-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WVo6Kpapk9vKEBSYPrm15Yd9HfnVslVBbDGhinv7Ey8BikSt+orpNExKFMXgf5qK cGMRqW3DMY3gRQr2Hz+Mhw== 0001014909-09-000039.txt : 20091027 0001014909-09-000039.hdr.sgml : 20091027 20091026210041 ACCESSION NUMBER: 0001014909-09-000039 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091027 DATE AS OF CHANGE: 20091026 EFFECTIVENESS DATE: 20091027 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WAGNER INVESTMENT MANAGEMENT INC CENTRAL INDEX KEY: 0001104257 IRS NUMBER: 840770536 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05199 FILM NUMBER: 091137921 BUSINESS ADDRESS: STREET 1: 3200 CHERRY CREEK SOUTH DR STREET 2: STE 240 CITY: DENVER STATE: CO ZIP: 80209 BUSINESS PHONE: 3037771800 MAIL ADDRESS: STREET 1: 3200 CHERRY CREEK SOUTH DR STREET 2: STE 240 CITY: DENVER STATE: CO ZIP: 80209 13F-HR 1 f13f_30sept2009.txt ---------------------------- OMB APPROVAL ---------------------------- OMB Number: 3235-00006 Expires: December 31, 2009 Estimated average burden hours per response..... 22.8 ---------------------------- SEC USE ONLY ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Report for the Calendar Year or Quarter Ended: September 30, 2009 Check here if Amendment [ ] Amendment Number: ____ This Amendment (Check only one): [ ] is a restatement [ ] adds new holding entries. Institutional Investment Manager Name: Wagner Investment Management, Inc. Address: 3200 Cherry Creek South Drive, Suite 240 Denver, CO 80220 Form 13F File Number: 28-05199 The institutional investment manager filing this report and the person by whom it is signed represent that the person signing the report is authorized to submit it, that all information contained therein is true, correct and complete, ant 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 the Reporting Manager: Reporting Manager: Wagner Investment Management, Inc. Name: Judith B. Wagner Title: President Phone: (303) 777-1800 Signature, Place, and Date of Signing: /s/ Judith B. Wagner - ------------------------------------------------- [Signature] Judith B. Wagner, President Denver, Colorado - ------------------------------------------------- [City, State] October 26, 2009 - ------------------------------------------------- [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report). [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting managers(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: -0- Form 13F Information Table Entry Total: 3,779,944 Form 13F Information Table Value Total: $149,080 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE
FORM 13F INFORMATION TABLE REPORTING MANAGER: WAGNER INVESTMENT MANAGEMENT, INC. - ------------------------------------------------------------------------------------------------------------------------------------ COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 -------- -------- -------- -------- ------------------- ---------- -------- ---------------------- TITLE OTHER VOTING AUTHORITY NAME OF ISSUER OF CUSIP VALUE SHRS OR SH/ PUT/ INVESTMENT MANA- ---------------------- CLASS NUMBER (X 1,000) PRN AMT PRN CALL DISCRETION GERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ 3M COMPANY COM 88579Y101 322 4350 SH SOLE 322 0 0 ABBOTT LABS COM 002824100 2978 60179 SH SOLE 2978 0 0 ABIGAIL ADAMS COM 003390101 1 110 SH SOLE 1 0 0 ACCENTURE LTD CL A CL A G1151C101 2307 61878 SH SOLE 2307 0 0 ADOBE SYSTEMS COM 00724F101 67 2000 SH SOLE 67 0 0 AETNA, INC. COM 00817Y108 18 632 SH SOLE 18 0 0 AIR PRODUCTS & CHEM COM 009158106 2890 37249 SH SOLE 2890 0 0 AKAMAI TECH COM 00971T101 1239 62913 SH SOLE 1239 0 0 ALLIANT ENERGY CORP COM 018802108 12 412 SH SOLE 12 0 0 AMERICA MOVIL ADR SPON ADR L SHS 02364W105 3330 75955 SH SOLE 3330 0 0 AMGEN INC COM 031162100 2649 43971 SH SOLE 2649 0 0 AMPHENOL CORP CL A 032095101 1861 49387 SH SOLE 1861 0 0 APACHE CORPORATION COM 037411105 89 960 SH SOLE 89 0 0 APPLE COMPUTER COM 037833100 3643 19654 SH SOLE 3643 0 0 AT & T (New) COM 00206R102 298 11011 SH SOLE 298 0 0 AUTODESK INC COM 052769106 1716 72065 SH SOLE 1716 0 0 BALL CORP COM 058498106 5 100 SH SOLE 5 0 0 BANK OF AMERICA CORP COM 060505104 51 3000 SH SOLE 51 0 0 BAXTER INTERNATIONAL COM 071813109 106 1850 SH SOLE 106 0 0 BECTON DICKINSON COM 075887109 93 1333 SH SOLE 93 0 0 BED, BATH & BEYOND COM 075896100 1444 38445 SH SOLE 1444 0 0 BERKSHIRE HATHAWAY CL B CL B 084670207 280 84 SH SOLE 280 0 0 BERKSHIRE HATHAWAY, INC CL A CL A 084670108 202 2 SH SOLE 202 0 0 BEST BUY INC COM 086516101 61 1620 SH SOLE 61 0 0 BOEING CO. COM 097023105 55 1000 SH SOLE 55 0 0 BP PLC ADR SPONSORED ADR 055622104 94 1752 SH SOLE 94 0 0 BRISTOL MYERS SQUIBB COM 110122108 140 6202 SH SOLE 140 0 0 BROADCOM CORP CL A 111320107 47 1500 SH SOLE 47 0 0 BURLINGTON NORTHERN SANTA FE COM 12189T104 2636 33012 SH SOLE 2636 0 0 CAMPBELL SOUP COM 134429109 2 50 SH SOLE 2 0 0 CANADIAN NATURAL RESOURCES COM 136385101 14 200 SH SOLE 14 0 0 CARDINAL HEALTH INC COM 14149Y108 18 669 SH SOLE 18 0 0 CAREFUSION CORPORATION COM 14170t101 8 334 SH SOLE 8 0 0 CATERPILLAR INC DEL COM 149123101 83 1600 SH SOLE 83 0 0 CHEVRONTEXACO CORP COM 166764100 119 1684 SH SOLE 119 0 0 CHIPOTLE MEXICAN GRILL CL A 169656105 5 50 SH SOLE 5 0 0 CHUBB CORP COM 171232101 6 100 SH SOLE 6 0 0 CISCO SYSTEMS COM 17275R102 3616 153603 SH SOLE 3616 0 0 COACH INC COM 189754104 1365 41440 SH SOLE 1365 0 0 COCA COLA CO COM 191216100 192 