-----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, E1MKO6qJ3hWfleTLH56W9Q3Rnttb514rXKDMpCiD2PqZyrK0yntsdpg60+FXJ1V+ nuPBV3cfkm0rjtD3QF/auw== 0000884423-09-000010.txt : 20091113 0000884423-09-000010.hdr.sgml : 20091113 20091113154506 ACCESSION NUMBER: 0000884423-09-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SALEM INVESTMENT COUNSELORS INC CENTRAL INDEX KEY: 0000884423 IRS NUMBER: 561225913 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03405 FILM NUMBER: 091181443 BUSINESS ADDRESS: STREET 1: POP BOX 25427 CITY: WINSTON SALEM STATE: NC ZIP: 27114-5427 BUSINESS PHONE: 3367687230 MAIL ADDRESS: STREET 1: PO BOX 25427 CITY: WINSTON-SALEM STATE: NC ZIP: 27114-5427 13F-HR 1 dm09300913f-hrb.txt THIRD QTR 2009 13F-HR 1 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, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holding entries Salem Investment Counselors, Inc. Name of Institutional Investment Manager 480 Shepherd Street Winston-Salem NC 27103 Business Address (Street) (City) (State) (Zip) Dale M. Brown, President 336.768.7230 Name, Phone No.,and Title of Person Duly Authorized to Submit This Report. ATTENTION INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS. See 18 U.S.C. AND 15 U.S.C. 78ff(a) The institutional investment manager submitting this Form and its attachments and the person by whom it is signed represent hereby that all information contained therein is true, correct and complete. It is understood that all required items, statements and schedules are considered integral parts of this Form and that the submission of any amendment represents that all unamended items, statements and schedules remain true, correct and complete as previously submitted. Pursuant to the requirements of the Securities Exchange Act of 1934, the undersigned institutional investment manager has caused this report to be signed on its behalf in the City of Winston-Salem and State of North Carolina on the 12th day of November, 2009. Salem Investment Counselors, Inc. (Name of Institutional Investment Manager) /s/ DALE M. BROWN (Manual Signature of Person Duly Authorized To Submit This Report) Name and 13F file numbers of all Institutional Investment Managers with respect to which this schedule is filed (other than the one filing this report): (List in alphabetical order). 13F File Numbers will be assigned to Institutional Investment Managers after they file their first report. Name: 13F File No.: Name: <13F File No.: 1. 6. 2. 7. 3. 8. 4. 9. 5. 10. 2 FORM 13F SUMMARY PAGE REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY: 245 FORM 13F INFORMATION TABLE VALUE TOTAL: $459,587,143 3 FORM 13F Name of Reporting Manager: Salem Investment Counselors, Inc.
Item 1 Name of Issuer Item 2 Title of Class Item 3 Cusip Number Item 4 Fair Market Value Item 5 Shares of Principal Amount (a) Sole 3M Company Abbott Labs Accenture Ltd Class A Activision Blizzard, Inc. Agnico-Eagle Mines Ltd. Akamai Technologies Alberto-Culver Co. Alcoa, Inc. Alliance One International Altria Group, Inc. Apache Corp. Apple, Inc. AT&T Corp. Atlas America, Inc. Automatic Data Processing, Inc. Baidu, Inc. common common common common common common common common common common common common common common common common 88579Y101 002824100 G1150G111 4930202 8474108 00971T101 01307800 13817101 18772103 02209S103 37411105 037833100 00206R102 049167109 53015103 056752108 $10,235,912 $1,571,612 $1,791,420 $2,001,939 $358,587 $799,008 $276,800 $558,912 $661,799 $701,607 $5,201,527 $9,010,234 $2,130,995 $1,099,042 $982,972 $550,207 138,698 31,769 48,066 161,577 5,285 40,600 10,000 42,600 147,723 39,394 56,643 48,612 78,897 40,600 25,012 1,407 138,698 31,769 48,066 161,577 5,285 40,600 10,000 42,600 147,723 39,394 56,643 48,612 78,897 40,600 25,012 1,407
