0001162044-11-001102.txt : 20111114 0001162044-11-001102.hdr.sgml : 20111111 20111114150219 ACCESSION NUMBER: 0001162044-11-001102 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Bragg Financial Advisors, Inc CENTRAL INDEX KEY: 0001327055 IRS NUMBER: 561790097 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11385 FILM NUMBER: 111201445 BUSINESS ADDRESS: STREET 1: 100 QUEENS ROAD CITY: CHARLOTTE STATE: NC ZIP: 28204 BUSINESS PHONE: 704-714-7711 MAIL ADDRESS: STREET 1: 100 QUEENS ROAD CITY: CHARLOTTE STATE: NC ZIP: 28204 13F-HR 1 Form13F.txt 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: Bragg Financial Advisors, Inc Address: 1031 South Caldwell, Suite 200 Charlotte, NC 28203 13F File Number: 28-11385 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: Steven H. Scruggs Title: Chief Compliance Officer Phone: (704) 714-7711 Signature, Place, and Date of Signing: /s/ Steven H Scruggs Steven H. Scruggs Charlotte, NC November 14, 2011 Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: NONE FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 230 Form 13F Information Table Value Total: $265,367(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
VALUE SHARES SHR PUT INV OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X $1,000)/PRN AMT/PRN/CALL DISC MGRS SOLE SHARED NONE Abbott Laboratories Com 002824100 2356 46,073 SH SOLE 295 45,778 Air Products & Chems Com 009158106 1812 23,730 SH SOLE 100 23,630 Altria Group Inc Com 022095103 306 11,421 SH SOLE 11,421 American Express Com 025816109 2582 57,499 SH SOLE 8470 49,029 Ameriprise Financial Com 031897101 1455 36,958 SH SOLE 424 36,534 Amgen Inc Com 037411105 1809 22,551 SH SOLE 205 22,346 Apple Computer Inc Com 037833100 306 802 SH SOLE 802 Applied Materials Com 038222105 563 54,420 SH SOLE 1165 53,255 Arden Group Inc A CL A 039762109 332 4,170 SH SOLE 3317 853 AT&T Inc Com 00206R102 2455 86,085 SH SOLE 21550 64,535 Atrion Corp Com 049904105 679 3,273 SH SOLE 2703 570 Automatic Data Processing Com 053015103 1288 27,319 SH SOLE 390 26,929 Baker Hughes Inc Com 057224107 854 18,496 SH SOLE 320 18,176 Ball Corp Com 058498106 767 24,720 SH SOLE 430 24,290 Bank of America Com 06605F102 181 29,565 SH SOLE 29,565 Bank Of New York Co Com 064058100 1220 65,641 SH SOLE 15180 50,461 BB&T Corp Com 054937107 1402 65,749 SH SOLE 65,749 Becton Dickinson & Com 075887109 3107 42,375 SH SOLE 315 42,060 Bel Fuse Inc-Cl B CL B 077347300 270 17,345 SH SOLE 12850 4,495 Berkshire Hath A CL A 084670108 1068 10 SH SOLE 3 7 Berkshire Hath B CL B 084670207 659 9,271 SH SOLE 9,271 Best Buy Company Inc Com 086516101 315 13,537 SH SOLE 555 12,982 Big Five Sporting Goods Com 08915P101 310 51,000 SH SOLE 50000 1,000 Boeing Company Com 097023105 456 7,530 SH SOLE 7,530 Books a Million Inc Com 098570104 250 107,800 SH SOLE 107800 0 Boston Pptys Inc Com Com 101121101 230 2,577 SH SOLE 85 2,492 Bristol-Myers Squibb Com 110122108 2529 80,606 SH SOLE 5438 75,168 Brown Forman Class B CL B 115637209 2326 33,157 SH SOLE 237 32,920 C. R. Bard, Inc. Com 067383109 1842 21,039 SH SOLE 160 20,879 Caterpillar Inc Com 149123101 1125 15,240 SH SOLE 15,240 Cato Corp New