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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 (2016Q4)
Portfolio Summary: 185 holdings with a total value of $195,443,000.
#
Name
Shares
Value ($)
%
Options
Notes
151 DIAGEO P L C 14,499 1,507,000 0.77%
152 WESTERN DIGITAL CORP 23,050 1,566,000 0.80%
153 PFIZER INC 48,512 1,576,000 0.81%
154 TJX COS INC NEW 21,156 1,589,000 0.81%
155 Allergan PLC 7,653 1,607,000 0.82%
156 AMAZON COM INC 2,182 1,636,000 0.84%
157 COCA COLA CO 41,899 1,737,000 0.89%
158 HONEYWELL INTL INC 15,152 1,755,000 0.90%
159 Verizon Communications Inc 33,542 1,791,000 0.92%
160 KRAFT HEINZ CO 20,709 1,808,000 0.93%
161 Spectra Energy Corp Com 44,535 1,830,000 0.94%
162 UnitedHealth Group Inc 11,564 1,851,000 0.95%
163 McKesson Corp 13,380 1,879,000 0.96%
164 V F CORP 37,580 2,005,000 1.03%
165 WHIRLPOOL CORP 11,860 2,156,000 1.10%
166 MERCK & CO INC 38,373 2,259,000 1.16%
167 CISCO SYSTEMS INC 75,606 2,285,000 1.17%
168 PRUDENTIAL FINL INC 24,360 2,535,000 1.30%
169 GILEAD SCIENCES INC 37,867 2,712,000 1.39%
170 PRICELINE GRP INC 1,947 2,854,000 1.46%
171 Alphabet Inc Cap Stock Cl A 3,628 2,875,000 1.47%
172 CHEVRON CORP NEW 24,878 2,929,000 1.50%
173 AT&T Inc New 69,407 2,952,000 1.51%
174 GENERAL ELECTRIC CO 104,621 3,306,000 1.69%
175 PROCTER AND GAMBLE CO 40,630 3,416,000 1.75%
176 Facebook Inc Cl A 31,840 3,663,000 1.87%
177 TIME WARNER INC 39,459 3,809,000 1.95%
178 ALPHABET INC. CLASS C 5,448 4,205,000 2.15%
179 CELGENE CORP 40,504 4,688,000 2.40%
180 JOHNSON & JOHNSON 43,424 5,003,000 2.56%
181 CVS HEALTH CORP 66,389 5,239,000 2.68%
182 WALGREENS BOOTS ALLIANCE INC 73,821 6,109,000 3.13%
183 APPLE INC 56,050 6,492,000 3.32%
184 FARMERS CAP BK CORP COM 164,718 6,926,000 3.54%
185 JPMorgan Chase & Co 85,263 7,357,000 3.76%
Page 4 of 4

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001559968-17-000002, filed 2017.01.30).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.