-----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, AUTM3yT8satRRaqnfM539aP13hlVndFNqJAP9tnejO6Y9w6OJNbb+piEQ0cNpZAy uJqIN7zGpSJwWhKaqGQIwQ== 0001055975-09-000020.txt : 20091104 0001055975-09-000020.hdr.sgml : 20091104 20091103192032 ACCESSION NUMBER: 0001055975-09-000020 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20091104 DATE AS OF CHANGE: 20091103 EFFECTIVENESS DATE: 20091104 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PARAGON INVESTMENT MANAGEMENT INC CENTRAL INDEX KEY: 0001055975 IRS NUMBER: 911527225 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-06718 FILM NUMBER: 091155954 BUSINESS ADDRESS: STREET 1: 1420 5TH AVE STREET 2: SUITE 3020 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 2065838300 MAIL ADDRESS: STREET 1: 1420 FIFTH AVENUE SUITE 3020 CITY: SEATTLE STATE: WA ZIP: 98101 13F-HR/A 1 mar1q09amend13f.txt PARAGON INV MNGMENT AMENDED 13F 1Q 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2009 Check here if Amendment [ x ]; Amendment Number:1 This Amendment (Check only one.): [ x ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Paragon Investment Management, Inc. Address: 1420 Fifth Avenue Suite 3020 Seattle, WA 98101 13F File Number: 801-39191 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 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: Marjanne K. Masterman Title: Vice-President and CCO Phone: (206) 583-8300 Signature, Place, and Date of Signing: Marjanne K. Masterman Seattle, WA November 3, 2009 During the process of completing the 3Q 2009 13F Filing for our firm, I discovered that 1) I did not include 2 security types in our portfolio software system, which produces the 13F holdings report. The 2 security types represent bond ETFs and commodity ETFs. 2) I had not been reporting assets for a group of small accounts, associated with our clients. These accounts are not actively managed and are not charged any management fees by our firm so I did not include them as managed assets. I have determined that these accounts should be included in our 13F reports. I am amending 13F reports back to March 31, 2009. I am aware that this issue has affected our 13F filings in the past; however I can not re- construct the exact replica of the 13F report that would have been filed originally because of the dynamic changes that occur in our account and client base. We believe that the any effort to reconstruct the holdings would not result in an accurate accounting. I have changed our 13F reporting process so that these issues will be included in our future filings. If there are any questions or comments about this amendment please contact us. Report Type (Check only one.): [x] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT List of Other Managers Reporting for this Manager:0 I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 86 Form 13F Information Table Value Total: $208,095,000 List of other Included Managers: No. 13F File Number Name 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 Corporation COM 88579Y101 209 4200 SH SOLE 4200 ARM Holdings PLC - ADR COM 042068106 203 45957 SH SOLE 45957 Abbott Laboratories COM 002824100 293 6150 SH SOLE 6150 Accenture PLC Cl A COM G1151C101 4551 165540 SH SOLE 165540 Adobe Systems Inc COM 00724F101 3875 181181 SH SOLE 181181 Aecom Technology Corp COM 00766t100 3658 140264 SH SOLE 140264 Amgen Inc. COM 031162100 3468 70028 SH SOLE 70028 Apple Computer COM 037833100 5076 48286 SH SOLE 48286 Bank of New York Mellon Corp COM 064058100 416 14729 SH SOLE 14729 Berkshire Hathaway Class B COM 084670207 5476 1942 SH SOLE 1942 Boeing COM 097023105 287 8058 SH SOLE 8058 Campbell Soup Co. COM 134429109 4926 180030 SH SOLE 180030 Caterpillar COM 149123101 2705 96746 SH SOLE 96746 Celgene Corp COM 151020104 3550 79954 SH SOLE 79954 Cerner Corp COM 156782104 6290 143063 SH SOLE 143063 Chevron Corp COM 166764100 5702 84803 SH SOLE 84803 Cisco Systems Inc COM 17275R102 4574 272734 SH SOLE 272734 Coca Cola Co. COM 191216100 574 13060 SH SOLE 13060 Comcast Corp Class A COM 20030N101 4455 326597 SH SOLE 326597 ConocoPhillips COM 20825C104 3791 96820 SH SOLE 96820 Cooper Industries