0001144204-12-055618.txt : 20121011 0001144204-12-055618.hdr.sgml : 20121011 20121011084301 ACCESSION NUMBER: 0001144204-12-055618 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121011 DATE AS OF CHANGE: 20121011 EFFECTIVENESS DATE: 20121011 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Regent Investment Management LLC CENTRAL INDEX KEY: 0001559968 IRS NUMBER: 454951312 STATE OF INCORPORATION: KY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15055 FILM NUMBER: 121139067 BUSINESS ADDRESS: STREET 1: 4350 BROWNSBORO ROAD STREET 2: SUITE 120 CITY: LOUISVILLE STATE: KY ZIP: 40207 BUSINESS PHONE: 502-719-1000 MAIL ADDRESS: STREET 1: 4350 BROWNSBORO ROAD STREET 2: SUITE 120 CITY: LOUISVILLE STATE: KY ZIP: 40207 13F-HR 1 v756012-1_13fhr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012 ------------------------- Check here if Amendment [ ]; Amendment Number: ------- This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Regent Investment Management LLC ------------------------------------------------- Address: 4350 Brownsboro Road ------------------------------------------------- Suite 120 ------------------------------------------------- Louisville, KY 40207 ------------------------------------------------- Form 13F File Number: 28- --------- The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Steven T. Naiser ------------------------------------------------- Title: Vice President ------------------------------------------------- Phone: 502-719-1000 ------------------------------------------------- Signature, Place, and Date of Signing: /s/ Steven T. Naiser Louisville, KY 10/10/2012 ----------------------------- ---------------------------- ----------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 --------------- Form 13F Information Table Entry Total: 157 --------------- Form 13F Information Table Value Total: 110,895 --------------- (thousands) List of Other Included Managers: NONE
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M COMPANY COM 88579Y101 827 8943 SH Sole 4903 4040 A T & T INC NEW COM 00206R102 294 7811 SH Sole 3937 3874 ABBOTT LABORATORIES COM 002824100 1130 16475 SH Sole 10640 5835 ACE LIMITED NEW F COM H0023R105 1030 13620 SH Sole 7870 5750 ACTIVISION BLIZZARD INC COM 00507V109 151 13414 SH Sole 6306 7108 AMERICAN EXPRESS COMPANY COM 025816109 316 5566 SH Sole 3566 2000 AMERICAN INTL GROUP NEW COM 026874784 433 13200 SH Sole 9200 4000 AMERIPRISE FINANCIAL INC COM 03076C106 365 6438 SH Sole 3788 2650 AMGEN INCORPORATED COM 031162100 295 3500 SH Sole 1050 2450 ANNALY CAPITAL MGMT REIT COM 035710409 465 27600 SH Sole 19350 8250 ANWORTH MTG ASSET CORP REIT COM 037347101 68 10000 SH Sole 8000 2000 APACHE CORP COM 037411105 1171 13546 SH Sole 8576 4970 APPLE INC COM 037833100 4556 6829 SH Sole 4174 2655 BAKER HUGHES INC COM 057224107 334 7390 SH Sole 5390 2000 BAXTER INTERNATIONAL INC COM 071813109 1053 17464 SH Sole 10914 6550 BB&T CORPORATION COM 054937107 216 6527 