0001179791-12-000007.txt : 20120514 0001179791-12-000007.hdr.sgml : 20120514 20120514134913 ACCESSION NUMBER: 0001179791-12-000007 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20120514 DATE AS OF CHANGE: 20120514 EFFECTIVENESS DATE: 20120514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CIM INVESTMENT MANGEMENT INC CENTRAL INDEX KEY: 0001179791 IRS NUMBER: 251738846 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-10236 FILM NUMBER: 12837818 BUSINESS ADDRESS: STREET 1: 239 FOURTH AVE SUITE 1302 CITY: PITTSBURGH STATE: PA ZIP: 15222 BUSINESS PHONE: 4127652771 MAIL ADDRESS: STREET 1: 239 FOURTH AVENUE STREET 2: SUITE 1302 CITY: PITTSBURGH STATE: PA ZIP: 15222 13F-HR/A 1 cim13f093011.txt CIM13F093011 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, 2011 Check here if Amendment [X ]; Amendment Number: 1 This Amendment (Check only one.): [X] is a restatement. Full Accession Number 0001179791-11-000008 13F-HR/A Filing. Institutional Investment Manager Filing this Report: Name: CIM Investment Management, Inc Address: 239 Fourth Ave Suite 1302 Pittsburgh, PA 15222 13F File Number: 28-10236 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Antoine Smalls Title: Chief Compliance Officer Phone: 412-765-2771 Antoine Smalls, Pittsburgh, PA May 14, 2012 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager:0 Form 13F File Number Name FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 145 Form 13F Information Table Value Total: $149,362 (thousands) List of Other Included Managers: NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M Co. COM 88579y101 603 8406 SH Sole 8406 ALCOA COM 013817101 369 38610 SH Sole 38610 AT&T COM 00206R102 1937 67911 SH Sole 67911 Abbott Laboratories COM 002824100 1253 24504 SH Sole 24504 Agilent Tech Inc. COM 00846U101 693 22180 SH Sole 22180 Alpha Natural Resources Inc. COM 02076X102 271 15305 SH Sole 15305 Altria Group Inc. COM 02209s103 798 29780 SH Sole 29780 Amazon.Com Inc COM 023135106 901 4165 SH Sole 4165 American Elect. Power COM 025537101 712 18715 SH Sole 18715 American Express Co. COM 025816109 964 21475 SH Sole 21475 Amgen Inc. COM 031162100 790 14381 SH Sole 14381 Apache Corp. COM 037411105 633 7885 SH Sole 7885 Apple Computer COM 037833100 4990 13087 SH Sole 13087 Avery Dennison Corp. COM 053611109 290 11564 SH Sole 11564 Baker Hughes COM 057224107 568 12310 SH Sole 12310 Bank of America Corp. COM 060505104 1138 185885 SH Sole 185885 Berkshire Hathaway COM 084670702 1076 15150 SH Sole 15150 Biogen Idec Inc. COM 09062X103 431 4630 SH Sole 4630 Boeing Co. COM 097023105 1079 17829 SH Sole 17829 Broadcom Corp. COM 111320107 423 12700 SH Sole 12700 Capital One Financial COM 14040H105 543 13700 SH Sole 13700 Caterpillar Inc. COM 149123101 493 6675 SH Sole 6675 Celgene Corp COM 151020104 1065 17210 SH Sole 17210 ChevronTexaco Corp. COM 166764100 2693 29085 SH Sole 29085 Ciber Inc. COM 17163B102 33 11000 SH Sole 11000 Cisco Systems, Inc. COM 17275R102 255 16450 SH Sole 16450 Citigroup - New COM 172967424 879 34314 SH Sole 34314 Coca Cola Co. COM 191216100 2069 30625 SH Sole 30625 Cognizant Tech Solutions COM 192446102 706 11260 SH Sole 11260 Comcast Corp.