Item 1 Name of Issuer Item 6 (b) Shares as defined in Instr. V. Item 7 Managers See Instr. V. (a) Sole Item 8 (b) Shared (c) None 3M Company Abbott Labs Accenture Ltd Class A Activision Blizzard, Inc. Agnico-Eagle Mines Ltd. Akamai Technologies Alberto-Culver Co. Alcoa, Inc. Alliance One International Altria Group, Inc. Apache Corp. Apple, Inc. AT&T Corp. Atlas America, Inc. Automatic Data Processing, Inc. Baidu, Inc. 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 138,698 31,769 48,066 161,577 5,285 40,600 10,000 42,600 147,723 39,394 56,643 48,612 78,897 40,600 25,012 1,407 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
4 Balchem Corp. BancInsurance Corp Bank of America Corp. Bank of Carolinas Barrick Gold Corp. Baxter International, Inc. BB&T Corporation Becton Dickinson & Co. Berkshire Hathaway, Inc. CL B Berkshire Hathaway, Inc. DEL CL A BHP Billiton Ltd. ADR Blackrock Broad Inv. 2009 Blackrock Core Bd. Trust Blackrock Incm. Opportunity TR Blackrock Income TR. Inc. Blackrock Insd Mun Term Blackrock Invt. Qlty Muni common common common common common common common common common common common common common common common common common 57665200 05945K102 60505104 06425J102 67901108 71813109 54937107 075887109 084670207 84670108 88606108 09247Q106 09249 E101 92475102 09247F100 92474105 09247D105 $3,513,180 $574,570 $9,129,406 $473,311 $318,360 $265,667 $14,411,295 $485,251 $13,504,672 $2,323,000 $4,206,289 $214,911 $249,225 $325,605 $520,289 $223,170 $296,666 133,581 166,542 539,563 106,963 8,400 4,660 529,049 6,957 4,064 23 63,722 17,400 19,954 33,225 78,475 21,500 21,100 133,581 166,542 539,563 106,963 8,400 4,660 529,049 6,957 4,064 23 63,722 17,400 19,954 33,225 78,475 21,500 21,100
Balchem Corp. BancInsurance Corp Bank of America Corp. Bank of Carolinas Barrick Gold Corp. Baxter International, Inc. BB&T Corporation Becton Dickinson & Co. Berkshire Hathaway, Inc. CL B Berkshire Hathaway, Inc. DEL CL A BHP Billiton Ltd. ADR Blackrock Broad Inv. 2009 Blackrock Core Bd. Trust Blackrock Incm. Opportunity TR Blackrock Income TR. Inc. Blackrock Insd Mun Term Blackrock Invt. Qlty Muni 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 133,581 166,542 539,563 106,963 8,400 4,660 529,049 6,957 4,064 23 63,722 17,400 19,954 33,225 78,475 21,500 21,100 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
5 Blackrock Ltd. Duration Blackrock Mun 2018 Fd. Blackrock NY Mun. Inc. TST NY Blackrock NY Mun. Income Trust Blackrock Strat. Muni Tr Blackrock Strategic Bond Boardwalk Pipeline Partners Boeing Company BP PLC Sponsored ADR Breakwater Resources Ltd Bristol Myers Squibb Co. Buckeye Partners LP Canadian Nat. Res. Ltd. Capital Bank Corp. Cardinal Financial Group Cass Information Systems, Inc. Caterpillar, Inc. common common common common common common common common common common common common common common common common common 