SH Sole 955 5572 BLACKSTONE GROUP LP COM 09253U108 296 20750 SH Sole 8250 12500 C V S CAREMARK CORP COM 126650100 2538 52421 SH Sole 30221 22200 CAMERON INTL CORP COM 13342B105 300 5355 SH Sole 3305 2050 CARDINAL HEALTH INC COM 14149Y108 397 10200 SH Sole 6400 3800 CELGENE CORP COM 151020104 863 11295 SH Sole 7510 3785 CHEVRON CORPORATION COM 166764100 2898 24862 SH Sole 11887 12975 CHINA BOTANIC PHARMA INC COM 16890y104 7 13926 SH Sole 13926 CHINA GREEN AGRICULTURE COM 16943W105 86 26350 SH Sole 12750 13600 CHINA PETE & CHEM ADR F SPONSO COM 16941R108 323 3500 SH Sole 2150 1350 CHINA PHARMA HOLDINGS COM 16941T104 8 23000 SH Sole 18000 5000 CHINACAST EDUCATION CORP COM 16946T109 13 28400 SH Sole 25400 3000 CISCO SYSTEMS INC COM 17275R102 891 46645 SH Sole 21151 25494 COACH INC COM 189754104 203 3625 SH Sole 3625 COCA COLA COMPANY COM 191216100 1982 52251 SH Sole 31451 20800 CONOCOPHILLIPS COM 20825C104 2097 36668 SH Sole 20432 16236 DANAHER CORP DEL COM 235851102 463 8400 SH Sole 8400 DEERE & CO COM 244199105 951 11537 SH Sole 7687 3850 DEVON ENERGY CP NEW COM 25179M103 946 15637 SH Sole 8557 7080 DIAGEO PLC NEW ADR F SPONSORED COM 25243Q205 2318 20563 SH Sole 12068 8495 DISNEY WALT CO COM 254687106 217 4150 SH Sole 4150 DU PONT E I DE NEMOUR&CO COM 263534109 1750 34803 SH Sole 19428 15375 E M C CORP MASS COM 268648102 361 13250 SH Sole 9250 4000 EATON CORPORATION COM 278058102 589 12460 SH Sole 8460 4000 EBAY INC COM 278642103 218 4500 SH Sole 1500 3000 ENERGY TRANSFER PARTNERS UNITS COM 29273R109 620 14555 SH Sole 8955 5600 EXPRESS SCRIPTS HLDG CO COM 30219G108 1945 31054 SH Sole 16704 14350 EXXON MOBIL CORPORATION COM 30231G102 600 6557 SH Sole 2371 4186 FLEXTRONICS INTL LTD F COM Y2573F102 122 20251 SH Sole 14776 5475 FLOWSERVE CORPORATION COM 34354P105 512 4010 SH Sole 2310 1700 FREEPORT MCMORAN COPPER COM 35671D857 410 10351 SH Sole 5051 5300 FUSHI COPPERWELD INC COM 36113E107 209 23000 SH Sole 16000 7000 GENERAL ELECTRIC COMPANY COM 369604103 1181 51990 SH Sole 36083 15907 GENERAL MILLS INC COM 370334104 1936 48580 SH Sole 28830 19750 GOOGLE INC CLASS A COM 38259P508 2122 2812 SH Sole 1912 900 HALLIBURTON CO HLDG CO COM 406216101 1057 31375 SH Sole 23825 7550 HARTFORD FINL SVCS GRP COM 416515104 260 13400 SH Sole 9800 3600 HEINZ H J CO COM 423074103 1120 20020 SH Sole 10520 9500 HONEYWELL INTERNATIONAL COM 438516106 823 13782 SH Sole 7757 6025 HQ SUSTAIN MARITIME NXXX REGIS COM 40426A208 0 11200 SH Sole 6200 5000 HUMANA INC COM 444859102 294 4191 SH Sole 4191 ILLUMINA INC COM 452327109 252 5230 SH Sole 2630 2600 INDIA FUND INC COM 454089103 365 15687 SH Sole 6800 8887 INTEL CORP COM 458140100 921 40652 SH Sole 26352 14300 INTL BUSINESS MACHINES COM 459200101 2144 10333 SH Sole 5725 4608 J M SMUCKER CO NEW COM 832696405 280 3244 SH Sole 1750 1494 JABIL CIRCUIT INC COM 466313103 628 33525 SH Sole 22225 11300 JOHNSON & JOHNSON COM 478160104 2860 41502 SH Sole 22463 19039 JPMORGAN CHASE & CO COM 46625H100 1476 