-Cl A COM 20030N101 868 41469 SH Sole 41469 ConocoPhillips COM 20825c104 1683 26581 SH Sole 26581 Corning Inc. COM 219350105 501 40515 SH Sole 40515 Cummins Inc. COM 231021106 902 11040 SH Sole 11040 Danaher Corp. COM 235851102 917 21860 SH Sole 21860 Deere & Company COM 244199105 837 12970 SH Sole 12970 Devon Energy Corp. COM 25179M103 418 7531 SH Sole 7531 Diamond Offshore Drilling COM 25271C102 650 11870 SH Sole 11870 Discover Fin. Svcs. COM 254709108 655 28555 SH Sole 28555 Disney Walt Co. COM 254687106 726 24075 SH Sole 24075 Dover Corporation COM 260003108 776 16660 SH Sole 16660 Dow Chemical Co. COM 260543103 468 20835 SH Sole 20835 Du Pont (E.I.) COM 263534109 475 11879 SH Sole 11879 Duke Energy Corp. COM 26441c105 953 47685 SH Sole 47685 EMC Corp. COM 268648102 946 45070 SH Sole 45070 Ebay, Inc. COM 278642103 691 23435 SH Sole 23435 Emerson Electric COM 291011104 533 12900 SH Sole 12900 Exelon Corp. COM 30161N101 858 20125 SH Sole 20125 Exxon Mobil Corp. COM 30231G102 4737 65223 SH Sole 65223 Fedex Corp. COM 31428X106 603 8905 SH Sole 8905 Fluor Corporation COM 343412102 499 10730 SH Sole 10730 Ford Motor Co. COM 345370860 618 63874 SH Sole 63874 Freeport MC Co. - Cl B COM 35671D857 573 18820 SH Sole 18820 General Electric Co. COM 369604103 2377 156151 SH Sole 156151 Gilead Sciences Inc. COM 375558103 419 10800 SH Sole 10800 Goldman Sachs Grp. COM 38141g104 970 10260 SH Sole 10260 Goodyear Tires COM 382550101 449 44510 SH Sole 44510 Google Inc Cl-B COM 38259p508 1852 3596 SH Sole 3596 Halliburton Company COM 406216101 740 24240 SH Sole 24240 Hewlett Packard Co. COM 428236103 730 32525 SH Sole 32525 Home Depot Inc. COM 437076102 1228 37355 SH Sole 37355 Honeywell Intl., Inc. COM 438516106 665 15145 SH Sole 15145 Illinois Tool Works COM 452308109 624 15005 SH Sole 15005 Int'l Bus Machines COM 459200101 3228 18461 SH Sole 18461 Intel Corporation COM 458140100 2019 94613 SH Sole 94613 Invesco LTD COM G491BT108 434 28010 SH Sole 28010 JP Morgan Chase COM 46625h100 2116 70246 SH Sole 70246 Johnson & Johnson COM 478160104 2124 33348 SH Sole 33348 Juniper Networks COM 48203R104 309 17900 SH Sole 17900 Kraft Foods Inc. COM 50075N104 942 28059 SH Sole 28059 Liz Claiborne, Inc. COM 539320101 55 10985 SH Sole 10985 MEMC Electric Materials Inc. COM 552715104 310 59110 SH Sole 59110 MasterCard Inc.-Class A COM 57636Q104 628 1980 SH Sole 1980 McDonalds Corp. COM 580135101 1512 17212 SH Sole 17212 Merck & Co. Inc. COM 58933Y105 1677 51298 SH Sole 51298 Methode Elec Inc. COM 591520200 97 13000 SH Sole 13000 Metlife Inc. COM 59156R108 893 31870 SH Sole 31870 Microsoft Corporation COM 594918104 2011 80789 SH Sole 80789 Morgan Stanley COM 617446448 388 28695 SH Sole 28695 National Oilwell Varco COM 637071101 709 13850 SH Sole 13850 Network App. Inc. COM 64110D104 448 13200 SH Sole 13200 Newmont Mining Corp. COM 651639106 537 8530 SH Sole 8530 News Corp-Cl A COM 65248E104 484 31295 SH Sole 31295 Nike, Inc. - Class B COM 654106103 816 9545 SH Sole 9545 Noble Energy Inc COM 655044105 473 6680 SH Sole 6680 Nokia Corp. COM 654902204 83 14710 SH Sole 14710 Omnicom Group COM 681919106 713 19360 SH Sole 19360 Oracle Systems Corp. COM 68389X105 1735 60357 SH Sole 60357 PNC Bank Corp. COM 693475105 522 10835 SH