13F-HR 1 cim13f093012.txt CIM13F093012 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, 2012 13F-HR 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 November 13, 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 SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 159 Form 13F Information Table Value Total: $166,306 (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 594 6429 SH Sole 6429 ALCOA COM 013817101 261 29524 SH Sole 29524 AT&T COM 00206R102 2082 55228 SH Sole 55228 Abbott Laboratories COM 002824100 1374 20047 SH Sole 20047 Accenture Ltd Cl-A COM G1151C101 511 7304 SH Sole 7304 Aetna Inc. COM 00817Y108 504 12728 SH Sole 12728 Agilent Tech Inc. COM 00846U101 727 18911 SH Sole 18911 Alpha Natural Resources Inc. COM 02076X102 77 11649 SH Sole 11649 Altria Group Inc. COM 02209s103 801 23990 SH Sole 23990 Amazon.Com Inc COM 023135106 892 3507 SH Sole 3507 American Elect. Power COM 025537101 698 15891 SH Sole 15891 American Express Co. COM 025816109 1010 17758 SH Sole 17758 American Int'l Grp, Inc. COM 026874784 559 17044 SH Sole 17044 Amgen Inc. COM 031162100 978 11600 SH Sole 11600 Anadarko Peteroleum COM 032511107 534 7639 SH Sole 7639 Apache Corp. COM 037411105 530 6134 SH Sole 6134 Apple Computer COM 037833100 7481 11214 SH Sole 11214 Autozone COM 053332102 641 1733 SH Sole 1733 Avery Dennison Corp. COM 053611109 368 11564 SH Sole 11564 BB&T Corporation COM 054937107 628 18950 SH Sole 18950 Baker Hughes COM 057224107 466 10296 SH Sole 10296 Bank of America Corp. COM 060505104 1321 149547 SH Sole 149547 Berkshire Hathaway COM 084670702 1053 11937 SH Sole 11937 Boeing Co. COM 097023105 1034 14863 SH Sole 14863 Bristol Myers Squibb COM 110122108 842 24946 SH Sole 24946 Broadcom Corp. COM 111320107 811 23451 SH Sole 23451 Capital One Financial COM 14040H105 1111 19481 SH Sole 19481 Caterpillar Inc. COM 149123101 881 10242 SH Sole 10242 Celgene Corp COM 151020104 642 8403 SH Sole 8403 ChevronTexaco Corp. COM 166764100 2610 22391 SH Sole 22391 Cisco Systems, Inc. COM 17275R102 866 45340 SH Sole 45340 Citigroup - New COM 172967424 1537 46980 SH Sole 46980 Cliffs Natural Resources COM 18683K101 491 12549 SH Sole 12549 Coach, Inc. COM 189754104 903 16116 SH Sole 16116 Coca Cola Co. COM 191216100 1982 52255 SH Sole 52255 Cognizant Tech Solutions COM 192446102 645 9229 SH Sole 9229 Comcast Corp.-Cl A COM 20030N101 1161 32482 SH Sole 32482 ConocoPhillips COM 20825c104 788 13773 SH Sole 13773 Cummins Inc. COM 231021106 507 5494 SH Sole 5494 Deere & Company COM 244199105 913 11069 SH Sole 11069 Devon Energy Corp. COM 25179M103 351 5796 SH Sole 5796 Discover Fin. Svcs. COM 254709108 843 21216 SH Sole 21216 Disney Walt Co. COM 254687106 1056 20190 SH Sole 20190 Dover Corporation COM 260003108 546 9179 SH Sole 9179 Dow Chemical Co. COM 260543103 481 16606 SH Sole 16606 Du Pont (E.I.) COM 263534109 516 10258 SH Sole 10258 Duke Energy Corp. COM 26441C204 826 12742 SH Sole 12742 EMC Corp. COM 268648102 879 32231 SH Sole 32231 EOG Resources COM 26875p101 641 5724 SH Sole 5724 Eaton