0001559968-15-000005.txt : 20150413 0001559968-15-000005.hdr.sgml : 20150413 20150413153428 ACCESSION NUMBER: 0001559968-15-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150413 DATE AS OF CHANGE: 20150413 EFFECTIVENESS DATE: 20150413 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: 15766672 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 primary_doc.xml 13F-HR LIVE false false false 0001559968 XXXXXXXX 03-31-2015 03-31-2015 false Regent Investment Management LLC

4350 Brownsboro Road Suite 120 Louisville KY 40207

13F HOLDINGS REPORT 028-15055 N Steven T. Naiser 502-719-1000 Steven T. Naiser Louisville KY 04-13-2015 0 191 197201 INFORMATION TABLE 2 infotable.xml 3M COMPANY COM 88579y101 1196 7248 SH SOLE 4443 0 2805 A T & T INC NEW COM 00206r102 446 13658 SH SOLE 9795 0 3863 ABBOTT LABORATORIES COM 002824100 321 6924 SH SOLE 5224 0 1700 ABBVIE INC COM 00287y109 635 10849 SH SOLE 9149 0 1700 ABERDEEN SINGAPORE FUND COM 003244100 114 10000 SH SOLE 6000 0 4000 ACE LIMITED NEW F COM h0023r105 997 8945 SH SOLE 4395 0 4550 ACTAVIS PLC F COM g0083b108 556 1868 SH SOLE 1543 0 325 ADVANCE AUTO PARTS COM 00751y106 659 4405 SH SOLE 4315 0 90 ALTRIA GROUP INC COM 02209S103 365 7305 SH SOLE 6385 0 920 AMARANTUS BIOSCIENCE HLD COM 02300u106 14 270746 SH SOLE 270746 0 0 AMERICAN AIRLS GROUP INC COM 02376r102 808 15300 SH SOLE 14500 0 800 AMERICAN EXPRESS COMPANY COM 025816109 575 7366 SH SOLE 5366 0 2000 AMERICAN INTL GROUP NEW COM 026874784 1013 18495 SH SOLE 12895 0 5600 AMERIPRISE FINANCIAL INC COM 03076c106 833 6363 SH SOLE 3713 0 2650 AMERISOURCEBERGEN CORP COM 03073e105 2595 22830 SH SOLE 15305 0 7525 AMGEN INCORPORATED COM 031162100 559 3500 SH SOLE 1050 0 2450 ANHEUSER-BUSC INBEV ADRF SPONS COM 03524a108 808 6625 SH SOLE 6225 0 400 ANNALY CAPITAL MGMT REIT COM 035710409 304 29197 SH SOLE 22197 0 7000 ANTHEM INC COM 036752103 486 3145 SH SOLE 845 0 2300 APOLLO INVESTMENT CORP COM 03761u106 683 89000 SH SOLE 60500 0 28500 APPLE INC COM 037833100 6807 54708 SH SOLE 37623 0 17085 AVIS BUDGET GROUP INC COM 053774105 295 5000 SH SOLE 4000 0 1000 BAKER HUGHES INC COM 057224107 1005 15805 SH SOLE 12315 0 3490 BAXTER INTERNATIONAL INC COM 071813109 486 7100 SH SOLE 5100 0 2000 BGC PARTNERS INC CLA COM 05541t101 66 7000 SH SOLE 7000 0 0 BIOMARIN PHARMACEUTICAL COM 09061g101 430 3450 SH SOLE 2600 0 850 BLACKSTONE GROUP LP COM 09253u108 272 7000 SH SOLE 5500 0 1500 BP PLC ADR F SPONSORED ADR 1 A COM 055622104 326 8346 SH SOLE 6846 0 1500 BRISTOL-MYERS SQUIBB CO COM 110122108 1095 16975 SH SOLE 16975 0 0 BROWN FORMAN CORP CLA VTG COM 115637100 398 4380 SH SOLE 4380 0 0 BROWN FORMAN CORP CLB NON VTG COM 115637209 290 3206 SH SOLE 3206 0 0 C V S HEALTH CORPORATION COM 126650100 7105 68838 SH SOLE 47288 0 21550 CAMERON INTL CORP COM 13342b105 223 4950 SH SOLE 2900 0 2050 CAPITALA FINANCE CORP COM 14054r106 2112 112592 SH SOLE 83434 0 29158 CARDINAL HEALTH INC COM 14149y108 208 2300 SH SOLE 700 0 1600 CATERPILLAR INC COM 149123101 293 3655 SH SOLE 3465 0 190 CAVIUM INC COM 