13F-HR filed by Regent Investment Management LLC
Regent Investment Management LLC filed this 13F-HR for the quarter ended 2019-12-31, filed 2020-01-30, with 210 holding rows worth $327,180,000.
- Accession
- 0001559968-20-000003
- Filer
- CIK 1559968
- Filed
- 2020-01-30
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2019
A holdings report, 248 entries on the cover page, a total value of $327,180,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $327,180,000 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 | 037833100 | COM | 57,851 | $16,988,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 97,556 | $13,599,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 47,350 | $9,719,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 59,736 | $9,420,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 5,005 | $9,248,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 6,695 | $8,951,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 49,062 | $7,156,000 | thousands by filing date | |
| BROWN FORMAN CORP CL B | 115637209 | Stock | 101,355 | $6,852,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 51,031 | $6,374,000 | thousands by filing date | |
| WESBANCO INC | 950810101 | COM | 157,607 | $5,956,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 70,792 | $5,259,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 24,325 | $5,159,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 145,817 | $5,136,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 79,586 | $5,108,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 53,837 | $4,897,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 79,286 | $4,869,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 54,443 | $4,804,000 | thousands by filing date | |
| HORIZON THERAPEUTICS PLC | G46188101 | SHS | 132,548 | $4,798,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 97,754 | $4,688,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 107,466 | $4,199,000 | thousands by filing date | |
| IAC INTERACTIVECORP | 44919P508 | COM | 16,230 | $4,043,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 12,978 | $3,815,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 2,759 | $3,695,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 45,493 | $3,634,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 60,414 | $3,562,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 67,882 | $3,470,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 138,780 | $3,292,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 17,277 | $3,246,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 26,750 | $3,234,000 | thousands by filing date | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 23,793 | $3,177,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 56,459 | $3,036,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 1,469 | $3,017,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 8,145 | $2,646,000 | thousands by filing date | |
| UNILEVER PLC | 904767704 | SPON ADR NEW | 45,566 | $2,605,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182C103 | COM | 41,329 | $2,549,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 17,576 | $2,542,000 | thousands by filing date | |
| TJX Companies Inc | 872540109 | COM | 40,569 | $2,477,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 52,742 | $2,372,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524706 | EMRG MKTEQ ETF | 86,470 | $2,367,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 19,609 | $2,363,000 | thousands by filing date | |
| V F CORP COM | 918204108 | Stock | 23,339 | $2,326,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 10,165 | $2,302,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 39,399 | $2,181,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 102,034 | $2,160,000 | thousands by filing date | |
| Broadcom Inc. | 11135F101 | COM | 6,765 | $2,138,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 54,338 | $2,129,000 | thousands by filing date | |
| WORKDAY INC CL A | 98138H101 | Stock | 12,450 | $2,047,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 13,464 | $2,036,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 21,665 | $2,031,000 | thousands by filing date | |
| AMERIPRISE FINL INC COM | 03076C106 | Stock | 11,613 | $1,934,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 10,684 | $1,891,000 | thousands by filing date | |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 36,123 | $1,836,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 8,336 | $1,820,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 29,521 | $1,767,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 18,941 | $1,645,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 4,913 | $1,600,000 | thousands by filing date | |
| Texas Instruments Incorporated | 882508104 | COM | 12,050 | $1,546,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 17,031 | $1,508,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 13,515 | $1,462,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 23,917 | $1,399,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 5,141 | $1,398,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 26,293 | $1,393,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 25,860 | $1,385,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 7,814 | $1,379,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 30,806 | $1,370,000 | thousands by filing date | |
| Stryker Corporation | 863667101 | COM | 6,300 | $1,323,000 | thousands by filing date | |
| VERISIGN INC COM | 92343E102 | Stock | 6,645 | $1,280,000 | thousands by filing date | |
| ANHEUSER BUSCH INBEV SA NV SPONSORED ADR | 03524A108 | ADR | 15,414 | $1,265,000 | thousands by filing date | |