Sole 10835 Peabody Energy Corp COM 704549104 598 17660 SH Sole 17660 Pepsico Inc. COM 713448108 1503 24282 SH Sole 24282 Pfizer Inc. COM 717081103 2642 149462 SH Sole 149462 Philip Morris Intl. COM 718172109 1814 29075 SH Sole 29075 Priceline.Com Inc. COM 741503403 681 1515 SH Sole 1515 Procter & Gamble COM 742718109 2642 41812 SH Sole 41812 Qualcomm Inc. COM 747525103 1187 24418 SH Sole 24418 Schlumberger LTD COM 806857108 1285 21509 SH Sole 21509 Simon Property Grp. COM 828806109 649 5898 SH Sole 5898 Southern Co. COM 842587107 857 20225 SH Sole 20225 Stanley Black & Decker Inc COM 854502101 638 12995 SH Sole 12995 Starwood Hotels COM 85590A401 989 25480 SH Sole 25480 TJX Companies, Inc. COM 872540109 921 16595 SH Sole 16595 Target Corp. COM 87612e106 984 20060 SH Sole 20060 Tesoro Corp. COM 881609101 534 27420 SH Sole 27420 Texas Instruments COM 882508104 990 37132 SH Sole 37132 Time Warner Inc. COM 887317303 610 20341 SH Sole 20341 Travelers Group Inc. COM 89417E109 546 11210 SH Sole 11210 Trustco Bank Corp. NY COM 898349105 54 12025 SH Sole 12025 Tyco Int'l Limited COM H89128104 595 14595 SH Sole 14595 U.S. Bancorp COM 902973304 763 32430 SH Sole 32430 Union Pacific Corp. COM 907818108 966 11830 SH Sole 11830 United Parcel Svc-Cl B COM 911312106 1157 18315 SH Sole 18315 United Tech Corp. COM 913017109 774 11002 SH Sole 11002 UnitedHealth Group COM 91324p102 810 17570 SH Sole 17570 Verizon Comm. COM 92343V104 1877 51013 SH Sole 51013 Visa Inc. COM 92826C839 747 8715 SH Sole 8715 Wal-Mart Stores COM 931142103 846 16307 SH Sole 16307 Walgreen Co. COM 931422109 814 24760 SH Sole 24760 Waters Corp COM 941848103 696 9220 SH Sole 9220 WellPoint Health COM 94973V107 733 11235 SH Sole 11235 Wells Fargo & Co. COM 949746101 2250 93268 SH Sole 93268 Whole Foods Market Inc COM 966837106 890 13630 SH Sole 13630 Wynn Resorts LTD COM 983134107 365 3170 SH Sole 3170 Yum! Brands, Inc. COM 988498101 873 17680 SH Sole 17680 Zimmer Holdings Inc. COM 98956p102 910 17020 SH Sole 17020 Diamonds Trust Series I 78467X109 887 8145 SH Sole 8145 IShares MSCI EAFE Index 464287465 3226 67510 SH Sole 67510 IShares MSCI EAFE Index 464288885 343 6885 SH Sole 6885 IShares S&P 500 Index 464287200 2196 19318 SH Sole 19318 IShares S&P MidCap 400 464287507 3665 46993 SH Sole 46993 IShares S&P SmCap 600 464287804 3592 61366 SH Sole 61366 Spyder Tr ser 1 78462F103 1056 9336 SH Sole 9336 Vanguard High Yield Corp-ADM 922031760 999 183029 SH Sole 183029 Allianz SE PFD 018805200 1556 60000 SH Sole 60000 Bank of America PFD 060505765 881 40000 SH Sole 40000 Barclays Bank 8.125 pfd PFD 06739H362 2080 90000 SH Sole 90000 Cabco Trust JCP 7.625% PFD 126797208 245 10100 SH Sole 10100 Deutche Bank 7.6% PFD 25154A108 1427 60000 SH Sole 60000 HSBC Holdings PFD 404280703 1028 40000 SH Sole 40000 ING Groep NV PFD 456837806 883 40000 SH Sole 40000 Lehman Bros. Holdings PFD 52520W317 1 40000 SH Sole 40000 Lloyds Banking Group PLC PFD 539439802 500 20000 SH Sole 20000 M&T Capital Trust Pfd PFD 55292C203 1541 60000 SH Sole 60000 Prudential Financial PFD 744320508 1108 40000 SH Sole 40000 Wells Fargo 7.875 Pfd PFD 94985V202 1030 40000 SH Sole 40000 GTRAX Global Total Return 26243L105 69 10081 SH Sole 10081