Cl A CL A 149205106 1128 49,993 SH SOLE 49,993 CBS Corp Com 124857202 1198 58,800 SH SOLE 21086 37,714 Central Fd Cda Ltd Cl A CL A 153501101 2162 104,482 SH SOLE 46900 57,582 Centurytel Inc Com Com 156700106 654 19,756 SH SOLE 320 19,436 Charles Schwab Corp Com 808513105 138 12,268 SH SOLE 12,268 Chart Industries Com 16115Q308 813 19,283 SH SOLE 14978 4,305 Chemed Corp Com 16359R103 335 6,100 SH SOLE 6100 0 Chesapeake Energy Com 165167107 754 29,498 SH SOLE 595 28,903 Chevrontexaco Corp Com 166764100 4512 48,730 SH SOLE 292 48,438 Chubb Corp Com 171232101 1478 24,632 SH SOLE 155 24,477 Cimarex Energy Co Com 171798101 542 9,729 SH SOLE 260 9,469 Cisco Systems Inc Com 17275R102 2199 141,980 SH SOLE 31130 110,850 Clorox Co Com 189054109 1073 16,170 SH SOLE 8600 7,570 Coca-Cola Company Com 191216100 1148 16,999 SH SOLE 202 16,797 Colgate-Palmolive Co Com 194162103 2262 25,513 SH SOLE 218 25,295 Conocophillips Com 20825C104 3122 49,302 SH SOLE 455 48,847 Costco Whsl Corp New Com 22160K105 215 2,624 SH SOLE 2,624 Cubic Corp Com 229669106 996 25,500 SH SOLE 24500 1,000 Danaher Corp Com 235851102 1889 45,029 SH SOLE 2590 42,439 Darden Restaurants Com 237194105 764 17,881 SH SOLE 240 17,641 Darling International Inc Com 237266101 819 65,050 SH SOLE 60000 5,050 Deere & Co Com 244199105 1088 16,856 SH SOLE 140 16,716 Dell Inc. Com 24702R101 2069 146,187 SH SOLE 31418 114,769 Delta Apparel Inc Com 247368103 1026 65,129 SH SOLE 58435 6,694 Disney Walt Company Com 254687106 405 13,417 SH SOLE 13,417 Dominion Res Inc Va Com 257470104 1843 36,295 SH SOLE 445 35,850 Dow Chem Co Com 260543103 1121 49,894 SH SOLE 455 49,439 DST Systems Com 233326107 1008 23,000 SH SOLE 23,000 Du Pont E I De Com 263534109 680 17,001 SH SOLE 185 16,816 Ducommun Inc Com 264147109 355 23,670 SH SOLE 21200 2,470 Duke Energy Corp Com 26441C105 1071 53,559 SH SOLE 20900 32,659 EMC Corp Com 268648102 2826 134,615 SH SOLE 765 133,850 Endurance Specialty SHS G30397106 302 8,840 SH SOLE 6000 2,840 Exelon Corp Com COM 30161N101 2497 58,598 SH SOLE 13495 45,103 Exxon Mobil Corp Com 30231G102 5152 70,931 SH SOLE 5032 65,899 Family Dollar Stores Com 307000109 521 10,238 SH SOLE 10,238 Fedex Corp Com Com 31428X106 416 6,144 SH SOLE 6,144 Fifth Third Bancorp Com 316773100 169 16,737 SH SOLE 175 16,562 First Trust Bk Com 33732N105 393 167,344 SH SOLE 167,344 Firstenergy Corp Com 337932107 1372 30,560 SH SOLE 500 30,060 Flower Inds Inc Com 343496105 3189 163,884 SH SOLE 163,884 Fortune Brands Inc Com 349631101 384 7,105 SH SOLE 6380 725 General Dynamics Com 369550108 287 5,040 SH SOLE 4000 1,040 General Electric Co Com 369604103 1217 79,993 SH SOLE 551 79,442 General Mls Inc Com 370334104 419 10,888 SH SOLE 10,888 G-III Apparel Group Ltd Com 36237H101 466 20,400 SH SOLE 20000 400 GlaxoSmithKline PLC SPONSORED ADR 37733W105 397 9,617 SH SOLE 9000 617 Graco Inc Com 384109104 820 24,015 SH SOLE 20875 3,140 Grainger WW Inc Com 384802104 1437 9,608 SH SOLE 140 9,468 Harleysville Group Com 412824104 2092 35,550 SH SOLE 35,550 Hewlett-Packard Ca Com 428236103 1488 66,282 SH SOLE 7648 58,634 Hilltop HLDGs Inc Com 432748101 481 66,700 SH SOLE 60700 6,000 