0001055975-11-000010.txt : 20111031 0001055975-11-000010.hdr.sgml : 20111031 20111031142523 ACCESSION NUMBER: 0001055975-11-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111031 DATE AS OF CHANGE: 20111031 EFFECTIVENESS DATE: 20111031 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PARAGON INVESTMENT MANAGEMENT INC CENTRAL INDEX KEY: 0001055975 IRS NUMBER: 911527225 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06718 FILM NUMBER: 111167801 BUSINESS ADDRESS: STREET 1: 1420 5TH AVE STREET 2: SUITE 3020 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 2065838300 MAIL ADDRESS: STREET 1: 1420 FIFTH AVENUE SUITE 3020 CITY: SEATTLE STATE: WA ZIP: 98101 13F-HR 1 sep3q201113f.txt PARAGON INV MANAGMENET 13F FILING SEP 30 2011 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, 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: Paragon Investment Management, Inc. Address: 1420 Fifth Avenue Suite 3020 Seattle, WA 98101 13F File Number: 801-39191 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 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: Marjanne K. Masterman Title: Sr. Vice-President and CCO Phone: (206) 583-8300 Signature, Place, and Date of Signing: Marjanne K. Masterman Seattle, WA October 31, 2011 Report Type (Check only one.): [x] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT List of Other Managers Reporting for this Manager:0 I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 97 Form 13F Information Table Value Total: $355,100,000 List of other Included Managers: No. 13F File Number Name 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- Abbott Laboratories COM 002824100 610 11928 SH Sole 11928 Actuant Corp Cl A (formerly Ap COM 00508X203 2928 148273 SH Sole 148273 Affiliated Managers Group COM 008252108 237 3040 SH Sole 3040 Alcoa COM 013817101 4417 461596 SH Sole 461596 Annaly Mortgage COM 035710409 252 15179 SH Sole 15179 Apache Corp COM 037411105 5007 62406 SH Sole 62406 Apple Computer COM 037833100 16186 42446 SH Sole 42446 Ball Corporation COM 058498106 6586 212311 SH Sole 212311 Berkshire Hathaway Class B COM 084670702 7182 101104 SH Sole 101104 Boeing COM 097023105 275 4544 SH Sole 4544 Broadcom Corp - Cl A COM 111320107 7476 224559 SH Sole 224559 CVS Corporation COM 126650100 281 8364 SH Sole 8364 Celgene Corp COM 151020104 8643 139604 SH Sole 139604 Cerner Corp COM 156782104 10838 158170 SH Sole 158170 Chevron Corp COM 166764100 12088 130549 SH Sole 130549 Cisco Systems Inc COM 17275R102 6148 396669 SH Sole 396669 Coca Cola Co. COM 191216100 547 8100 SH Sole 8100 Colgate-Palmolive Company COM 194162103 379 4278 SH Sole 4278 ConocoPhillips COM 20825C104 11450 180830 SH Sole 180830 Costco Wholesale COM 22160K105 540 6581 SH Sole 6581 Danaher Corp COM 235851102 6291 149990 SH Sole 149990 EMC Corporation COM 268648102 10471 498857 SH Sole 498857 EQT Corp COM 26884L109 10003 187470 SH Sole 187470 Emerson Electric COM 291011104 326 7900 SH Sole 7900 Energy Select Sector SPDR Fund COM 81369y506 489 8361 SH Sole 8361 Exxon Mobil Corp COM 30231G102 583 8030 SH Sole 8030 General Electric COM 369604103 337 22164 SH Sole 22164 Goldman Sachs COM 38141G104 6874 72707 SH Sole 72707 Google Inc COM 38259P508 9301 18058 SH Sole 18058 Gorman-Rupp COM 383082104 216 8750 SH Sole 8750 Home Depot COM 437076102 314 9567 SH Sole 9567 I. B. M. COM 459200101 942 5384 SH Sole 5384 IShares Russell 1000 Growth COM 464287614 1057 20108 SH Sole 20108 Intel Corp COM 458140100 323 15142 SH Sole 15142 JP Morgan Chase & Co COM 46625H100 7380 245014 SH Sole 245014 Kimberly Clark Corp. COM 494368103 353 4971 SH Sole 4971 Kraft Foods Inc COM 50075n104 396 11787 SH Sole 11787 LKQ Corp COM 501889208 6365 263435 SH Sole 263435 Las Vegas Sands Corp COM 517834107 3073 80145 