Dark
Light
System
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
201 BGC PARTNERS INC 5,000 44 0.02%
202 Verizon Communications Inc 841 44 0.02%
203 ENERGY TRANSFER PART LP 1,100 41 0.02%
204 MONDELEZ INTL INC 900 40 0.02%
205 BIOTIME INC COM 10,000 39 0.02%
206 INSPYR THERAPEUTICS INCCOM 230,001 32 0.02%
207 3M Co 181 32 0.02%
208 APOLLO INVESTMENT CORP 5,400 31 0.02%
209 GENERAL ELECTRIC CO 1,000 30 0.02%
210 UNITED PARCEL SERVICE INC 200 22 0.01%
211 ConocoPhillips 481 21 0.01%
212 EATON VANCE TAX MANAGD GLBL DI 2,000 17 0.01%
213 CHINA GREEN AGRICULT 10,000 15 0.01%
214 ANNALY CAP MGMT INC 1,000 11 0.01%
215 ISHARES TR 300 11 0.01%
216 KINDRED HEALTHCARE INC 1,000 10 0.01%
217 RENEURON GROUP PLC ORDF 100,000 3 0.00%
218 FIRST MEXICAN GOLD F 25,000 1 0.00%
219 WONDER AUTO TECH INC XXX ESCRO 11,000 0 0.00%
Page 5 of 5