36473 SH Sole 22323 14150 KIMBERLY-CLARK CORP COM 494368103 631 7359 SH Sole 5781 1578 KINDER MORGAN INC COM 49456B101 975 27450 SH Sole 15100 12350 KRAFT FOODS CL A XXX COM 50075N104 1372 33192 SH Sole 22379 10813 KROGER COMPANY COM 501044101 553 23476 SH Sole 15751 7725 LSI CORPORATION COM 502161102 83 12004 SH Sole 7004 5000 MACYS INC COM 55616P104 275 7320 SH Sole 5320 2000 MARKWEST ENERGY PTNR LP COMMON COM 570759100 230 4235 SH Sole 3835 400 MATTEL INCORPORATED COM 577081102 606 17075 SH Sole 9375 7700 MAXIM INTEGRATED PRODS COM 57772K101 780 29310 SH Sole 14510 14800 MC DONALDS CORP COM 580135101 487 5310 SH Sole 3740 1570 MCKESSON CORPORATION COM 58155Q103 1746 20295 SH Sole 14370 5925 MEDTRONIC INC COM 585055106 865 20051 SH Sole 7601 12450 MERCK & CO INC NEW COM 58933Y105 1108 24562 SH Sole 17412 7150 METLIFE INC COM 59156R108 624 18121 SH Sole 11265 6856 MICROSOFT CORP COM 594918104 392 13174 SH Sole 8774 4400 MID AMER APT CMNTYS INC REIT COM 59522J103 274 4200 SH Sole 2250 1950 MYLAN INC COM 628530107 626 25695 SH Sole 16695 9000 NEXTERA ENERGY INC COM 65339F101 410 5836 SH Sole 4991 845 NORFOLK SOUTHERN CORP COM 655844108 264 4150 SH Sole 2150 2000 OCCIDENTAL PETE CORP COM 674599105 361 4200 SH Sole 1200 3000 ORACLE CORPORATION COM 68389X105 1216 38657 SH Sole 16807 21850 PEPSICO INCORPORATED COM 713448108 1117 15789 SH Sole 10088 5701 PERFECT WORLD CO ADR F SPONSOR COM 71372U104 151 13900 SH Sole 9900 4000 PHILLIPS 66 COM 718546104 528 11386 SH Sole 5842 5544 PLUM CREEK TIMBER CO REIT COM 729251108 514 11722 SH Sole 4747 6975 PNC FINL SERVICES GP INC COM 693475105 239 3791 SH Sole 3791 POTLATCH CORPORATION NEW COM 737630103 512 13701 SH Sole 9351 4350 PPL CORPORATION COM 69351T106 277 9550 SH Sole 2550 7000 PROCTER & GAMBLE COM 742718109 2308 33282 SH Sole 14956 18326 PRUDENTIAL FINANCIAL INC COM 744320102 695 12750 SH Sole 5400 7350 QUALCOMM INC COM 747525103 838 13420 SH Sole 7955 5465 ROYAL DUTCH PETROLEUM CO. CLAS COM 780259206 305 4400 SH Sole 500 3900 SANOFI ADR F SPONSORED ADR 2 A COM 80105N105 211 4900 SH Sole 1400 3500 SCHEIN HENRY INC COM 806407102 448 5650 SH Sole 2100 3550 SCHLUMBERGER LTD F COM 806857108 649 8970 SH Sole 2770 6200 SEAGATE TECHNOLOGY PLC F COM G7945M107 1237 39955 SH Sole 22455 17500 SINGAPORE FUND INC COM 82929L109 166 12000 SH Sole 7000 5000 SKYPEOPLE FRT JUICE NEW COM 83086T208 21 13400 SH Sole 13400 SKYWORKS SOLUTIONS INC COM 83088M102 318 13500 SH Sole 10500 3000 SPECTRA ENERGY CORP COM 847560109 613 20867 SH Sole 13431 7436 SPIRIT AEROSYSTEMS HLDGS COM 848574109 218 9800 SH Sole 7800 2000 STERICYCLE INC COM 858912108 240 2650 SH Sole 650 2000 STRYKER CORP COM 863667101 447 8025 SH Sole 8025 SUNCOR ENERGY INC NEW F COM 867224107 411 12507 SH Sole 7707 4800 T J X COS INC COM 872540109 607 13561 SH Sole 6821 6740 TARGET CORPORATION COM 87612E106 321 5053 SH Sole 3350 1703 TEMPLETON DRAGON FUND COM 88018T101 1510 58911 SH Sole 36211 22700 TEVA PHARM INDS LTD ADRF SPONS