| Danaher Corporation | 235851102 | COM | 8,118 | $1,246,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 8,873 | $1,220,000 | thousands by filing date | |
| WESTERN DIGITAL CORP | 958102105 | COM | 19,013 | $1,207,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 3,293 | $1,207,000 | thousands by filing date | |
| Lowes Companies,Inc. | 548661107 | COM | 9,245 | $1,107,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 16,805 | $1,093,000 | thousands by filing date | |
| MCKESSON CORP COM | 58155Q103 | Stock | 7,810 | $1,080,000 | thousands by filing date | |
| Chubb Limited | H1467J104 | COM | 6,841 | $1,065,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 7,741 | $1,058,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 20,531 | $1,046,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 5,588 | $1,010,000 | thousands by filing date | |
| MYLAN NV | N59465109 | SHS EURO | 48,625 | $977,000 | thousands by filing date | |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 6,445 | $965,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 4,385 | $939,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 16,909 | $932,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435105 | COM | 4,025 | $931,000 | thousands by filing date | |
| EMERSON ELEC CO COM | 291011104 | Stock | 12,207 | $931,000 | thousands by filing date | |
| SMUCKER J M CO | 832696405 | COM NEW | 8,874 | $924,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 135,000 | $914,000 | thousands by filing date | |
| DIAGEO PLC SPON ADR NEW | 25243Q205 | ADR | 5,400 | $909,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 37,198 | $907,000 | thousands by filing date | |
| YUM BRANDS INC COM | 988498101 | Stock | 8,970 | $904,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 24,975 | $896,000 | thousands by filing date | |
| CENCORA INC COM | 03073E105 | Stock | 10,530 | $895,000 | thousands by filing date | |
| ALBEMARLE CORP | 012653101 | COM | 12,155 | $888,000 | thousands by filing date | |
| USBANCORPDEL | 902973304 | COM NEW | 14,712 | $872,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 66,268 | $850,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 3,508 | $849,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 5,963 | $817,000 | thousands by filing date | |
| LIVENT CORP | 53814L108 | COM | 95,425 | $816,000 | thousands by filing date | |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 21,276 | $799,000 | thousands by filing date | |
| TAIWAN SEMICONDUCTOR MFG | 874039100 | SPONSORED ADS | 13,453 | $782,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 8,690 | $766,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 2,515 | $760,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 6,000 | $747,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 6,658 | $742,000 | thousands by filing date | |
| WHIRLPOOL CORP COM | 963320106 | Stock | 5,020 | $741,000 | thousands by filing date | |
| LANDMARK INFRASTRUCTURE PARTNERS | 51508J108 | COMMON STOCK | 44,984 | $738,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 10,531 | $735,000 | thousands by filing date | |
| Adobe Inc | 00724F101 | COM | 2,220 | $732,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 4,425 | $707,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 13,075 | $703,000 | thousands by filing date | |
| CARDINAL HEALTH INC | 14149Y108 | COM | 13,750 | $695,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 11,700 | $695,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 2,095 | $695,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 14,575 | $692,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 5,233 | $688,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 3,530 | $685,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 31,600 | $683,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 21,309 | $652,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 5,990 | $648,000 | thousands by filing date | |
| MasterCard, Inc | 57636Q104 | COM | 2,165 | $646,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 7,466 | $635,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 12,340 | $633,000 | thousands by filing date | |
| LAMAR ADVERTISING CO CL A | 512816109 | REIT | 6,965 | $622,000 | thousands by filing date | |
| CAPITALA FIN CORP | 14054R106 | COM | 70,950 | $619,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 17,075 | $585,000 | thousands by filing date | |
| BGC PARTNERS INC | 05541T101 | CL A | 98,000 | $582,000 | thousands by filing date | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 8,963 | $575,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 2,754 | $563,000 | thousands by filing date | |
| ROYAL DUTCH SHELL PLC SPN ADR | 780259107 | SPON ADR B | 9,110 | $546,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 8,310 | $522,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 7,545 | $490,000 | thousands by filing date | |
| HARTFORD INSURANCE GROUP INC COM | 416515104 | Stock | 8,052 | $489,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762U105 | COM | 26,400 | $482,000 | thousands by filing date | |
| CHURCHILL DOWNS INC | 171484108 | COM | 3,505 | $481,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 11,864 | $472,000 | thousands by filing date | |
| SCHEIN HENRY INC | 806407102 | COM | 7,000 | $467,000 | thousands by filing date | |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 7,800 | $460,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 7,200 | $439,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,485 | $436,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 1,800 | $434,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 2,189 | $433,000 | thousands by filing date | |
