Regent Investment Management LLC

13F filer, CIK 1559968, Louisville, KY

Regent Investment Management LLC reported $397,239,000 across 204 holdings for the quarter ended 2021-03-31, in a 13F-HR filed 2021-04-20. Its ten largest share positions make up 35.47% of the portfolio.

Filed 2021-04-20 (acceptance time not in the bulk data set), ingested 2026-10-07 18:39:37 UTC13F-HR 0001559968-21-000004

Period: 2021-03-31
Reported value: $397M
Holdings: 204
Top 10 weight: 35.47%
New: 16
Sold out: 6

Largest buys vs the previous quarter

Security	Shares change	Approx. value
BF-Badded	+123,755	$8.54M
CVSadded	+15,904	$1.2M
VALEnew	+53,800	$935K
AMZNadded	+277	$857K
XYZnew	+3,448	$783K

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

Security	Shares change	Approx. value
MTCHreduced	-7,191	-$988K
BRK-Breduced	-3,452	-$882K
ANIPexited	-20,280	-$589K
Treduced	-18,982	-$574K
CSCOreduced	-7,692	-$398K

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q1 2021

Share positions as resolved from 13F-HR 0001559968-21-000004, largest first. % of portfolio is the value over $397,239,000, the sum of the share positions whose value is usable for ratios (method).

