-----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, VcpFsNy57EcHDeWq/91o5WOENBalPJX9uVSV3iXqR3nS+Y5e29veAYii3c/EFu8Q ZmEvJ6dATBVPZhHPlNshDA== 0001162044-09-000651.txt : 20091113 0001162044-09-000651.hdr.sgml : 20091113 20091113114220 ACCESSION NUMBER: 0001162044-09-000651 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: Bragg Financial Advisors, Inc CENTRAL INDEX KEY: 0001327055 IRS NUMBER: 561790097 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11385 FILM NUMBER: 091179917 BUSINESS ADDRESS: STREET 1: 100 QUEENS ROAD CITY: CHARLOTTE STATE: NC ZIP: 28204 BUSINESS PHONE: 704-714-7711 MAIL ADDRESS: STREET 1: 100 QUEENS ROAD CITY: CHARLOTTE STATE: NC ZIP: 28204 13F-HR 1 form13f9302009.txt 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 holdings entries. Institutional Investment Manager Filing this Report: Name: Bragg Financial Advisors, Inc Address: 1031 South Caldwell, Suite 200 Charlotte, NC 28203 13F File Number: 28-11385 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 form. Person Signing this Report on Behalf of Reporting Manager: Name: Steven H. Scruggs Title: Chief Compliance Officer Phone: (704) 714-7711 Signature, Place, and Date of Signing: /s/ Steven H Scruggs Steven H. Scruggs Charlotte, NC November 12, 2009 Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: NONE FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 222 Form 13F Information Table Value Total: $199,193 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE
VALUE SHARES SHR PUT INV OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X $1,000)/PRN AMT/PRN/CALLDISCMGRS SOLE SHARED NONE Abbott Laboratories Com 002824100 2146 43,374 SH SOLE 145 43,229 Acxiom Corp Com 005125109 246 26,020 SH SOLE 22,300 3,720 Adtran Com 00738A106 474 19,295 SH SOLE 14,500 4,795 Air Products & Chems Com 009158106 1567 20,195 SH SOLE 100 20,095 Altria Group Inc Com 022095103 188 10,559 SH SOLE 10,559 American Express Com 025816109 1552 45,777 SH SOLE 4,470 41,307 American Pacific Corp Com 028740108 337 43,460 SH SOLE 40,000 3,460 American Safety Insurance Ord G02995101 190 11,815 SH SOLE 10,000 1,815 Ameriprise Financial Com 031897101 1084 29,825 SH SOLE 164 29,661 Amgen Inc Com 031162100 2011 33,390 SH SOLE 285 33,105 Angiodynamics Inc Com 03475V101 298 21,599 SH SOLE 14,494 7,105 Apache Corp Com 037411105 1953 21,263 SH SOLE 1,405 19,858 A-Power Energy Generation Com 04644A101 163 15,161 SH SOLE 15,161 Applied Materials Com 038222105 591 44,140 SH SOLE 380 43,760 Arden Group Inc A CL A 039762109 326 2,730 SH SOLE 2,317 413 AT&T Inc Com 00206R102 1880 69,612 SH SOLE 11,350 58,262 ATC Technology Corp Com 008318107 617 31,219 SH SOLE 28,396 2,823 Atrion Corp Com 049904105 441 3,057 SH SOLE 2,402 655 Automatic Data Processing Com 053015103 1105 28,127 SH SOLE 390 27,737 Avocent Corp Com 053893103 385 18,985 SH SOLE 13,100 5,885 Ball Corp Com 058498106 555 11,280 SH SOLE 215 11,065 Bank Of New York Co Com 064057102 729 25,135 SH SOLE 355 24,780 BB&T Corp Com 054937107 2072 76,047 SH SOLE 76,047 Becton Dickinson & Com 075887109 2673 38,316 SH SOLE 200 38,116 Bel Fuse Inc-Cl B CL