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 |
|
1. Issuer's Identity
CIK (Filer ID Number) | Previous Names |
|
Entity Type | |||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
0000884031 |
|
|
||||||||||||||
Name of Issuer | ||||||||||||||||
IRONWOOD PARTNERS LP | ||||||||||||||||
Jurisdiction of Incorporation/Organization | ||||||||||||||||
DELAWARE | ||||||||||||||||
Year of Incorporation/Organization | ||||||||||||||||
|
2. Principal Place of Business and Contact Information
Name of Issuer | |||
---|---|---|---|
IRONWOOD PARTNERS LP | |||
Street Address 1 | Street Address 2 | ||
IRONWOOD CAPITAL MANAGEMENT CORPORATION | ONE MARKET, STEUART TOWER, SUITE 2500 | ||
City | State/Province/Country | ZIP/PostalCode | Phone Number of Issuer |
San Francisco | CALIFORNIA | 94105 | 415-777-4200 |
3. Related Persons
Last Name | First Name | Middle Name |
---|---|---|
Ironwood Capital Management | n/a | |
Street Address 1 | Street Address 2 | |
One Market Plaza, Steuart Tower | Suite 2500 | |
City | State/Province/Country | ZIP/PostalCode |
San Francisco | CALIFORNIA | 94105 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
General PartnerLast Name | First Name | Middle Name |
---|---|---|
Gans | Jonathan | |
Street Address 1 | Street Address 2 | |
Ironwood Capital Management | One Market, Steuart Tower, Suite 2500 | |
City | State/Province/Country | ZIP/PostalCode |
San Francisco | CALIFORNIA | 94105 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Zack | Benjamin | |
Street Address 1 | Street Address 2 | |
Ironwood Capital Management | One Market, Steuart Tower, Suite 2500 | |
City | State/Province/Country | ZIP/PostalCode |
San Francisco | CALIFORNIA | 94105 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
Last Name | First Name | Middle Name |
---|---|---|
Sanger | Alison | |
Street Address 1 | Street Address 2 | |
Ironwood Capital Management | One Market, Steuart Tower, Suite 2500 | |
City | State/Province/Country | ZIP/PostalCode |
San Francisco | CALIFORNIA | 94105 |
Relationship: | X | Executive Officer | Director | Promoter |
---|
Clarification of Response (if Necessary):
4. Industry Group
|
|
|
5. Issuer Size
Revenue Range | OR | Aggregate Net Asset Value Range | ||
---|---|---|---|---|
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)
|
|
7. Type of Filing
New Notice | Date of First Sale | 1996-01-01 | First Sale Yet to Occur | ||||||
X | Amendment |
8. Duration of Offering
Does the Issuer intend this offering to last more than one year? |
|
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? |
|
Clarification of Response (if Necessary):
11. Minimum Investment
Minimum investment accepted from any outside investor | $0 | USD |
12. Sales Compensation
Recipient |
|
||||||
Oppenheimer & Co. Inc. | 249 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
85 Broad Street | 22nd Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10004 | |||||
|
|
||||||
Recipient |
|
||||||||||||||||||||||||||||||||||||||||||||||||||
City National Securities, Inc. | 103705 | ||||||||||||||||||||||||||||||||||||||||||||||||||
|
|
||||||||||||||||||||||||||||||||||||||||||||||||||
None | None | ||||||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
555 South Flower Street | 11th Floor | ||||||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||||||
Los Angeles | CALIFORNIA | 90071 | |||||||||||||||||||||||||||||||||||||||||||||||||
|
|
||||||||||||||||||||||||||||||||||||||||||||||||||
|
Recipient |
|
||||||
Citigroup Global Markets, Inc. | 7059 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
390-388 Greenwich Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10013 | |||||
|
|
||||||
Recipient |
|
||||||
Morgan Keegan & Company, Inc. | 4161 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
50 North Front Street | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Memphis | TENNESSEE | 38103 | |||||
|
|
||||||
Recipient |
|
||||||
Merrill Lynch, Pierce, Fenner & Smith Incoporated | 7691 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
One Bryant Park | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10036 | |||||
|
|
||||||
Recipient |
|
||||||
MT Rushmore Securities LLC | 130955 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1703 Kosola Avenue, #B-1 | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Fairfield | IOWA | 52556 | |||||
|
|
||||||
Recipient |
|
||||||||
Capital Management Partners, Inc. | 21973 | ||||||||
|
|
||||||||
None | None | ||||||||
Street Address 1 | Street Address 2 | ||||||||
---|---|---|---|---|---|---|---|---|---|
1100 North Fourth Street | Suite 141 | ||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||
Fairfield | IOWA | 52556 | |||||||
|
|
||||||||
|
Recipient |
|
||||||
EMCOR Securities, Inc. | 45722 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
400 Madison Avenue | Suite 8A | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10017 | |||||
|
|
||||||
Recipient |
|
||||||
Fortigent Securities Company, LLC | 46022 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2600 Tower Oaks Blvd. | Suite 500 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Rockville | MARYLAND | 20852 | |||||