Security	Shares	Value	% of portfolio	Change	Timeline
AAPLAPPLE INC	207,707	$25.4M	6.39%	-2,989	Timeline
AMZNAMAZON COM INC	5,178	$16M	4.03%	+277	Timeline
BF-BBROWN FORMAN CORP	218,480	$15.1M	3.79%	+123,755	Timeline
JPMJPMORGAN CHASE & CO	94,691	$14.4M	3.63%	+614	Timeline
GOOGALPHABET INC	6,661	$13.8M	3.47%	-22	Timeline
METAMETA PLATFORMS INC	46,297	$13.6M	3.43%	-326	Timeline
MSFTMICROSOFT CORP	57,692	$13.6M	3.42%	+553	Timeline
JNJJOHNSON & JOHNSON	63,421	$10.4M	2.62%	+731	Timeline
HORIZON THERAPEUTICS PLCHORIZON THERAPEUTICS PLC	113,009	$10.4M	2.62%	+514
QCOMQUALCOMM INC	61,609	$8.17M	2.06%	-707	Timeline
PGPROCTER & GAMBLE CO	50,493	$6.84M	1.72%	+150	Timeline
CVSCVS HEALTH CORP	87,287	$6.57M	1.65%	+15,904	Timeline
BMYBRISTOL-MYERS SQUIBB CO	99,391	$6.28M	1.58%	+2,425	Timeline
SWKSSKYWORKS SOLUTIONS INC	32,460	$5.96M	1.5%	+1,400	Timeline
BABAALIBABA GROUP HLDG LTD	23,660	$5.36M	1.35%	+437	Timeline
GOOGLALPHABET INC	2,539	$5.24M	1.32%	+95	Timeline
AVGOBROADCOM INC	10,285	$4.77M	1.2%	+58	Timeline
VZVERIZON COMMUNICATIONS INC	81,359	$4.73M	1.19%	+2,955	Timeline
MRKMERCK & CO INC	58,697	$4.52M	1.14%	+1,867	Timeline
MUMICRON TECHNOLOGY INC	50,955	$4.5M	1.13%	-16	Timeline
BACBANK OF AMER CORP	111,011	$4.29M	1.08%	+1,650	Timeline
MSMORGAN STANLEY	53,545	$4.16M	1.05%	-200	Timeline
PFEPFIZER INC	111,941	$4.06M	1.02%	+1,460	Timeline
CCITIGROUP INC	55,652	$4.05M	1.02%	+5,732	Timeline
CMCSACOMCAST CORP NEW	71,573	$3.87M	0.97%	+6,957	Timeline
CSCOCISCO SYS INC	74,156	$3.83M	0.97%	-7,692	Timeline
VVISA INC	17,509	$3.71M	0.93%	+1,705	Timeline
UNHUNITEDHEALTH GROUP INC	9,627	$3.58M	0.9%	-55	Timeline
IAC INTERACTIVECORP NEWIAC INTERACTIVECORP NEW	16,245	$3.51M	0.88%	-250
DISDISNEY WALT CO	18,671	$3.44M	0.87%	+490	Timeline
WSBCWESBANCO INC	95,487	$3.44M	0.87%	-1,720	Timeline
TTCTORO CO	31,380	$3.24M	0.81%	0	Timeline
TMOTHERMO FISHER SCIENTIFIC INC	7,022	$3.21M	0.81%	+30	Timeline
MCKMCKESSON CORP	15,820	$3.09M	0.78%	+985	Timeline
WDAYWORKDAY INC	12,300	$3.06M	0.77%	0	Timeline
TJXTJX COS INC NEW	45,789	$3.03M	0.76%	+30	Timeline
WMBWILLIAMS COS INC	120,322	$2.85M	0.72%	-7,278	Timeline
RTXRTX CORPORATION	36,677	$2.83M	0.71%	+3,250	Timeline
TAT&T INC	93,516	$2.83M	0.71%	-18,982	Timeline
AMPAMERIPRISE FINL INC	12,104	$2.81M	0.71%	0	Timeline
HDHOME DEPOT INC	8,682	$2.65M	0.67%	+20	Timeline
WALGREENS BOOTS ALLIANCE INCWALGREENS BOOTS ALLIANCE INC	48,191	$2.65M	0.67%	-194
SCHESCHWAB STRATEGIC TR	81,088	$2.58M	0.65%	+3,405	Timeline
FISVFISERV INC	20,488	$2.44M	0.61%	+5,255	Timeline
ABBVABBVIE INC	21,538	$2.33M	0.59%	+1,310	Timeline
MTCHMATCH GROUP INC NEW	16,583	$2.28M	0.57%	-7,191	Timeline
UNILEVER PLCUNILEVER PLC	39,324	$2.19M	0.55%	+7,345
KOCOCA COLA CO	41,248	$2.17M	0.55%	0	Timeline
ABTABBOTT LABORATORIES	17,292	$2.07M	0.52%	-400	Timeline
BKNGBOOKING HOLDINGS INC	817	$1.9M	0.48%	+167	Timeline
CVXCHEVRON CORPORATION	17,587	$1.84M	0.46%	+181	Timeline
TXNTEXAS INSTRS INC	9,650	$1.82M	0.46%	-300	Timeline
