0000899140-12-000614.txt : 20121113 0000899140-12-000614.hdr.sgml : 20121112 20121113165646 ACCESSION NUMBER: 0000899140-12-000614 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121113 DATE AS OF CHANGE: 20121113 EFFECTIVENESS DATE: 20121113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Progeny 3, Inc. CENTRAL INDEX KEY: 0001536006 IRS NUMBER: 261257600 STATE OF INCORPORATION: WA FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14788 FILM NUMBER: 121199532 BUSINESS ADDRESS: STREET 1: 601 UNION STREET, #1450 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 206-654-3619 MAIL ADDRESS: STREET 1: 601 UNION STREET, #1450 CITY: SEATTLE STATE: WA ZIP: 98101 13F-HR 1 p8651077b.txt FOR CALENDAR QUARTER ENDED SEPTEMBER 30, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012 ------------------ 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: Progeny 3, Inc. Address: 601 Union Street, Suite 1450 Seattle, WA 98101 Form 13F File Number: 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: Eric Shapow Title: Chief Financial Officer Phone: 206.654.3619 Signature, Place, and Date of Signing: /s/ Eric Shapow Seattle, Washington November 13, 2012 --------------- ------------------- ---------------- [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: 36 Form 13F Information Table Value Total: $189,249 (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.
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 NAME OF ISSUER TITLE OF CUSIP VALUE SHRS/PRN SH/ PUT/ INVESTMENT OTHER VOTING CLASS (x$1000) AMT PRN CALL DISCRETION MANAGERS AUTHORITY Sole Shared None KRAFT FOODS INC CL A 50075N104 392 9,480 SH SOLE 9,480 AES CORP COM 00130H105 599 54,610 SH SOLE 54,610 ALEXION PHARMACEUTICALS INC COM 15351109 102 890 SH SOLE 890 ANALOG DEVICES INC COM 32654105 946 24,130 SH SOLE 24,130 AVON PRODS INC COM 54303102 2,137 133,970 SH SOLE 133,970 BAXTER INTL INC COM 71813109 582 9,660 SH SOLE 9,660 CATERPILLAR INC DEL COM 149123101 675 7,840 SH SOLE 7,840 CELANESE CORP DEL COM SER A 150870103 1,030 27,160 SH SOLE 27,160 CHEVRON CORP NEW COM 166764100 2,409 20,670 SH SOLE 20,670 DIAMOND OFFSHORE DRILLING IN COM 25271C102 2,658 40,390 SH SOLE 40,390 FLOWSERVE CORP COM 34354P105 1,105 8,650 SH SOLE 8,650 FLUOR CORP NEW COM 343412102 2,994 53,200 SH SOLE 53,200 HEINZ H J CO COM 423074103 1,050 18,770 SH SOLE 18,770 INTEL CORP COM 458140100 2,081 91,740 SH SOLE 91,740 LAM RESEARCH CORP COM 512807108 257 8,080 SH SOLE 8,080 LAS VEGAS SANDS CORP COM 517834107 1,918 41,370 SH SOLE 41,370 MAXIM INTEGRATED PRODS INC COM 57772K101 1,661 62,390 SH SOLE 62,390 MCDONALDS CORP COM 580135101 677 7,380 SH SOLE 7,380 PROSHARES TR PSHS SHRT S&P500 74347R503 37,675 1,105,475 SH SOLE 1,105,475 VANGUARD INTL EQUITY MSCI EMR INDEX F MKT ETF 922042858 89,029 2,132,424 SH SOLE 2,132,424 MICRON TECHNOLOGY INC COM 595112103 2,722 454,790 SH SOLE 454,790 NVIDIA CORP COM 67066G104 1,569 117,650 SH SOLE 117,650 PFIZER INC COM 717081103 1,951 78,500 SH SOLE 78,500 QUALCOMM INC COM 747525103 2,668 42,700 SH SOLE 42,700 SANDISK CORP COM 80004C101 2,492 57,370 SH SOLE 57,370 SCHLUMBERGER LTD COM 806857108 1,435 19,840 SH SOLE 19,840 SKYWORKS SOLUTIONS INC COM 83088M102 843 35,760 SH SOLE 35,760 SOUTHERN COPPER CORP COM 84265V105 1,808 52,617 SH SOLE 52,617 SPECTRA ENERGY CORP COM 847560109 90 3,060 SH SOLE 3,060 TRANSOCEAN INC NOTE 1.500%12/1 893830AW9 999 1,000,000 PRN SOLE 1,000,000 WESTERN DIGITAL CORP COM 958102105 2,021 52,170 SH SOLE 52,170 WYNN RESORTS LTD COM 983134107 2,323 20,120 SH SOLE 20,120 YUM BRANDS INC COM 988498101 482 7,270 SH SOLE 7,270 ISHARES TR HIGH YLD CORP 464288513 1,275 13,800 SH SOLE 13,800 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 10,859 270,000 SH SOLE 270,000 ALPS ETF TR ALBERIAN MLP 00162Q866 5,738 346,300 SH SOLE 346,300