COM 881624209 633 15289 SH Sole 10304 4985 TEXAS INSTRUMENTS INC COM 882508104 610 22135 SH Sole 11385 10750 THERMO FISHER SCIENTIFIC COM 883556102 961 16340 SH Sole 10000 6340 TIANYIN PHARMACEUTICAL COM 88630M104 23 38400 SH Sole 33400 5000 TIME WARNER INC NEW COM 887317303 1222 26945 SH Sole 13766 13179 TOTAL S A ADR F 1 ADR REP 1 OR COM 89151E109 521 10400 SH Sole 8500 1900 TRACTOR SUPPLY COMPANY COM 892356106 228 2310 SH Sole 2310 TRAVELERS COMPANIES INC COM 89417E109 547 8015 SH Sole 4415 3600 TUPPERWARE BRANDS CORP COM 899896104 212 3950 SH Sole 1950 2000 U S BANCORP DEL NEW COM 902973304 652 19019 SH Sole 13519 5500 UNILEVER PLC ADR NEW F SPONSOR COM 904767704 565 15470 SH Sole 9670 5800 UNION PACIFIC CORP COM 907818108 482 4060 SH Sole 2360 1700 UNITED TECHNOLOGIES CORP COM 913017109 988 12625 SH Sole 8275 4350 UNITEDHEALTH GROUP INC COM 91324P102 717 12944 SH Sole 4705 8239 V F CORPORATION COM 918204108 2077 13035 SH Sole 7910 5125 VERIZON COMMUNICATIONS COM 92343V104 559 12264 SH Sole 7649 4615 VIMPELCOM LTD ADR F SPONSORED COM 92719A106 143 12000 SH Sole 6000 6000 VODAFONE GROUP NEW ADR F SPONS COM 92857W209 929 32600 SH Sole 20200 12400 WAL-MART STORES INC COM 931142103 542 7347 SH Sole 5315 2032 WALGREEN COMPANY COM 931422109 1066 29265 SH Sole 19465 9800 WASTE MANAGEMENT INC DEL COM 94106L109 488 15200 SH Sole 7500 7700 WEATHERFORD INTL LTD F COM H27013103 261 20600 SH Sole 15200 5400 WELLPOINT INC COM 94973V107 245 4218 SH Sole 1403 2815 WILLIAMS COMPANIES COM 969457100 788 22520 SH Sole 15220 7300 WONDER AUTO TECH INC COM 978166106 6 21000 SH Sole 18000 3000 XCELMOBILITY INC COM 98400L103 2 10500 SH Sole 10500 YAMANA GOLD INC F COM 98462Y100 251 13160 SH Sole 8816 4344 YONGYE INTERNATIONAL INC COM 98607B106 238 51975 SH Sole 38275 13700 YUCHENG TECHS LTD F COM G98777108 60 16100 SH Sole 13100 3000 YUHE INTL INC COM 988432100 2 17000 SH Sole 13000 4000 YUM BRANDS INC COM 988498101 1152 17370 SH Sole 7410 9960 ZHONGPIN INC COM 98952K107 187 17025 SH Sole 8625 8400 ISHARES MSCI EMRG MKT FD EMERG ETF 464287234 480 11623 SH Sole 8623 3000 ISHARES MSCI PAC EX JAPN PACIF ETF 464286665 1448 32475 SH Sole 31475 1000 ISHARES RUSSELL 1000 VAL RUSSE ETF 464287598 1903 26360 SH Sole 26360 ISHARES S&P EURO 350 IDX S&P E ETF 464287861 1831 50150 SH Sole 50150 ISHARES S&P U S PFD FUND S&P U ETF 464288687 831 20841 SH Sole 15241 5600 ISHARES TR DJ US TELECOM DOW J ETF 464287713 340 13300 SH Sole 13300 MARKET VECTORS ETF TRUST GOLD ETF 57060U100 448 8351 SH Sole 6351 2000 POWERSHS EXCH TRAD FD TR POWER ETF 73935X229 378 20478 SH Sole 7950 12528 SPDR S&P BIOTECH ETF ETF 78464A870 374 4000 SH Sole 4000 SPDR S&P HOMEBUILDERS ETF ETF 78464A888 432 17400 SH Sole 17400 VANGUARD MSCI EMERGING MARKETS ETF 922042858 727 17418 SH Sole 9868 7550 CRESUD SA COMERCIAL WTS WT P3311R192 0 22150 SH Sole 5610 16540 CRESUD SACIF YA 15 WTS F WARRA WT 3 56370 SH Sole 45150 11220 CRESUD SACIF YA WTS EXP 5/22/1 WT 1 22430 SH Sole 22430