3567 SH SOLE 192 0 0 COMCAST CORP NEW CL A CL A 20030N101 9 502 SH SOLE 9 0 0 CONOCOPHILLIPS COM COM 20825C104 48 1057 SH SOLE 48 0 0 COSTCO WHSL CORP COM 22160K105 23 400 SH SOLE 23 0 0 COVENTRY HEALTH CARE INC COM 222862104 17 805 SH SOLE 17 0 0 CULLEN/FROST BNKRS COM 229899109 2019 39095 SH SOLE 2019 0 0 DANAHER CORP COM 235851102 5 60 SH SOLE 5 0 0 DARDEN RESTAURANTS INC COM 237194105 6 160 SH SOLE 6 0 0 DICKS SPORTING GOODS COM 253393102 1821 81275 SH SOLE 1821 0 0 DISNEY COM DISNEY 254687106 27 964 SH SOLE 27 0 0 DJ WILSHIRE INTL REAL ESTATE S DJWS INTL REAL 78463X863 761 21526 SH SOLE 761 0 0 DONALDSON INC COM 257651109 2068 59689 SH SOLE 2068 0 0 DOVER CORP COM 260003108 97 2500 SH SOLE 97 0 0 DU PONT, E.I. DE NEMOURS & CO COM 263534109 137 4250 SH SOLE 137 0 0 DUKE ENERGY CORP COM 26441C105 16 1000 SH SOLE 16 0 0 E M C CORP COM 268648102 2101 123254 SH SOLE 2101 0 0 EATON CORP COM 278058102 9 150 SH SOLE 9 0 0 ECOLAB INC COM 278865100 2844 61515 SH SOLE 2844 0 0 EMERSON ELECTRIC COM 291011104 2664 66448 SH SOLE 2664 0 0 ESTEE LAUDER CO CL A 518439104 1244 33533 SH SOLE 1244 0 0 EXXONMOBIL COM 30231G102 3770 54941 SH SOLE 3770 0 0 FASTENAL COM 311900104 1541 39817 SH SOLE 1541 0 0 FEDEX CORP COM 31428X106 16 200 SH SOLE 16 0 0 FIRST CMNTY BANCSHARES INC COM 31983A103 20 1530 SH SOLE 20 0 0 FORD MOTOR CO COM PAR $0.01 345370860 11 1500 SH SOLE 11 0 0 FREEPORT-MCMORAN COPPER & GOLD CL B 35671D857 4 56 SH SOLE 4 0 0 GENERAL ELEC CO COM 369604103 2941 179102 SH SOLE 2941 0 0 GILEAD SCIENCES INC COM 375558103 7 150 SH SOLE 7 0 0 GOLDMAN SACHS COM 38141G104 7 35 SH SOLE 7 0 0 GOOGLE INC CL A 38259P508 3050 6151 SH SOLE 3050 0 0 HARRIS CORP COM 413875105 1141 30335 SH SOLE 1141 0 0 HOME DEPOT COM 437076102 31 1155 SH SOLE 31 0 0 HSBC HLDGS PLC ADS SPON ADR NEW 404280406 2212 38570 SH SOLE 2212 0 0 I B M COM 459200101 394 3292 SH SOLE 394 0 0 I SHARES TR COHEN & STEER RLTY COHEN&ST RLTY 464287564 724 14889 SH SOLE 724 0 0 ILLINOIS TOOL WORKS COM 452308109 75 1750 SH SOLE 75 0 0 INTEL CORP COM 458140100 2435 124392 SH SOLE 2435 0 0 ISHARES TRUST DJ TOTAL MARKET DJ US TOTL MKT 464287846 34 635 SH SOLE 34 0 0 ISHARES US TREAS INFLTN PRTCTD US TIPS BD FD 464287176 5 45 SH SOLE 5 0 0 IVANHOE MINES LTD COM 46579N103 4 260 SH SOLE 4 0 0 J P MORGAN CHASE & CO COM 46625H100 259 5908 SH SOLE 259 0 0 JACOBS ENGR GRP COM 469814107 3041 66162 SH SOLE 3041 0 0 JAPAN SMALLER CAP FUND COM 47109U104 24 3000 SH SOLE 24 0 0 JF CHINA REGION FUND COM 46614T107 48 3634 SH SOLE 48 0 0 JOHNSON & JOHNSON COM 478160104 789 12946 SH SOLE 789 0 0 KIMBERLY CLARK COM 494368103 2256 38250 SH SOLE 2256 0 0 KINDER MORGAN ENERGY PARTNERS UT LTD PARTNER 494550106 11 200 SH SOLE 11 0 0 