HONHONEYWELL INTL INC	8,282	$1.8M	0.45%	-51	Timeline
FDXFEDEX CORP	6,324	$1.8M	0.45%	+100	Timeline
PEPPEPSICO INC	12,487	$1.77M	0.44%	+2,845	Timeline
MOSMOSAIC CO	54,800	$1.73M	0.44%	+3,450	Timeline
DHRDANAHER CORP DEL	7,664	$1.73M	0.43%	0	Timeline
PRUPRUDENTIAL FINL INC	18,925	$1.72M	0.43%	+250	Timeline
LOWLOWES COS INC	8,913	$1.7M	0.43%	+210	Timeline
PYPLPAYPAL HLDGS INC	6,895	$1.67M	0.42%	+100	Timeline
GISGENERAL MILLS INC	26,895	$1.65M	0.42%	+500	Timeline
USALIBERTY ALL STAR EQUITY FD	213,500	$1.63M	0.41%	+15,500	Timeline
EMREMERSON ELEC CO	17,897	$1.61M	0.41%	0	Timeline
VFCV F CORP	19,900	$1.59M	0.4%	-400	Timeline
TSLATESLA INC	2,335	$1.56M	0.39%	-85	Timeline
TTWOTAKE-TWO INTERACTIVE SOFTWAR	8,785	$1.55M	0.39%	+2,100	Timeline
SYKSTRYKER CORPORATION	6,300	$1.53M	0.39%	0	Timeline
VWOVANGUARD INTL EQUITY INDEX F	29,006	$1.51M	0.38%	0	Timeline
INTCINTEL CORP	23,406	$1.5M	0.38%	-250	Timeline
ORCLORACLE CORP	21,350	$1.5M	0.38%	-400	Timeline
BRK-BBERKSHIRE HATHAWAY INC DEL	5,763	$1.47M	0.37%	-3,452	Timeline
MDLZMONDELEZ INTL INC	25,083	$1.47M	0.37%	+4,100	Timeline
PMPHILIP MORRIS INTL INC	16,527	$1.47M	0.37%	0	Timeline
CAGCONAGRA BRANDS INC	37,872	$1.42M	0.36%	-1,830	Timeline
HUMHUMANA INC	3,340	$1.4M	0.35%	+677	Timeline
BDXBECTON DICKINSON & CO	5,630	$1.37M	0.34%	-158	Timeline
MMM3M CO	6,971	$1.34M	0.34%	0	Timeline
ALBALBEMARLE CORP	9,090	$1.33M	0.33%	+990	Timeline
UNPUNION PAC CORP	5,963	$1.31M	0.33%	+335	Timeline
METMETLIFE INC	21,244	$1.29M	0.32%	0	Timeline
KMIKINDER MORGAN INC DEL	74,600	$1.24M	0.31%	-1,000	Timeline
KMBKIMBERLY-CLARK CORP	8,930	$1.24M	0.31%	-315	Timeline
VRSNVERISIGN INC	6,115	$1.22M	0.31%	-275	Timeline
WDCWESTERN DIGITAL CORP	17,309	$1.16M	0.29%	-3,750	Timeline
AMATAPPLIED MATLS INC	8,380	$1.12M	0.28%	-500	Timeline
SJMSMUCKER J M CO	8,835	$1.12M	0.28%	0	Timeline
TSMTAIWAN SEMICONDUCTOR MANUFAC	8,942	$1.06M	0.27%	0	Timeline
UPSUNITED PARCEL SVCS INC	5,940	$1.01M	0.25%	+90	Timeline
ONON SEMICONDUCTOR CORP	24,083	$1M	0.25%	-1,180	Timeline
AXPAMERICAN EXPRESS CO	7,011	$992K	0.25%	0	Timeline
LIVENT CORPLIVENT CORP	55,625	$963K	0.24%	-3,500
NSCNORFOLK SOUTHN CORP	3,557	$955K	0.24%	-45	Timeline
ADBEADOBE INC	2,005	$953K	0.24%	0	Timeline
VALEVALE S A	53,800	$935K	0.24%	new	Timeline
APLSAPELLIS PHARMACEUTICALS INC	21,309	$914K	0.23%	0	Timeline
ELVELEVANCE HEALTH INC FORMERLY	2,515	$903K	0.23%	0	Timeline
DEODIAGEO PLC	5,116	$840K	0.21%	-184	Timeline
PPLPPL CORP	28,485	$822K	0.21%	+2,200	Timeline
CORCENCORA INC	6,635	$783K	0.2%	-1,500	Timeline
XYZBLOCK INC	3,448	$783K	0.2%	new	Timeline
GSGOLDMAN SACHS GROUP INC	2,385	$780K	0.2%	+975	Timeline
TRVTRAVELERS COMPANIES INC	5,161	$776K	0.2%	0	Timeline
RIORIO TINTO PLC	9,690	$752K	0.19%	+1,690	Timeline
CHDNCHURCHILL DOWNS INC	3,305	$752K	0.19%	0	Timeline
LLYELI LILLY & CO	3,999	$747K	0.19%	0	Timeline
PNCPNC FINL SVCS GROUP INC	4,225	$741K	0.19%	0	Timeline
BRXBRIXMOR PPTY GROUP INC	35,780	$724K	0.18%	+1,000	Timeline