B 077347300 375 19,695 SH SOLE 15,200 4,495 Berkshire Hath A CL A 084670108 404 4 SH SOLE 4 Berkshire Hath B Cl B 084670207 502 151 SH SOLE 151 Best Buy Company Inc Com 086516101 336 8,957 SH SOLE 140 8,817 Bj Svcs Co Com Com 055482103 801 41,214 SH SOLE 800 40,414 Boeing Company Com 097023105 460 8,503 SH SOLE 8,503 Boston Pptys Inc Com Com 101121101 266 4,059 SH SOLE 85 3,974 Brasil Foods S A Sponsored AdrSPONSORED ADR 10552T107 716 13,448 SH SOLE 12,688 760 Bristol-Myers Squibb Com 110122108 1597 70,911 SH SOLE 438 70,473 Brown Forman Class B CL B 115637209 1719 35,653 SH SOLE 4,524 31,129 C. R. Bard, Inc. Com 067383109 1662 21,140 SH SOLE 160 20,980 Capital Southwest Corp Com 140501107 229 2,985 SH SOLE 2,200 785 Caterpillar Inc Com 149123101 997 19,419 SH SOLE 19,419 CBS Corp Com 12490K107 1319 109,452 SH SOLE 51,086 58,366 Cca Inds Inc Com Com 124867102 128 31,525 SH SOLE 30,875 650 Central Fd Cda Ltd Cl A Cl A 153501101 906 68,385 SH SOLE 23,300 45,085 Centurytel Inc Com Com 156700106 975 29,018 SH SOLE 6,320 22,698 Chesapeake Energy Com 165167107 688 24,240 SH SOLE 195 24,045 Chevrontexaco Corp Com 166764100 3466 49,213 SH SOLE 292 48,921 Chubb Corp Com 171232101 1018 20,195 SH SOLE 155 20,040 Cimarex Energy Co Com 171798101 409 9,430 SH SOLE 445 8,985 Cisco Systems Inc Com 17275R102 2309 98,099 SH SOLE 670 97,429 Cleco Corp Hldgs New Com 12561W105 310 12,360 SH SOLE 11,500 860 Clorox Co Com 189054109 752 12,785 SH SOLE 3,100 9,685 CNA Surety Corp Com Com 12612L108 243 14,990 SH SOLE 13,450 1,540 Coca-Cola Company Com 191216100 988 18,400 SH SOLE 202 18,198 Colgate-Palmolive Co Com 194162103 2090 27,402 SH SOLE 218 27,184 Community Health Sys Com 203668108 208 6,500 SH SOLE 6,500 0 Conocophillips Com 20825C104 1841 40,767 SH SOLE 455 40,312 CVS Corp Com 126650100 270 7,547 SH SOLE 7,547 Danaher Corp Com 235851102 1461 21,709 SH SOLE 1,295 20,414 Darden Restaurants Com 237194105 422 12,351 SH SOLE 240 12,111 Darling International Inc Com 237266101 378 51,450 SH SOLE 50,000 1,450 Deere & Co Com 244199105 734 17,090 SH SOLE 140 16,950 Dell Inc. Com 24702R101 1687 110,530 SH SOLE 20,868 89,662 Delta Apparel Inc Com 247368103 473 59,129 SH SOLE 50,535 8,594 Disney Walt Company Com 254687106 384 13,987 SH SOLE 13,987 Dominion Res Inc Va Com 257470104 1070 31,025 SH SOLE 445 30,580 Double-Take Software Inc Com 258598101 266 26,070 SH SOLE 24,900 1,170 Dow Chem Co Com 260543103 961 36,870 SH SOLE 120 36,750 Du Pont E I De Com 263534109 655 20,388 SH SOLE 185 20,203 Ducommun Inc Com 264147109 481 25,445 SH SOLE 24,000 1,445 Duke Energy Corp Com 264399106 590 37,487 SH SOLE 10,900 26,587 Eaton Vance Corp-NON VTG Com Non Vtg 278265103 252 9,000 SH SOLE 9,000 0 EMC Corp Com 268648102 2451 143,833 SH SOLE 20,765 123,068 Encore Acquisition Co Com 29255W100 276 7,375 SH SOLE 7,000 375 Endurance Specialty Com G30397106 261 7,140 SH SOLE 6,000 1,140 Epicor Sofware Corp Com 29426L108 601 94,370 SH SOLE 88,300 6,070 Exelon Corp Com Com 30161N101 1589 32,018 SH SOLE 305 31,713 Exxon Mobil Corp Com 30231G102 4543 66,213 SH SOLE 5,032 61,181 Family Dollar Stores Com 307000109 