13F-HR filed by Lumbard & Kellner, LLC
Lumbard & Kellner, LLC filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-14, with 98 holding rows worth $141,356,000.
- Accession
- 0001602476-14-000006
- Filer
- CIK 1602476
- Filed
- 2014-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 99 entries on the cover page, a total value of $141,356,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $141,356,000 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 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 |
|---|---|---|---|---|---|---|
| FIRST AMERICAN GOVERNMENT OBLIGATION | 31846V849 | MONEY MARKET FUND | 14,881,424 | $14,881,000 | thousands by filing date | |
| MATTHEWS ASIA DIVIDEND FUND | 577125107 | COMMON | 459,948 | $7,263,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 112,300 | $6,033,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 25,470 | $4,835,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 59,950 | $4,584,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 98,835 | $4,582,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 50,570 | $4,447,000 | thousands by filing date | |
| DIRECTV | 25490A309 | COM | 48,955 | $4,236,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 26,160 | $4,224,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 248,310 | $3,310,000 | thousands by filing date | |
| SANOFI SA SPONSORED ADR | 80105N105 | ADR | 55,850 | $3,152,000 | thousands by filing date | |
| JOHNSON CONTROLS INT F | 478366107 | COM | 70,120 | $3,085,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 101,868 | $3,012,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 154,851 | $2,995,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 108,396 | $2,901,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 70,555 | $2,852,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 68,935 | $2,714,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 14,380 | $2,640,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 254,240 | $2,553,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 89,605 | $2,545,000 | thousands by filing date | |
| THAI FUND INC | 882904105 | CMN | 205,992 | $2,532,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 33,201 | $2,482,000 | thousands by filing date | |
| KBR INC COM | 48242W106 | Stock | 117,804 | $2,218,000 | thousands by filing date | |
| Singapore Telecommunications L | 82929R304 | USD | 73,310 | $2,191,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 219,915 | $2,140,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 141,744 | $2,096,000 | thousands by filing date | |
| TOYOTA MOTOR CORP ADS | 892331307 | ADR | 17,625 | $2,071,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 56,041 | $1,988,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 58,357 | $1,864,000 | thousands by filing date | |
| DEUTSCHE BK AG LONDON BRH | 25154K874 | PS CR OIL SH ETN | 47,300 | $1,847,000 | thousands by filing date | |
| HAWAIIAN HOLDINGS INC | 419879101 | COM | 120,825 | $1,625,000 | thousands by filing date | |
| STATE STREET CAP 1.85028% 6/15/37 | 85748DAA7 | CORPORATE BONDS AND NOTES | 1,875,000 | $1,598,000 | thousands by filing date | |
| KOREA FD INC | 500634209 | COM NEW | 38,462 | $1,597,000 | thousands by filing date | |
| MORGAN STANLEY MTN 3.65222 9/30/17 | 61745EM99 | CORPORATE BONDS AND NOTES | 1,400,000 | $1,491,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 15,234 | $1,433,000 | thousands by filing date | |
