-----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, HXrbmPWuJRZTjGiPdY9mYpQlCBw2O52PQmkzDSelRGY+jZKRWpbBgzJwJ0dvw3iG eSLKuBfR7D8LS1oHX2bUwg== 0000950134-09-010816.txt : 20090515 0000950134-09-010816.hdr.sgml : 20090515 20090515150955 ACCESSION NUMBER: 0000950134-09-010816 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090515 DATE AS OF CHANGE: 20090515 EFFECTIVENESS DATE: 20090515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Enceladus Investment Management, LLC CENTRAL INDEX KEY: 0001423841 IRS NUMBER: 204555994 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12874 FILM NUMBER: 09832274 BUSINESS ADDRESS: STREET 1: 2626 COLE AVENUE STREET 2: SUITE 705 CITY: DALLAS STATE: TX ZIP: 75204 BUSINESS PHONE: 214-468-0100 MAIL ADDRESS: STREET 1: 2626 COLE AVENUE STREET 2: SUITE 705 CITY: DALLAS STATE: TX ZIP: 75204 13F-HR 1 d67775e13fvhr.txt FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Form 13F Cover Page Report for the Calendar Year or Quarter Ended: March 31, 2009 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: Enceladus Investment Management, LLC Address: 2626 Cole Avenue Suite 705 Dallas, Texas 75204 Form 13F File Number: 28-12874 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: R. Kevin Hardage Title: Manager and Chief Compliance Officer Phone: (214) 468-0104 Signature, Place, and Date of Signing: /s/ R. Kevin Hardage Dallas, TX May 15, 2009 - ------------------------------------- ------------------------- ------------ (Signature) (City, State) (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 manager(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: 110 Form 13F Information Table Value Total: 111,250 (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. NONE FORM 13F INFORMATION TABLE 1ST QTR 2009
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - --------------------------------- -------------- --------- -------- ---------------- ---------- -------- ------------------- VOTING AUTHORITY TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER ------------------- NAME OF ISSUER CLASS CUSIP (X1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------- -------------- --------- -------- ------- --- ---- ---------- -------- ---- ------ ------- 3M CO COM 88579Y101 691 13,889 SH -- SOLE -- -- -- 13,889 ABBOTT LABS COM 002824100 910 19,082 SH -- SOLE -- -- -- 19,082 ABM INDS INC COM 000957100 259 15,800 SH -- SOLE -- -- -- 15,800 AFLAC INC COM 001055102 640 33,037 SH -- SOLE -- -- -- 33,037 AIR PRODS & CHEMS INC COM 009158106 330 5,862 SH -- SOLE -- -- -- 5,862 ALLERGAN INC COM 018490102 1,111 23,254 SH -- SOLE -- -- -- 23,254 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 1,401 51,750 SH -- SOLE -- -- -- 51,750 AMGEN INC COM 031162100 1,224 24,718 SH -- SOLE -- -- -- 24,718 ANADARKO PETE CORP COM 032511107 718 18,472 SH -- SOLE -- -- -- 18,472 AON CORP COM 037389103 423 10,355 SH -- SOLE -- -- -- 10,355 APACHE CORP COM 037411105 484 7,550 SH -- SOLE -- -- -- 7,550 APOLLO GROUP INC CL A 037604105 201 2,563 SH -- SOLE -- -- -- 2,563 AT&T INC COM 00206R102 642 25,467 SH -- SOLE -- -- -- 25,467 ATMOS ENERGY CORP COM 049560105 280 12,100 SH -- SOLE -- -- -- 12,100 AUTOMATIC DATA PROCESSING IN COM 053015103 1,930 54,887 SH -- SOLE -- -- -- 54,887 BANK OF AMERICA CORPORATION COM 060505104 236 34,537 SH -- SOLE -- -- -- 34,537 BECTON DICKINSON & CO COM 075887109 517 7,686 SH -- SOLE -- -- -- 7,686 BERKSHIRE HATHAWAY INC DEL CL B 084670207 3,460 1,227 SH -- SOLE -- -- -- 1,227 BP PLC SPONSORED ADR 055622104 480 11,969 SH -- SOLE -- -- -- 11,969 CADBURY PLC