347 13,150 SH SOLE 13,150 Fedex Corp Com Com 31428X106 715 9,510 SH SOLE 9,510 Fifth Third Bancorp Com 316773100 136 13,438 SH SOLE 175 13,263 First Trust Bk Com 33732N105 816 110,968 SH SOLE 110,968 Firstenergy Corp Com 337932107 943 20,620 SH SOLE 250 20,370 Flower Inds Inc Com 343496105 2658 101,092 SH SOLE 101,092 Fortune Brands Inc Com 349631101 305 7,105 SH SOLE 6,380 725 FPL Group Inc Com 302571104 206 3,724 SH SOLE 3,724 General Electric Co Com 369604103 1023 62,299 SH SOLE 551 61,748 General Mls Inc Com 370334104 624 9,699 SH SOLE 9,699 Genzyme Corp General Com 372917104 704 12,407 SH SOLE 370 12,037 GlaxoSmithKline PLC SPONSORED ADR 37733W105 393 9,947 SH SOLE 9,000 947 Graco Inc Com 384109104 421 15,100 SH SOLE 14,700 400 Grainger Ww Inc Com 384802104 1046 11,710 SH SOLE 775 10,935 Hewlett-Packard Ca Com 428236103 2455 51,994 SH SOLE 393 51,601 Hilltop HLDGs Inc Com 432748101 192 15,700 SH SOLE 15,700 0 HLS Systems Int'l USD Com G4604M106 842 88,861 SH SOLE 88,861 Home Depot Inc Com 437076102 1190 44,659 SH SOLE 276 44,383 Honeywell Intl Inc Com 438516106 692 18,634 SH SOLE 380 18,254 Horace Mann Educators Corp NewCom 440327104 531 38,030 SH SOLE 34,300 3,730 Horsehead Holding Corp Com 440694305 490 41,830 SH SOLE 26,000 15,830 HURCO Companies Inc Com 447324104 440 25,770 SH SOLE 22,000 3,770 IBM Com 459200101 3378 28,238 SH SOLE 3,690 24,548 Imation Corp Com 45245A107 249 26,900 SH SOLE 26,900 0 Imperial Sugar Co Com 453096208 489 38,580 SH SOLE 32,700 5,880 Ingersoll Rand Co Com 647766101 1295 42,215 SH SOLE 5,460 36,755 Intel Corp Com 458140100 1998 102,079 SH SOLE 6,765 95,314 Inter Parfumes Inc Com 458334109 398 32,600 SH SOLE 31,700 900 Interactive Data Corporation Com 45840J107 301 11,500 SH SOLE 11,500 0 Ishare Gold Fund Ishares 863307104 1225 12,390 SH SOLE 160 12,230 Ishares Barclays Intermed Cr BBARCLYS INTER CR 464288638 662 6,400 SH SOLE 6,400 Ishares Comex Gold Tr Ishares 464285105 412 4,163 SH SOLE 4,000 163 Ishares Tr Idx MSCI EAFE IDX 464287465 595 10,888 SH SOLE 10,888 Ishares Tr S&P MIDCP VALU 464287705 639 10,147 SH SOLE 10,147 Ishares Tr S&P SH NTL AMTFR 464288158 833 7,855 SH SOLE 7,855 Ishares Tr Index BARCLYS 1-3 YR 464287457 278 3,305 SH SOLE 3,305 Ishares Tr BARCLYS 1-3YR CR 464288646 953 9,135 SH SOLE 165 8,970 ITT Industries Inc Com 450911102 568 10,883 SH SOLE 200 10,683 J P Morgan Chase Com 616880100 346 7,903 SH SOLE 4,000 3,903 Janus Cap Group Inc Com 47102X105 206 14,500 SH SOLE 14,500 0 Johnson & Johnson Com 478160104 3149 51,709 SH SOLE 5,254 46,455 K Swiss Inc Cl A Cl A 482686102 384 43,646 SH SOLE 37,400 6,246 Kimco Realty Corp Com 49446R109 273 20,925 SH SOLE 320 20,605 L 3 Communications Com 502424104 204 2,534 SH SOLE 2,534 Leucadia National Com 527288104 837 33,875 SH SOLE 19,075 14,800 Lincoln Natl Corp Com 534187109 281 10,845 SH SOLE 10,845 Lowes Cos Inc Com 548661107 696 33,221 SH SOLE 384 32,837 Macys Inc Com Com 55616P104 290 15,848 SH SOLE 15,848 Marsh & McLennan Com 571748102 233 9,425 SH SOLE 5,780 3,645 McDonald's Corp Com 580135101 4118 72,149 SH SOLE 4,385 67,764 Medcohealth Com 58405U102 263 4,764 SH