Home Depot Inc Com 437076102 1261 38,355 SH SOLE 276 38,079 Honeywell Intl Inc Com 438516106 1109 25,261 SH SOLE 380 24,881 Horace Mann Educators Corp New Com 440327104 613 53,730 SH SOLE 50000 3,730 Horsehead Holding Corp Com 440694305 344 46,330 SH SOLE 29100 17,230 HURCO Companies Inc Com 447324104 983 48,402 SH SOLE 43202 5,200 IBM Com 459200101 5738 32,814 SH SOLE 3690 29,124 Imation Corp Com 45245A107 503 68,855 SH SOLE 58300 10,555 Imperial Sugar Co Com 453096208 290 45,083 SH SOLE 39203 5,880 Ingersoll Rand Co Com G47791101 1427 50,820 SH SOLE 10605 40,215 Intel Corp Com 458140100 2793 130,938 SH SOLE 17290 113,648 Inter Parfumes Inc Com 458334109 504 32,600 SH SOLE 31700 900 Ishares Barclays 3-7 Yr Treas BARCLYS 3-7 YR 464288661 446 3,670 SH SOLE 3,670 Ishares Barclays Intermed Cr B Barclys 1-3 Cr 464288638 1045 9,789 SH SOLE 9,789 Ishares Comex Gold ISHARES 464285105 505 31,915 SH SOLE 30000 1,915 Ishares Dow Jones Tech DJ US TECH SEC 464287721 202 3,410 SH SOLE 3,410 Ishares Lehman Agency Bd AGENCY BD FD 464288166 357 3,165 SH SOLE 3,165 Ishares Msci Eafe Idx MSCI EAFE IDX 464287465 501 10,480 SH SOLE 10,480 Ishares S & P 400 Value S&P MIDCP Valu 464287705 457 6,925 SH SOLE 6,925 Ishares S&P 400 S&P MIDCAP 400 464287507 223 2,865 SH SOLE 2,865 Ishares S&P 500 Indx S&P 500 Index 464287200 410 3,609 SH SOLE 3,609 Ishares S&P Interm Natl Muni S&P NTL AMTFREE 464288414 444 4,160 SH SOLE 4,160 Ishares S&P ST Natl Muni Bd S&P SH NTL AMTF 464288158 3517 32,988 SH SOLE 32,988 Ishares Tr 1 3 Yr Treas Index BARCLYS 1-3YR 464287457 631 7,466 SH SOLE 7,466 Ishares Tr Lehman 1-3 YrCr-Bd BARCLYS 1-3YR CR 464288646 1610 15,481 SH SOLE 455 15,026 Ishares Tr Russell 2000 Russell 2000 464287655 286 4,441 SH SOLE 4,441 Ishares Tr S&P Smallcap 60In S&P SMLCAP 600 464287804 208 3,551 SH SOLE 3,551 ITT Industries Inc Com 450911102 353 8,408 SH SOLE 395 8,013 J P Morgan Chase Com 46625H100 425 14,105 SH SOLE 9000 5,105 Johnson & Johnson Com 478160104 3579 56,191 SH SOLE 7444 48,747 K Swiss Inc Cl A CL A 482686102 262 61,700 SH SOLE 52400 9,300 Kimberly Clark Corp Com 494368103 426 6,002 SH SOLE 5000 1,002 Kinder Morgan Energy UT LTD PARTNER 494550106 252 3,679 SH SOLE 3,679 Kraft Foods Inc Com 50075N104 640 19,071 SH SOLE 9000 10,071 Leucadia National Com 527288104 776 34,205 SH SOLE 19075 15,130 Lexmark Intl Group Class A 529771107 451 16,680 SH SOLE 270 16,410 Lowes Cos Inc Com 548661107 1093 56,503 SH SOLE 754 55,749 Marathon Oil Corp Com 565849106 375 17,400 SH SOLE 290 17,110 Maxim Integrated Com 57772K101 404 17,305 SH SOLE 740 16,565 McDonald's Corp Com 580135101 5924 67,458 SH SOLE 4485 62,973 Medcohealth Com 58405U102 236 5,035 SH SOLE 489 41,239 Merck & Co Inc Com 58933Y105 3220 98,477 SH SOLE 14403 84,074 MGE Energy Inc Com 55277P104 590 14,515 SH SOLE 12350 2,165 Micrel Inc Com Com 594793101 333 35,156 SH SOLE 30000 5,156 Microsoft Corp Com 594918104 2988 120,054 SH SOLE 12212 107,842 Minnesota Mining & Com 88579Y101 1984 27,637 SH SOLE 5222 22,415 New Jersey Res Corp Com 646025106 1300 30,545 SH SOLE 30,545 News Corp Ltd Spons CL A 65248E104 2259 146,037 SH SOLE 46375 99,662 Nucor Corp Com 