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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 (2016Q3)
Original 13F HR (0001559968-16-000020) filed in 2016.10.18
#
Name
Shares
Value ($)
%
Options
Notes
1 3M Co 6,683 1,178 0.61%
2 3M Co 181 32 0.02%
3 ABBOTT LABS 11,398 482 0.25%
4 ACTIVISION BLIZZARD 6,108 271 0.14%
5 ALLERGAN PLC 3,467 798 0.41%
6 ALPHABET INC. CLASS C 5,164 4,014 2.09%
7 ALTRIA GROUP INC 7,305 462 0.24%
8 AMER MIDSTREAM PRTNR LP 13,700 202 0.10%
9 AMERICAN AIRLINES GROUP INC 10,400 381 0.20%
10 AMERICAN EXPRESS CO 6,745 432 0.22%
11 AMERICAN INTL GROUP INC 17,065 1,013 0.53%
12 AMGEN INC 3,500 584 0.30%
13 ANHEUSER-BUSCH INBEV ADR 3,400 447 0.23%
14 ANNALY CAP MGMT INC 27,347 287 0.15%
15 ANNALY CAP MGMT INC 1,000 11 0.01%
16 ANTHEM INC 2,845 357 0.19%
17 APOLLO INVESTMENT CORP 74,700 433 0.23%
18 APOLLO INVESTMENT CORP 5,400 31 0.02%
19 APPLE INC 56,280 6,362 3.31%
20 AT&T Inc New 73,507 2,985 1.55%
21 AT&T Inc New 1,650 67 0.03%
22 Abbvie Inc 1,280 81 0.04%
23 Abbvie Inc 12,843 810 0.42%
24 Adobe Systems Inc 3,910 424 0.22%
25 Alibaba Group Holding Ltd Sp A 3,460 366 0.19%
26 Alphabet Inc Cap Stock Cl A 3,674 2,954 1.53%
27 Ameriprise Financial 6,363 635 0.33%
28 AmerisourceBergen 19,925 1,610 0.84%
29 BAIDU INC 2,250 410 0.21%
30 BAKER HUGHES INC 4,700 237 0.12%
31 BERKSHIRE HATHAWAY INC DEL 1 216 0.11%
32 BERKSHIRE HATHAWAY INC DEL 2,158 312 0.16%
33 BGC PARTNERS INC 7,000 61 0.03%
34 BGC PARTNERS INC 5,000 44 0.02%
35 BIOMARIN PHARMACEUTL 3,450 319 0.17%
36 BIOTIME INC COM 10,000 39 0.02%
37 BRISTOL MYERS SQUIBB CO 21,657 1,168 0.61%
38 BRISTOL MYERS SQUIBB CO 1,300 70 0.04%
39 BROWN FORMAN CORP 16,580 787 0.41%
40 BROWN FORMAN CORP 8,360 416 0.22%
41 CAPITALA FINANCE CO 40,887 536 0.28%
42 CAPITALA FINANCE CO 6,200 81 0.04%
43 CARDINAL HEALTH INC 14,575 1,132 0.59%
44 CARNIVAL CORP 23,275 1,136 0.59%
45 CATERPILLAR INC 2,475 220 0.11%
46 CBS CORP NEW 4,227 231 0.12%
47 CELGENE CORP 41,324 4,320 2.24%
48 CHEVRON CORP NEW 600 62 0.03%
49 CHEVRON CORP NEW 26,554 2,733 1.42%
50 CHINA GREEN AGRICULT 10,000 15 0.01%
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