-----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, Qret2R2eMSIWJB/1lvMssozZ0q7RYnSQvZppNgSRADIBEpwVwqRIyskrd8EYbJha TuV6YIFN9oGYplS6FnyBAQ== 0001014909-02-000191.txt : 20021018 0001014909-02-000191.hdr.sgml : 20021018 20021018165110 ACCESSION NUMBER: 0001014909-02-000191 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021018 EFFECTIVENESS DATE: 20021018 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: 02792965 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_september2002.txt FORM 13F - 9/30/02 ---------------------------- OMB APPROVAL ---------------------------- OMB Number: 3235-00006 Expires: October 31, 2003 Estimated average burden hours per response..... 24.7 ---------------------------- 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, 2002 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 17, 2002 - ------------------------------------------------ [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: 3,335,995 Form 13F Information Table Value Total: $82,580 (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 - ------------------------------------------------------------------------------------------------------------------------------------ CITIGROUP CAPITAL PFD PFD 17306R204 15 600 SH SOLE 600 0 CITY DEV LTD ADR SPONSORED ADR 177797305 1 500 SH SOLE 500 0 COASTAL CARIBBEAN OILS & MINER COM 190432203 26 40937 SH SOLE 40937 0 ERICSSON LM TEL CO ADR CL B ADR CL B SEK10 294821400 1 1840 SH SOLE 1840 0 GAM GAMERICA CAP FD CL A COM 364590885 242 13507 SH SOLE 13507 0 GLOBALSCAPE INC COM 37940G109 0 7 SH SOLE 7 0 TELEFONICA DATA BRASIL HLDG PF SPONSORED ADR 879370104 0 4 SH SOLE 4 0 AGILENT TECHNOLOGIES INC COM 00846U101 395 30243 SH SOLE 30243 0 ALCOA INC COM 013817101 13 650 SH SOLE 650 0 AMERICAN BALANCED FUND COM 024071102 14 1031 SH SOLE 1031 0 ABBOTT LABS COM 002824100 2077 51413 SH SOLE 51413 0 A D C TELECOMMUNICATIONS COM 000886101 4 3750 SH SOLE 3750 0 AUTOMATIC DATA PROCESSING COM 053015103 15 437 SH SOLE 437 0 AMERICAN ELECTRIC POWER COM 025537101 0 4 SH SOLE 4 0 AES CORP COM 00130H105 0 59 SH SOLE 59 0 A F L A C INC COM 001055102 28 905 SH SOLE 905 0 AMERICA FIRST REAL ESTATE INVT UT LTD PARTNER 02364Y101 14 1905 SH SOLE 1905 0 AGERE SYSTEMS, CL A CL A 00845V100 0 21 SH SOLE 21 0 AGERE SYSTEMS, CL B CL B 00845V209 1 529 SH SOLE 529 0 ATSI COMMUNICATIONS INC COM 00209G103 0 150 SH SOLE 150 0 AMER INTL GROUP INC COM 026874107 108 1981 SH SOLE 1981 0 ALLETE COM 018522102 9 400 SH SOLE 400 0 AMERICAN CENTURY LIFE SCIENCES COM 025086810 4 1149 SH SOLE 1149 0 ALTERA CORP COM 021441100 1 120 SH SOLE 120 0 APPLIED MATERIALS INC COM 038222105 2 200 SH SOLE 200 0 AIM FUNDS GROUP COM 008879744 11 523 SH SOLE 523 0 AMERICAN CONS GROWTH CORP COM 025227208 0 8 SH SOLE 8 0 AMGEN INC COM COM 031162100 19 456 