670346105 717 22,654 SH SOLE 110 22,544 Oracle Corp Com 68389X105 3938 137,013 SH SOLE 10731 126,282 Oshkosh Truck Corp Com 688239201 907 57,641 SH SOLE 52626 5,015 Owens & Minor Inc Com 690732102 1306 45,866 SH SOLE 45,866 Park Electrochemical Corp Com 700416209 642 30,030 SH SOLE 25400 4,630 Pepsico Inc Com 713448108 2241 36,199 SH SOLE 280 35,919 Pervasive Software Com 715710109 506 84,416 SH SOLE 82916 1,500 Pfizer Inc Com 717081103 2067 116,929 SH SOLE 31779 85,150 Philip Morris Intl Inc Com Com 718172109 679 10,879 SH SOLE 10,879 Piedmont Nat Gas Inc Com 720186105 1409 48,773 SH SOLE 33900 14,873 Plantronics Inc New Com 727493108 555 19,500 SH SOLE 18400 1,100 Prestige Brand Holdings Com 74112D101 856 94,600 SH SOLE 77600 17,000 Price T Rowe Group Inc Com 74144T108 2787 58,336 SH SOLE 4395 53,941 Proassurance Corp Com 74267C106 974 13,530 SH SOLE 12500 1,030 Procter & Gamble Co Com 742718109 5223 82,666 SH SOLE 9175 73,491 Progress Energy Inc Com 743263105 934 18,062 SH SOLE 10700 7,362 Progressive Corp Of Com 743315103 1633 91,923 SH SOLE 22150 69,773 Radioshack Corp Com 750438103 944 81,225 SH SOLE 73500 7,725 Radisys Corporation Com 750459109 116 18,900 SH SOLE 18900 0 Raymond James Finl Com 754730109 1159 44,640 SH SOLE 805 43,835 RLI Corp Com 749607107 1729 27,200 SH SOLE 27,200 Robbins & Myers Inc Com 770196103 531 15,300 SH SOLE 15300 0 Royal Bk Cda Com 780087102 743 16,262 SH SOLE 16,262 Ruddick Corp Com 781258108 283 7,255 SH SOLE 7,255 S & P Large Cap 500 TR UNIT 78462F103 443 3,912 SH SOLE 3,912 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 246 1,734 SH SOLE 1,734 Safeway Com 786514208 634 38,125 SH SOLE 585 37,540 Sanderson Farms Inc Com 800013104 1309 27,553 SH SOLE 27,553 Scana Corp New Com 80589M102 293 7,248 SH SOLE 7,248 Schlumberger Com 806857108 386 6,456 SH SOLE 6,456 Scholastic Corp Com 807066105 1087 38,795 SH SOLE 35545 3,250 Simon Ppty Group Com 828806109 231 2,097 SH SOLE 2,097 South Jersey Industries Com 838518108 995 20,000 SH SOLE 20000 0 Southern Co Com 842587107 3349 79,051 SH SOLE 4900 74,151 SPDR Gold Trust GOLD SHS 78463V107 2474 15,652 SH SOLE 160 15,492 Spectra Energy Corp Com Com 847560109 273 11,121 SH SOLE 11,121 State Street Corp Com 857477103 218 6,776 SH SOLE 6000 776 Steris Com 859152100 950 32,450 SH SOLE 30000 2,450 Stryker Corp Com 863667101 713 15,132 SH SOLE 260 14,872 Symantec Corp Com 871503108 391 24,000 SH SOLE 24000 0 Syngenta Ag Com 87160A100 445 8,586 SH SOLE 8,586 Sysco Corp Com 871829107 757 29,211 SH SOLE 465 28,746 Target Corp Com 87612E106 1672 34,090 SH SOLE 285 33,805 Tech Data Corp Com 878237106 1297 30,000 SH SOLE 30,000 Tellabs Inc Com 879664100 551 128,370 SH SOLE 118000 10,370 Texas Instruments Com 882508104 1466 55,010 SH SOLE 570 54,440 The Travelers Companies Inc Com 89417E109 212 4,341 SH SOLE 4300 41 Thomson Reuters Corporation Com 884903105 322 11,900 SH SOLE 11900 0 Time Warner Hldgs Com 887317303 277 9,252 SH SOLE 5195 4,057 TIPS Ishare US TIPS BD FD 464287176 4485 39,242 SH SOLE 1380 37,862 Tjx Companies Inc Com 872540109 1920 34,606 SH SOLE 260 34,346 Tricon Global Com 895953107 284 5,756 SH SOLE 5,756 