09249W101 09248C106 09249U105 09249R102 09248T109 09249G106 96627104 97023105 55622104 106902307 110122108 118230101 136385101 139793103 14149F109 14808P109 149123101 $440,545 $370,080 $143,301 $149,501 $302,049 $412,970 $744,600 $247,195 $1,618,298 $44,370 $266,457 $1,326,434 $618,148 $687,235 $576,100 $360,052 $6,155,648 30,700 24,000 10,000 10,000 24,300 33,850 30,000 4,565 30,402 153,000 11,832 27,400 9,200 137,999 70,000 12,058 119,923 30,700 24,000 10,000 10,000 24,300 33,850 30,000 4,565 30,402 153,000 11,832 27,400 9,200 137,999 70,000 12,058 119,923
Blackrock Ltd. Duration Blackrock Mun 2018 Fd. Blackrock NY Mun. Inc. TST NY Blackrock NY Mun. Income Trust Blackrock Strat. Muni Tr Blackrock Strategic Bond Boardwalk Pipeline Partners Boeing Company BP PLC Sponsored ADR Breakwater Resources Ltd Bristol Myers Squibb Co. Buckeye Partners LP Canadian Nat. Res. Ltd. Capital Bank Corp. Cardinal Financial Group Cass Information Systems, Inc. Caterpillar, Inc. 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 30,700 24,000 10,000 10,000 24,300 33,850 30,000 4,565 30,402 153,000 11,832 27,400 9,200 137,999 70,000 12,058 119,923 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
6 Celgene Corp. Chesapeake Energy Corp. Chevron Corporation Cisco Systems, Inc. Citigroup, Inc. Coca-Cola Company Colgate-Palmolive Co. CommScope, Inc. Compass Minerals Intl. Concepts Direct ConocoPhillips Cooperative Bankshares, Inc. Copart, Inc. Crexus Investment Corp. CVS Caremark Corp. Cypress Simiconductor DCP Midstream Partners LP common common common common common common common common common common common common common common common common common 151020104 165167107 166764100 17275R102 172967101 191216100 194162103 203372107 20451N101 206013104 20825C104 216844100 217204106 226553105 126650100 232806109 23311P100 $2,383,129 $426,511 $1,469,170 $11,870,257 $253,127 $3,231,773 $5,844,650 $2,954,570 $1,392,612 $377 $816,972 $600 $459,494 $1,072,500 $2,262,413 $110,634 $447,300 42,632 15,018 20,860 504,259 52,299 60,182 76,621 98,716 22,600 18,850 18,091 30,000 13,836 75,000 63,302 10,710 18,000 42,632 15,018 20,860 504,259 52,299 60,182 76,621 98,716 22,600 18,850 18,091 30,000 13,836 75,000 63,302 10,710 18,000
Celgene Corp. Chesapeake Energy Corp. Chevron Corporation Cisco Systems, Inc. Citigroup, Inc. Coca-Cola Company Colgate-Palmolive Co. CommScope, Inc. Compass Minerals Intl. Concepts Direct ConocoPhillips Cooperative Bankshares, Inc. Copart, Inc. Crexus Investment Corp. CVS Caremark Corp. Cypress Simiconductor DCP Midstream Partners LP 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 42,632 15,018 20,860 504,259 52,299 60,182 76,621 98,716 22,600 18,850 18,091 30,000 13,836 75,000 63,302 10,710 18,000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
7 Dentsply Intl. Inc. New Devon Energy Corp. Diamond Offshore Drilling Disney, Walt Company Duke Energy Corporation Dyncorp International, Inc. Eaton Corp Ecolab, Inc. El Paso Pipeline Partners LP Emagin Corp. EMC Corp. MASS Emerson Electric Encana Corp. Encore Energy Partners LP Energy Transfer Equity LP Energy Transfer Partners LP Enterprise GP Holdings LP common common common common common common common common common common common common common common common common common 249030107 25179M103 25271C102 254687106 264399106 26817C101 