SOLE 4,764 Medtronic Inc Com 585055106 1458 39,613 SH SOLE 489 39,124 Merck & Co Inc Com 589331107 2299 72,700 SH SOLE 14,239 58,461 MGE Energy Inc Com 55277P104 493 13,515 SH SOLE 11,350 2,165 Micrel Inc Com Com 594793101 326 40,056 SH SOLE 34,900 5,156 Microsoft Corp Com 594918104 2593 100,157 SH SOLE 12,212 87,945 Minnesota Mining & Com 88579Y101 1704 23,083 SH SOLE 722 22,361 Morgan Stanley Dean Com 617446448 247 7,987 SH SOLE 7,987 New Jersey Res Corp Com 646025106 383 10,545 SH SOLE 8,520 2,025 News Corp Ltd Spons CL A 65248E104 1495 124,652 SH SOLE 45,975 78,677 Nucor Corp Com 670346105 909 19,345 SH SOLE 110 19,235 Oracle Corp Com 68389X105 2576 123,603 SH SOLE 731 122,872 Oshkosh Truck Corp Com 688239201 444 14,341 SH SOLE 10,626 3,715 Owens & Minor Inc Com 690732102 522 11,545 SH SOLE 9,520 2,025 Park Electrochemical Corp Com 700416209 370 15,030 SH SOLE 13,600 1,430 Pepsico Inc Com 713448108 2107 35,921 SH SOLE 280 35,641 Pfizer Inc Com 717081103 1343 81,125 SH SOLE 14,779 66,346 Philip Morris Intl Inc Com Com 718172109 515 10,559 SH SOLE 10,559 Piedmont Nat Gas Inc Com 720186105 616 25,715 SH SOLE 12,900 12,815 Plantronics Inc New Com 727493108 424 15,800 SH SOLE 15,200 600 Platinum Underwriters Com G7127P100 244 6,800 SH SOLE 6,800 0 Premier Coml Bk Greensboro NC Com 74046A108 130 11,818 SH SOLE 11,818 Price T Rowe Group Inc Com 74144T108 2347 51,360 SH SOLE 4,240 47,120 Proassurance Corp Com 74267C106 550 10,530 SH SOLE 9,500 1,030 Procter & Gamble Co Com 742718109 4235 73,121 SH SOLE 375 72,746 Progress Software Corp Com 743312100 297 13,100 SH SOLE 13,100 0 Progressive Corp Of Com 743315103 948 57,183 SH SOLE 22,150 35,033 Radioshack Corp Com 750438103 594 35,875 SH SOLE 33,500 2,375 Raymond James Finl Com 754730109 1001 42,990 SH SOLE 805 42,185 Renaissance Re Com G7496G103 277 5,060 SH SOLE 4,100 960 Robbins & Myers Inc Com 770196103 329 14,000 SH SOLE 14,000 0 Royal Bk Cda Com 780087102 1198 22,365 SH SOLE 22,365 Spdr Trust Unit Ser 1 78462F103 714 6,764 SH SOLE 6,764 Safeway Com 786514208 835 42,350 SH SOLE 585 41,765 Sanderson Farms Inc Com 800013104 450 11,967 SH SOLE 10,174 1,793 Schering-Plough Corp Com 806605101 999 35,379 SH SOLE 285 35,094 Schlumberger Com 806857108 387 6,490 SH SOLE 6,490 Scholastic Corp Com 807066105 622 25,545 SH SOLE 25,545 0 Seagate Technology Com G7945J104 190 12,500 SH SOLE 12,500 0 Southern Co Com 842587107 2099 66,284 SH SOLE 4,900 61,384 Spectra Energy Corp Com Com 847560109 201 10,630 SH SOLE 10,630 St Mary Land & Com 792228108 370 11,395 SH SOLE 10,400 995 Stryker Corp Com 863667101 792 17,440 SH SOLE 260 17,180 Symantec Corp Com 871503108 231 14,000 SH SOLE 14,000 0 Syngenta Ag Com 87160A100 490 10,658 SH SOLE 10,658 Sysco Corp Com 871829107 713 28,692 SH SOLE 125 28,567 Target Corp Com 87612E106 1334 28,581 SH SOLE 285 28,296 Tellabs Inc Com 879664100 678 98,008 SH SOLE 88,000 10,008 Texas Instruments Com 882508104 1099 46,384 SH SOLE 570 45,814 The Travelers Companies Inc Com 89417E109 212 4,300 SH SOLE 4,300 0 Tibco Software Inc Com 88632Q103 489 51,550 SH SOLE 50,000 1,550 Time Warner Hldgs Com 887315109 