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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 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 3 0.00%
4 KINDRED HEALTHCARE INC 1,000 10 0.01%
5 ANNALY CAP MGMT INC 1,000 11 0.01%
6 ISHARES TR 300 11 0.01%
7 CHINA GREEN AGRICULT 10,000 15 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 GENERAL ELECTRIC CO 1,000 30 0.02%
12 APOLLO INVESTMENT CORP 5,400 31 0.02%
13 3M Co 181 32 0.02%
14 INSPYR THERAPEUTICS INCCOM 230,001 32 0.02%
15 BIOTIME INC COM 10,000 39 0.02%
16 MONDELEZ INTL INC 900 40 0.02%
17 ENERGY TRANSFER PART LP 1,100 41 0.02%
18 Verizon Communications Inc 841 44 0.02%
19 BGC PARTNERS INC 5,000 44 0.02%
20 JOHNSON & JOHNSON 400 47 0.02%
21 PHILIP MORRIS INTL INC 481 47 0.02%
22 LILLY ELI & CO 653 52 0.03%
23 Nextera Energy Inc 430 53 0.03%
24 KRAFT HEINZ CO 600 54 0.03%
25 MERCK & CO INC 901 56 0.03%
26 ISHARES TR 971 57 0.03%
27 BGC PARTNERS INC 7,000 61 0.03%
28 CHEVRON CORP NEW 600 62 0.03%
29 AT&T Inc New 1,650 67 0.03%
30 BRISTOL MYERS SQUIBB CO 1,300 70 0.04%
31 VENTAS INC REIT 1,000 71 0.04%
32 PNC FINL SVCS GROUP INC 800 72 0.04%
33 EATON VANCE TAX MANAGD GLBL DI 8,500 74 0.04%
34 EATON CORPORATION PLC 1,214 80 0.04%
35 CAPITALA FINANCE CO 6,200 81 0.04%
36 Abbvie Inc 1,280 81 0.04%
37 INTEL CORP 2,200 83 0.04%
38 PROCTER AND GAMBLE CO 1,000 90 0.05%
39 PFIZER INC 2,929 99 0.05%
40 KIMBERLY CLARK CORP 800 101 0.05%
41 MICROSOFT CORP 1,800 104 0.05%
42 TRINA SOLAR LTD F UNSPONSORED 12,500 128 0.07%
43 FORD MTR CO DEL 13,329 161 0.08%
44 Ishares - Japan 13,400 168 0.09%
45 LIBERTY ALL STAR EQUITY FUND SH BEN INT 33,700 175 0.09%
46 Web.com Group Inc 10,229 177 0.09%
47 UNITED PARCEL SERVICE INC 1,765 193 0.10%
48 AMER MIDSTREAM PRTNR LP 13,700 202 0.10%
49 LIFEPOINT HEALTH INC 3,510 208 0.11%
50 NXP Semiconductors NV 2,070 211 0.11%
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