278058102 278865100 283702108 29076N206 268648102 291011104 292505104 29257A106 29273V100 29273R109 293716106 $414,480 $7,228,481 $627,089 $1,215,435 $585,874 $540,000 $263,030 $376,775 $580,440 $41,910 $514,847 $1,657,749 $2,009,264 $1,357,450 $364,000 $2,140,265 $325,380 12,000 107,359 6,565 44,262 37,222 30,000 4,648 8,150 28,000 25,400 30,214 41,361 34,877 85,000 13,000 50,300 11,000 12,000 107,359 6,565 44,262 37,222 30,000 4,648 8,150 28,000 25,400 30,214 41,361 34,877 85,000 13,000 50,300 11,000
Dentsply Intl. Inc. New Devon Energy Corp. Diamond Offshore Drilling Disney, Walt Company Duke Energy Corporation Dyncorp International, Inc. Eaton Corp Ecolab, Inc. El Paso Pipeline Partners LP Emagin Corp. EMC Corp. MASS Emerson Electric Encana Corp. Encore Energy Partners LP Energy Transfer Equity LP Energy Transfer Partners LP Enterprise GP Holdings LP 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 12,000 107,359 6,565 44,262 37,222 30,000 4,648 8,150 28,000 25,400 30,214 41,361 34,877 85,000 13,000 50,300 11,000 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
8 Enterprise Products Partners EQT Corp. Exactech, Inc. Excel Maritime Cariers Ltd. Exxon Mobile Corporation Falconstor Software, Inc. Fidelity National Info. Services First Citizens Bancshares CL A Flextronics Intl. Ltd. Flowserve Corporation Fluor Corp. FNB United Corp. Forest Oil Corp. FPL Group, Inc. Freeport McMoran Copper & Gold FX Energy, Inc. Gamestop Corp. common common common common common common common common common common common common common common common common common 293792107 26884L109 30064 109 V3267N107 302290101 306137100 31620M106 31946M103 Y2573F102 34354P105 343412102 302519103 346091705 302571104 35671D857 302695101 36467W109 $3,523,008 $447,257 $314,800 $166,250 $4,977,107 $4,311,217 $614,791 $1,075,357 $426,761 $527,189 $582,741 $39,295 $330,439 $271,953 $1,588,184 $2,316,456 $1,400,237 124,400 10,499 20,000 25,000 72,542 867,448 24,100 6,759 57,130 5,350 11,460 15,001 16,885 4,924 23,148 717,169 52,899 124,400 10,499 20,000 25,000 72,542 867,448 24,100 6,759 57,130 5,350 11,460 15,001 16,885 4,924 23,148 717,169 52,899
Enterprise Products Partners EQT Corp. Exactech, Inc. Excel Maritime Cariers Ltd. Exxon Mobile Corporation Falconstor Software, Inc. Fidelity National Info. Services First Citizens Bancshares CL A Flextronics Intl. Ltd. Flowserve Corporation Fluor Corp. FNB United Corp. Forest Oil Corp. FPL Group, Inc. Freeport McMoran Copper & Gold FX Energy, Inc. Gamestop Corp. 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 124,400 10,499 20,000 25,000 72,542 867,448 24,100 6,759 57,130 5,350 11,460 15,001 16,885 4,924 23,148 717,169 52,899 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
9 General Dynamics Corp. General Electric Company Gerdau SA Spons ADR Gilead Sciences, Inc. Glaxo Smith Kline PLC Goldman Sachs Group, Inc. Google, Inc. CL A Green Mountain Coffee Roaster Greenhaven Continuous Commodity Harold's Stores Hawkins, Inc. Hewlet-Packard Company Highwood Properties, Inc. REIT Hubbell Inc. Class B Hudson City Bancorp, Inc. Huntington Bancshares, Inc. Intel Corp common common common common common common common common common common common common common common common common common 369550108 369604103 373737105 375558103 37733W105 38141G104 38259P508 393122106 395258106 413353202 420261109 428236103 431284108 443510201 443683107 446150104 458140100 $414,280 $7,911,665 $676,704 $931,860 $238,443 $772,795 $5,083,950 $889,403 $1,439,399 $4 $2,038,697 $1,596,312 $2,310,128 $483,462 $313,588 $427,668 $6,691,011 6,413 481,831 50,350 20,040 6,035 4,192 10,253 12,045 60,050 22,455 87,273 33,813 73,454 11,511 23,847 90,800 341,901 6,413 481,831 50,350 20,040 6,035 4,192 10,253 12,045 60,050 22,455 87,273 33,813 73,454 11,511 23,847 90,800 341,901
