0001144204-13-002745.txt : 20130117 0001144204-13-002745.hdr.sgml : 20130117 20130117100143 ACCESSION NUMBER: 0001144204-13-002745 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130117 DATE AS OF CHANGE: 20130117 EFFECTIVENESS DATE: 20130117 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: 13533760 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 v332387_13fhr.txt QUARTERLY HOLDINGS REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 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: 28-15055 --------- 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 1/17/13 ----------------------------- ---------------------------- ----------------- [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: 151 --------------- Form 13F Information Table Value Total: 110,463 --------------- (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 795 8558 SH Sole 4518 4040 A T & T INC NEW COM 00206R102 259 7686 SH Sole 3812 3874 ABBOTT LABORATORIES COM 002824100 981 14975 SH Sole 9140 5835 ACE LIMITED NEW F COM H0023R105 948 11880 SH Sole 6130 5750 ACTIVISION BLIZZARD INC COM 00507V109 140 13164 SH Sole 6056 7108 AMERICAN EXPRESS COMPANY COM 025816109 320 5566 SH Sole 3566 2000 AMERICAN INTL GROUP NEW COM 026874784 519 14700 SH Sole 9700 5000 AMERIPRISE FINANCIAL INC COM 03076C106 403 6438 SH Sole 3788 2650 AMGEN INCORPORATED COM 031162100 302 3500 SH Sole 1050 2450 ANNALY CAPITAL MGMT REIT COM 035710409 451 32100 SH Sole 22850 9250 ANWORTH MTG ASSET CORP REIT COM 037347101 58 10000 SH Sole 8000 2000 APACHE CORP COM 037411105 901 11481 SH Sole 6811 4670 APPLE INC COM 037833100 3834 7204 SH Sole 4519 2685 BAKER HUGHES INC COM 057224107 335 8190 SH Sole 6190 2000 BANCO LATINOAMERCANO F DE COME COM p16994132 250 11600 SH Sole 7600 4000 BAXTER INTERNATIONAL INC COM 071813109 1179 17681 SH Sole 10631 7050 BLACKSTONE GROUP LP COM 09253u108 323 20687 SH Sole 8187 12500 C V S CAREMARK CORP COM 126650100 2622 54221 SH Sole 32021 22200 CAMERON INTL CORP COM 13342B105 300 5305 SH Sole 3255 2050 CARDINAL HEALTH INC COM 14149Y108 420 10200 SH Sole 6400 3800 CELGENE CORP COM 151020104 880 11220 SH Sole 7435 3785 CHEVRON CORPORATION COM 166764100 2713 25087 SH Sole 12062 13025 CHINA BOTANIC PHARMA INC COM 16890y104 7 13926 SH Sole 13926 CHINA GREEN AGRICULTURE COM 16943W105 86 26200 SH Sole 12600 13600 CHINA PETE & CHEM ADR F SPONSO COM 16941R108 402 3500 SH Sole 2150 1350 CHINA PHARMA HOLDINGS COM 16941T104 5 23000 SH Sole 18000 5000 CHINACAST EDUCATION CORP COM 16946T109 2 26400 SH Sole 23400 3000 CISCO SYSTEMS INC COM 17275r102 912 46395 SH Sole 20901 25494 COACH INC COM 189754104 218 3925 SH Sole 3925 COCA COLA COMPANY COM 191216100 1912 52741 SH Sole 30941 21800 CONAGRA FOODS INC COM 205887102 212 7200 SH Sole 7200 CONOCOPHILLIPS COM 20825C104 1963 33855 SH Sole 17819 16036 DANAHER CORP DEL COM 235851102 470 8400 SH Sole 8400 DEERE & CO COM 244199105 948 10967 SH Sole 7117 3850 DEVON ENERGY CP NEW COM 25179M103 725 13935 SH Sole 7155 6780 DIAGEO PLC NEW ADR F SPONSORED COM 25243Q205 2295 19689 SH Sole 11194 8495 DISNEY WALT CO COM 254687106 207 4150 SH Sole 4150 DU PONT E I DE NEMOUR&CO COM 263534109 1513 33643 SH Sole 18268 15375 E M C CORP MASS COM 268648102 355 14050 SH Sole 10050 4000 EATON CORP PLC F COM g29183103 526 9710 SH Sole 6160 3550 EBAY INC COM 278642103 217 4250 SH Sole 1250 3000 ENERGY TRANSFER PARTNERS UNITS COM 29273r109 711 16555 SH Sole 10155 6400 EXPRESS SCRIPTS HLDG