LEUCADIA NATL CORP COM 527288104 25 1000 SH SOLE 25 0 0 LILLY ELI & CO COM 532457108 268 8086 SH SOLE 268 0 0 LIN TV CORP CL A 532774106 4 820 SH SOLE 4 0 0 LOCKHEED MARTIN CORP COM 539830109 6 75 SH SOLE 6 0 0 LOWES COMPANIES COM 548661107 1407 67181 SH SOLE 1407 0 0 LSI LOGIC CORP COM 502161102 1 58 SH SOLE 1 0 0 MARSH & MCLENNAN CO COM 571748102 1 1 SH SOLE 1 0 0 MC DONALDS CORP COM 580135101 12 200 SH SOLE 12 0 0 MEDCO HEALTH SOLUTIONS COM 58405U102 58 1048 SH SOLE 58 0 0 MEDTRONIC COM 585055106 1928 52382 SH SOLE 1928 0 0 MERCK & CO INC COM 589331107 128 4020 SH SOLE 128 0 0 METLIFE INC COM 59156R108 12 300 SH SOLE 12 0 0 MICROSOFT CORP COM 594918104 552 21442 SH SOLE 552 0 0 MSCI EAFE INDEX FND MSCI EAFE IDX 464287465 5541 101329 SH SOLE 5541 0 0 MSCI EMERGING MKTS I SHARE MSCI EMERG MKT 464287234 5086 130696 SH SOLE 5086 0 0 NATIONAL OILWELL VARCO SPONSORED ADR 637071101 2773 64280 SH SOLE 2773 0 0 NEWS CORP LTD ADR ADR NEW 65248E203 15 1030 SH SOLE 15 0 0 NIKE CL B 654106103 2617 40441 SH SOLE 2617 0 0 NORTHERN TRUST COM 665859104 18 300 SH SOLE 18 0 0 NOVARTIS AG SPNSRD ADR SPONSORED ADR 66987V109 13 250 SH SOLE 13 0 0 NOVO NORDISK A/S ADR ADR 670100205 3056 48540 SH SOLE 3056 0 0 NVIDIA COM 67066G104 8 500 SH SOLE 8 0 0 O REILLY AUTO COM 686091109 2697 74614 SH SOLE 2697 0 0 OCCIDENTAL PETROLEUM COM 674599105 10 125 SH SOLE 10 0 0 OMNICOM GROUP INC COM 681919106 42 1110 SH SOLE 42 0 0 ONEOK PARTNERS LP UT LTD PARTNER 68268N103 11 200 SH SOLE 11 0 0 ORACLE COM 68389X105 2641 126700 SH SOLE 2641 0 0 PEABODY ENERGY COM 704549104 2877 77279 SH SOLE 2877 0 0 PEETS COFFEE & TEA INC COM 705560100 3 100 SH SOLE 3 0 0 PEPSICO INC COM 713448108 2953 50327 SH SOLE 2953 0 0 PETSMART INC COM 716768106 1683 77350 SH SOLE 1683 0 0 PFIZER INC COM 717081103 89 5345 SH SOLE 89 0 0 PHILIP MORRIS INTERNATIONAL COM 718172109 14 280 SH SOLE 14 0 0 PIONEER NAT RES COM 723787107 2 29 SH SOLE 2 0 0 POWERSHARES QQQ UNIT SER 1 73935a104 7 155 SH SOLE 7 0 0 PRAXAIR INC COM 74005P104 33 400 SH SOLE 33 0 0 PRINCIPAL FINANCIAL GROUP INC COM 74251V102 136 4960 SH SOLE 136 0 0 PROCTER & GAMBLE COM 742718109 2865 49455 SH SOLE 2865 0 0 PROGRESSIVE CORP COM 743315103 1114 67153 SH SOLE 1114 0 0 PRUDENTIAL FINANCIAL INC COM 744320102 3 45 SH SOLE 3 0 0 PUBLIC STORAGE INC COM 74460D109 17 220 SH SOLE 17 0 0 QUALCOMM INC COM 747525103 9 200 SH SOLE 9 0 0 QUEST DIAGNOSTICS COM 74834L100 2512 48124 SH SOLE 2512 0 0 QWEST COM 749121109 1 27 SH SOLE 1 0 0 REALTY INCOME CORP COM 756109104 37 1428 SH SOLE 37 0 0 ROCKWELL AUTOMATION INC COM 773903109 5 100 SH SOLE 5 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 524 9151 SH SOLE 524 0 0 RUSSELL 2000 VALUE INDX ISHRS RUSL 2000 VALU 