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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
51 Chubb Limited 9,120 1,146 0.60%
52 CARNIVAL CORP 23,275 1,136 0.59%
53 CARDINAL HEALTH INC 14,575 1,132 0.59%
54 SCHLUMBERGER LTD 13,740 1,081 0.56%
55 HOME DEPOT INC 8,260 1,063 0.55%
56 YUM BRANDS INC 11,300 1,026 0.53%
57 ORACLE CORPORATION 26,076 1,024 0.53%
58 AMERICAN INTL GROUP INC 17,065 1,013 0.53%
59 ISHARES TR 9,591 1,005 0.52%
60 MONDELEZ INTL INC 21,834 959 0.50%
61 ISHARES TR 24,530 932 0.48%
62 METLIFE INC 20,681 919 0.48%
63 ConocoPhillips 21,007 913 0.47%
64 SCHWAB EMERGING MARKETS EQUITY ETF 38,160 880 0.46%
65 ON SEMICONDUCTOR CORP 71,275 878 0.46%
66 Hewlett Packard Enterprise Com 38,358 873 0.45%
67 UNITED TECHNOLOGIES CORP 8,405 854 0.44%
68 ENERGY TRANSFER PART LP 22,520 833 0.43%
69 PEPSICO INC 7,541 820 0.43%
70 ISHARES TR 4,682 816 0.42%
71 PHILLIPS 66 10,070 811 0.42%
72 Abbvie Inc 12,843 810 0.42%
73 HUMANA INC 4,545 804 0.42%
74 DISNEY WALT CO 8,625 801 0.42%
75 ALLERGAN PLC 3,467 798 0.41%
76 STRYKER CORP 6,806 792 0.41%
77 BROWN FORMAN CORP 16,580 787 0.41%
78 SEAGATE TECHNOLOGY PLC 20,295 782 0.41%
79 ILLUMINA INC 4,150 754 0.39%
80 MICROSOFT CORP 12,901 743 0.39%
81 QUALCOMM INC 10,452 716 0.37%
82 DELTA AIRLINES INC DEL 18,162 715 0.37%
83 Skyworks Solutions 9,110 694 0.36%
84 US BANCORP DEL 16,137 692 0.36%
85 MORGAN STANLEY 20,550 659 0.34%
86 Molson Coors Brewing Co 5,925 651 0.34%
87 PHILIP MORRIS INTL INC 6,630 645 0.34%
88 CIENA CORP 29,262 638 0.33%
89 Ameriprise Financial 6,363 635 0.33%
90 NORFOLK SOUTHERN CORP 6,500 631 0.33%
91 Nextera Energy Inc 5,106 625 0.32%
92 HALLIBURTON CO 13,825 620 0.32%
93 NEWELL BRANDS INC 11,260 593 0.31%
94 AMGEN INC 3,500 584 0.30%
95 Mid-Amer Apt Cmntys Inc 6,175 580 0.30%
96 LINCOLN NATL CORP IND 12,300 578 0.30%
97 HENRY SCHEIN INC 3,500 570 0.30%
98 Travelers Cos Inc 4,905 562 0.29%
99 DANAHER CORP DEL 7,143 560 0.29%
100 CAPITALA FINANCE CO 40,887 536 0.28%
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