14964u108 361 5100 SH SOLE 5100 0 0 CBS CORPORATION CL B NEW COM 124857202 962 15872 SH SOLE 14372 0 1500 CELGENE CORP COM 151020104 4383 38024 SH SOLE 27554 0 10470 CHEVRON CORPORATION COM 166764100 2506 23874 SH SOLE 12399 0 11475 CHINA PETE & CHEM ADR F SPONSO COM 16941r108 540 6780 SH SOLE 4525 0 2255 CHINACAST EDUCATION CORP COM 16946t109 0 10400 SH SOLE 10400 0 0 CIENA CORP COM 171779309 278 14400 SH SOLE 11400 0 3000 CISCO SYSTEMS INC COM 17275r102 2060 74829 SH SOLE 51585 0 23244 COCA COLA COMPANY COM 191216100 1547 38154 SH SOLE 37054 0 1100 COMCAST CORP NEW CL A COM 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0 11530 EXXON MOBIL CORPORATION COM 30231g102 815 9593 SH SOLE 5607 0 3986 FACEBOOK INC CLASS A COM 30303m102 354 4300 SH SOLE 4300 0 0 FARMERS CAP BANK CORP COM 309562106 3872 166518 SH SOLE 166518 0 0 FEDEX CORPORATION COM 31428x106 670 4051 SH SOLE 4051 0 0 FLEXTRONICS INTL LTD F COM y2573f102 164 12950 SH SOLE 11950 0 1000 FLOWSERVE CORP COM 34354p105 571 10101 SH SOLE 6076 0 4025 FORD MOTOR COMPANY NEW COM 345370860 263 16304 SH SOLE 11304 0 5000 GENERAL ELECTRIC COMPANY COM 369604103 1150 46371 SH SOLE 33464 0 12907 GENERAL MILLS INC COM 370334104 1585 28007 SH SOLE 15407 0 12600 GENERAL MOTORS CO COM 37045v100 407 10850 SH SOLE 8050 0 2800 GENSPERA INC COM ISIN#US37251Q COM 37251q100 184 230001 SH SOLE 230001 0 0 GENUINE PARTS CO COM 372460105 295 3165 SH SOLE 3165 0 0 GILEAD SCIENCES INC COM 375558103 4193 42725 SH SOLE 28450 0 14275 GOOGLE INC CL C NON VTG NON VO COM 38259p706 2727 4976 SH SOLE 3806 0 1170 GOOGLE INC CLASS A VTG VOTING COM 38259p508 2199 3964 SH SOLE 2839 0 1125 HALLIBURTON CO HLDG CO COM 406216101 1506 34315 SH SOLE 27680 0 6635 HARTFORD FINL SVCS GRP COM 416515104 360 8600 SH SOLE 5000 0 3600 HERTZ GLOBAL HLDGS COM 42805t105 517 23825 SH SOLE 13250 0 10575 HEWLETT-PACKARD COMPANY COM 428236103 397 12725 SH SOLE 12725 0 0 HILLENBRAND INC COM ISIN#US431 COM 431571108 238 7713 SH SOLE 7713 0 0 HOME DEPOT INC COM 437076102 1171 10310 SH SOLE 9810 0 500 HONEYWELL INTERNATIONAL COM 438516106 1010 9682 SH SOLE 6057 0 3625 HUMANA INC COM 444859102 746 4191 SH SOLE 4191 0 0 ILLUMINA INC COM 452327109 775 4175 SH SOLE 1825 0 2350 IMPLANT SCIENCES CORP COM 45320r108 20 24000 SH SOLE 24000 0 0 INDIA FUND INC COM 454089103 286 10106 SH SOLE 3295 0 6811 INTEL CORP COM 458140100 563 18018 SH SOLE 12518 0 5500 INTL BUSINESS MACHINES COM 459200101 1298 8090 SH SOLE 5405 0 2685 J M SMUCKER CO COM 832696405 344 2969 SH SOLE 1475 0 1494 JABIL CIRCUIT INC COM 466313103 590 25250 SH SOLE 18250 0 7000 JOHNSON & JOHNSON COM 478160104 4264 42389 SH SOLE 26478 0 15911 JPMORGAN CHASE & CO COM 46625h100 4149 68483 SH SOLE 57583 0 10900 KIMBERLY-CLARK CORP COM 494368103 462 4316 SH SOLE 3588 0 728 KINDER MORGAN INC COM 49456b101 3104 73803 SH SOLE 55153 0 18650 KKR & CO LP COM 48248m102 190 8348 SH SOLE 5390 0 2958 KON PHILIPS ADR F SPONSORED NY COM 500472303 543 19175 SH SOLE 18175 0 1000 KRAFT FOODS GROUP COM 50076q106 1344 15431 SH SOLE 11691 0 3740 