13F-HR filed by Lumbard & Kellner, LLC
Lumbard & Kellner, LLC filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-14, with 68 holding rows worth $116,677,000 by the sum of the rows.
- Accession
- 0001602476-14-000003
- Filer
- CIK 1602476
- Filed
- 2014-05-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 70 entries on the cover page, a total value of $123,072,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $116,677,000 with VALUE read as thousands by filing date, 13F file number 028-16104. The quarter's positions are built on this report. The resolved quarter.
The cover page states a total of $123,072,000, 5% more than the sum of the rows, $116,677,000. This page uses the sum of the rows.
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 |
|---|---|---|---|---|---|---|
| METLIFE INC COM | 59156R108 | Stock | 131,540 | $7,064,000 | thousands by filing date | |
| MATTHEWS ASIA DIVIDEND FUND | 577125107 | COMMON | 405,145 | $6,320,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 165,970 | $6,209,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 31,540 | $4,535,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 23,495 | $4,407,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 97,661 | $4,012,000 | thousands by filing date | |
| DIRECTV | 25490A309 | COM | 52,550 | $3,629,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 67,545 | $3,465,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 246,175 | $3,304,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 57,565 | $3,304,000 | thousands by filing date | |
| RAYTHEON CO | 755111507 | COM NEW | 34,895 | $3,165,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 98,078 | $3,004,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 54,765 | $2,937,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 30,475 | $2,810,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 88,170 | $2,614,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 141,676 | $2,525,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 84,430 | $2,506,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 87,081 | $2,437,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 32,061 | $2,381,000 | thousands by filing date | |
| TELEFONICA S A SPONSORED ADR | 879382208 | ADR | 145,460 | $2,377,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 57,259 | $2,340,000 | thousands by filing date | |
| CVS CAREMARK | 126650BK5 | CORPORATE BONDS AND NOTES | 2,483,000 | $2,225,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 142,325 | $2,196,000 | thousands by filing date | |
| SCHNEIDER ELEC SA ADR | 80687P106 | COM | 104,520 | $1,834,000 | thousands by filing date | |
| STANLEY BLACK & DECKER INC COM | 854502101 | Stock | 22,695 | $1,831,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 42,805 | $1,669,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 89,360 | $1,622,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 36,557 | $1,508,000 | thousands by filing date | |
| Singapore Telecommunications L | 82929R304 | USD | 51,305 | $1,493,000 | thousands by filing date | |
| FORD OTOMOTIV SANAYI AS UNSPONSORED ADR | 345409106 | COM | 28,268 | $1,493,000 | thousands by filing date | |
| MORGAN STANLEY MTN 3.65222 9/30/17 | 61745EM99 | CORPORATE BONDS AND NOTES | 1,400,000 | $1,455,000 | thousands by filing date | |
| STATE STREET CAP 1.85028% 6/15/37 | 85748DAA7 | CORPORATE BONDS AND NOTES | 1,875,000 | $1,417,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 13,134 | $1,329,000 | thousands by filing date | |
| PACER INTL INC TENN | 69373H106 | COM | 150,000 | $1,239,000 | thousands by filing date | |
| MORGAN STANLEY MTN 4.68644 4/16/19 | 61760QAY0 | CORPORATE BONDS AND NOTES | 1,205,000 | $1,195,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 81,225 | $1,192,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 119,975 | $1,155,000 | thousands by filing date | |
| US BANK CAPITAL IX 3.57778 4/15/49 | 91731KAA8 | CORPORATE BONDS AND NOTES | 1,482,000 | $1,149,000 | thousands by filing date | |
| DESARROLLADORA HOMEX S A DE | 25030W100 | SPONSORED ADR | 919,700 | $1,076,000 | thousands by filing date | |
| EUROPEAN INVT BK 9.625% 4/01/15 | B0FJVD1 | OTHER FOREIGN CORPORATE BONDS | 2,220,000 | $1,039,000 | thousands by filing date | The CUSIP as filed is malformed. |
| MORGAN STANLEYY | 61745EH53 | CORPORATE BONDS AND NOTES | 1,000,000 | $1,038,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND NV | B06CB39 | OTHER FOREIGN CORPORATE BONDS | 998,000 | $984,000 | thousands by filing date | The CUSIP as filed is malformed. |
| MARKET VECTORS VIETNAM ETF | 57060U761 | CMN | 51,905 | $975,000 | thousands by filing date | |
| FIRST MD CAP I 3.43631 1/15/27 | 320808AD0 | CORPORATE BONDS AND NOTES | 1,050,000 | $851,000 | thousands by filing date | |
| VIVUS INC | 928551100 | COM | 90,945 | $826,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 24,400 | $684,000 | thousands by filing date | |
| General Electric Co | 36962GW75 | CB | 750,000 | $677,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 4,976 | $622,000 | thousands by filing date | |
| NTC CAPITAL II 0.82957 4/15/27 | 629398AA6 | CORPORATE BONDS AND NOTES | 758,000 | $620,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 11,580 | $580,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 30,400 | $537,000 | thousands by filing date | |
| CITIGROUP INC 5.38409 8/25/36 | 172967DS7 | CORPORATE BONDS AND NOTES | 600,000 | $465,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 5,130 | $447,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 8,221 | $427,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 4,446 | $406,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 12,000 | $395,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 8,700 | $361,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 4,400 | $346,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 3,000 | $313,000 | thousands by filing date | |
| CITIGROUP INC MTN 3.000 12/15/20 | 1730T0LD9 | CORPORATE BONDS AND NOTES | 300,000 | $309,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 7,500 | $287,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 2,900 | $241,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 3,016 | $240,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 4,000 | $204,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 14,200 | $151,000 | thousands by filing date | |
| BANK OF AMER MTN 4.06404 6/29/20 | 06048WCQ1 | CORPORATE BONDS AND NOTES | 100,000 | $102,000 | thousands by filing date | |
| AMERICAN CENTY MUN TR | 024934408 | MUTUAL FUNDS/MONEY MARKETS | 74,000 | $74,000 | thousands by filing date | |
| GE ELEC CAP CRP MTN 6.100% 4/15/15 | 36966R3A2 | CORPORATE BONDS AND NOTES | 50,000 | $53,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001602476-14-000003 | this filing | 2014-05-14 | acceptance time not in the bulk data set |