0000947055-11-000005.txt : 20110516 0000947055-11-000005.hdr.sgml : 20110516 20110516130528 ACCESSION NUMBER: 0000947055-11-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110516 DATE AS OF CHANGE: 20110516 EFFECTIVENESS DATE: 20110516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROCKWOOD ASSET MANAGEMENT, INC CENTRAL INDEX KEY: 0000947055 IRS NUMBER: 133782885 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11709 FILM NUMBER: 11845020 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 PARTNERS L P DATE OF NAME CHANGE: 19950622 13F-HR 1 rw1q11.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: 3/31/2011 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 Asset Management, Inc Address: 35 Mason St. (4th Floor) Greenwich, CT 06830 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 May 13, 2011 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 76 Form 13F Information Table Value Total: $93,168 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ADAMS EXPRESS CO COM 006212104 3508 308561 SH Sole 308561 0 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 849 110415 SH Sole 110415 0 0 ALPINE GLOBAL PREMIER PPTYS COM SBI 02083A103 283 40350 SH Sole 40350 0 0 ALPINE TOTAL DYNAMIC DIVID F COM SBI 021060108 1445 235000 SH Sole 235000 0 0 AMERICAN CAPITAL AGENCY CORP COM 02503X105 670 23000 SH Sole 23000 0 0 AMERICAN INCOME FD INC COM 02672T109 152 19000 SH Sole 19000 0 0 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 111 10000 SH Sole 10000 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 246 7000 SH Sole 7000 0 0 AUGUSTA RES CORP COM NEW 050912203 487 95000 SH Sole 95000 0 0 BANK OF AMERICA CORPORATION COM 060505104 300 22500 SH Sole 22500 0 0 BLACKROCK BUILD AMER BD TR SHS 09248X100 1394 79900 SH Sole 79900 0 0 BLACKROCK CREDIT ALL INC TR COM 092508100 133 10987 SH Sole 10987 0 0 BLACKROCK ENHANCED GOVT FD I COM 09255K108 3026 195069 SH Sole 195069 0 0 BLACKROCK KELSO CAPITAL CORP COM 092533108 1584 156500 SH Sole 156500 0 0 CAPITAL ONE FINL CORP COM 14040H105 234 4500 SH Sole 4500 0 0 CAZADOR ACQUISITION CORPORAT SHS G19867103 484 50000 SH Sole 50000 0 0 CAZADOR ACQUISITION CORPORAT *W EXP 99/99/999 G19867129 23 50000 SH Sole 50000 0 0 CENTRAL SECS CORP COM 155123102 384 16400 SH Sole 16400 0 0 CHIMERA INVT CORP COM 16934Q109 550 139009 SH Sole 139009 0 0 CNA FINL CORP COM 126117100 222 7500 SH Sole 7500 0 0 COHEN & STEERS CLOSED END OP COM 19248P106 1202 89000 SH Sole 89000 0 0 COLONY FINL INC COM 19624R106 2825 150000 SH Sole 150000 0 0 CREXUS INVT CORP COM 226553105 2894 253400 SH Sole 253400 0 0 CYPRESS SHARPRIDGE INVTS INC COM 23281A307 696 54877 SH Sole 54877 0 0 DCA TOTAL RETURN FD COM 233066109 1369 365000 SH Sole 365000 0 0 DWS HIGH INCOME OPPORT FD IN COM NEW 23339M204 2171 148166 SH Sole 148166 0 0 DYNEX CAP INC COM NEW 26817Q506 1268 126018 SH Sole 126018 0 0 EATON VANCE OHIO MUN BD FD COM 27828L106 167 14664 SH Sole 14664 0 0 EATON VANCE RISK MNGD DIV EQ COM 27829G106 3967 309400 SH Sole 309400 0 0 EATON VANCE TAX MNG GBL DV E COM 27829F108 2486 235000 SH Sole 235000 0 0 EATON VANCE TAX-ADV BD & OPT COM SH BEN INT 27829M103 