TTM Technologies Inc Com 87305R109 1006 105,810 SH SOLE 95100 10,710 U R S Corp New Com 903236107 638 21,500 SH SOLE 20000 1,500 UGI Corp Com 902681105 637 24,265 SH SOLE 20000 4,265 Unifirst Corporation Com 904708104 969 21,400 SH SOLE 20000 1,400 Unilever Plc SPON ADR NEW 904767704 543 17,400 SH SOLE 16400 1,000 Unisys Com New 909214306 322 20,500 SH SOLE 20000 500 United Stationers Inc Com 913004107 581 21,330 SH SOLE 20000 1,330 United Technologies Com 913017109 3167 45,009 SH SOLE 3877 41,132 Unitedhealth Group Com 91324P102 630 13,650 SH SOLE 470 13,180 US Bancorp Del Com 902973304 784 33,318 SH SOLE 2400 30,918 USEC Inc Com 90333E108 239 148,680 SH SOLE 128650 20,030 V F Corp Com 918204108 436 3,590 SH SOLE 3500 90 VAALCO Energy Inc New Com 91851C201 147 30,195 SH SOLE 20000 10,195 Valero Energy Com 91913Y100 769 43,249 SH SOLE 315 42,934 Vang Mid-Cap Value ETF MCAP VL IDXVIP 922908512 1985 42,789 SH SOLE 1235 41,554 Vanguard Mid-Cap Gr ETF MCAP GR IDXVIP 922908538 1608 29,591 SH SOLE 1525 28,066 Vanguard Consumer Staples ETF CONSUM STP ETF 92204A207 336 4,405 SH SOLE 4,405 Vanguard Emerging Mkt ETF EMR MKT ETF 922042858 447 12,485 SH SOLE 12,485 Vanguard Europe Pacific ETF EUROPE PAC ETF 921943858 378 12,545 SH SOLE 12,545 Vanguard European ETF EUROPE PAC ETF 922042874 504 12,400 SH SOLE 12,400 Vanguard Health ETF HEALTH CAR ETF 92204A504 478 8,440 SH SOLE 8,440 Vanguard Info Tech INF TECH ETF 92204A702 713 12,561 SH SOLE 115 12,446 Vanguard Interm Corp INT-TERM CORP 92206C870 4423 54,632 SH SOLE 1300 53,332 Vanguard Interm Gov't Bond INT-TERM GOV 92206C706 1032 15,811 SH SOLE 3095 12,716 Vanguard LC ETF LARGE CAP ETF 922908637 2359 45,672 SH SOLE 45,672 Vanguard LC Growth Index ETF GROWTH ETF 922908736 415 7,415 SH SOLE 7,415 Vanguard Materials ETF MATERIALS ETF 92204A801 351 5,448 SH SOLE 5,448 Vanguard MC ETF MID CAP ETF 922908629 522 8,024 SH SOLE 240 7,784 Vanguard Pacific ETF PACIFIC ETF 922042866 606 12,505 SH SOLE 12,505 Vanguard REIT ETF REIT ETF 922908553 276 5,423 SH SOLE 5,423 Vanguard Small Cap ETF SMALL CP ETF 922908751 953 15,536 SH SOLE 420 15,116 Vanguard Small Cap Growth ETF SML CP GRW ETF 922908595 2845 42,545 SH SOLE 1185 41,360 Vanguard ST Bond EFT SHORT TRM BOND 921937827 376 4,613 SH SOLE 4,613 Vanguard ST Corp Bond SHRT-TERM CORP 92206C409 3155 40,647 SH SOLE 5835 34,812 Vanguard ST Gov't Bond SHTRM GVT BD ETF 92206C102 2127 34,796 SH SOLE 8135 26,661 Vanguard Telecom Svcs TELCOMM ETF 92204A884 351 5,778 SH SOLE 106 5,672 Verizon Com 92343V104 2151 58,448 SH SOLE 10405 48,043 Vornado Rlty Tr SH BEN INT 929042109 786 10,534 SH SOLE 128 10,406 Vulcan Materials Co Com 929160109 216 7,841 SH SOLE 180 7,661 Wal Mart Stores Inc Com 931142103 2357 45,407 SH SOLE 421 44,986 Walgreen Stores Com 931422109 1326 40,315 SH SOLE 385 39,930 Waste Mgmt Inc Com 94106L109 338 10,370 SH SOLE 10000 370 Wellpoint Health Com 94973V107 281 4,300 SH SOLE 4300 0 Wells Fargo & Co Com 949746101 1693 70,204 SH SOLE 895 69,309 Western Un Co Com 959802109 238 15,591 SH SOLE 110 15,481 Windstream Com 97381W104 255 21,892 SH SOLE 10118 11,774 Yahoo Inc Com 984332106 329 25,022 SH SOLE 25000 22