SPONS ADR 12721E102 1,000 32,998 SH -- SOLE -- -- -- 32,998 CARBO CERAMICS INC COM 140781105 1,462 51,400 SH -- SOLE -- -- -- 51,400 CHESAPEAKE ENERGY CORP COM 165167107 347 20,353 SH -- SOLE -- -- -- 20,353 CHEVRON CORP NEW COM 166764100 441 6,555 SH -- SOLE -- -- -- 6,555 CHUBB CORP COM 171232101 1,779 42,034 SH -- SOLE -- -- -- 42,034 CISCO SYS INC COM 17275R102 1,967 103,368 SH -- SOLE -- -- -- 103,368 CITIGROUP INC COM 172967101 64 25,248 SH -- SOLE -- -- -- 25,248 COCA COLA CO COM 191216100 861 19,594 SH -- SOLE -- -- -- 19,594 COLGATE PALMOLIVE CO COM 194162103 411 6,968 SH -- SOLE -- -- -- 6,968 COMCAST CORP NEW CL A 20030N101 403 29,572 SH -- SOLE -- -- -- 29,572 CONOCOPHILLIPS COM 20825C104 433 11,048 SH -- SOLE -- -- -- 11,048 COSTCO WHSL CORP NEW COM 22160K105 754 16,285 SH -- SOLE -- -- -- 16,285 CULLEN FROST BANKERS INC COM 229899109 798 17,000 SH -- SOLE -- -- -- 17,000 CVS CAREMARK CORPORATION COM 126650100 1,626 59,161 SH -- SOLE -- -- -- 59,161 DELL INC COM 24702R101 360 37,990 SH -- SOLE -- -- -- 37,990 DEVON ENERGY CORP NEW COM 25179M103 726 16,256 SH -- SOLE -- -- -- 16,256 DIEBOLD INC COM 253651103 228 10,700 SH -- SOLE -- -- -- 10,700 DISNEY WALT CO COM DISNEY 254687106 198 10,884 SH -- SOLE -- -- -- 10,884 DOMINION RES INC VA NEW COM 25746U109 508 16,392 SH -- SOLE -- -- -- 16,392 DR PEPPER SNAPPLE GROUP INC COM 26138E109 426 25,180 SH -- SOLE -- -- -- 25,180 DUKE REALTY CORP COM NEW 264411505 204 37,154 SH -- SOLE -- -- -- 37,154 EMERSON ELEC CO COM 291011104 2,097 73,380 SH -- SOLE -- -- -- 73,380 ENDO PHARMACEUTICALS HLDGS INC I COM 29264F205 1,799 101,750 SH -- SOLE -- -- -- 101,750 ENTERGY CORP NEW COM 29364G103 571 8,380 SH -- SOLE -- -- -- 8,380 EXXON MOBIL CORP COM 30231G102 3,439 50,500 SH -- SOLE -- -- -- 50,500 FEI CO COM 30241L109 543 35,200 SH -- SOLE -- -- -- 35,200 FLUOR CORP NEW COM 343412102 1,171 33,886 SH -- SOLE -- -- -- 33,886 FPL GROUP INC COM 302571104 627 12,350 SH -- SOLE -- -- -- 12,350
FORM 13F INFORMATION TABLE 1ST QTR 2009
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - --------------------------------- -------------- --------- -------- ---------------- ---------- -------- ------------------- VOTING AUTHORITY ------------------- FREEPORT-MCMORAN COPPER & GO COM 35671D857 360 9,445 SH -- SOLE -- -- -- 9,445 GENENTECH INC COM NEW 368710406 311 3,275 SH -- SOLE -- -- -- 3,275 GENERAL ELECTRIC CO COM 369604103 911 90,140 SH -- SOLE -- -- -- 90,140 GILEAD SCIENCES INC COM 375558103 211 4,558 SH -- SOLE -- -- -- 4,558 GOLDMAN SACHS GROUP INC COM 38141G104 368 3,473 SH -- SOLE -- -- -- 3,473 HEADWATERS INC COM 42210P102 257 81,840 SH -- SOLE -- -- -- 81,840 HELIX ENERGY SOLUTIONS GRP I COM 42330P107 588 114,350 SH -- SOLE -- -- -- 114,350 HEWLETT PACKARD CO COM 428236103 807 25,187 SH -- SOLE -- -- -- 25,187 HOLLY CORP COM PAR $0.01 435758305 14,643 690,700 SH -- SOLE -- -- -- 690,700 INTEL CORP COM 458140100 1,213 80,738 SH -- SOLE -- -- -- 80,738 INTERNATIONAL BUSINESS MACHS CORP COM 459200101 1,516 15,643 SH -- SOLE -- -- -- 15,643 ISHARES TR FTSE XNHUA IDX 464287184 1,016 35,595 SH -- SOLE -- -- -- 35,595 ISHARES TR MSCI EMERG MKT 464287234 352 14,180 SH -- SOLE -- -- -- 14,180 ISHARES INC MSCI JAPAN 464286848 185 23,400 SH -- SOLE -- -- -- 23,400 ISHARES INC MSCI PAC J IDX 464286665 685 27,810 SH -- SOLE -- -- -- 27,810 ISHARES TR S&P MIDCAP 400 464287507 411 8,442 SH -- SOLE -- -- -- 8,442 JOHNSON & JOHNSON COM 478160104 916 17,412 SH -- SOLE -- -- -- 17,412 JOS A BANK CLOTHIERS INC COM 480838101 1,286 46,225 SH -- SOLE -- -- -- 46,225 JPMORGAN CHASE & CO COM 46625H100 1,462 55,006 SH -- SOLE -- -- -- 55,006 KIMBERLY CLARK CORP COM 494368103 210 4,565 SH -- SOLE -- -- -- 4,565 L-3 COMMUNICATIONS HLDGS INC COM 502424104 508 7,487 SH -- SOLE -- -- -- 7,487 LIBERTY GLOBAL INC COM SER A 530555101 386 26,512 SH -- SOLE -- -- -- 26,512 LIBERTY MEDIA CORP NEW INT COM SER A 53071M104 45 15,350 SH -- SOLE -- -- -- 15,350 LOWES COS INC COM 548661107 1,964 107,628 SH -- SOLE -- -- -- 107,628 MAXIM INTEGRATED PRODS INC COM 57772K101 805 60,968 SH -- SOLE -- -- -- 60,968 MEDTRONIC INC COM 585055106 3,378 114,629 SH -- SOLE -- -- -- 114,629 MERCK & CO INC COM 589331107 270 10,112 SH -- SOLE -- -- -- 10,112 METAVANTE TECNOLOGIES INC COM 591407101 961 48,128 SH -- SOLE -- -- -- 48,128 MICROSOFT CORP COM 594918104 1,316 71,645 SH -- SOLE -- -- -- 71,645 MILLIPORE CORP COM 601073109 525 9,150 SH -- SOLE -- -- -- 9,150 NOKIA CORP SPONSORED ADR 654902204 200 17,107 SH -- SOLE -- -- -- 17,107 NOVARTIS A G SPONSORED ADR 66987V109 1,948 51,490 SH -- SOLE -- -- -- 51,490 OCCIDENTAL PETE CORP DEL COM 674599105 2,316 41,612 SH -- SOLE -- -- -- 41,612 OMNICOM GROUP INC COM 681919106 244 10,442 SH -- SOLE -- -- -- 10,442 PEPSICO INC COM 713448108 2,692 52,289 SH -- SOLE -- -- -- 52,289 PFIZER INC COM 717081103 725 53,250 SH -- SOLE -- -- -- 53,250 POWERSHARES ETF TRUST WATER RESOURCE 73935X575 147 12,300 SH -- SOLE -- -- -- 12,300 PRAXAIR INC COM 74005P104 1,377 20,471 SH -- SOLE -- -- -- 20,471 PROCTER & GAMBLE CO COM 742718109 1,649 35,009 SH -- SOLE -- -- -- 35,009 RENAISSANCERE HOLDINGS LTD COM G7496G103 415 8,400 SH -- SOLE -- -- -- 8,400 SCHERING PLOUGH CORP COM 806605101 459 19,495 SH -- SOLE -- -- -- 19,495 SCHLUMBERGER LTD COM 806857108 554 13,641 SH -- SOLE -- -- -- 13,641 SOUTHERN CO COM 842587107 533 17,400 SH -- SOLE -- -- -- 17,400 SOUTHWEST AIRLS CO COM 844741108 1,213 191,694 SH -- SOLE -- -- -- 191,694 STRYKER CORP COM 863667101 303 8,900 SH -- SOLE -- -- -- 8,900 SYSCO CORP COM 871829107 1,139 49,965 SH -- SOLE -- -- -- 49,965 PRICE T ROWE GROUP INC COM 74144T108 1,979 68,559 SH -- SOLE -- -- -- 68,559 TARGET CORP COM 87612E106 1,309 38,050 SH -- SOLE -- -- -- 38,050 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1,101 24,442 SH -- SOLE -- -- -- 24,442 TEXAS INSTRS INC COM 882508104 373 22,578 SH -- SOLE -- -- -- 22,578
FORM 13F INFORMATION TABLE 1ST QTR 2009
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - --------------------------------- -------------- --------- -------- ---------------- ---------- -------- ------------------- VOTING AUTHORITY ------------------- TIFFANY & CO NEW COM 886547108 901 41,799 SH -- SOLE -- -- -- 41,799 UNITED PARCEL SERVICE INC CL B 911312106 775 15,755 SH -- SOLE -- -- -- 15,755 UNITED TECHNOLOGIES CORP COM 913017109 789 18,353 SH -- SOLE -- -- -- 18,353 VALERO ENERGY CORP NEW COM 91913Y100 245 13,675 SH -- SOLE -- -- -- 13,675 VERIZON COMMUNICATIONS INC COM 92343V104 592 19,619 SH -- SOLE -- -- -- 19,619 WAL MART STORES INC COM 931142103 1,729 33,189 SH -- SOLE -- -- -- 33,189 WASTE MGMT INC DEL COM 94106L109 1,763 68,864 SH -- SOLE -- -- -- 68,864 WEATHERFORD INTERNATIONAL LT REG H27013103 704 63,629 SH -- SOLE -- -- -- 63,629 WESTERN UN CO COM 959802109 830 66,015 SH -- SOLE -- -- -- 66,015 WILLIAMS COS INC DEL COM 969457100 409 35,950 SH -- SOLE -- -- -- 35,950 WYETH COM 983024100 421 9,783 SH -- SOLE -- -- -- 9,783 XTO ENERGY INC COM 98385X106 1,484 48,473 SH -- SOLE -- -- -- 48,473 ZIMMER HLDGS INC COM 98956P102 887 24,300 SH -- SOLE -- -- -- 24,300 Total 111,250
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