| US BANK CAPITAL IX 3.57778 4/15/49 | 91731KAA8 | CORPORATE BONDS AND NOTES | 1,482,000 | $1,260,000 | thousands by filing date | |
| MARKET VECTORS VIETNAM ETF | 57060U761 | CMN | 57,035 | $1,249,000 | thousands by filing date | |
| MORGAN STANLEY MTN 4.68644 4/16/19 | 61760QAY0 | CORPORATE BONDS AND NOTES | 1,205,000 | $1,244,000 | thousands by filing date | |
| MORGAN STANLEYY | 61745EH53 | CORPORATE BONDS AND NOTES | 1,161,000 | $1,207,000 | thousands by filing date | |
| MEDTRONIC INC | 585055106 | COM | 19,365 | $1,200,000 | thousands by filing date | |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 46,800 | $1,047,000 | thousands by filing date | |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 96,700 | $1,024,000 | thousands by filing date | |
| ROYAL BK OF SCOTLAND NV | B06CB39 | OTHER FOREIGN CORPORATE BONDS | 998,000 | $995,000 | thousands by filing date | The CUSIP as filed is malformed. |
| EUROPEAN INVT BK 9.625% 4/01/15 | B0FJVD1 | OTHER FOREIGN CORPORATE BONDS | 2,220,000 | $972,000 | thousands by filing date | The CUSIP as filed is malformed. |
| WISDOMTREE TR | 97717W422 | INDIA ERNGS FD | 44,315 | $971,000 | thousands by filing date | |
| FIRST MD CAP I 3.43631 1/15/27 | 320808AD0 | CORPORATE BONDS AND NOTES | 1,050,000 | $966,000 | thousands by filing date | |
| BANK OF AMER MTN 5.41057 12/01/26 | 5901886X1 | CORPORATE BONDS AND NOTES | 1,000,000 | $873,000 | thousands by filing date | |
| MELLON CAP IV NORMALPFD CAP | 58551TAA5 | FIXED INCOME | 1,000,000 | $840,000 | thousands by filing date | |
| General Electric Co | 36962GW75 | CB | 750,000 | $715,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 11,810 | $700,000 | thousands by filing date | |
| NTC CAPITAL II 0.82957 4/15/27 | 629398AA6 | CORPORATE BONDS AND NOTES | 758,000 | $661,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 24,400 | $625,000 | thousands by filing date | |
| Market Vectors Small Cap India | 57061r551 | COM | 13,910 | $614,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 24,350 | $526,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 12,000 | $492,000 | thousands by filing date | |
| CITIGROUP INC 5.38409 8/25/36 | 172967DS7 | CORPORATE BONDS AND NOTES | 600,000 | $486,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 8,221 | $442,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 3,640 | $434,000 | thousands by filing date | |
| FORD OTOMOTIV SANAYI AS UNSPONSORED ADR | 345409106 | COM | 7,600 | $432,000 | thousands by filing date | |
| RPM INTL INC COM | 749685103 | Stock | 8,700 | $398,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 4,620 | $385,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 23,100 | $380,000 | thousands by filing date | |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 3,070 | $330,000 | thousands by filing date | |
| CITIGROUP INC MTN 3.000 12/15/20 | 1730T0LD9 | CORPORATE BONDS AND NOTES | 300,000 | $311,000 | thousands by filing date | |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 3,016 | $306,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 7,852 | $301,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 3,200 | $298,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 3,455 | $289,000 | thousands by filing date | |
| DESARROLLADORA HOMEX S A DE | 25030W100 | SPONSORED ADR | 291,075 | $288,000 | thousands by filing date | |