CBCHUBB LIMITED	4,530	$716K	0.18%	-155	Timeline
YUMYUM BRANDS INC	6,500	$703K	0.18%	0	Timeline
ILMNILLUMINA INC	1,820	$699K	0.18%	0	Timeline
AEPAMERICAN ELEC PWR CO INC	8,050	$682K	0.17%	new	Timeline
LITELUMENTUM HLDGS INC	7,425	$678K	0.17%	+915	Timeline
AMZAETFIS SER TR I	27,850	$664K	0.17%	+2,900	Timeline
CAHCARDINAL HEALTH INC	10,805	$656K	0.17%	+1,405	Timeline
NEENEXTERA ENERGY INC	8,652	$654K	0.16%	0	Timeline
ITWILLINOIS TOOL WKS INC	2,935	$650K	0.16%	0	Timeline
MAMASTERCARD INCORPORATED	1,785	$636K	0.16%	0	Timeline
COPCONOCOPHILLIPS	11,967	$634K	0.16%	-884	Timeline
XOMEXXON MOBIL CORP	11,323	$632K	0.16%	-656	Timeline
PANWPALO ALTO NETWORKS INC	1,775	$572K	0.14%	0	Timeline
WHRWHIRLPOOL CORP	2,580	$569K	0.14%	-13	Timeline
QUALISHARES TR	4,426	$539K	0.14%	-52	Timeline
CATCATERPILLAR INC	2,300	$533K	0.13%	0	Timeline
MCDMCDONALDS CORP	2,373	$532K	0.13%	0	Timeline
ULTAULTA BEAUTY INC	1,718	$531K	0.13%	-10	Timeline
BF-ABROWN FORMAN CORP	8,310	$529K	0.13%	0	Timeline
CITHE CIGNA GROUP	2,150	$520K	0.13%	0	Timeline
PSXPHILLIPS 66	6,252	$510K	0.13%	-712	Timeline
SCHGSCHWAB STRATEGIC TR	3,899	$506K	0.13%	+34	Timeline
LNCLINCOLN NATL CORP IND	8,132	$506K	0.13%	0	Timeline
LAMRLAMAR ADVERTISING CO	5,365	$504K	0.13%	-100	Timeline
BHCBAUSCH HEALTH COS INC	15,645	$497K	0.13%	-8,650	Timeline
ATOATMOS ENERGY CORP	5,000	$494K	0.12%	0	Timeline
AIGAMERICAN INTL GROUP INC	10,234	$473K	0.12%	-116	Timeline
ETNEATON CORP PLC	3,333	$461K	0.12%	-40	Timeline
STAGSTAG INDUSTRIAL INC	13,500	$454K	0.11%	+800	Timeline
VICIVICI PPTYS INC	16,025	$453K	0.11%	+7,425	Timeline
LANDMARK INFRASTRUCTURE PAR…LANDMARK INFRASTRUCTURE PARTNERS	38,217	$452K	0.11%	-9,700
COSTCOSTCO WHOLESALE CORPORATION	1,262	$445K	0.11%	+15	Timeline
MDTMEDTRONIC PLC	3,697	$437K	0.11%	+1,150	Timeline
HIGHARTFORD INSURANCE GROUP INC	6,500	$434K	0.11%	0	Timeline
HSICSCHEIN HENRY INC	6,200	$429K	0.11%	0	Timeline
MAINMAIN STR CAP CORP	10,900	$426K	0.11%	-300	Timeline
XLKSELECT SECTOR SPDR TR	3,188	$423K	0.11%	0	Timeline
EBAYEBAY INC.	6,800	$416K	0.1%	0	Timeline
JBLJABIL INC	7,950	$415K	0.1%	-500	Timeline
KHCKRAFT HEINZ CO	10,320	$413K	0.1%	0	Timeline
SPGIS&P GLOBAL INC	1,168	$412K	0.1%	0	Timeline
USBUS BANCORP	7,127	$394K	0.1%	0	Timeline
GILDGILEAD SCIENCES INC	5,970	$386K	0.1%	-100	Timeline
ACTVISION BLIZZARD INCACTVISION BLIZZARD INC	4,155	$386K	0.1%	0
ZZILLOW GROUP INC	2,935	$380K	0.1%	new	Timeline
KRKROGER CO	10,500	$378K	0.1%	0	Timeline
IWOISHARES TR	1,250	$376K	0.09%	0	Timeline
MTUMISHARES TR	2,306	$371K	0.09%	+55	Timeline
FOOT LOCKER INCFOOT LOCKER INC	6,550	$368K	0.09%	new
HIHILLENBRAND INC	7,713	$368K	0.09%	0	Timeline
WATWATERS CORP	1,240	$352K	0.09%	0	Timeline
BIDUBAIDU INC	1,615	$351K	0.09%	-215	Timeline
LHC GROUPLHC GROUP	1,830	$350K	0.09%	0
CARRCARRIER GLOBAL CORPORATION	8,260	$349K	0.09%	0	Timeline
SEAGATE TECHNOLOGY HOLDINGSSEAGATE TECHNOLOGY HOLDINGS	4,500	$345K	0.09%	0