General Dynamics Corp. General Electric Company Gerdau SA Spons ADR Gilead Sciences, Inc. Glaxo Smith Kline PLC Goldman Sachs Group, Inc. Google, Inc. CL A Green Mountain Coffee Roaster Greenhaven Continuous Commodity Harold's Stores Hawkins, Inc. Hewlet-Packard Company Highwood Properties, Inc. REIT Hubbell Inc. Class B Hudson City Bancorp, Inc. Huntington Bancshares, Inc. Intel Corp 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 6,413 481,831 50,350 20,040 6,035 4,192 10,253 12,045 60,050 22,455 87,273 33,813 73,454 11,511 23,847 90,800 341,901 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
10 International Business Machines Ipath MSCI India ETN Ishares FTSE XINHUA Ishares Iboxx Investor Ishares Lehman Treasury Ishares MSCI Brazil Free Index Fund Ishares MSCI Eafe Index Ishares MSCI Emerging Ishares MSCI Pacific Ex-Jap Indx Fd Ishares MSCI South Korea Index Ishares S&P 500 Index Fund Ishares S&P GLB ERG Sect Ishares S&P GLB Health Care Ishares TR - S&P Glbl Info Tech Ishares TR Comex Gold Ishares TR Iboxx $ High Yield Corp. Ishares TR RUS 2000 I FD common common common common common common common common common common common common common common common common common 459200101 06739F291 464287184 464287242 464287176 464286400 464287465 464287234 464286665 464286772 464287200 464287341 464287325 464287291 464285105 464288513 464287655 $5,162,726 $1,214,429 $3,430,283 $475,793 $6,593,888 $637,980 $1,765,891 $8,434,676 $567,379 $707,857 $2,645,480 $946,275 $657,560 $830,472 $405,613 $378,213 $842,155 43,163 20,608 83,829 4,460 64,093 9,432 32,295 216,774 13,999 14,940 24,955 27,750 13,600 15,920 4,100 4,380 13,980 43,163 20,608 83,829 4,460 64,093 9,432 32,295 216,774 13,999 14,940 24,955 27,750 13,600 15,920 4,100 4,380 13,980
International Business Machines Ipath MSCI India ETN Ishares FTSE XINHUA Ishares Iboxx Investor Ishares Lehman Treasury Ishares MSCI Brazil Free Index Fund Ishares MSCI Eafe Index Ishares MSCI Emerging Ishares MSCI Pacific Ex-Jap Indx Fd Ishares MSCI South Korea Index Ishares S&P 500 Index Fund Ishares S&P GLB ERG Sect Ishares S&P GLB Health Care Ishares TR - S&P Glbl Info Tech Ishares TR Comex Gold Ishares TR Iboxx $ High Yield Corp. Ishares TR RUS 2000 I FD 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 43,163 20,608 83,829 4,460 64,093 9,432 32,295 216,774 13,999 14,940 24,955 27,750 13,600 15,920 4,100 4,380 13,980 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