| MANUF TRADERS 1.35975 12/28/20 | 564759PS1 | CORPORATE BONDS AND NOTES | 255,000 | $266,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 4,000 | $259,000 | thousands by filing date | |
| SUNTRUST CAPITAL 5.419 3/15/28 | 86788LAA8 | CORPORATE BONDS AND NOTES | 250,000 | $220,000 | thousands by filing date | |
| GENUINE PARTS CO COM | 372460105 | Stock | 2,480 | $218,000 | thousands by filing date | |
| BANK OF AMER MTN 4.06404 6/29/20 | 06048WCQ1 | CORPORATE BONDS AND NOTES | 100,000 | $104,000 | thousands by filing date | |
| BELCHERTOWN MA | 077401FJ1 | MUNI BDS-FIXED NON TAXABLE | 100,000 | $102,000 | thousands by filing date | |
| MASSACHUSETTS ST SER B | 57582PEF3 | MUNI BDS-FIXED NON TAXABLE | 100,000 | $100,000 | thousands by filing date | |
| SOUTHBOROUGH MA REF 4.000 6/01/20 | 841229LM7 | MUNI BDS-FIXED NON TAXABLE | 50,000 | $57,000 | thousands by filing date | |
| WESTWOOD MA REF 4.000 6/01/19 | 961777XD6 | MUNI BDS-FIXED NON TAXABLE | 50,000 | $56,000 | thousands by filing date | |
| UNIV OF MA 5.000% 5/01/16 | 914440HN5 | MUNI BDS-FIXED NON TAXABLE | 50,000 | $54,000 | thousands by filing date | |
| MASSACHUSETTS ST SER 3.000 12/01/23 | 57582PD31 | MUNI BDS-FIXED NON TAXABLE | 50,000 | $52,000 | thousands by filing date | |
| MILTON MA REF 2.000 1/15/19 | 602006RL4 | MUNI BDS-FIXED NON TAXABLE | 50,000 | $52,000 | thousands by filing date | |
| WELLS FARGO MTN 3.500 3/08/22 | 94974BFC9 | CORPORATE BONDS AND NOTES | 50,000 | $51,000 | thousands by filing date | |
| EVERETT MA REF 5.375% 12/15/16 | 299839RF9 | MUNI BDS-FIXED NON TAXABLE | 50,000 | $51,000 | thousands by filing date | |
| PROCTER & GAMBLE 3.150% 9/01/15 | 742718DQ9 | CORPORATE BONDS AND NOTES | 50,000 | $51,000 | thousands by filing date | |
| GE ELEC CAP CRP MTN 6.100% 4/15/15 | 36966R3A2 | CORPORATE BONDS AND NOTES | 50,000 | $51,000 | thousands by filing date | |
| CELGENE CORP 2.300% 8/15/18 | 151020AK0 | CORPORATE BONDS AND NOTES | 50,000 | $50,000 | thousands by filing date | |
| UNIV OF MICHIGAN MI 5.000% 4/01/16 | 914455GV6 | MUNI BDS-FIXED NON TAXABLE | 40,000 | $43,000 | thousands by filing date | |
| GOLDMAN SACHS GR MTN 3.250 8/15/18 | 38141EE96 | CORPORATE BONDS AND NOTES | 40,000 | $41,000 | thousands by filing date | |
| PENNSYLVANIA ST 5.000 7/01/18 | 70914PLA8 | MUNI BDS-FIXED NON TAXABLE | 25,000 | $29,000 | thousands by filing date | |
| TEXAS A M UNIV REVS 5.000 5/15/18 | 882135T71 | MUNI BDS-FIXED NON TAXABLE | 25,000 | $29,000 | thousands by filing date | |
| NORTH FORK OH 5.750% 12/01/15 | 659443DJ1 | MUNI BDS-FIXED NON TAXABLE | 25,000 | $27,000 | thousands by filing date | |
| DERRY NH COOPERATIVE 3.750% 7/15/15 | 250005BH7 | MUNI BDS-FIXED NON TAXABLE | 25,000 | $26,000 | thousands by filing date | |
| WISCONSIN ST 5.250% 7/01/15 | 977123TL2 | MUNI BDS-FIXED NON TAXABLE | 25,000 | $26,000 | thousands by filing date | |
| GEORGIA PACIFIC L P 7.700% 6/15/15 | 373298BM9 | CORPORATE BONDS AND NOTES | 25,000 | $26,000 | thousands by filing date | |
| REGL TRANSPRTN DIST CO SALES TAX | 759136KX1 | MUNI BDS-FIXED NON TAXABLE | 20,000 | $20,000 | thousands by filing date | |
| DESARROLLADORA HOM 0.00001 9/28/15 | 25030WAB6 | OTHER FOREIGN CORPORATE BONDS | 63,000 | $11,000 | thousands by filing date | |
| TURKISH LIRA SPOT | 99TRYSPT4 | FORWARD CONTRACT | 12,697 | $6,000 | thousands by filing date | |
| FIVE STAR QUAL FRACTIONS | DDJ32D101 | COM | 100,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001602476-14-000006 | this filing | 2014-11-14 | acceptance time not in the bulk data set |