SH Sole 80145 Lowe's Companies COM 548661107 5627 290950 SH Sole 290950 MetLife, Inc. COM 59156R108 5388 192360 SH Sole 192360 Microsoft COM 594918104 11066 444581 SH Sole 444581 Nike Inc Class B COM 654106103 4083 47744 SH Sole 47744 Nordstrom Inc COM 655664100 324 7088 SH Sole 7088 Orion Energy Systems Inc COM 686275108 32 12246 SH Sole 12246 Paccar Inc COM 693718108 244 7200 SH Sole 7200 Parker Hannifin Corp COM 701094104 5730 90764 SH Sole 90764 PepsiCo Inc. COM 713448108 8811 142349 SH Sole 142349 Pfizer Inc. COM 717081103 346 19592 SH Sole 19592 Philip Morris International In COM 718172109 724 11607 SH Sole 11607 Powershares Wilderhill Clean E COM 73935X500 136 25000 SH Sole 25000 Procter & Gamble COM 742718109 8568 135607 SH Sole 135607 Qualcomm Inc COM 747525103 11732 241257 SH Sole 241257 RPM International Inc COM 749685103 243 12981 SH Sole 12981 S&P 500 Depository Receipt COM 78462F103 6773 59858 SH Sole 59858 S&P Mid-Cap 400 ETF COM 78467Y107 1627 11444 SH Sole 11444 S&P Small-Cap 600 iShares Trus COM 464287804 1133 19354 SH Sole 19354 SPDR S&P Dividend ETF COM 78464a763 6367 131144 SH Sole 131144 St Jude Medical, Inc. COM 790849103 5575 154041 SH Sole 154041 Starbucks Corporation COM 855244109 8413 225601 SH Sole 225601 Target Corp COM 87612E106 7695 156918 SH Sole 156918 Technology Select Sector SPDR COM 81369y803 487 20641 SH Sole 20641 Vanguard Total Stock Mkt ETF COM 922908769 978 16938 SH Sole 16938 Varian Medical Sys COM 92220P105 290 5560 SH Sole 5560 Visa Inc - Cl A COM 92826c839 15698 183127 SH Sole 183127 W W Grainger Inc COM 384802104 307 2050 SH Sole 2050 Waste Management, Inc. COM 94106L109 245 7537 SH Sole 7537 Cooper Industries PLC INTL EQ g24140108 5910 128147 SH Sole 128147 Nestle SA ADR INTL EQ 641069406 9118 165307 SH Sole 165307 Novartis AG - ADR INTL EQ 66987V109 209 3745 SH Sole 3745 Royal Dutch Shell Spons ADR INTL EQ 780259206 224 3638 SH Sole 3638 SPDR S&P International Small C INTL EQ 78463x871 222 8844 SH Sole 8844 Schlumberger Ltd. INTL EQ 806857108 7476 125168 SH Sole 125168 Select Emerging Markets ETF- V INTL EQ 922042858 6905 192705 SH Sole 192705 Telefonica SA - Spons ADR INTL EQ 879382208 201 10500 SH Sole 10500 Teva Pharmaceutical INTL EQ 881624209 9101 244518 SH Sole 244518 Vanguard FSTE All-World Ex-U INTL EQ 922042775 3484 89968 SH Sole 89968 Vodafone Group PLC Spons ADR INTL EQ 92857w209 7787 303483 SH Sole 303483 iShares S&P Global Utilities E INTL EQ 464288711 552 13328 SH Sole 13328 Columbia Acorn Fund Z Eq Fund 197199409 339 13210 SH Sole 13210 Vanguard Small Cap Growth Inde Eq Fund 922908827 297 15786 SH Sole 15786 WHV International Equity Fund Eq Fund 360873863 265 16596 SH Sole 16596 Vanguard Total Bond Market ETF Bond Txbl ETF 921937835 353 4221 SH Sole 4221 iShares Barclays 1-3 Yr Credit Bond Txbl ETF 464288646 7465 71797 SH Sole 71797 iShares Barclays 1-3 Yr Treasu Bond Txbl ETF 464287457 429 5071 SH Sole 5071 iShares Barclays 3-7 Yr Treasu Bond Txbl ETF 464288661 260 2142 SH Sole 2142 iShares Barclays Aggregate Bon Bond Txbl ETF 464287226 933 8473 SH Sole 8473 iShares Barclays Int Gov-Credi Bond Txbl ETF 464288612 1047 9422 SH Sole 9422 iShares Barclays Intermed Cred Bond Txbl ETF 464288638 1747 16363 SH Sole 16363 iShares iBoxx Inv Grade Corp B Bond Txbl ETF 464287242 707 6292 SH Sole 6292 Nuveen Floating Rate Income Fu ETF 67072T108 509 50265 SH Sole 50265 SPDR Gold Trust ETF 78463V107 282 1786 SH Sole 1786 SPDR S&P Dividend ETF ETF 78464a763 1636 33698 SH Sole 33698 WisdomTree Equity Income Fund ETF 97717w208 322 8349 SH Sole 8349 iShares S&P Preferred Stock In ETF 464288687 325 9127 SH Sole 9127 SPDR S&P Intl DVD ETF ETF FOR 78463x772 458 10294 SH Sole 10294 WisdomTree Emerging Mkt Equity ETF FOR 97717w315 729 15396 SH Sole 15396