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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 3M Co 6,708 1,175 0.64%
2 3M Co 181 32 0.02%
3 ABBOTT LABS 10,998 432 0.23%
4 ABBOTT LABS 680 27 0.01%
5 ACTIVISION BLIZZARD 6,108 242 0.13%
6 ALPHABET INC. CLASS C 5,164 3,574 1.94%
7 ALTRIA GROUP INC 7,305 504 0.27%
8 AMERICAN AIRLINES GROUP INC 10,900 309 0.17%
9 AMERICAN EXPRESS CO 6,745 410 0.22%
10 AMERICAN INTL GROUP INC 17,220 911 0.50%
11 AMGEN INC 3,500 533 0.29%
12 ANHEUSER BUSH INBEV SA/NV 3,400 448 0.24%
13 ANNALY CAP MGMT INC 1,000 11 0.01%
14 ANNALY CAP MGMT INC 27,347 303 0.16%
15 ANTHEM INC 2,845 374 0.20%
16 APOLLO INVESTMENT CORP 75,700 419 0.23%
17 APOLLO INVESTMENT CORP 5,400 30 0.02%
18 APPLE INC 55,780 5,333 2.90%
19 AT&T Inc New 1,650 71 0.04%
20 AT&T Inc New 54,907 2,373 1.29%
21 AbbVie Inc 12,843 795 0.43%
22 AbbVie Inc 1,280 79 0.04%
23 Adobe Systems Inc 3,210 307 0.17%
24 Alibaba Group Holding Ltd Sp A 3,560 283 0.15%
25 Allergan PLC 3,767 871 0.47%
26 Alphabet Inc Cap Stock Cl A 3,694 2,599 1.41%
27 Ameriprise Financial 6,363 572 0.31%
28 AmerisourceBergen 20,125 1,596 0.87%
29 BAIDU INC 2,250 372 0.20%
30 BAKER HUGHES INC 5,300 239 0.13%
31 BERKSHIRE HATHAWAY INC DEL 1 217 0.12%
32 BERKSHIRE HATHAWAY INC DEL 2,158 312 0.17%
33 BGC PARTNERS INC 7,000 61 0.03%
34 BGC PARTNERS INC 5,000 44 0.02%
35 BIOMARIN PHARMACEUTL 3,450 268 0.15%
36 BRISTOL MYERS SQUIBB CO 1,500 110 0.06%
37 BRISTOL MYERS SQUIBB CO 23,257 1,711 0.93%
38 BROWN FORMAN CORP 8,290 827 0.45%
39 BROWN FORMAN CORP 4,180 452 0.25%
40 CAPITALA FINANCE CO 62,256 872 0.47%
41 CAPITALA FINANCE CO 6,200 87 0.05%
42 CARDINAL HEALTH INC 14,575 1,137 0.62%
43 CARNIVAL CORP 12,000 530 0.29%
44 CBS CORP NEW 4,527 246 0.13%
45 CELGENE CORP 41,049 4,049 2.20%
46 CHEVRON CORP NEW 600 63 0.03%
47 CHEVRON CORP NEW 26,394 2,767 1.50%
48 CHINA GREEN AGRICULT 10,000 13 0.01%
49 CIENA CORP 27,035 507 0.28%
50 CISCO SYSTEMS INC 68,724 1,972 1.07%
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