310 10,783 SH SOLE 5,195 5,588 TIPS Ishare US TIPS BD FD 464287176 2442 23,740 SH SOLE 2,300 21,440 Tjx Companies Inc Com 872540109 1045 28,138 SH SOLE 260 27,878 Total Systems Services Inc Com 891906109 437 27,133 SH SOLE 26,000 1,133 TTM Technologies Inc Com 87305R109 725 63,210 SH SOLE 59,000 4,210 Tyco Intl Com 902124106 215 6,238 SH SOLE 6,162 76 UGI Corp Com 902681105 399 15,905 SH SOLE 13,300 2,605 United Parcel Svc Com 911312106 351 6,215 SH SOLE 130 6,085 United Stationers Inc Com 913004107 475 9,986 SH SOLE 9,371 615 United Technologies Com 913017109 2584 42,407 SH SOLE 3,877 38,530 Unitedhealth Group Com 91324P102 423 16,885 SH SOLE 135 16,750 US Bancorp Del Com 902973304 578 26,423 SH SOLE 400 26,023 USEC Inc Com 90333E108 300 63,970 SH SOLE 53,500 10,470 Uwharrie Cap Corp Com 918183104 51 16,267 SH SOLE 16,267 V F Corp Com 918204108 260 3,590 SH SOLE 3,500 90 VAALCO Energy Inc New Com 91851C201 104 22,695 SH SOLE 18,900 3,795 Valassis Communications Inc Com 918866104 492 27,500 SH SOLE 25,400 2,100 Valero Energy Com 91913Y100 714 36,819 SH SOLE 315 36,504 Vang Mid-Cap Value ETF MCAP VL IDXVIP 922908512 2711 63,612 SH SOLE 1,235 62,377 Vanguard Mid-Cap Gr ETF MCAP GR IDXVIP 922908538 1820 40,083 SH SOLE 1,525 38,558 Vanguard Consumer Staples ETF CONSUM STP ETF 92204A207 333 5,175 SH SOLE 5,175 VANGUARD WORLD FDS ENERGY ETF 92204A306 210 2,630 SH SOLE 2,630 Vanguard Europe Pacific ETF EUROPE PAC ETF 921943858 281 8,185 SH SOLE 8,185 Vanguard European ETF EURPEAN ETF 922042874 666 13,430 SH SOLE 13,430 Vanguard Health ETF HEALTH CAR ETF 92204A504 425 8,285 SH SOLE 8,285 Vanguard Info Tech INF TECH ETF 92204A702 1050 21,041 SH SOLE 115 20,926 Vanguard LC ETF LARGE CAP ETF 922908637 2973 61,838 SH SOLE 61,838 Vanguard LC Growth Index ETF GROWTH ETF 922908736 394 8,005 SH SOLE 8,005 VANGUARD WORLD FDS MATERIALS ETF 92204A801 280 4,393 SH SOLE 4,393 Vanguard MC ETF MID CAP ETF 922908629 641 11,268 SH SOLE 580 10,688 Vanguard Pacific ETF PACIFIC ETF 922042866 726 13,900 SH SOLE 13,900 Vanguard Small Cap ETF SMALL CP ETF 922908751 845 15,209 SH SOLE 820 14,389 Vanguard Small Cap Growth ETF SML CP GRW ETF 922908595 2735 47,611 SH SOLE 1,185 46,426 Vanguard ST Bond EFT SHORT TRM BOND 921937827 376 4,693 SH SOLE 4,693 Vanguard Telecom Svcs TELCOMM ETF 92204A884 772 14,157 SH SOLE 106 14,051 Verizon Com 92343V104 1468 48,489 SH SOLE 405 48,084 Village Supermarket Inc Cl A CL A New 927107409 384 13,032 SH SOLE 11,948 1,084 Vornado Rlty Tr SH BEN INT 929042109 880 13,666 SH SOLE 128 13,538 Vulcan Materials Co Com 929160109 568 10,510 SH SOLE 180 10,330 Wal Mart Stores Inc Com 931142103 2453 49,979 SH SOLE 191 49,788 Walgreen Stores Com 931422109 1393 37,165 SH SOLE 385 36,780 Waste Mgmt Inc Com 94106L109 228 7,660 SH SOLE 7,000 660 Wellpoint Health Com 94973H108 204 4,300 SH SOLE 4,300 0 Wells Fargo & Co Com 949746101 1666 59,105 SH SOLE 370 58,735 Western Un Co Com 959802109 412 21,770 SH SOLE 110 21,660 Windstream Com 97381W104 427 42,172 SH SOLE 27,451 14,721 Yahoo Inc Com 984332106 268 15,022 SH SOLE 15,000 22
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