PLC COM g24140108 4024 155619 SH SOLE 155619 EMC Corporation COM 268648102 4995 438173 SH SOLE 438173 EQT Corp COM 26884L109 4596 146686 SH SOLE 146686 Emerson Electric COM 291011104 248 8688 SH SOLE 8688 Exxon Mobil Corp COM 30231G102 449 6587 SH SOLE 6587 Financial Select Sector SPDR F COM 81369y605 104 11859 SH SOLE 11859 GSI Commerce Inc COM 36238g102 273 20804 SH SOLE 20804 General Electric COM 369604103 3114 308032 SH SOLE 308032 Genzyme Corp COM 372917104 3338 56203 SH SOLE 56203 Goldman Sachs COM 38141G104 7041 66414 SH SOLE 66414 Google Inc COM 38259P508 5016 14411 SH SOLE 14411 Healthcare Select Sector SPDR COM 81369y209 205 8449 SH SOLE 8449 IShares Russell 1000 Growth COM 464287614 389 11103 SH SOLE 11103 ITT Industries Inc COM 450911102 4258 110673 SH SOLE 110673 Johnson & Johnson COM 478160104 334 6354 SH SOLE 6354 Marvell Technology COM g5876h105 115 12554 SH SOLE 12554 Medtronic Inc COM 585055106 3462 117477 SH SOLE 117477 Merck & Co. COM 589331107 227 8500 SH SOLE 8500 Microsoft COM 594918104 5846 318220 SH SOLE 318220 Morgan Stanley COM 617446448 1837 80661 SH SOLE 80661 National Oilwell Varco Inc COM 637071101 3955 137764 SH SOLE 137764 Nike Inc Class B COM 654106103 2870 61200 SH SOLE 61200 Oneok Inc COM 682680103 217 9580 SH SOLE 9580 Oracle Sys Corp. COM 68389X105 217 12024 SH SOLE 12024 PNC Financial Services Group I COM 693475105 4025 137402 SH SOLE 137402 Paccar Inc COM 693718108 500 19415 SH SOLE 19415 Peabody Energy COM 704549104 2893 115530 SH SOLE 115530 Penn National Gaming COM 707569109 249 10303 SH SOLE 10303 PepsiCo Inc. COM 713448108 5682 110381 SH SOLE 110381 Petrochina Co LTD - ADR COM 71646E100 215 2702 SH SOLE 2702 Philip Morris International In COM 718172109 279 7850 SH SOLE 7850 PowerShares QQQ COM 73935a104 303 10000 SH SOLE 10000 Powershares Wilderhill Clean E COM 73935X500 106 14000 SH SOLE 14000 Procter & Gamble COM 742718109 4687 99528 SH SOLE 99528 Qualcomm Inc COM 747525103 5281 135730 SH SOLE 135730 S&P 500 Depository Receipt COM 78462F103 5345 67210 SH SOLE 67210 S&P Mid-Cap 400 Depository Rec COM 595635103 1083 12223 SH SOLE 12223 S&P Small-Cap 600 iShares Trus COM 464287804 911 25034 SH SOLE 25034 Schlumberger Ltd. COM 806857108 4095 100801 SH SOLE 100801 Starbucks Corporation COM 855244109 4419 397714 SH SOLE 397714 Target Corp COM 87612E106 4219 122687 SH SOLE 122687 Technology Select Sector SPDR COM 81369y803 181 11605 SH SOLE 11605 Vanguard Total Stock Mkt ETF COM 922908769 1053 26608 SH SOLE 26608 Varian Medical Sys COM 92220P105 2440 80142 SH SOLE 80142 Walgreen Co. COM 931422109 4430 170654 SH SOLE 170654 iShares Russell 2000 Index Fun COM 464287655 2138 50833 SH SOLE 50833 America Movil - ADR Series L INTL EQ 02364w105 3755 138655 SH SOLE 138655 Market Vectors Gold Miners ETF INTL EQ 57060u100 281 7630 SH SOLE 7630 Melco Crown Entertainment ADR INTL EQ 585464100 91 27668 SH SOLE 27668 Nestle SA ADR INTL EQ 641069406 5075 149971 SH SOLE 149971 Roche Holdings AG Ltd - Spons INTL EQ 771195104 4534 132027 SH SOLE 132027 Select Emerging Markets ETF- V INTL EQ 922042858 4058 172241 SH SOLE 172241 Telefonica SA - Spons ADR INTL EQ 879382208 339 5687 SH SOLE 5687 Teva Pharmaceutical INTL EQ 881624209 6858 152227 SH SOLE 152227 Vanguard FSTE All-World Ex- U INTL EQ 922042775 933 33166 SH SOLE 33166 iShares China 25 Index Fund INTL EQ 464287184 1996 69955 SH SOLE 69955 iShares MSCI Japan Index Fund INTL EQ 464286848 100 12685 SH SOLE 12685 iShares TR MSCI EAFE Index Fun INTL EQ 464287465 823 21889 SH SOLE 21889 Nuveen Floating Rate Income Fu BETF 67072T108 59 10000.000SH SOLE 10000.000 iShares Barclays 1-3 Yr Treasu BETF 464287457 452 5366.000 SH SOLE 5366.000 iShares Barclays 3-7 Yr Treasu BETF 464288661 308 2678.000 SH SOLE 2678.000 iShares Barclays Aggregate Bon BETF 464287226 1021 10062.000SH SOLE 10062.000 iShares Barclays Int Gov-Credi BETF 464288612 395 3805.000 SH SOLE 3805.000 iShares iBoxx Inv Grade Corp B BETF 464287242 481 5108.000 SH SOLE 5108.000 SPDR Gold Trust ETF 78463V107 321 3556 SH SOLE 3556 iShares Russell 1000 Index Fun ETF 464287622 473 10932 SH SOLE 10932
-----END PRIVACY-ENHANCED MESSAGE-----