464287630 2962 52482 SH SOLE 2962 0 0 S&P 500 INDEX ISHARES S&P 500 INDEX 464287200 665 6272 SH SOLE 665 0 0 SANDISK CORP COM 80004C101 3 100 SH SOLE 3 0 0 SANOFI-AVENTIS ADR SPONSORED ADR 80105N105 7 176 SH SOLE 7 0 0 SCHERING PLOUGH CORP COM 806605101 10 320 SH SOLE 10 0 0 SCHLUMBERGER LTD COM 806857108 3489 58528 SH SOLE 3489 0 0 SELECTED AMERICAN SHRS FUND COM 816221105 38 1066 SH SOLE 38 0 0 SOURCE CAPITAL COM 836144105 21 500 SH SOLE 21 0 0 SOUTHWEST AIRLINES COM 844741108 1 35 SH SOLE 1 0 0 SOUTHWESTERN ENERGY CO COM 845467109 1324 31010 SH SOLE 1324 0 0 ST JUDE MEDICAL COM 790849103 8 200 SH SOLE 8 0 0 ST MARY LAND & EXPL CO COM 792228108 49 1500 SH SOLE 49 0 0 STANDEX INTL CORP COM 854231107 80 4000 SH SOLE 80 0 0 STATE STREET CORP COM 857477103 2452 46603 SH SOLE 2452 0 0 STRYKER CORP COM 863667101 2125 46765 SH SOLE 2125 0 0 SUN TECH HLDGS LTD ADR ADR 86800C104 1157 76069 SH SOLE 1157 0 0 SUNCOR ENERGY COM 867224107 59 1700 SH SOLE 59 0 0 SYMYX TECHNOLOGIES INC COM 87155s108 1 100 SH SOLE 1 0 0 SYSCO CORPORATION COM 871829107 18 700 SH SOLE 18 0 0 T ROWE PRICE GRP COM 74144T108 2391 52302 SH SOLE 2391 0 0 TAIWAN SEMICONDUCTOR ADR SPONSORED ADR 874039100 1 1 SH SOLE 1 0 0 TANDY LEATHER FACTORY INC COM 87538X105 2 360 SH SOLE 2 0 0 TARGET CORP COM 87612E106 53 1118 SH SOLE 53 0 0 TECHNE CORP COM 878377100 2387 38150 SH SOLE 2387 0 0 TEMPLETON EMERGING MARKETS FUN COM 880191101 29 1700 SH SOLE 29 0 0 THE DIRECTV GROUP INC COM 25459L106 18 651 SH SOLE 18 0 0 THE TRAVELERS COMPANIES COM 89417E109 5 100 SH SOLE 5 0 0 TIME WARNER INC COM 887317303 7 216 SH SOLE 7 0 0 TRANSOCEAN OFFSHORE ORD H8817H100 3616 42273 SH SOLE 3616 0 0 U S BANCORP COM NEW 902973304 1673 76530 SH SOLE 1673 0 0 UNION PACIFIC CORP COM 907818108 53 900 SH SOLE 53 0 0 VEECO INSTRS INC COM 922417100 3 100 SH SOLE 3 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 23 738 SH SOLE 23 0 0 VERTEX PHARMACEUTICALS COM 92532F100 10 260 SH SOLE 10 0 0 VIACOM CL B (NEW) CL B 92553P201 5 150 SH SOLE 5 0 0 VISA INC CL A COM 92826C839 5 70 SH SOLE 5 0 0 VITAL IMAGES INC COM 92846N104 2 100 SH SOLE 2 0 0 VODAFONE GROUP PLC SPON ADR NEW 92857W209 44 1930 SH SOLE 44 0 0 WAL MART STORES INC COM 931142103 205 4174 SH SOLE 205 0 0 WALGREEN COM 931422109 2962 79040 SH SOLE 2962 0 0 WASHINGTON REAL ESTATE INVT SB SH BEN INT 939653101 6 200 SH SOLE 6 0 0 WELLS FARGO - NEW COM 949746101 2294 81392 SH SOLE 2294 0 0 WESTERN UNION COM 959802109 29 1500 SH SOLE 29 0 0 WHOLE FOODS MKT COM 966837106 25 800 SH SOLE 25 0 0 WYETH COM 983024100 34 680 SH SOLE 34 0 0 XCEL ENERGY COM 98389B100 87 4516 SH SOLE 87 0 0 ------ ------- 149080 3779944 ====== =======
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