KROGER COMPANY COM 501044101 1152 15032 SH SOLE 12707 0 2325 LAMAR ADVERTISING NEW CLASS A COM 512816109 658 11100 SH SOLE 6700 0 4400 LANDMARK INFRASTRUCTURE COM 51508j108 568 31252 SH SOLE 22252 0 9000 LIFEPOINT HOSPITALS INC COM 53219l109 258 3510 SH SOLE 3510 0 0 LILLY ELI & COMPANY COM 532457108 507 6975 SH SOLE 5975 0 1000 LINCOLN NATIONAL CORP COM 534187109 540 9400 SH SOLE 5400 0 4000 LOWES COMPANIES INC COM 548661107 412 5542 SH SOLE 3742 0 1800 MACYS INC COM 55616p104 3688 56824 SH SOLE 40399 0 16425 MARKWEST ENERGY PTNR LP COMMON COM 570759100 213 3215 SH SOLE 2815 0 400 MASTERCARD INC COM 57636q104 398 4610 SH SOLE 4610 0 0 MAXIM INTEGRATED PRODS COM 57772k101 456 13100 SH SOLE 7600 0 5500 MC DONALDS CORP COM 580135101 278 2855 SH SOLE 2495 0 360 MCKESSON CORPORATION COM 58155q103 4859 21480 SH SOLE 15990 0 5490 MEDTRONIC PLC F COM g5960l103 1217 15606 SH SOLE 8206 0 7400 MERCK & CO INC NEW COM 58933y105 2094 36427 SH SOLE 24177 0 12250 METLIFE INC COM 59156r108 1168 23096 SH SOLE 13040 0 10056 MICROSOFT CORP COM 594918104 465 11446 SH SOLE 7546 0 3900 MID AMER APT CMNTYS INC REIT COM 59522j103 678 8775 SH SOLE 4825 0 3950 MONDELEZ INTL INC CL A COM 609207105 977 27084 SH SOLE 22271 0 4813 MORGAN STANLEY COM 617446448 484 13550 SH SOLE 8550 0 5000 MYLAN N V F COM n59465109 2324 39160 SH SOLE 29750 0 9410 NATIONSTAR MTG HLDGS INC COM 63861c109 235 9500 SH SOLE 6500 0 3000 NEWELL RUBBERMAID COM 651229106 488 12500 SH SOLE 8500 0 4000 NEXTERA ENERGY INC COM 65339f101 544 5231 SH SOLE 4386 0 845 NORFOLK SOUTHERN CORP COM 655844108 545 5300 SH SOLE 3300 0 2000 OCCIDENTAL PETE CORP COM 674599105 307 4200 SH SOLE 1200 0 3000 ON SEMICONDUCTOR CORP COM 682189105 714 58950 SH SOLE 52450 0 6500 ORACLE CORPORATION COM 68389x105 1059 24553 SH SOLE 9653 0 14900 PEPSICO INCORPORATED COM 713448108 727 7603 SH SOLE 6902 0 701 PFIZER INCORPORATED COM 717081103 196 5633 SH SOLE 5633 0 0 PHILIP MORRIS INTL INC COM 718172109 603 8003 SH SOLE 6503 0 1500 PHILLIPS 66 COM 718546104 849 10797 SH SOLE 5379 0 5418 PLAINS ALL AMERN PPLN LP UNIT COM 726503105 283 5800 SH SOLE 2300 0 3500 PLUM CREEK TIMBER CO REIT COM 729251108 293 6733 SH SOLE 3233 0 3500 PNC FINL SERVICES GP INC COM 693475105 381 4088 SH SOLE 4088 0 0 PROCTER & GAMBLE COM 742718109 3854 47039 SH SOLE 28613 0 18426 PRUDENTIAL FINANCIAL COM 744320102 1976 24605 SH SOLE 14130 0 10475 QUALCOMM INC COM 747525103 1026 14794 SH SOLE 10529 0 4265 RENEURON GROUP PLC ORD F COM g7489a105 5 100000 SH SOLE 100000 0 0 ROYAL CARIBBEAN CRUISESF COM v7780t103 246 3000 SH SOLE 3000 0 0 ROYAL DUTCH SHELL A ADRF SPONS COM 780259206 205 3434 SH SOLE 934 0 2500 SCHEIN HENRY INC COM 806407102 489 3500 SH SOLE 1100 0 2400 SCHLUMBERGER LTD F COM 806857108 909 10894 SH SOLE 4694 0 6200 SEAGATE TECHNOLOGY PLC F COM g7945m107 1325 25460 SH SOLE 19335 0 6125 STARBUCKS CORP COM 855244109 338 3567 SH SOLE 3567 0 0 STERICYCLE INC COM 858912108 372 2650 SH SOLE 650 0 2000 STONEMOR PARTNERS COM 86183q100 1082 37555 SH SOLE 26955 0 10600 STRYKER CORP COM 