Corp. COM 278058102 817 17291 SH Sole 17291 Ebay, Inc. COM 278642103 950 19637 SH Sole 19637 Estee Lauder Co. COM 518439104 817 13267 SH Sole 13267 Exelon Corp. COM 30161N101 613 17231 SH Sole 17231 Express Scripts Holdings Co. COM 30219G108 1311 20930 SH Sole 20930 Exxon Mobil Corp. COM 30231G102 4703 51431 SH Sole 51431 Fedex Corp. COM 31428X106 609 7192 SH Sole 7192 First Horizon COM 320517105 527 54776 SH Sole 54776 Ford Motor Co. COM 345370860 498 50514 SH Sole 50514 Freeport MC Co. - Cl B COM 35671D857 606 15303 SH Sole 15303 General Electric Co. COM 369604103 3425 150809 SH Sole 150809 Gilead Sciences Inc. COM 375558103 613 9242 SH Sole 9242 Goldman Sachs Grp. COM 38141g104 952 8372 SH Sole 8372 Goodyear Tires COM 382550101 443 36334 SH Sole 36334 Google Inc Cl-B COM 38259p508 2325 3081 SH Sole 3081 Halliburton Company COM 406216101 1163 34525 SH Sole 34525 Hewlett Packard Co. COM 428236103 430 25201 SH Sole 25201 Home Depot Inc. COM 437076102 893 14796 SH Sole 14796 Honeywell Intl., Inc. COM 438516106 726 12154 SH Sole 12154 Illinois Tool Works COM 452308109 763 12833 SH Sole 12833 Int'l Bus Machines COM 459200101 2220 10700 SH Sole 10700 Intel Corporation COM 458140100 1768 78053 SH Sole 78053 Intuitive Surgical Inc COM 46120E602 889 1793 SH Sole 1793 JP Morgan Chase COM 46625h100 2296 56716 SH Sole 56716 Johnson & Johnson COM 478160104 1904 27630 SH Sole 27630 Kraft Foods Inc. COM 50075N104 963 23290 SH Sole 23290 Lexington Realty Trust COM 529043101 145 15000 SH Sole 15000 Macy's Inc COM 55616P104 883 23476 SH Sole 23476 MasterCard Inc.-Class A COM 57636Q104 740 1638 SH Sole 1638 McDonalds Corp. COM 580135101 1349 14703 SH Sole 14703 Medtronic, Inc. COM 585055106 717 16638 SH Sole 16638 Merck & Co. Inc. COM 58933Y105 1833 40645 SH Sole 40645 Metlife Inc. COM 59156R108 905 26274 SH Sole 26274 Microsoft Corporation COM 594918104 2114 71032 SH Sole 71032 Morgan Stanley COM 617446448 387 23105 SH Sole 23105 National Oilwell Varco COM 637071101 899 11227 SH Sole 11227 Network App. Inc. COM 64110D104 401 12189 SH Sole 12189 Newmont Mining Corp. COM 651639106 380 6779 SH Sole 6779 News Corp-Cl A COM 65248E104 588 24010 SH Sole 24010 Nike, Inc. - Class B COM 654106103 773 8147 SH Sole 8147 Noble Energy Inc COM 655044105 547 5899 SH Sole 5899 Nokia Corp. COM 654902204 38 14710 SH Sole 14710 Norfolk Southern COM 655844108 396 6219 SH Sole 6219 Occidental Pete COM 674599105 515 5979 SH Sole 5979 Oracle Systems Corp. COM 68389X105 1637 52048 SH Sole 52048 PNC Bank Corp. COM 693475105 515 8162 SH Sole 8162 Peabody Energy Corp COM 704549104 306 13713 SH Sole 13713 Penn Virginia Corp. COM 707882106 107 17280 SH Sole 17280 Pepsico Inc. COM 713448108 1482 20948 SH Sole 20948 Pfizer Inc. COM 717081103 2045 82293 SH Sole 82293 Philip Morris Intl. COM 718172109 1447 16091 SH Sole 16091 Phillips 66 COM 718546104 267 5748 SH Sole 5748 Procter & Gamble COM 742718109 2372 34202 SH Sole 34202 Prudential Financial COM 744320102 454 8329 SH Sole 8329 Qualcomm Inc. COM 747525103 1337 21406 SH Sole 21406 Radisys