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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 (2016Q2)
Original 13F HR (0001559968-16-000016) filed in 2016.07.15
#
Name
Shares
Value ($)
%
Options
Notes
1 WONDER AUTO TECH INC XXX ESCRO 11,000 0 0.00%
2 FIRST MEXICAN GOLD F 25,000 1 0.00%
3 RENEURON GROUP PLC ORDF 100,000 4 0.00%
4 ISHARES TR 300 10 0.01%
5 KINDRED HEALTHCARE INC 1,000 11 0.01%
6 ANNALY CAP MGMT INC 1,000 11 0.01%
7 CHINA GREEN AGRICULT 10,000 13 0.01%
8 EATON VANCE TAX MANAGD GLBL DI 2,000 17 0.01%
9 ConocoPhillips 481 21 0.01%
10 UNITED PARCEL SERVICE INC 200 22 0.01%
11 ABBOTT LABS 680 27 0.01%
12 GENSPERA INC COM 230,001 28 0.02%
13 APOLLO INVESTMENT CORP 5,400 30 0.02%
14 GENERAL ELECTRIC CO 1,000 31 0.02%
15 3M Co 181 32 0.02%
16 MONDELEZ INTL INC 900 41 0.02%
17 ENERGY TRANSFER PART LP 1,100 42 0.02%
18 KKR & CO L P COMMON UNITS REPR 3,500 43 0.02%
19 BGC PARTNERS INC 5,000 44 0.02%
20 Verizon Communications Inc 841 47 0.03%
21 PHILIP MORRIS INTL INC 481 49 0.03%
22 JOHNSON & JOHNSON 400 49 0.03%
23 LILLY ELI & CO 653 51 0.03%
24 MERCK & CO INC 901 52 0.03%
25 ISHARES TR 971 54 0.03%
26 Nextera Energy Inc 430 56 0.03%
27 BGC PARTNERS INC 7,000 61 0.03%
28 KRAFT HEINZ CO 700 62 0.03%
29 CHEVRON CORP NEW 600 63 0.03%
30 Gen Motors Co 2,300 65 0.04%
31 AT&T Inc New 1,650 71 0.04%
32 INTEL CORP 2,200 72 0.04%
33 EATON CORPORATION PLC 1,214 73 0.04%
34 VENTAS INC REIT 1,000 73 0.04%
35 PNC FINL SVCS GROUP INC 900 73 0.04%
36 EATON VANCE TAX MANAGD GLBL DI 8,500 73 0.04%
37 Abbvie Inc 1,280 79 0.04%
38 PROCTER AND GAMBLE CO 1,000 85 0.05%
39 CAPITALA FINANCE CO 6,200 87 0.05%
40 MICROSOFT CORP 1,800 92 0.05%
41 PFIZER INC 2,929 103 0.06%
42 BRISTOL MYERS SQUIBB CO 1,500 110 0.06%
43 KIMBERLY CLARK CORP 800 110 0.06%
44 TRINA SOLAR LTD F UNSPONSORED 14,500 112 0.06%
45 KKR & CO L P COMMON UNITS REPR 9,328 115 0.06%
46 LIBERTY ALL STAR EQUITY FUND SH BEN INT 27,700 139 0.08%
47 UNITED PARCEL SERVICE INC 1,765 190 0.10%
48 FORD MTR CO DEL 15,329 193 0.10%
49 HERTZ GLOBAL HLDGS INC 18,225 202 0.11%
50 STARBUCKS CORP 3,584 205 0.11%
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