SH SOLE 456 0 AOL TIME WARNER COM 00184A105 4 380 SH SOLE 380 0 ANADARKO PETROLEUM CORP COM 032511107 15 348 SH SOLE 348 0 AMERICAN POWER CONVERSION COM 029066107 590 61730 SH SOLE 61730 0 APOLLO GROUP CL A 037604105 2511 57829 SH SOLE 57829 0 ARVINMERITOR INC COM 043353101 1 49 SH SOLE 49 0 ARTISAN INTL FUND COM 04314H204 12 848 SH SOLE 848 0 ATMOS ENERGY CORP COM 049560105 3 118 SH SOLE 118 0 AVENTIS ADR SPONSORED ADR 053561106 4 75 SH SOLE 75 0 AVON PROD INC COM 054303102 2 36 SH SOLE 36 0 AVERY DENNISON COM 053611109 114 2007 SH SOLE 2007 0 AT & T WIRELESS GROUP COM 00209A106 11 2763 SH SOLE 2763 0 AMER WATER WORKS COM 030411102 13 300 SH SOLE 300 0 AMERICAN EXPRESS COM 025816109 18 573 SH SOLE 573 0 BOEING CO. COM 097023105 3 100 SH SOLE 100 0 BANK OF AMERICA CORP COM 060505104 2653 41587 SH SOLE 41587 0 BAXTER INTERNATIONAL COM 071813109 97 3160 SH SOLE 3160 0 BB&T CORP COM 054937107 68 1940 SH SOLE 1940 0 BEST BUY INC COM 086516101 2 105 SH SOLE 105 0 BONE CARE INTL. COM 898072101 7 1250 SH SOLE 1250 0 BARD C R INCORPORATED COM 067383109 5 85 SH SOLE 85 0 BECTON DICKINSON COM 075887109 2 63 SH SOLE 63 0 BERGER GROWTH FUND COM 084036102 9 1848 SH SOLE 1848 0 BERGER INVT SMALL GROWTH FUND COM 084045103 9 5408 SH SOLE 5408 0 BJ'S WHOLESALE CLUB COM 05548J106 4 234 SH SOLE 234 0 B J SERVICES COM 055482103 1238 47615 SH SOLE 47615 0 BANK OF NEW YORK COM 064057102 3 90 SH SOLE 90 0 BLACK HILLS CORPORATION COM 092113109 976 37270 SH SOLE 37270 0 BELLSOUTH CORP COM 079860102 130 7084 SH SOLE 7084 0 BLUE MARTINI SOFTWARE COM 095698106 0 500 SH SOLE 500 0 BRISTOL MYERS SQUIBB COM 110122108 1237 51966 SH SOLE 51966 0 BURLINGTON NORTHERN SANTA FE C COM 12189T104 10 423 SH SOLE 423 0 BRITISH PETROLEUM AMOCO ADR SPONSORED ADR 055622104 50 1250 SH SOLE 1250 0 BERKSHIRE HATHAWAY, INC CL A CL A 084670108 222 3 SH SOLE 3 0 BERKSHIRE HATHAWAY CL B CL B 084670207 37 15 SH SOLE 15 0 BROADWING INC COM 111620100 1 400 SH SOLE 400 0 BLYTH INC COM 09643P108 1046 37505 SH SOLE 37505 0 ANHEUSER BUSCH COS INC COM 035229103 6 112 SH SOLE 112 0 BIOVAIL CORP INTL COM 09067J106 17 675 SH SOLE 675 0 CITIGROUP INC. COM 172967101 14 486 SH SOLE 486 0 CARDINAL HEALTH INC COM 14149y108 2286 36752 SH SOLE 36752 0 CATERPILLAR INC DEL COM 149123101 15 400 SH SOLE 400 0 CLEAR CHANNEL COMMUNICATIONS COM 184502102 8 224 SH SOLE 224 0 CONCORD EFS INC COM 206197105 669 42110 SH SOLE 42110 0 CHILE FUND COM 168834109 8 1200 SH SOLE 1200 0 CHIRON CORP COM 170040109 21 592 SH SOLE 592 0 COMERICA INC COM 200340107 300 6220 SH SOLE 6220 0 COMCAST CORP CL A SPL 200300200 202 9686 SH SOLE 9686 0 COMVERSE TECHNOLOGY INC COM PAR $0.10 205862402 4 600 SH SOLE 600 0 CAREMARK RX INC COM 141705103 8 477 SH SOLE 477 0 CONEXANT SYS INC COM 207142100 0 200 SH SOLE 200 0 ROCKWELL COLLINS COM 774341101 