13F-HR filed by Lumbard & Kellner, LLC
Lumbard & Kellner, LLC filed this 13F-HR for the quarter ended 2017-06-30, filed 2017-08-10, with 87 holding rows worth $174,834,000.
- Accession
- 0001602476-17-000003
- Filer
- CIK 1602476
- Filed
- 2017-08-10
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, 88 entries on the cover page, a total value of $174,834,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $174,834,000 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 AM GOVT OB FD CL Y | 31846V203 | SHORT TERM FDS-TAXABLE (ACM) | 12,246,037 | $12,246,000 | thousands by filing date | |
| VTI | 922908769 | COM | 95,288 | $11,859,000 | thousands by filing date | |
| MATTHEWS ASIA DIVIDEND INSTL | 577130750 | MIPIX | 634,262 | $11,601,000 | thousands by filing date | |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 76,594 | $8,283,000 | thousands by filing date | |
| METLIFE INC COM | 59156R108 | Stock | 139,553 | $7,667,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 61,545 | $6,260,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 28,504 | $6,195,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 71,915 | $5,443,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 5,645 | $5,130,000 | thousands by filing date | |
| ISHARES TR | 46429B606 | MSCI POLAND ETF | 210,860 | $5,120,000 | thousands by filing date | |
| KRATON CORPORATION | 50077C106 | COM | 136,183 | $4,690,000 | thousands by filing date | |
| MATTHEWS INDIA FUND INSTITUTIONAL | 577130768 | MUTUAL FUNDS - EQUITY | 147,911 | $4,662,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 19,661 | $4,363,000 | thousands by filing date | |
| Boeing Company | 097023105 | COM | 21,599 | $4,271,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 136,436 | $4,100,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 25,893 | $3,983,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 94,752 | $3,869,000 | thousands by filing date | |
| Matthews Asia Innovators Instl | 577125859 | COM | 277,092 | $3,660,000 | thousands by filing date | |
| BANK OF AMERICA CORP $0.08 PFD | 060505DR2 | PREFERRED | 3,425,000 | $3,519,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 76,505 | $3,417,000 | thousands by filing date | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 227,040 | $3,324,000 | thousands by filing date | |
| TIME WARNER INC | 887317303 | COM NEW | 32,733 | $3,287,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC COM | 446150104 | Stock | 231,040 | $3,124,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 18,170 | $3,003,000 | thousands by filing date | |
| Singapore Telecommunications L | 82929R304 | USD | 104,653 | $2,960,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 77,714 | $2,932,000 | thousands by filing date | |
| BORGWARNER INC COM | 099724106 | Stock | 59,940 | $2,539,000 | thousands by filing date | |
| TYSON FOODS INC CL A | 902494103 | Stock | 39,875 | $2,497,000 | thousands by filing date | |
| KEYCORP COM | 493267108 | Stock | 131,465 | $2,464,000 | thousands by filing date | |
| STATE STREET CORP 5.769 6/15/37 | 857477AY9 | CORPORATE BONDS AND NOTES | 1,870,000 | $1,722,000 | thousands by filing date | |
| ENERGY TRANSFER 5.38776 11/01/66 | 29273RBA6 | CORPORATE BONDS AND NOTES | 1,968,000 | $1,702,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 43,501 | $1,519,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 135,644 | $1,518,000 | thousands by filing date | |
| MORGAN STANLEY MTN 3.65222 9/30/17 | 61745EM99 | CORPORATE BONDS AND NOTES | 1,370,000 | $1,376,000 | thousands by filing date | |
| US BANK CAPITAL IX 3.57778 4/15/49 | 91731KAA8 | CORPORATE BONDS AND NOTES | 1,465,000 | $1,301,000 | thousands by filing date | |
| MORGAN STANLEY MTN 4.68644 4/16/19 | 61760QAY0 | CORPORATE BONDS AND NOTES | 1,182,000 | $1,197,000 | thousands by filing date | |
| FIRST MD CAP I 3.43631 1/15/27 | 320808AD0 | CORPORATE BONDS AND NOTES | 1,031,000 | $974,000 | thousands by filing date | |
| JP MORGAN CHASE MTN 2.7808 4/30/24 | 48126N6A0 | CORPORATE BONDS AND NOTES | 1,000,000 | $939,000 | thousands by filing date | |
| Applied Materials,Inc. | 038222105 | COM | 22,250 | $919,000 | thousands by filing date | |
| BANK OF AMER MTN 5.41057 12/01/26 | 5901886X1 | CORPORATE BONDS AND NOTES | 980,000 | $900,000 | thousands by filing date | |