|
|
||||||
Recipient |
|
||||||
Metcircle Securities LLC | 132690 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
103 East 84th Street | Suite 5B | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10028 | |||||
|
|
||||||
Recipient |
|
||||||
Osage Investments, Inc. | 118539 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1200 North Federal Highway | Suite 400 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Boca Raton | FLORIDA | 33432 | |||||
|
|
||||||
Recipient |
|
||||||
Enerecap Partners, LLC | 26554 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1718 Peachtree Street | NW Suite 900 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Atlanta | GEORGIA | 30309 | |||||
|
|
||||||
|
Recipient |
|
||||||
RA Bench Inc. | 108011 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1301 5th Avenue | Suite 3525 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Seattle | WASHINGTON | 98101 | |||||
|
|
||||||
Recipient |
|
||||||
Stifel, Nicolaus & Company, Inc | 793 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
501 North Broadway | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St Louis | MISSOURI | 63102 | |||||
|
|
||||||
Recipient |
|
||||||
Credit Suisse Securities (USA) LLC | 816 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
11 Madison Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
New York | NEW YORK | 10010 | |||||
|
|
||||||
Recipient |
|
||||||
Raymond James & Associates, Inc. | 705 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
880 Carillon Parkway | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
St Petersburg | FLORIDA | 33716 | |||||
|
|
||||||
Recipient |
|
||||||
HighTower Securities LLC | 116681 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
200 West Madison Street | Suite 2500 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Chicago | ILLINOIS | 60606 | |||||
|
|
||||||
Recipient |
|
||||||
Foreside Fund Services, LLC | 46106 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
Three Canal Plaza | 3rd Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Portland | MAINE | 04101 | |||||
|
|
||||||
Recipient |
|
||||||
LPL Financial LLC | 6413 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
75 State Street | 22nd Floor | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Boston | MASSACHUSETTS | 02109 | |||||
|
|
||||||
Recipient |
|
||||||||||||||||||||||||||||||||||||||||||||||
Kingswood Capital Partners, LLC | 288898 | ||||||||||||||||||||||||||||||||||||||||||||||
|
|
||||||||||||||||||||||||||||||||||||||||||||||
None | None | ||||||||||||||||||||||||||||||||||||||||||||||
Street Address 1 | Street Address 2 | ||||||||||||||||||||||||||||||||||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
10920 Via Frontera | NW Suite 900 | ||||||||||||||||||||||||||||||||||||||||||||||
City | State/Province/Country | ZIP/Postal Code | |||||||||||||||||||||||||||||||||||||||||||||
San Diego | CALIFORNIA | 92127 | |||||||||||||||||||||||||||||||||||||||||||||
|
|
||||||||||||||||||||||||||||||||||||||||||||||
|
Recipient |
|
||||||
Morgan Stanley | 149777 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
2000 Westchester Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Purchase | NEW YORK | 10577-2430 | |||||
|
|
||||||
Recipient |
|
||||||
UBS Financial Services Inc. | 8174 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
1200 Harbor Boulevard | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Weehawken | NEW JERSEY | 07086 | |||||
|
|
||||||
Recipient |
|
||||||
Robert W. Baird & Co. Incorporated | 8158 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
777 E. Wisconsin Avenue | |||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Milwaukee | WISCONSIN | 53201 | |||||
|
|
||||||
Recipient |
|
||||||
WELLS FARGO SECURITIES, LLC | 126292 | ||||||
|
|
||||||
None | None | ||||||
Street Address 1 | Street Address 2 | ||||||
---|---|---|---|---|---|---|---|
550 South Tryon Street, 6th Floor | D1086-060 | ||||||
City | State/Province/Country | ZIP/Postal Code | |||||
Charlotte | NORTH CAROLINA | 28202 | |||||
|
|
||||||
13. Offering and Sales Amounts
Total Offering Amount | USD |
|
||||
Total Amount Sold | $4,138,415,913 | USD | ||||
Total Remaining to be Sold | USD |
|
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: |
|
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 | $6,332,946 | USD |
|
||
Finders' Fees | $0 | USD |
|
Clarification of Response (if Necessary):
IM pays up to 30% of mgt fees to selling agents-see item 12. Current offering began prior to 3/15/09; item 15 reflects info from such date. Certain entities listed in Item 12 do not act as Broker-Dealers for the Issuer & therefore receive no commissions.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 |
|
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: |
|
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 |
---|---|---|---|---|
IRONWOOD PARTNERS LP | Jonathan Gans | Jonathan Gans | President of the General Partner | 2023-03-16 |
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.