KKRKKR & CO INC	7,000	$342K	0.09%	-500	Timeline
CIENCIENA CORP	6,087	$333K	0.08%	0	Timeline
IWPISHARES TR	3,250	$332K	0.08%	-38	Timeline
WYWEYERHAEUSER CO	9,325	$332K	0.08%	0	Timeline
AMGNAMGEN INC	1,325	$330K	0.08%	0	Timeline
USMVISHARES TR	4,644	$321K	0.08%	0	Timeline
AQNALGONQUIN POWER & UTILITIES	20,100	$318K	0.08%	new	Timeline
BUDANHEUSER BUSCH INBEV SA NV	5,014	$315K	0.08%	-5,787	Timeline
NNNNNN REIT INC	6,950	$306K	0.08%	+499	Timeline
YUMCYUM CHINA HLDGS INC	5,100	$302K	0.08%	0	Timeline
ZBHZIMMER BIOMET HOLDINGS INC	1,800	$288K	0.07%	0	Timeline
CHWYCHEWY INC	3,367	$285K	0.07%	+300	Timeline
MCOMOODYS CORP	918	$274K	0.07%	0	Timeline
ARIAPOLLO COML REAL ESTATE FIN	19,400	$271K	0.07%	0	Timeline
VTRSVIATRIS INC	19,221	$268K	0.07%	-3,338	Timeline
XIFRXPLR INFRASTRUCTURE LP	3,600	$262K	0.07%	new	Timeline
EQUITRANS MIDSTREAM CORP NPVEQUITRANS MIDSTREAM CORP NPV	32,000	$261K	0.07%	new
ENBENBRIDGE INC	7,121	$259K	0.07%	-700	Timeline
TSCOTRACTOR SUPPLY CO	1,450	$257K	0.06%	0	Timeline
SCHXSCHWAB STRATEGIC TR	2,610	$251K	0.06%	+400	Timeline
FTVFORTIVE CORP	3,534	$250K	0.06%	0	Timeline
IWNISHARES TR	1,511	$241K	0.06%	new	Timeline
MAXIM INTEGRATED PRODS INCMAXIM INTEGRATED PRODS INC	2,600	$238K	0.06%	-350
MOALTRIA GROUP INC	4,465	$228K	0.06%	new	Timeline
EFAISHARES TR	3,000	$228K	0.06%	-110	Timeline
HPQHP INC	7,100	$225K	0.06%	new	Timeline
EXPEEXPEDIA GROUP INC	1,300	$224K	0.06%	new	Timeline
REGREGENCY CTRS CORP	3,900	$221K	0.06%	-6,900	Timeline
POSEIDA THERAPEUTICS INCPOSEIDA THERAPEUTICS INC	23,000	$220K	0.06%	+3,000
SBUXSTARBUCKS CORP	1,914	$209K	0.05%	0	Timeline
BXBLACKSTONE INC	2,750	$205K	0.05%	new	Timeline
HUNHUNTSMAN CORP	7,000	$202K	0.05%	new	Timeline
FLEXFLEX LTD	11,000	$201K	0.05%	new	Timeline
TDFTEMPLETON DRAGON FD INC	8,500	$200K	0.05%	new	Timeline
ETENERGY TRANSFER L P	25,313	$194K	0.05%	-16,732	Timeline
GENERAL ELEC COGENERAL ELEC CO	12,940	$170K	0.04%	0
GASLOG PARTNERS LPGASLOG PARTNERS LP	59,882	$160K	0.04%	-20,000
ANNALY CAPITAL MANAGEMENTANNALY CAPITAL MANAGEMENT	18,071	$156K	0.04%	-1,425
BGC PARTNERS INCBGC PARTNERS INC	20,000	$97K	0.02%	-20,000
COTYCOTY INC	10,477	$94K	0.02%	0	Timeline
SALIENT MIDSTREAM & MLP FDSALIENT MIDSTREAM & MLP FD	16,000	$82K	0.02%	-30,000
KGCKINROSS GOLD CORP	11,000	$73K	0.02%	0	Timeline

Sold out in Q1 2021

Positions in the previous quarter's report that this quarter's report no longer lists.

Security	Shares before	Value before	Type
ANIPANI PHARMACEUTICALS INC	20,280	$589K	shares
SCHWCHARLES SCHWAB CORP (THE)	4,175	$221K	shares
NTRNUTRIEN LTD	4,400	$212K	shares
JKSJINKOSOLAR HLDG CO LTD	3,250	$201K	shares
EQXEQUINOX GOLD CORP	10,000	$103K	shares
BRISTOL-MYERS SQUIBB COBRISTOL-MYERS SQUIBB CO	21,188	$15K	shares

How Q1 2021 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

Filing	Role	Amendment	Filed	Accepted	Ingested
13F-HR 0001559968-21-000004	base		2021-04-20	acceptance time not in the bulk data set	2026-10-07 18:39:37 UTC