2 100 SH SOLE 100 0 CONOCOPHILLIPS COM COM 20825C104 29 625 SH SOLE 625 0 COSTCO WHSL CORP COM 22160K105 26 810 SH SOLE 810 0 COX COMMUNICATIONS INC CL A CL A 224044107 1 50 SH SOLE 50 0 CAMPBELL SOUP COM 134429109 0 8 SH SOLE 8 0 APPLERA CORP-CELERA GENOMICS G CELERA GEN GRP 038020202 2 300 SH SOLE 300 0 CORNERSTONE STRATEGIC RETURN F COM 21923Y105 9 1418 SH SOLE 1418 0 CISCO SYSTEMS COM 17275R102 1898 181147 SH SOLE 181147 0 COHEN & STEERS RLTY COM 192476109 1 33 SH SOLE 33 0 CSX CORP COM 126408103 1 50 SH SOLE 50 0 CENTURYTEL INC COM 156700106 2 70 SH SOLE 70 0 CHEVRONTEXACO CORP COM 166764100 1 16 SH SOLE 16 0 CELANESE AG COM D1497A101 0 10 SH SOLE 10 0 DOMINION RES INC VA COM 25746U109 13 250 SH SOLE 250 0 DELTA AIRLINES COM 247361108 0 1 SH SOLE 1 0 DIEBOLD INC COM 253651103 865 26269 SH SOLE 26269 0 DONALDSON INCORPORATED COM 257651109 814 23705 SH SOLE 23705 0 DU PONT, E.I. DE NEMOURS & CO COM 263534109 22 611 SH SOLE 611 0 DELL COMPUTER COM 247025109 55 2340 SH SOLE 2340 0 DIAGEO PLC SPONSORED ADR SPON ADR NEW 25243Q205 15 300 SH SOLE 300 0 DELAWARE GROUP VALUE FUND CL A COM 246097109 8 318 SH SOLE 318 0 QUEST DIAGNOSTICS, INC COM 74834L100 761 12375 SH SOLE 12375 0 DISNEY COM 254687106 12 770 SH SOLE 770 0 DOLLAR TREE STORES INC COM 256747106 6 250 SH SOLE 250 0 DOVER CORP COM 260003108 5 200 SH SOLE 200 0 DELPHI AUTOMOTIVE SYSTEMS COM 247126105 2 279 SH SOLE 279 0 QUANTUM CORP DSSG COM DSSG 747906204 1 400 SH SOLE 400 0 DUKE ENERGY CORP COM 264399106 3 140 SH SOLE 140 0 DEVON ENERGY CORP COM 25179M103 10 200 SH SOLE 200 0 ENGELHARD CORP Com 292845104 1 32 SH SOLE 32 0 EDS CORPORATION COM 285661104 1 60 SH SOLE 60 0 EUROPE FUND COM 29874m103 4 583 SH SOLE 583 0 M S C I E A F E INDEX FUND MSCI EAFE IDX 464287465 86 900 SH SOLE 900 0 ENERGEN CORP COM 29265n108 3 122 SH SOLE 122 0 EASTMAN KODAK COM 277461109 27 1004 SH SOLE 1004 0 ECHELON CORP COM 27874N105 4 500 SH SOLE 500 0 E M C CORP COM 268648102 295 64567 SH SOLE 64567 0 TEMPLETON EMERGING MARKETS FUN COM 880191101 12 1700 SH SOLE 1700 0 EASTMAN CHEMICAL CO COM 277432100 8 219 SH SOLE 219 0 EMERSON ELECTRIC CO COM 291011104 1596 36325 SH SOLE 36325 0 ENRON CORP COM 293561106 0 50 SH SOLE 50 0 EL PASO CORP COM 28336L109 1 80 SH SOLE 80 0 ERICSSON A D R ADR CL B 294821301 1 2640 SH SOLE 2640 0 ETHAN ALLEN INTERIORS COM 297602104 1366 42222 SH SOLE 42222 0 EDWARDS LIFESCIENCES COM 28176E108 8 316 SH SOLE 316 0 EXELON CORP COM 30161N101 4 80 SH SOLE 80 0 EXODUS COMMUNICATIONS COM 302088109 0 90 SH SOLE 90 0 FORD MOTOR CO COM 345370860 14 1398 SH SOLE 1398 0 FIDELITY ADVISOR BALANCED FUND COM 315807404 5 413 SH SOLE 413 0 FASTENAL COM 311900104 1088 34455 SH SOLE 34455 0 FLEETBOSTON FINANCIAL CORP COM 339030108 32 1567 SH SOLE 1567 0 FIRST CMNTY BANCSHARES INC COM 31983A103 41 1391 SH SOLE 