Dark
Light
System
Institutional Investment Manager
Regent Investment Management LLC
Regent Investment Management LLC (CIK: 0001559968) incorporated in Kentucky, located at 4350 Brownsboro Road, Louisville, KY. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q1)
Original 13F HR (0001559968-16-000014) filed in 2016.04.20
#
Name
Shares
Value ($)
%
Options
Notes
1 3M Co 181 30 0.02%
2 3M Co 6,648 1,108 0.62%
3 ABBOTT LABS 6,804 285 0.16%
4 ABBOTT LABS 680 28 0.02%
5 ACTIVISION BLIZZARD 6,108 207 0.12%
6 ALPHABET INC. CLASS C 5,129 3,821 2.12%
7 ALTRIA GROUP INC 7,305 458 0.25%
8 AMERICAN AIRLINES GROUP INC 18,705 767 0.43%
9 AMERICAN EXPRESS CO 6,745 414 0.23%
10 AMERICAN INTL GROUP INC 17,720 958 0.53%
11 AMGEN INC 3,500 525 0.29%
12 ANHEUSER BUSH INBEV SA/NV 3,825 477 0.27%
13 ANNALY CAP MGMT INC 34,347 352 0.20%
14 ANNALY CAP MGMT INC 1,000 10 0.01%
15 ANTHEM INC 2,845 395 0.22%
16 APOLLO INVESTMENT CORP 76,700 426 0.24%
17 APOLLO INVESTMENT CORP 5,400 30 0.02%
18 APPLE INC 54,995 5,994 3.33%
19 AT&T Inc New 45,547 1,784 0.99%
20 AT&T Inc New 1,650 65 0.04%
21 AbbVie Inc 1,280 73 0.04%
22 AbbVie Inc 10,649 608 0.34%
23 Adobe Systems Inc 2,500 235 0.13%
24 Advance Auto Parts Inc 1,515 243 0.14%
25 Alibaba Group Holding Ltd Sp A 3,760 297 0.17%
26 Allergan PLC 4,619 1,238 0.69%
27 Alphabet Inc Cap Stock Cl A 3,784 2,887 1.61%
28 Ameriprise Financial 6,563 617 0.34%
29 AmerisourceBergen 22,845 1,977 1.10%
30 BAIDU INC 2,450 468 0.26%
31 BAKER HUGHES INC 5,300 232 0.13%
32 BERKSHIRE HATHAWAY INC DEL 1 213 0.12%
33 BGC PARTNERS INC 7,000 63 0.04%
34 BGC PARTNERS INC 5,000 45 0.03%
35 BIOMARIN PHARMACEUTL 3,450 285 0.16%
36 BRISTOL MYERS SQUIBB CO 1,500 96 0.05%
37 BRISTOL MYERS SQUIBB CO 22,035 1,408 0.78%
38 BROWN FORMAN CORP 4,890 482 0.27%
39 BROWN FORMAN CORP 4,180 446 0.25%
40 CAPITALA FINANCE CO 112,133 1,346 0.75%
41 CAPITALA FINANCE CO 6,200 74 0.04%
42 CARDINAL HEALTH INC 14,650 1,201 0.67%
43 CARNIVAL CORP 10,100 533 0.30%
44 CBS CORP NEW 6,427 354 0.20%
45 CELGENE CORP 41,559 4,160 2.31%
46 CHEVRON CORP NEW 600 57 0.03%
47 CHEVRON CORP NEW 26,007 2,481 1.38%
48 CHINA GREEN AGRICULT 11,000 15 0.01%
49 CIENA CORP 25,633 488 0.27%
50 CISCO SYSTEMS INC 70,024 1,994 1.11%
Page 1 of 5