655 39600 SH Sole 39600 0 0 EATON VANCE TX MGD DIV EQ IN COM 27828N102 2289 208072 SH Sole 208072 0 0 EATON VANCE TX MNG BY WRT OP COM 27828Y108 799 62000 SH Sole 62000 0 0 EATON VANCE TXMGD GL BUYWR O COM 27829C105 796 65000 SH Sole 65000 0 0 FEDERATED ENHANC TREAS INCM COM SH BEN INT 314162108 1809 118226 SH Sole 118226 0 0 FIRST TR HIGH INCOME L/S FD COM 33738E109 760 40100 SH Sole 40100 0 0 FIRSTMERIT CORP COM 337915102 171 10000 SH Sole 10000 0 0 GDL FUND RIGHT 99/99/9999 361570112 6 10000 SH Sole 10000 0 0 GLOBAL INCOME&CURRENCY FD IN COM 378968101 1162 79403 SH Sole 79403 0 0 GREATER CHINA FD INC COM 39167B102 504 39900 SH Sole 39900 0 0 GUGGENHEIM BLD AMR BDS MNG D COM 401664107 759 41000 SH Sole 41000 0 0 H & Q LIFE SCIENCES INVS SH BEN INT 404053100 1101 91575 SH Sole 91575 0 0 HUDSON CITY BANCORP COM 443683107 387 40000 SH Sole 40000 0 0 HUNTINGTON BANCSHARES INC COM 446150104 83 12500 SH Sole 12500 0 0 INVESCO MORTGAGE CAPITAL INC COM 46131B100 4674 213900 SH Sole 213900 0 0 KKR FINANCIAL HLDGS LLC COM 48248A306 952 97199 SH Sole 97199 0 0 LIBERTY ALL STAR EQUITY FD SH BEN INT 530158104 608 115600 SH Sole 115600 0 0 LMP CAP & INCOME FD INC COM 50208A102 9811 737676 SH Sole 737676 0 0 MACQUARIE GLBL INFRA TOTL RE COM 55608D101 428 23500 SH Sole 23500 0 0 MADISON STRTG SECTOR PREM FD COM 558268108 241 19000 SH Sole 19000 0 0 MCG CAPITAL CORP COM 58047P107 326 50000 SH Sole 50000 0 0 MFA FINANCIAL INC COM 55272X102 103 12600 SH Sole 12600 0 0 MFS INTER INCOME TR SH BEN INT 55273C107 201 32825 SH Sole 32825 0 0 NARA BANCORP INC COM 63080P105 144 15000 SH Sole 15000 0 0 NEUBERGER BERMAN RE ES SEC F COM 64190A103 1232 298400 SH Sole 298400 0 0 NEWCASTLE INVT CORP COM 65105M108 2331 386000 SH Sole 386000 0 0 NUVEEN QUALITY PFD INCOME FD COM 67071S101 461 59692 SH Sole 59692 0 0 ONEBEACON INSURANCE GROUP LT CL A G67742109 135 10000 SH Sole 10000 0 0 PENNANTPARK INVT CORP COM 708062104 358 30000 SH Sole 30000 0 0 PEOPLES UNITED FINANCIAL INC COM 712704105 157 12500 SH Sole 12500 0 0 PROMOTORA DE INFORMACIONES S ADR CL B CONV 74343G303 2388 200177 SH Sole 200177 0 0 PROTECTIVE LIFE CORP COM 743674103 465 17500 SH Sole 17500 0 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 542 50000 SH Sole 50000 0 0 ROYCE MICRO-CAP TR INC COM 780915104 6149 600497 SH Sole 600497 0 0 ROYCE VALUE TR INC COM 780910105 4809 312476 SH Sole 312476 0 0 SUN BANCORP INC COM 86663B102 748 215000 SH Sole 215000 0 0 SUNAMERICA FCSED ALPHA GRW F COM 867037103 3802 190000 SH Sole 190000 0 0 SUNAMERICA FOCUSE ALPHA LC F COM 867038101 363 20000 SH Sole 20000 0 0 SUSQUEHANNA BANCSHARES INC P COM 869099101 94 10000 SH Sole 10000 0 0 SWISS HELVETIA FD INC COM 870875101 1242 89847 SH Sole 89847 0 0 TRI CONTL CORP COM 895436103 257 17600 SH Sole 17600 0 0 WALTER INVT MGMT CORP COM 93317W102 323 20000 SH Sole 20000 0 0 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 454 30000 SH Sole 30000 0 0 WELLS FARGO ADVANTAGE UTILS COM 94987E109 817 68991 SH Sole 68991 0 0 WESTERN ASSET GLOBAL CP DEFI COM 95790C107 1550 84763 SH Sole 84763 0 0 WESTERN ASSET HGH YLD DFNDFD COM 95768B107 592 31200 SH Sole 31200 0 0