11 Ishares TR Russell Midcap Indx Fnd Johnson & Johnson Kellogg Company Kimberly-Clark Corp Kinder Morgan Energy Partners LP Kinross Gold Corp. Kraft Foods, Inc. CL A L-3 Communications Holdings, Inc. Lab CP of America Holding New Lee Enterprises, Inc. Lender Processing Services Life Technologies Corp. Lincoln National Corp. Linn Energy Lowes Companies Inc. Magellan Midstream Holdings LP Main Street Capital Corp. common common common common common common common common common common common common common common common common common 464287499 478160104 487836108 494368103 494550106 496902404 50075N104 502424104 50540R409 523768109 52602 E102 53217V109 534187109 536020100 548661107 55907R108 56035L104 $1,653,235 $12,847,425 $4,161,117 $305,811 $280,904 $232,190 $374,899 $2,093,541 $294,336 $1,342,393 $459,949 $551,850 $298,198 $297,700 $10,652,353 $1,391,247 $206,847 21,133 210,994 84,524 5,185 5,200 10,700 14,271 26,065 4,480 488,143 12,050 11,855 11,509 13,000 508,708 37,001 14,536 21,133 210,994 84,524 5,185 5,200 10,700 14,271 26,065 4,480 488,143 12,050 11,855 11,509 13,000 508,708 37,001 14,536
Ishares TR Russell Midcap Indx Fnd Johnson & Johnson Kellogg Company Kimberly-Clark Corp Kinder Morgan Energy Partners LP Kinross Gold Corp. Kraft Foods, Inc. CL A L-3 Communications Holdings, Inc. Lab CP of America Holding New Lee Enterprises, Inc. Lender Processing Services Life Technologies Corp. Lincoln National Corp. Linn Energy Lowes Companies Inc. Magellan Midstream Holdings LP Main Street Capital Corp. 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 21,133 210,994 84,524 5,185 5,200 10,700 14,271 26,065 4,480 488,143 12,050 11,855 11,509 13,000 508,708 37,001 14,536 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
12 Market Vectors ETF TR Global McDonalds Corporation Media General, Inc. Medical Facilities Corp. Medtronic, Inc. Merck & Co. Methode Electronics, Inc. Class A Mettler-Toledo International, Inc. Microsoft Corporation Midcap SPDR Trust Unit SER Monsanto Company Morgan, JP Chase & Co. Mosaic Company Mylan, Inc. National Dentex Corp. Newbridge Bancorp Nokia Corp. common common common common common common common common common common common common common common common common common 57060U605 580135101 584404107 58457V206 585055106 589331107 591520200 592688105 594918104 595635103 61166W101 46625H100 61945A107 628530107 63563H109 65080T102 654902204 $463,680 $4,846,384 $725,818 $82,080 $1,424,822 $4,039,088 $156,060 $824,369 $13,775,431 $407,128 $263,160 $1,322,269 $3,308,898 $192,120 $1,821,191 $47,947 $3,373,448 12,000 84,920 84,891 10,500 38,718 127,698 18,000 9,100 535,592 3,250 3,400 30,175 68,835 12,000 214,006 17,499 230,742 12,000 84,920 84,891 10,500 38,718 127,698 18,000 9,100 535,592 3,250 3,400 30,175 68,835 12,000 214,006 17,499 230,742
Market Vectors ETF TR Global McDonalds Corporation Media General, Inc. Medical Facilities Corp. Medtronic, Inc. Merck & Co. Methode Electronics, Inc. Class A Mettler-Toledo International, Inc. Microsoft Corporation Midcap SPDR Trust Unit SER Monsanto Company Morgan, JP Chase & Co. Mosaic Company Mylan, Inc. National Dentex Corp. Newbridge Bancorp Nokia Corp. 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 12,000 84,920 84,891 10,500 38,718 127,698 18,000 9,100 535,592 3,250 3,400 30,175 68,835 12,000 214,006 17,499 230,742 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