1391 0 FIRST DATA CORP COM 319963104 12 444 SH SOLE 444 0 FIRST HEALTH GROUP CORP COM 421928102 89 3300 SH SOLE 3300 0 FIFTH THIRD BANCORP COM 316773100 3 50 SH SOLE 50 0 FLEXTRONICS INC SER A PFD Y2573F102 295 42281 SH SOLE 42281 0 FIDELITY MAGELLAN FUND COM 316184100 14 188 SH SOLE 188 0 FRONTIER AIRLINES COM 359065109 14 2812 SH SOLE 2812 0 FINNING INTERNATIONAL COM 318071404 1 50 SH SOLE 50 0 GAM FDS INC INTL FD COM 364590109 134 10842 SH SOLE 10842 0 GANNETT COM 364730101 76 1050 SH SOLE 1050 0 GUIDANT CORP COM 401698105 2 72 SH SOLE 72 0 GOLDEN WEST FINANCIAL COM 381317106 2 30 SH SOLE 30 0 GENERAL ELEC CO COM 369604103 3010 122101 SH SOLE 122101 0 GENERAL MTRS CORP COM 370442105 22 560 SH SOLE 560 0 GENERAL MOTORS HUGHES ELECTRON CL H NEW 370442832 3 300 SH SOLE 300 0 G A P INC COM 364760108 287 26472 SH SOLE 26472 0 GENZYME MOLECULAR ONCOLOGY COM-MOLECULAR 372917500 0 237 SH SOLE 237 0 HARBOR CAP APPRECIATION FUND COM 411511504 14 697 SH SOLE 697 0 HASBRO COM 418056107 3 225 SH SOLE 225 0 HCA INC COM 404119109 33 692 SH SOLE 692 0 HOME DEPOT COM 437076102 25 940 SH SOLE 940 0 HARLEY DAVIDSON COM 412822108 28 600 SH SOLE 600 0 HOUSEHOLD INTERNATIONAL COM 441815107 1 30 SH SOLE 30 0 HARTFORD FINCL SERVICES GRP COM 416515104 2 60 SH SOLE 60 0 HEINZ COM 423074103 4 111 SH SOLE 111 0 HONEYWELL INC COM 438516106 8 354 SH SOLE 354 0 STARWOOD HOTELS & RESORTS PAIRED CTF 85590A203 1 50 SH SOLE 50 0 HEWLETT PACKARD CO COM 428236103 720 61676 SH SOLE 61676 0 H R BLOCK COM 093671105 46 1092 SH SOLE 1092 0 I B M COM 459200101 65 1112 SH SOLE 1112 0 ICAP SELECT EQUITY FUND COM 448926303 8 369 SH SOLE 369 0 IMAGISTICS INTL INC COM 45247T104 0 1 SH SOLE 1 0 AQUILA INC DEL NEW COM 03840p102 1 241 SH SOLE 241 0 INTEL CORP COM 458140100 933 67187 SH SOLE 67187 0 INTERNATIONAL PAPER CO COM 460146103 4 110 SH SOLE 110 0 INTERPUBLIC GROUP COM 460690100 950 59920 SH SOLE 59920 0 INGERSOLL-RAND CO COM G4776G101 3 80 SH SOLE 80 0 INTERNATIONAL RECTIFIER CORP COM 460254105 6 400 SH SOLE 400 0 INVESCO TELECOMMUNICATIONS FUN COM 46127J786 3 377 SH SOLE 377 0 I T T INDUSTRIES INC COM 450911102 6 100 SH SOLE 100 0 ILLINOIS TOOL WORKS COM 452308109 95 1627 SH SOLE 1627 0 JANUS INVT FD BALANCED FUND COM 471023879 31 1768 SH SOLE 1768 0 JANUS ENTERPRISE FUND COM 471023804 420 18801 SH SOLE 18801 0 JANUS INVT GLOBAL LIFE SCIENCE COM 471023671 7 542 SH SOLE 542 0 JANUS INVT GLOBAL TECH FUND COM 471023663 4 596 SH SOLE 596 0 JANUS MERCURY FUND COM 471023853 8 587 SH SOLE 587 0 JANUS FUND COM 471023101 1418 81051 SH SOLE 81051 0 JANUS OVERSEAS FUND COM 471023846 127 8598 SH SOLE 8598 0 JANUS WORLDWIDE FUND COM 471023309 784 25046 SH SOLE 25046 0 JABIL CIRCUIT, INC. 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W. 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