863667101 600 6500 SH SOLE 6500 0 0 SUNCOR ENERGY INC NEW F COM 867224107 209 7150 SH SOLE 3950 0 3200 T J X COS INC COM 872540109 1441 20571 SH SOLE 14681 0 5890 TAIWAN SEMICONDUCTR ADRF SPONS COM 874039100 429 18285 SH SOLE 8750 0 9535 TARGET CORPORATION COM 87612e106 674 8213 SH SOLE 6713 0 1500 TEMPLETON DRAGON FUND COM 88018t101 1108 44599 SH SOLE 28399 0 16200 TENNECO INC COM 880349105 322 5600 SH SOLE 3800 0 1800 TEXAS INSTRUMENTS INC COM 882508104 949 16600 SH SOLE 6600 0 10000 TEXAS ROADHOUSE COM 882681109 237 6500 SH SOLE 4500 0 2000 THE PRICELINE GROUP COM 741503403 2452 2106 SH SOLE 1471 0 635 THERMO FISHER SCIENTIFIC COM 883556102 1323 9845 SH SOLE 6305 0 3540 TIANYIN PHARMACEUTICAL COM 88630m104 7 16600 SH SOLE 16600 0 0 TIME WARNER INC NEW COM 887317303 3271 38735 SH SOLE 25416 0 13319 TRACTOR SUPPLY COMPANY COM 892356106 361 4244 SH SOLE 4244 0 0 TRAVELERS COMPANIES INC COM 89417e109 590 5455 SH SOLE 2905 0 2550 U S BANCORP DEL NEW COM 902973304 733 16794 SH SOLE 12294 0 4500 UNILEVER PLC ADR NEW F SPONSOR COM 904767704 572 13720 SH SOLE 10920 0 2800 UNION PACIFIC CORP COM 907818108 1957 18070 SH SOLE 14135 0 3935 UNITED PARCEL SERVICE B CLASS COM 911312106 210 2165 SH SOLE 1165 0 1000 UNITED TECHNOLOGIES CORP COM 913017109 1024 8736 SH SOLE 6336 0 2400 UNITEDHEALTH GROUP INC COM 91324p102 1445 12214 SH SOLE 3975 0 8239 V F CORPORATION COM 918204108 3112 41325 SH SOLE 27725 0 13600 VENTAS INC REIT COM 92276f100 420 5750 SH SOLE 1500 0 4250 VERIZON COMMUNICATIONS COM 92343v104 2438 50124 SH SOLE 37403 0 12721 VIACOM INC CLASS B COM 92553p201 253 3700 SH SOLE 2600 0 1100 WALGREENS BOOTS ALLIANC COM 931427108 5882 69465 SH SOLE 49865 0 19600 WELLS FARGO & CO NEW COM 949746101 526 9678 SH SOLE 8244 0 1434 WESTERN DIGITAL CORP COM 958102105 316 3475 SH SOLE 1125 0 2350 WHIRLPOOL CORP COM 963320106 1379 6825 SH SOLE 5085 0 1740 WILLIAMS COMPANIES COM 969457100 2711 53585 SH SOLE 35765 0 17820 WONDER AUTO TECH INC XXX ESCRO COM 978esc101 0 14000 SH SOLE 11000 0 3000 YAHOO INC COM 984332106 287 6450 SH SOLE 5950 0 500 YUM BRANDS INC COM 988498101 1049 13320 SH SOLE 7070 0 6250 ISHARES CHINA LARGE-CAP ETF ETF 464287184 1610 36250 SH SOLE 36250 0 0 ISHARES MSCI EMRG MKT FD EMERG ETF 464287234 311 7744 SH SOLE 5744 0 2000 ISHARES NASDAQ BIO ETF NASDAQ ETF 464287556 651 1895 SH SOLE 1895 0 0 ISHARES RUSSELL GROWTH MIDCAP ETF 464287481 1126 11495 SH SOLE 11495 0 0 ISHARES TR MSCI EAFE ETF ETF 464287465 488 7605 SH SOLE 7605 0 0 ISHARES TR RUSSELL 2000 GROWTH ETF 464287648 1903 12555 SH SOLE 12555 0 0 ISHARES TR RUSSELL 2000 VALUE ETF 464287630 254 2461 SH SOLE 2461 0 0 SCHW EMG MKT EQ ETF ETF 808524706 414 17015 SH SOLE 12515 0 4500 SCHW US BRD MKT ETF ETF 808524102 225 4461 SH SOLE 4461 0 0 SECTOR SPDR HEALTH FUND SHARES ETF 81369y209 560 7725 SH SOLE 7725 0 0 SPDR S&P HOMEBUILDERS ETF ETF 78464a888 534 14500 SH SOLE 14500 0 0 VANGUARD FTSE EMERGING MARKETS ETF 922042858 1284 31422 SH SOLE 22047 0 9375 CRESUD SACIF YA 15 WTS F WARRA WT p3311r192 2 89740 SH SOLE 50760 0 38980