13F-HR filed by Regent Investment Management LLC
Regent Investment Management LLC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-10-10, with 171 holding rows worth $151,387,000.
- Accession
- 0001559968-13-000003
- Filer
- CIK 1559968
- Filed
- 2013-10-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 171 entries on the cover page, a total value of $151,387,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $151,387,000 with VALUE read as thousands by filing date, 13F file number 028-15055. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| APPLE INC | 37833100 | COM | 8,301 | $3,958,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Johnson & Johnson | 478160104 | COM | 44,105 | $3,823,000 | thousands by filing date | |
| FARMERS CAP BANK CORP | 309562106 | COMMON STOCK | 172,202 | $3,764,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 68,790 | $3,701,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 60,641 | $3,441,000 | thousands by filing date | |
| 38259p508 | COM | 3,672 | $3,216,000 | thousands by filing date | ||
| Chevron Corporation | 166764100 | COM | 25,273 | $3,071,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 22,199 | $2,821,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 37,040 | $2,800,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 20,195 | $2,591,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 13,658 | $2,529,000 | thousands by filing date | |
| MACYS INC COM | 55616P104 | Stock | 56,795 | $2,458,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 34,235 | $2,253,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 35,607 | $2,239,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 26,990 | $2,146,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 44,608 | $2,138,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 56,305 | $2,047,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 32,862 | $2,031,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 10,193 | $2,029,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 37,961 | $1,962,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 27,990 | $1,946,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 50,820 | $1,925,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 32,533 | $1,905,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 22,594 | $1,767,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 49,355 | $1,756,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 74,824 | $1,753,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 21,965 | $1,713,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 32,895 | $1,584,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 12,362 | $1,556,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 64,116 | $1,532,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 42,530 | $1,496,000 | thousands by filing date | |
| BAXTER INTERNATIONAL | 71813109 | COM | 22,166 | $1,456,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CELGENE CORP | 151020104 | COM | 9,397 | $1,448,000 | thousands by filing date | |
| MYLAN INC | 628530107 | COM | 37,695 | $1,439,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 54,674 | $1,423,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 23,010 | $1,406,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 13,271 | $1,277,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 13,850 | $1,276,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 66,134 | $1,270,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 26,809 | $1,251,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 41,090 | $1,247,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 22,795 | $1,225,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 13,898 | $1,196,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 32,482 | $1,188,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 17,044 | $1,173,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 12,732 | $1,167,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 9,733 | $1,162,000 | thousands by filing date | |
| TARGET CORP COM | 87612E106 | Stock | 17,591 | $1,125,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 22,542 | $1,073,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 31,857 | $1,057,000 | thousands by filing date | |
| PRICELINE GRP INC | 741503403 | COM NEW | 1,045 | $1,056,000 | thousands by filing date | |
| AMERICAN INTERNATIONAL GROUP INC | 26874784 | COM | 21,625 | $1,052,000 | thousands by filing date | The CUSIP as filed is malformed. |
| HERTZ GLOBAL HLDGS INC N | 42805T105 | COM | 47,300 | $1,048,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 9,496 | $1,024,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 14,269 | $1,019,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 21,321 | $1,001,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 13,455 | $995,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 14,662 | $987,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 24,467 | $982,000 | thousands by filing date | |
| ACE LTD | H0023R105 | SHS | 10,078 | $943,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 21,350 | $934,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 14,245 | $919,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 12,644 | $905,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 17,130 | $892,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 16,601 | $884,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 14,984 | $845,000 | thousands by filing date | |
| American Express | 25816109 | COM | 11,191 | $845,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Honeywell Technologies | 438516106 | COM | 9,782 | $812,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 34,973 | $802,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 8,974 | $793,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 12,785 | $738,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 13,215 | $737,000 | thousands by filing date | |
| JABIL INC COM | 466313103 | Stock | 33,875 | $734,000 | thousands by filing date | |
| FLOWSERVE CORP | 34354P105 | COM | 11,676 | $728,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 21,041 | $720,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 17,639 | $711,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 17,246 | $696,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 11,928 | $690,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 8,875 | $615,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 17,617 | $596,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 19,500 | $581,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 6,363 | $580,000 | thousands by filing date | |
| SPDR SER TR | 78464A870 | S&P BIOTECH | 4,447 | $574,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 10,100 | $568,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 3,652 | $567,000 | thousands by filing date | |
| UNITED RENTALS INC COM | 911363109 | Stock | 9,610 | $560,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 14,170 | $547,000 | thousands by filing date | |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 6,930 | $543,000 | thousands by filing date | |
