0000919458-12-000004.txt : 20121113 0000919458-12-000004.hdr.sgml : 20121112 20121113142702 ACCESSION NUMBER: 0000919458-12-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121113 DATE AS OF CHANGE: 20121113 EFFECTIVENESS DATE: 20121113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ALERUS FINANCIAL NA CENTRAL INDEX KEY: 0000919458 IRS NUMBER: 450140105 STATE OF INCORPORATION: ND FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-03439 FILM NUMBER: 121198094 BUSINESS ADDRESS: STREET 1: PO BOX 6001 STREET 2: 401 DEMERS AVE CITY: GRAND FORKS STATE: ND ZIP: 58206-6001 BUSINESS PHONE: 7017953200 MAIL ADDRESS: STREET 1: PO BOX 6001 STREET 2: 401 DEMERS AVE CITY: GRAND FORKS STATE: ND ZIP: 58206-6001 FORMER COMPANY: FORMER CONFORMED NAME: FIRST NATIONAL BANK NORTH DAKOTA DATE OF NAME CHANGE: 19980309 13F-HR 1 sec13f.txt ALERUS FINANCIAL 13F-HR 09/30/2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calender Year or Quarter Ended: September 30, 2012 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: Alerus Financial, N.A. Address: PO Box 6001 401 Demers Ave Grand Forks, ND 58206-6001 13F File Number: 28-03439 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: Douglas C. Carpenter Title: Director Trust & Investments Phone: 701-795-3211 Signature, Place, and Date of Signing: Douglas C. Carpenter Grand Forks, North Dakota November 8, 2012 Report Type (Check only one.): [ ] 13F Holdings Report. [ ] 13F Notice. [X ] 13F Combination Report. List of Other Managers Reporting for this Manager: 28-06758 Arbor Capital Management LLC 28-10174 Leuthold Weeden Capital Management LLC 28-14784 Alerus Investment Advisors Corp 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 17 Form 13F Information Table Value $169,361 List of Other Included Managers: No. 13F File Number Name FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/INVSTMT -----VOTING AUTHORITY----- NAME OF ISSUER -TITLE OF CLASS- --CUSIP-- (X$1000) PRN AMT PRN CALLDSCRETN-MANAGERS- SOLE SHARED NONE ISHARES TRUST DJ SEL DIV INX 464287168 13053 226307 SH SOLE 226,307 ISHARES TRUST BARCLYS TIPS BD 464287176 5262 43212 SH SOLE 43,212 ISHARES TRUST S & P 500 INDEX 464287200 25968 179832 SH SOLE 179,832 ISHARES TRUST BARCLY USAGG B 464287226 10726 95382 SH SOLE 95,382 ISHARES TRUST MSCI EMERG MKT 464287234 6190 149783 SH SOLE 149,783 ISHARES TRUST IBOXX INV CPBD 464287242 11831 97160 SH SOLE 97,160 ISHARES TRUST MSCI EAFE INDEX 464287465 12563 237037 SH SOLE 237,037 ISHARES TRUST S & P MIDCAP 400 464287507 5819 58968 SH SOLE 58,968 ISHARES TRUST RUSSELL 2000 464287655 12662 151750 SH SOLE 151,750 ISHARES TRUST DEV SM CP EX-N 464288497 2181 63564 SH SOLE 63,564 ISHARES TRUST HIGH YLD CORP 464288513 4684 50750 SH SOLE 50,750 SPDR INDEX SHS FDS S & P INTL SMCP 78463X871 2171 79423 SH SOLE 79,423 VANGUARD TAX MANAGED INTL FD MSCI EAFE ETF 921943858 12585 382759 SH SOLE 382,759 VANGUARD INDEX FUNDS S & P 500 ETF SHS922908413 19952 302676 SH SOLE 302,676 VANGUARD INDEX FUNDS REIT ETF 922908553 5216 80278 SH SOLE 80,278 VANGUARD INDEX FUNDS MCAP ETF 922908629 5831 71845 SH SOLE 71,845 VANGUARD INDEX FUNDS SMALL CP ETF 922908751 12667 158061 SH SOLE 158,061