| JABIL INC COM | 466313103 | Stock | 10,450 | $432,000 | thousands by filing date | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 6,909 | $411,000 | thousands by filing date | |
| YUM CHINA HLDGS INC | 98850P109 | COM | 8,270 | $397,000 | thousands by filing date | |
| DOW HLDGS INC COM | 260557103 | Stock | 7,178 | $393,000 | thousands by filing date | |
| KROGER CO COM | 501044101 | Stock | 13,500 | $391,000 | thousands by filing date | |
| MAXIM INTEGRATED PRODS INC | 57772K101 | COM | 6,350 | $391,000 | thousands by filing date | |
| Schwab U.S. Large-Cap Growth ETF | 808524300 | SHS | 4,175 | $388,000 | thousands by filing date | |
| KRAFT HEINZ CO COM | 500754106 | Stock | 11,714 | $377,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 2,475 | $366,000 | thousands by filing date | |
| Eaton Corp. Plc | G29183103 | COM | 3,857 | $365,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 25,565 | $344,000 | thousands by filing date | |
| Charles Schwab Corp | 808513105 | COM | 7,175 | $341,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 1,233 | $337,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 18,200 | $335,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 7,279 | $327,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 2,100 | $320,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 3,000 | $319,000 | thousands by filing date | |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 2,510 | $318,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 8,800 | $318,000 | thousands by filing date | |
| ULTA BEAUTY INC COM | 90384S303 | Stock | 1,253 | $317,000 | thousands by filing date | |
| PERSPECTA INC | 715347100 | COM | 11,725 | $310,000 | thousands by filing date | |
| VICI PPTYS INC COM | 925652109 | REIT | 12,100 | $309,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 1,573 | $301,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 4,434 | $291,000 | thousands by filing date | |
| WATERS CORP COM | 941848103 | Stock | 1,240 | $290,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 9,400 | $284,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 4,081 | $283,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 6,986 | $281,000 | thousands by filing date | |
| CIENA CORP COM NEW | 171779309 | Stock | 6,587 | $281,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. COM | 595017104 | Stock | 2,659 | $278,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 3,114 | $274,000 | thousands by filing date | |
| MOODYS CORP COM | 615369105 | Stock | 1,141 | $271,000 | thousands by filing date | |
| FORTIVE CORP COM | 34959J108 | Stock | 3,534 | $270,000 | thousands by filing date | |
| ZIMMER BIOMET HOLDINGS INC COM | 98956P102 | Stock | 1,800 | $269,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 4,500 | $268,000 | thousands by filing date | |
| CORTEVA INC COM | 22052L104 | Stock | 8,965 | $265,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 5,265 | $263,000 | thousands by filing date | |
| CARLYLE GROUP INC COM | 14316J108 | Stock | 8,196 | $263,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 2,605 | $263,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 2,011 | $259,000 | thousands by filing date | |
| MOSAIC CO COM | 61945C103 | Stock | 11,900 | $258,000 | thousands by filing date | |
| HILLENBRAND INC | 431571108 | COM | 7,713 | $257,000 | thousands by filing date | |
| LHC GROUP | 50187A107 | COM | 1,830 | $252,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 2,200 | $251,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G103 | INFRAC ACT MLP | 54,500 | $246,000 | thousands by filing date | |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 2,000 | $245,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 2,080 | $243,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 12,500 | $243,000 | thousands by filing date | |
| SHERWIN WILLIAMS CO | 824348106 | COM | 409 | $239,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 5,582 | $234,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 9,250 | $226,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 4,000 | $224,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 1,000 | $220,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 678 | $219,000 | thousands by filing date | |
| DOMINION ENERGY INC COM | 25746U109 | Stock | 2,602 | $215,000 | thousands by filing date | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 950 | $208,000 | thousands by filing date | |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 22,171 | $208,000 | thousands by filing date | |
| NEWELL BRANDS INC COM | 651229106 | Stock | 10,600 | $204,000 | thousands by filing date | |
| HILL ROM HLDGS INC | 431475102 | COM | 1,800 | $204,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 484 | $202,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 14,940 | $167,000 | thousands by filing date | |
| COTY INC | 222070203 | COM CL A | 14,627 | $164,000 | thousands by filing date | |
| GOLAR LNG PARTNERS LP | Y2745C102 | COM UNITS LPI | 16,000 | $142,000 | thousands by filing date | |
| CLEVELAND-CLIFFS INC NEW COM | 185899101 | Stock | 16,765 | $141,000 | thousands by filing date | |
| BRISTOL-MYERS SQUIBB CO | 110122157 | RIGHT 99/99/9999 | 35,628 | $107,000 | thousands by filing date | |
| MALIN CORP PLC ORDF | g5s5fh107 | COM | 10,000 | $51,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 20,000 | $18,000 | thousands by filing date | |
| Cinedigm Corp CL A | 172406209 | COM NEW | 11,137 | $8,000 | thousands by filing date | |
| WONDER AUTO TECHNOLOGXXXESC PEND POSS FUTR DISTR | 978ESC101 | ESC | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001559968-20-000003 | this filing | 2020-01-30 | acceptance time not in the bulk data set |