13 Novartis A G Spon ADR F NovaGold Resources, Inc. Nuveen Divid Ad Mun Fd. 2 Nuveen Muni Advantage Fund Nuveen NC Div AD Muni Fund NC Nuveen NC Div AD Muni Fund NC Oil Service Holders Dep. Old Rep. Intl. Corp. Path 1 Network Techs. Pennymac Mortgage Investment Reit Pepsico, Inc. Petroleo Brasileiro Pfizer, Inc. Philip Morris International, Inc. Pimco Corporate Opportunity Fund Pioneer Natural Res. Co. Powershares ETF Wilderhill Cln Energy common common common common common common common common common common common common common common common common common 66987V109 66987E206 67070F100 67062H106 67071D104 67072D103 678002106 680223104 703186205 70931T103 713448108 71654V408 717081103 718172109 72201B101 723787107 73935X500 $250,187 $1,820,764 $158,180 $249,725 $475,089 $598,221 $498,725 $447,944 $44 $995,500 $18,204,706 $3,230,809 $2,834,138 $5,541,104 $168,000 $227,974 $929,616 4,966 355,618 11,000 17,500 31,800 39,908 4,247 36,777 29,000 50,000 310,343 70,388 171,247 113,687 12,000 6,282 85,600 4,966 355,618 11,000 17,500 31,800 39,908 4,247 36,777 29,000 50,000 310,343 70,388 171,247 113,687 12,000 6,282 85,600
Novartis A G Spon ADR F NovaGold Resources, Inc. Nuveen Divid Ad Mun Fd. 2 Nuveen Muni Advantage Fund Nuveen NC Div AD Muni Fund NC Nuveen NC Div AD Muni Fund NC Oil Service Holders Dep. Old Rep. Intl. Corp. Path 1 Network Techs. Pennymac Mortgage Investment Reit Pepsico, Inc. Petroleo Brasileiro Pfizer, Inc. Philip Morris International, Inc. Pimco Corporate Opportunity Fund Pioneer Natural Res. Co. Powershares ETF Wilderhill Cln Energy 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 4,966 355,618 11,000 17,500 31,800 39,908 4,247 36,777 29,000 50,000 310,343 70,388 171,247 113,687 12,000 6,282 85,600 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
14 Powershares Exchange Global Water Powershares QQQ TR Unit Ser 1 Praxair, Inc. Procter & Gamble Progress Energy, Inc. Qualcomm, Inc. Range Resources, Inc. Regions Financial Corp. Research in Motion Ruddick Corp. S P D R Trust Unit Sara Lee Corporation SCBT Finanical Corp. Skyworks Solutions, Inc. Solar Enertech Corp. Sonoco Logistics Partners LP Sonoco Products common common common common common common common common common common common common common common common common common 73936T623 73935A104 74005P104 742718109 743263105 747525103 75281A109 758940100 760975102 781258108 78462F103 803111103 78401V102 83088M102 834156101 86764L108 835495102 $639,768 $222,911 $560,720 $12,244,925 $294,708 $4,979,961 $479,532 $585,193 $254,627 $738,732 $777,882 $151,783 $1,026,830 $394,552 $2,800 $237,000 $2,868,319 36,600 5,276 6,864 211,411 7,545 110,715 9,715 94,234 3,765 27,751 7,367 13,625 36,542 29,800 10,000 4,000 104,151 36,600 5,276 6,864 211,411 7,545 110,715 9,715 94,234 3,765 27,751 7,367 13,625 36,542 29,800 10,000 4,000 104,151
Powershares Exchange Global Water Powershares QQQ TR Unit Ser 1 Praxair, Inc. Procter & Gamble Progress Energy, Inc. Qualcomm, Inc. Range Resources, Inc. Regions Financial Corp. Research in Motion Ruddick Corp. S P D R Trust Unit Sara Lee Corporation SCBT Finanical Corp. Skyworks Solutions, Inc. Solar Enertech Corp. Sonoco Logistics Partners LP Sonoco Products 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 36,600 5,276 6,864 211,411 7,545 110,715 9,715 94,234 3,765 27,751 7,367 13,625 36,542 29,800 10,000 4,000 104,151 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