| APACHE CORP | 37411105 | COM | 6,371 | $542,000 | thousands by filing date | The CUSIP as filed is malformed. |
| Stryker Corporation | 863667101 | COM | 7,900 | $534,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 15,995 | $532,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 11,144 | $522,000 | thousands by filing date | |
| Deere & Company | 244199105 | COM | 6,002 | $489,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 5,107 | $481,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 5,881 | $471,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 5,398 | $458,000 | thousands by filing date | |
| ANNALY MORTGAGE MANAGEMENT | 35710409 | COM | 39,172 | $454,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ISHARES TR | 464288687 | COM | 11,909 | $453,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 16,300 | $448,000 | thousands by filing date | |
| iShares Expanded Tech-Software Sector ETF | 464287515 | SHS | 5,700 | $435,000 | thousands by filing date | |
| KELLANOVA | 487836108 | COM | 7,225 | $424,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 10,000 | $420,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 4,050 | $420,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 2,800 | $410,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 9,154 | $409,000 | thousands by filing date | |
| BP PLC ADR | 55622104 | COM | 9,624 | $404,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ILLUMINA INC | 452327109 | COM | 4,920 | $398,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 4,200 | $393,000 | thousands by filing date | |
| AMGEN INC. | 31162100 | COM | 3,500 | $392,000 | thousands by filing date | The CUSIP as filed is malformed. |
| HUMANA INC COM | 444859102 | Stock | 4,191 | $391,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 15,138 | $372,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 11,743 | $369,000 | thousands by filing date | |
| BAKER HUGHES INC. | 57224107 | COM | 7,390 | $363,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ABBOTT LABORATORIES | 2824100 | COM | 10,904 | $362,000 | thousands by filing date | The CUSIP as filed is malformed. |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 8,408 | $343,000 | thousands by filing date | |
| Bladex, Inc. Class E | P16994132 | COM | 13,600 | $339,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 6,992 | $333,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 9,301 | $333,000 | thousands by filing date | |
| E M C CORP MASS | 268648102 | COM | 13,000 | $332,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 4,563 | $331,000 | thousands by filing date | |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 4,535 | $328,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 4,100 | $317,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259206 | SPONS ADR A | 4,834 | $317,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 12,500 | $311,000 | thousands by filing date | |
| MID AMERICA APARTMENT COMMUNITIES INC. | 59522J103 | Common Stock, par value $0.01 per share | 4,900 | $306,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 4,793 | $306,000 | thousands by filing date | |
| STERICYCLE INC | 858912108 | COM | 2,650 | $306,000 | thousands by filing date | |
| CAMERON INTERNATIONAL CORP | 13342B105 | COM | 5,250 | $306,000 | thousands by filing date | |
| YONGYE INTL INC | 98607B106 | COM | 49,375 | $306,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 9,800 | $305,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 7,361 | $304,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 2,885 | $303,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 4,957 | $302,000 | thousands by filing date | |
| TRACTOR SUPPLY CO COM | 892356106 | Stock | 4,320 | $290,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 35,000 | $285,000 | thousands by filing date | |
| POTLATCHDELTIC CORPORATION | 737630103 | COM | 6,800 | $270,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 5,670 | $262,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 3,600 | $260,000 | thousands by filing date | |
| WELLPOINT INC | 94973V107 | COM | 3,000 | $251,000 | thousands by filing date | |
| PRINCIPAL FINANCIAL GROUP INC COM | 74251V102 | Stock | 5,800 | $248,000 | thousands by filing date | |
| INVESCO FINANCIAL PREFERRED ETF | 73935X229 | COM | 14,450 | $248,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 5,369 | $242,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 3,519 | $235,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 3,710 | $235,000 | thousands by filing date | |
| MATTEL INC | 577081102 | COM | 5,525 | $231,000 | thousands by filing date | |
| KKR & CO LP | 48248M102 | COMMON STOCK | 11,000 | $226,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 6,900 | $223,000 | thousands by filing date | |
| BB&T CORPORATION | 54937107 | COM | 6,517 | $220,000 | thousands by filing date | The CUSIP as filed is malformed. |
| CHART INDS INC | 16115Q308 | COM | 1,775 | $218,000 | thousands by filing date | |
| COACH INC | 189754104 | COM | 3,971 | $217,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 2,535 | $211,000 | thousands by filing date | |
| METLIFE INC $0.065 PFD | 59156R603 | PREFERRED | 8,043 | $200,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 25,500 | $186,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 10,523 | $178,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 10,372 | $175,000 | thousands by filing date | |
| FLEX LTD ORD | Y2573F102 | Stock | 18,125 | $165,000 | thousands by filing date | |
| SINGAPORE FUND | 82929L109 | COM | 12,000 | $157,000 | thousands by filing date | |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 10,077 | $156,000 | thousands by filing date | |
| KKR FINL HLDGS LLC | 48248A306 | COM | 14,800 | $153,000 | thousands by filing date | |
| VIMPELCOM LTD | 92719A106 | SPONSORED ADR | 12,000 | $141,000 | thousands by filing date | |
| Anworth Mtg Asset Corp | 37347101 | COM | 12,000 | $58,000 | thousands by filing date | The CUSIP as filed is malformed. |
| TIANYIN PHARMACEUTICAL CO IN | 88630M104 | COM | 32,400 | $24,000 | thousands by filing date | |
| CRESUD SA COMERCIAL | P3311R192 | *W EXP 05/22/201 | 100,950 | $6,000 | thousands by filing date | |
| RENEURON GROUP PLC - | G7489A105 | COM | 100,000 | $5,000 | thousands by filing date | |
| ChinaCast Education Corporatio | 16946T109 | common | 23,400 | $2,000 | thousands by filing date | |
| XCELMOBILITY INC | 98400L103 | COM | 10,500 | $1,000 | thousands by filing date | |
| AMARANTUS BIOSCIENCE HLD | 02300u106 | COM | 20,000 | $1,000 | thousands by filing date | |
| HQ Sustainable Maritime Industries Inc | 40426A208 | COM | 10,200 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| YUHE INTERNATIONAL, INC. | 988432100 | COMMON | 15,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA BOTANIC PHARMA INC | 16890Y104 | COM | 10,926 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| WONDER AUTO TECH INC XXX REGIS | 978166106 | COM | 16,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001559968-13-000003 | this filing | 2013-10-10 | acceptance time not in the bulk data set |