CO COM 30219g108 1690 31296 SH Sole 16396 14900 EXXON MOBIL CORPORATION COM 30231G102 568 6557 SH Sole 2371 4186 FARMERS CAP BANK CORP COM 309562106 1237 101016 SH Sole 101016 FLEXTRONICS INTL LTD F COM Y2573F102 132 21251 SH Sole 15776 5475 FLOWSERVE CORPORATION COM 34354P105 586 3992 SH Sole 2292 1700 FREEPORT MCMORAN COPPER COM 35671D857 335 9788 SH Sole 4488 5300 GENERAL ELECTRIC COMPANY COM 369604103 1091 51990 SH Sole 36083 15907 GENERAL MILLS INC COM 370334104 1918 47450 SH Sole 28200 19250 GOOGLE INC CLASS A COM 38259P508 2127 3007 SH Sole 2107 900 HALLIBURTON CO HLDG CO COM 406216101 1044 30095 SH Sole 22545 7550 HARTFORD FINL SVCS GRP COM 416515104 287 12800 SH Sole 9200 3600 HASBRO INC COM 418056107 235 6540 SH Sole 4815 1725 HEINZ H J CO COM 423074103 1120 19420 SH Sole 9920 9500 HONEYWELL INTERNATIONAL COM 438516106 856 13482 SH Sole 7457 6025 HQ SUSTAIN MARITIME NXXX REGIS COM 40426A208 0 11200 SH Sole 6200 5000 HUMANA INC COM 444859102 288 4191 SH Sole 4191 ILLUMINA INC COM 452327109 291 5230 SH Sole 2630 2600 INDIA FUND INC COM 454089103 322 15376 SH Sole 6489 8887 INTEL CORP COM 458140100 794 38513 SH Sole 24213 14300 INTL BUSINESS MACHINES COM 459200101 1945 10153 SH Sole 5545 4608 J M SMUCKER CO NEW COM 832696405 280 3244 SH Sole 1750 1494 JABIL CIRCUIT INC COM 466313103 643 33325 SH Sole 22025 11300 JOHNSON & JOHNSON COM 478160104 2863 40835 SH Sole 21796 19039 JPMORGAN CHASE & CO COM 46625H100 1519 34558 SH Sole 20408 14150 KIMBERLY-CLARK CORP COM 494368103 607 7193 SH Sole 5615 1578 KINDER MORGAN INC COM 49456b101 1214 34350 SH Sole 19000 15350 KROGER COMPANY COM 501044101 454 17446 SH Sole 13121 4325 LOWES COMPANIES INC COM 548661107 217 6117 SH Sole 3827 2290 MACYS INC COM 55616P104 457 11720 SH Sole 9720 2000 MARKWEST ENERGY PTNR LP COMMON COM 570759100 277 5435 SH Sole 5035 400 MATTEL INCORPORATED COM 577081102 568 15500 SH Sole 7800 7700 MAXIM INTEGRATED PRODS COM 57772K101 821 27920 SH Sole 13120 14800 MC DONALDS CORP COM 580135101 597 6765 SH Sole 4795 1970 MCKESSON CORPORATION COM 58155q103 1983 20450 SH Sole 14525 5925 MEDTRONIC INC COM 585055106 823 20051 SH Sole 7601 12450 MERCK & CO INC NEW COM 58933y105 1322 32292 SH Sole 20842 11450 METLIFE INC COM 59156R108 571 17321 SH Sole 10465 6856 MICROSOFT CORP COM 594918104 345 12924 SH Sole 8524 4400 MID AMER APT CMNTYS INC REIT COM 59522j103 285 4400 SH Sole 1950 2450 MONDELEZ INTL INC CL A COM 609207105 774 30424 SH Sole 19611 10813 MYLAN INC COM 628530107 623 22695 SH Sole 13695 9000 NEXTERA ENERGY INC COM 65339F101 404 5836 SH Sole 4991 845 NORFOLK SOUTHERN CORP COM 655844108 244 3950 SH Sole 1950 2000 OCCIDENTAL PETE CORP COM 674599105 322 4200 SH Sole 1200 3000 ORACLE CORPORATION COM 68389X105 1190 35700 SH Sole 13850 21850 PEPSICO INCORPORATED COM 713448108 1191 17407 SH Sole 11706 5701 PERFECT WORLD CO ADR F SPONSOR COM 71372U104 131 12300 SH Sole 9300 3000 PHILLIPS 66 COM 718546104 600 11294 SH Sole 5750 5544 PLUM CREEK TIMBER CO REIT COM 729251108 513 11554 SH Sole 4579 6975 PNC FINL SERVICES GP INC COM 693475105 215 3691 SH Sole 3691 POTLATCH CORPORATION NEW COM 737630103 536 13701 SH Sole 9351 4350 PPL CORPORATION COM 69351t106 271 9450 SH Sole 2450 7000 PROCTER & GAMBLE COM 742718109 2104 30996 SH Sole 12670 18326 PRUDENTIAL FINANCIAL INC COM 744320102 1048 19650 SH Sole 9600 10050 QUALCOMM INC COM 747525103 815 13175 SH Sole 7710 5465 ROYAL DUTCH PETROLEUM CO. CLAS COM 780259206 303 4400 SH Sole 