0001559968-15-000009.txt : 20151016
0001559968-15-000009.hdr.sgml : 20151016
20151016152736
ACCESSION NUMBER: 0001559968-15-000009
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20150930
FILED AS OF DATE: 20151016
DATE AS OF CHANGE: 20151016
EFFECTIVENESS DATE: 20151016
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: 151162009
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
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09-30-2015
09-30-2015
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REGENT INVESTMENT MANAGEMENT LLC
4350 BROWNSBORO ROAD
SUITE 120
LOUISVILLE
KY
40207
13F HOLDINGS REPORT
028-15055
N
STEVEN T. NAISER
VICE PRESIDENT
502-719-1000
STEVEN T. NAISER
LOUISVILLE
KY
10-16-2015
0
210
181446
INFORMATION TABLE
2
infotable.xml
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16794
SH
SOLE
12294
0
4500
UNILEVER PLC F ADR 1 ADR REPS
COM
904767704
543
13320
SH
SOLE
10520
0
2800
UNION PACIFIC CORP
COM
907818108
1426
16130
SH
SOLE
12585
0
3545
UNITED TECHNOLOGIES
COM
913017109
756
8496
SH
SOLE
6246
0
2250
UNITEDHEALTH GRP INC
COM
91324p102
1417
12214
SH
SOLE
3975
0
8239
VENTAS INC REIT
COM
92276f100
403
7190
SH
SOLE
1940
0
5250
VENTAS INC REIT
COM
92276f100
56
1000
SH
OTR
0
0
1000
VERIZON COMMUNICATN
COM
92343v104
1986
45653
SH
SOLE
33458
0
12195
VERIZON COMMUNICATN
COM
92343v104
37
841
SH
OTR
0
0
841
VF CORPORATION
COM
918204108
2860
41932
SH
SOLE
27807
0
14125
WAL-MART STORES INC
COM
931142103
322
4963
SH
SOLE
4463
0
500
WALGREENS BOOTS ALLI
COM
931427108
6088
73260
SH
SOLE
53460
0
19800
WALT DISNEY CO
COM
254687106
953
9325
SH
SOLE
9325
0
0
WEB.COM GROUP INC
COM
94733a104
202
9588
SH
SOLE
6788
0
2800
WELLS FARGO & CO
COM
949746101
497
9678
SH
SOLE
8244
0
1434
WESTERN DIGITAL CORP
COM
958102105
276
3475
SH
SOLE
1125
0
2350
WHIRLPOOL CORP
COM
963320106
1518
10305
SH
SOLE
8565
0
1740
WILLIAMS COMPANIES
COM
969457100
2117
57440
SH
SOLE
38620
0
18820
WONDER AUTO TECH INC XXX ESCRO
COM
978esc101
0
14000
SH
SOLE
11000
0
3000
YUM BRANDS INC
COM
988498101
1049
13120
SH
SOLE
6870
0
6250
ISHARES MSCI EAFE ETF
ETF
464287465
212
3705
SH
SOLE
3705
0
0
ISHARES MSCI EAFE ETF
ETF
464287465
56
971
SH
OTR
0
0
971
ISHARES MSCI EMERGING MARKETS
ETF
464287234
587
17919
SH
SOLE
9769
0
8150
ISHARES MSCI EMERGING MARKETS
ETF
464287234
10
300
SH
OTR
0
0
300
ISHARES RUSSELL 1000 GROWTH ET
ETF
464287614
1520
16342
SH
SOLE
16342
0
0
ISHARES RUSSELL 2000 GROWTH ET
ETF
464287648
228
1701
SH
SOLE
1701
0
0
ISHARES RUSSELL 2000 VALUE ETF
ETF
464287630
222
2461
SH
SOLE
2461
0
0
ISHARES RUSSELL GROWTH MIDCAP
ETF
464287481
228
2575
SH
SOLE
2575
0
0
ISHARES RUSSELL MID CAP ETF
ETF
464287499
785
5045
SH
SOLE
5045
0
0
SCHWAB EMERGING MARKETS EQUITY
ETF
808524706
480
23715
SH
SOLE
19715
0
4000
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
713
21557
SH
SOLE
17332
0
4225