 118539 | ||||||
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None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
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1301 5th Avenue | Suite 3525 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Seattle | WA | 98101 | |||||
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13. Offering and Sales Amounts
Total Offering Amount | USD |
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Total Amount Sold | $244,273,714 | USD | ||||
Total Remaining to be Sold | USD |
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Clarification of Response (if Necessary):
14. Investors
Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors, and enter the number of such non-accredited investors who already have invested in the offering. | |||
Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: |
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15. Sales Commissions & Finder's Fees Expenses
Provide separately the amounts of sales commissions and finders fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
Sales Commissions | $161,564 | USD |
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Finders' Fees | $0 | USD |
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Clarification of Response (if Necessary):
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.16. Use of Proceeds
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
$0 | USD |
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Clarification of Response (if Necessary):
Signature and Submission
Please verify the information you have entered and review the Terms of Submission below before signing and clicking SUBMIT below to file this notice.
Terms of Submission
In submitting this notice, each issuer named above is: |
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Each Issuer identified above has read this notice, knows the contents to be true, and has duly caused this notice to be signed on its behalf by the undersigned duly authorized person.
For signature, type in the signer's name or other letters or characters adopted or authorized as the signer's signature.
Issuer | Signature | Name of Signer | Title | Date |
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IRONWOOD INSTITUTIONAL LTD | Jonathan Gans | Jonathan Gans | Director of the Issuer | 2010-03-09 |
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB number.
* This undertaking does not affect any limits Section 102(a) of the National Securities Markets Improvement Act of 1996 ("NSMIA") [Pub. L. No. 104-290, 110 Stat. 3416 (Oct. 11, 1996)] imposes on the ability of States to require information. As a result, if the securities that are the subject of this Form D are "covered securities" for purposes of NSMIA, whether in all instances or due to the nature of the offering that is the subject of this Form D, States cannot routinely require offering materials under this undertaking or otherwise and can require offering materials only to the extent NSMIA permits them to do so under NSMIA's preservation of their anti-fraud authority.