15 Southern Community Financial SPDR S&P China ETF Spectra Energy Corp. Starwood Property Trust - Reit Stericycle, Inc. Sunoco Logistics Partners LP Suntrust Banks, Inc. Sysco Corporation Targa Resources Partners LP Target Corporation Teck Resources Ltd. Teekay Offshore Partners LP Teva Pharmaceutical Tower Bancorp, Inc. Toyota Motor CP ADR Transocean, Inc. Triad Guaranty Inc. common common common common common common common common common common common common common common common common common 842632101 78463X400 847560109 85571B105 858912108 86764L108 867914103 871829107 87611X105 87612E106 878742204 Y8565J101 881624209 891709107 892331307 H8817H100 895925105 $134,830 $2,954,367 $315,559 $265,275 $581,280 $533,250 $524,445 $6,851,692 $2,356,256 $2,179,162 $568,769 $494,100 $7,148,881 $333,287 $4,390,177 $3,244,666 $620,634 45,245 44,300 16,661 13,100 12,000 9,000 23,257 275,722 125,600 46,683 20,630 30,000 141,394 12,687 55,876 37,936 470,177 45,245 44,300 16,661 13,100 12,000 9,000 23,257 275,722 125,600 46,683 20,630 30,000 141,394 12,687 55,876 37,936 470,177
Southern Community Financial SPDR S&P China ETF Spectra Energy Corp. Starwood Property Trust - Reit Stericycle, Inc. Sunoco Logistics Partners LP Suntrust Banks, Inc. Sysco Corporation Targa Resources Partners LP Target Corporation Teck Resources Ltd. Teekay Offshore Partners LP Teva Pharmaceutical Tower Bancorp, Inc. Toyota Motor CP ADR Transocean, Inc. Triad Guaranty Inc. 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 45,245 44,300 16,661 13,100 12,000 9,000 23,257 275,722 125,600 46,683 20,630 30,000 141,394 12,687 55,876 37,936 470,177 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
16 U S G Corporation Ultra Petroleum Corp. Unifirst Corporation - Mass Union Pacific Corp. United Technologies Corp. Vale SA ADR Vanguard Bond Index Vanguard Emerging Markets Vipers Vanguard Growth ETF Vanguard Mega Cap 300 Growth Verizon Communications VF Corporation Walgreen Company Wal-Mart Stores, Inc. Wells Fargo & Co. Wyeth XTO Energy, Inc. common common common common common common common common common common common common common common common common common 903293405 903914109 904708104 907818108 913017109 91912E105 921937819 922042858 922908736 921910816 92343V104 918204108 931422109 931142103 949746101 983024100 98385X106 $1,289,685 $555,696 $677,196 $489,381 $6,627,417 $633,878 $388,702 $4,045,843 $275,968 $252,201 $239,315 $1,705,219 $5,821,152 $5,118,025 $3,292,298 $938,274 $5,031,578 75,069 11,350 15,235 8,387 108,771 27,405 4,825 105,005 5,600 6,475 7,906 23,543 155,355 104,258 116,831 19,314 121,771 75,069 11,350 15,235 8,387 108,771 27,405 4,825 105,005 5,600 6,475 7,906 23,543 155,355 104,258 116,831 19,314 121,771
U S G Corporation Ultra Petroleum Corp. Unifirst Corporation - Mass Union Pacific Corp. United Technologies Corp. Vale SA ADR Vanguard Bond Index Vanguard Emerging Markets Vipers Vanguard Growth ETF Vanguard Mega Cap 300 Growth Verizon Communications VF Corporation Walgreen Company Wal-Mart Stores, Inc. Wells Fargo & Co. Wyeth XTO Energy, Inc. 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 75,069 11,350 15,235 8,387 108,771 27,405 4,825 105,005 5,600 6,475 7,906 23,543 155,355 104,258 116,831 19,314 121,771 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0
17 Yahoo, Inc. Zimmer Holdings, Inc. common common 984332106 98956P102 $442,222 $1,159,544 24,830 21,694 24,830 21,694 Grand Total 09/30/09 $459,587,143
Yahoo, Inc. Zimmer Holdings, Inc. 0 0 0 0 24,830 21,694 0 0 0 0
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