| MELLON CAP IV NORMALPFD CAP | 58551TAA5 | FIXED INCOME | 944,000 | $845,000 | thousands by filing date | |
| LAM RESEARCH CORP | 512807108 | COM | 5,217 | $738,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 5,408 | $721,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 8,856 | $715,000 | thousands by filing date | |
| NTC CAPITAL II 0.82957 4/15/27 | 629398AA6 | CORPORATE BONDS AND NOTES | 758,000 | $705,000 | thousands by filing date | |
| KEYCORP CAPITAL I DTD 06/25/1998 4.69336per 07/01/2028 | 49326MAA3 | Preferred | 742,000 | $685,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 4,488 | $646,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 3,325 | $626,000 | thousands by filing date | |
| VOYA FINANCIAL INC COM | 929089100 | Stock | 16,405 | $605,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 14,442 | $562,000 | thousands by filing date | |
| CHECK POINT SOFTWARE TECH LTD ORD | M22465104 | Stock | 5,020 | $548,000 | thousands by filing date | |
| CITIGROUP INC 5.38409 8/25/36 | 172967DS7 | CORPORATE BONDS AND NOTES | 600,000 | $512,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 4,300 | $505,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 5,955 | $490,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 16,700 | $451,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 6,120 | $392,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 6,920 | $380,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 2,950 | $341,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 2,018 | $327,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 12,000 | $304,000 | thousands by filing date | |
| CITIGROUP INC MTN 3.000 12/15/20 | 1730T0LD9 | CORPORATE BONDS AND NOTES | 300,000 | $296,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 4,250 | $293,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 2,945 | $276,000 | thousands by filing date | |
| LYONDELLBASELL INDUSTRIES NV SHS - A - | N53745100 | Stock | 2,955 | $249,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 1,612 | $243,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 2,800 | $209,000 | thousands by filing date | |
| MEXICO EQUITY & INCOME FD | 592834105 | COM | 18,315 | $209,000 | thousands by filing date | |
| OPUS BANK 5.500 7/01/26 | 684000AA0 | CORPORATE BONDS AND NOTES | 200,000 | $202,000 | thousands by filing date | |
| SUNTRUST CAPITAL 5.419 3/15/28 | 86788LAA8 | CORPORATE BONDS AND NOTES | 219,000 | $201,000 | thousands by filing date | |
| MANUF TRADERS 1.35975 12/28/20 | 564759PS1 | CORPORATE BONDS AND NOTES | 198,000 | $198,000 | thousands by filing date | |
| SLM CORP MTN 8.450 6/15/18 | 78442FEH7 | CORPORATE BONDS AND NOTES | 100,000 | $105,000 | thousands by filing date | |
| BANK OF AMER MTN 4.06404 6/29/20 | 06048WCQ1 | CORPORATE BONDS AND NOTES | 100,000 | $101,000 | thousands by filing date | |
| INGRAM MICRO INC 5.450 12/15/24 | 457153AG9 | CORPORATE BONDS AND NOTES | 90,000 | $92,000 | thousands by filing date | |
| ALTRIA GROUP INC 9.700 11/10/18 | 02209SAD5 | CORPORATE BONDS AND NOTES | 50,000 | $55,000 | thousands by filing date | |
| SOUTHBOROUGH MA REF 4.000 6/01/20 | 841229LM7 | MUNI BDS-FIXED NON TAXABLE | 50,000 | $54,000 | thousands by filing date | |
| WESTWOOD MA REF 4.000 6/01/19 | 961777XD6 | MUNI BDS-FIXED NON TAXABLE | 50,000 | $53,000 | thousands by filing date | |
| WELLS FARGO MTN 3.500 3/08/22 | 94974BFC9 | CORPORATE BONDS AND NOTES | 50,000 | $52,000 | 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 | $51,000 | thousands by filing date | |
| US STEEL CORP 7.000 2/01/18 | 912656AG0 | CORPORATE BONDS AND NOTES | 50,000 | $51,000 | thousands by filing date | |
| KOHL'S CORP 4.25.25 | 500255AU8 | CORPORATE BONDS | 50,000 | $49,000 | 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 | $26,000 | thousands by filing date | |
| TEXAS A M UNIV REVS 5.000 5/15/18 | 882135T71 | MUNI BDS-FIXED NON TAXABLE | 25,000 | $26,000 | thousands by filing date | |
| U S TREAS BDS 8.125 8/15/19 | 912810ED6 | US TREASURY BONDS & NOTES | 10,000 | $11,000 | thousands by filing date | |
| GABRIEL RES LTD COM | 361970106 | COM | 30,000 | $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 0001602476-17-000003 | this filing | 2017-08-10 | acceptance time not in the bulk data set |