500 3900 SCHEIN HENRY INC COM 806407102 414 5150 SH Sole 1600 3550 SCHLUMBERGER LTD F COM 806857108 625 9020 SH Sole 2820 6200 SEAGATE TECHNOLOGY PLC F COM g7945m107 1165 38305 SH Sole 20805 17500 SINGAPORE FUND INC COM 82929l109 168 12000 SH Sole 7000 5000 SKYWORKS SOLUTIONS INC COM 83088M102 274 13500 SH Sole 10500 3000 SPECTRA ENERGY CORP COM 847560109 855 31217 SH Sole 17581 13636 STERICYCLE INC COM 858912108 247 2650 SH Sole 650 2000 STRYKER CORP COM 863667101 433 7900 SH Sole 7900 SUNCOR ENERGY INC NEW F COM 867224107 389 11801 SH Sole 7001 4800 T J X COS INC COM 872540109 702 16546 SH Sole 8206 8340 TARGET CORPORATION COM 87612e106 774 13078 SH Sole 8275 4803 TEMPLETON DRAGON FUND COM 88018t101 1649 57974 SH Sole 35274 22700 TEVA PHARM INDS LTD ADRF SPONS COM 881624209 562 15039 SH Sole 10054 4985 TEXAS INSTRUMENTS INC COM 882508104 623 20160 SH Sole 9660 10500 THERMO FISHER SCIENTIFIC COM 883556102 919 14415 SH Sole 8575 5840 TIANYIN PHARMACEUTICAL COM 88630M104 23 38400 SH Sole 33400 5000 TIME WARNER CABLE COM 88732J207 259 2669 SH Sole 2166 503 TIME WARNER INC NEW COM 887317303 1346 28145 SH Sole 14966 13179 TRAVELERS COMPANIES INC COM 89417E109 444 6185 SH Sole 3585 2600 TUPPERWARE BRANDS CORP COM 899896104 244 3800 SH Sole 1800 2000 U S BANCORP DEL NEW COM 902973304 601 18819 SH Sole 13319 5500 UNILEVER PLC ADR NEW F SPONSOR COM 904767704 553 14270 SH Sole 8470 5800 UNION PACIFIC CORP COM 907818108 472 3752 SH Sole 2052 1700 UNITED TECHNOLOGIES CORP COM 913017109 1009 12300 SH Sole 7950 4350 UNITEDHEALTH GROUP INC COM 91324P102 686 12644 SH Sole 4405 8239 V F CORPORATION COM 918204108 1606 10635 SH Sole 7160 3475 VERIZON COMMUNICATIONS COM 92343v104 989 22849 SH Sole 14434 8415 VIMPELCOM LTD ADR F SPONSORED COM 92719A106 126 12000 SH Sole 6000 6000 VODAFONE GROUP NEW ADR F SPONS COM 92857w209 872 34600 SH Sole 21400 13200 WAL-MART STORES INC COM 931142103 474 6941 SH Sole 4909 2032 WALGREEN COMPANY COM 931422109 2044 55235 SH Sole 36235 19000 WASTE MANAGEMENT INC DEL COM 94106l109 664 19686 SH Sole 9800 9886 WEATHERFORD INTL LTD F COM H27013103 201 18000 SH Sole 14200 3800 WELLPOINT INC COM 94973V107 257 4218 SH Sole 1403 2815 WILLIAMS COMPANIES COM 969457100 1313 40115 SH Sole 26415 13700 WONDER AUTO TECH INC XXX REGIS COM 978166106 0 16000 SH Sole 13000 3000 XCELMOBILITY INC COM 98400L103 1 10500 SH Sole 10500 YAMANA GOLD INC F COM 98462Y100 226 13160 SH Sole 8816 4344 YONGYE INTERNATIONAL INC COM 98607B106 297 50975 SH Sole 37275 13700 YUHE INTL INC COM 988432100 2 17000 SH Sole 13000 4000 YUM BRANDS INC COM 988498101 1133 17070 SH Sole 7110 9960 ZHONGPIN INC COM 98952K107 185 14400 SH Sole 6000 8400 ISHARES MSCI EMRG MKT FD EMERG ETF 464287234 515 11623 SH Sole 8623 3000 ISHARES MSCI PAC EX JAPN PACIF ETF 464286665 1274 27025 SH Sole 26025 1000 ISHARES RUSSELL 1000 VAL RUSSE ETF 464287598 1555 21360 SH Sole 21360 ISHARES S&P EURO 350 IDX S&P E ETF 464287861 1662 42300 SH Sole 42300 ISHARES S&P U S PFD FUND S&P U ETF 464288687 647 16341 SH Sole 12741 3600 MARKET VECTORS ETF TRUST GOLD ETF 57060U100 376 8100 SH Sole 6100 2000 POWERSHS EXCH TRAD FD TR POWER ETF 73935X229 374 20478 SH Sole 7950 12528 SECTOR SPDR FINCL SELECT SHARE ETF 81369Y605 388 23700 SH Sole 23700 SPDR S&P HOMEBUILDERS ETF ETF 78464A888 463 17400 SH Sole 17400 VANGUARD FTSE EMERGING MARKETS ETF 922042858 766 17206 SH Sole 9656 7550 CRESUD SACIF YA WTS EXP 5/22/1 WT P3311R192 5 78800 SH Sole 50760 50190