Corp COM 750459109 76 21000 SH Sole 21000 Sandisk Corp COM 80004C101 313 7214 SH Sole 7214 Schlumberger LTD COM 806857108 1360 18801 SH Sole 18801 Simon Property Grp. COM 828806109 722 4757 SH Sole 4757 Southern Co. COM 842587107 737 15990 SH Sole 15990 Stanley Black & Decker Inc COM 854502101 1222 16021 SH Sole 16021 Starbucks COM 855244109 1076 21225 SH Sole 21225 Starwood Hotels COM 85590A401 1204 20781 SH Sole 20781 Susquehanna Bancsh COM 869099101 235 22505 SH Sole 22505 TJX Companies, Inc. COM 872540109 1266 28260 SH Sole 28260 Target Corp. COM 87612e106 993 15643 SH Sole 15643 Time Warner Inc. COM 887317303 731 16117 SH Sole 16117 Trustco Bank Corp. NY COM 898349105 69 12025 SH Sole 12025 Tyco Int'l Limited COM H89128104 640 11372 SH Sole 11372 U.S. Bancorp COM 902973304 878 25584 SH Sole 25584 US Steel Corp. COM 912909108 535 28080 SH Sole 28080 Union Pacific Corp. COM 907818108 1116 9399 SH Sole 9399 United Parcel Svc-Cl B COM 911312106 651 9099 SH Sole 9099 United Tech Corp. COM 913017109 689 8799 SH Sole 8799 UnitedHealth Group COM 91324p102 803 14483 SH Sole 14483 V.F. Corp. COM 918204108 538 3374 SH Sole 3374 Verizon Comm. COM 92343V104 1906 41818 SH Sole 41818 Visa Inc. COM 92826C839 942 7014 SH Sole 7014 Wal-Mart Stores COM 931142103 940 12735 SH Sole 12735 Waters Corp COM 941848103 637 7649 SH Sole 7649 WellPoint Health COM 94973V107 595 10258 SH Sole 10258 Wells Fargo & Co. COM 949746101 2551 73874 SH Sole 73874 Wynn Resorts LTD COM 983134107 338 2924 SH Sole 2924 IShares MSCI EAFE Index 464287465 4133 77980 SH Sole 77980 IShares MSCI EAFE Index 464288885 389 6885 SH Sole 6885 IShares S&P 500 Index 464287200 629 4353 SH Sole 4353 IShares S&P MidCap 400 464287507 4637 46993 SH Sole 46993 IShares S&P SmCap 600 464287804 4729 61366 SH Sole 61366 Spyder Tr ser 1 78462F103 1344 9336 SH Sole 9336 Vanguard High Yield Corp-ADM 922031760 1236 205329 SH Sole 205329 Allianz SE PFD 018805200 1552 60000 SH Sole 60000 BB&T Corp. PFD 054937206 1042 40000 SH Sole 40000 BB&T Corporation PFD 054937404 1534 60000 SH Sole 60000 Bank of America PFD 060505765 1040 40000 SH Sole 40000 Barclays Bank 8.125 pfd PFD 06739H362 2333 90000 SH Sole 90000 Cabco Trust JCP 7.625% PFD 126797208 243 10100 SH Sole 10100 Commonwealth Reit PFD 203233705 988 40000 SH Sole 40000 Deutche Bank 7.6% PFD 25154A108 1594 60000 SH Sole 60000 HSBC Holdings PFD 404280703 1030 40000 SH Sole 40000 ING Groep NV PFD 456837806 1048 40000 SH Sole 40000 Kimco Realty Corp PFD 49446R778 248 10000 SH Sole 10000 Lehman Bros. Holdings PFD 52520W317 0 40000 SH Sole 40000 Lloyds Banking Group PLC PFD 539439802 544 20000 SH Sole 20000 M&T Capital Trust Pfd PFD 55292C203 1541 60000 SH Sole 60000 Prudential Financial PFD 744320508 1045 40000 SH Sole 40000 Public Storage PFD 74460W602 1039 40000 SH Sole 40000 SCE Trust I PFD 78406T201 522 20000 SH Sole 20000 Senior Housing Prop Trust. PFD 81721M208 247 10000 SH Sole 10000 Wells Fargo 7.875 Pfd PFD 94985V202 1033 40000 SH Sole 40000 GTRAX Global Total Return 26243L105 72 10081 SH Sole 10081