0001559968-16-000016.txt : 20160715
0001559968-16-000016.hdr.sgml : 20160715
20160715093348
ACCESSION NUMBER: 0001559968-16-000016
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160630
FILED AS OF DATE: 20160715
DATE AS OF CHANGE: 20160715
EFFECTIVENESS DATE: 20160715
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: 161768747
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
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0001559968
XXXXXXXX
06-30-2016
06-30-2016
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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
07-15-2016
0
219
183966
INFORMATION TABLE
2
infotable.xml
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680
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3210
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COM
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0
2000
THERMO FISHER SCNTFC
COM
883556102
1356
9178
SH
SOLE
6038
0
3140
TIME WARNER INC
COM
887317303
3134
42610
SH
SOLE
28291
0
14319
TJX COMPANIES INC
COM
872540109
1567
20291
SH
SOLE
15201
0
5090
TRACTOR SUPPLY COMP
COM
892356106
371
4069
SH
SOLE
4069
0
0
TRAVELERS COMPANIES
COM
89417e109
584
4905
SH
SOLE
2405
0
2500
TRINA SOLAR LTD F ADR 1 ADR RE
COM
89628e104
112
14500
SH
SOLE
14500
0
0
U S BANCORP
COM
902973304
651
16137
SH
SOLE
11637
0
4500
UNILEVER PLC F ADR 1 ADR REPS
COM
904767704
359
7500
SH
SOLE
4700
0
2800
UNION PACIFIC CORP
COM
907818108
329
3766
SH
SOLE
1766
0
2000
UNITED PARCEL SRVC CLASS B
COM
911312106
190
1765
SH
SOLE
765
0
1000
UNITED PARCEL SRVC CLASS B
COM
911312106
22
200
SH
OTR
0
0
200
UNITED TECHNOLOGIES
COM
913017109
841
8205
SH
SOLE
5955
0
2250
UNITEDHEALTH GRP INC
COM
91324p102
1640
11614
SH
SOLE
3975
0
7639
VENTAS INC REIT
COM
92276f100
429
5890
SH
SOLE
1640
0
4250
VENTAS INC REIT
COM
92276f100
73
1000
SH
OTR
0
0
1000
VERIZON COMMUNICATN
COM
92343v104
1966
35214
SH
SOLE
24176
0
11038
VERIZON COMMUNICATN
COM
92343v104
47
841
SH
OTR
0
0
841
VF CORPORATION
COM
918204108
2450
39851
SH
SOLE
26226
0
13625
WAL-MART STORES INC
COM
931142103
305
4183
SH
SOLE
4183
0
0
WALGREENS BOOTS ALLI
COM
931427108
6328
75991
SH
SOLE
56191
0
19800
WALT DISNEY CO
COM
254687106
833
8520
SH
SOLE
8520
0
0
WELLS FARGO BK N A
COM
949746101
573
12098
SH
SOLE
9414
0
2684
WEYERHAEUSER CO REIT
COM
962166104
307
10300
SH
SOLE
4700
0
5600
WHIRLPOOL CORP
COM
963320106
1966
11800
SH
SOLE
9730
0
2070
WILLIAMS COMPANIES
COM
969457100
1357
62735
SH
SOLE
42300
0
20435
WONDER AUTO TECH INC XXX ESCRO
COM
978esc101
0
11000
SH
SOLE
11000
0
0
YUM BRANDS INC
COM
988498101
937
11300
SH
SOLE
5050
0
6250
ZIMMER BIOMET HLDGS INCCOM
COM
98956p102
217
1800
SH
SOLE
1800
0
0
ISHARES MSCI BRAZIL CAPPED ETF
ETF
464286400
471
15600
SH
SOLE
15600
0
0
ISHARES MSCI EAFE ETF
ETF
464287465
207
3705
SH
SOLE
3705
0
0
ISHARES MSCI EAFE ETF
ETF
464287465
54
971
SH
OTR
0
0
971
ISHARES MSCI EMERGING MARKETS
ETF
464287234
431
12544
SH
SOLE
6394
0
6150
ISHARES MSCI EMERGING MARKETS
ETF
464287234
10
300
SH
OTR
0
0
300
ISHARES RUSSELL 2000 GROWTH ET
ETF
464287648
233
1701
SH
SOLE
1701
0
0
ISHARES RUSSELL 2000 VALUE ETF
ETF
464287630
938
9641
SH
SOLE
9641
0
0
ISHARES RUSSELL GROWTH MIDCAP
ETF
464287481
241
2575
SH
SOLE
2575
0
0
ISHARES RUSSELL MID CAP ETF IV
ETF
464287499
888
5282
SH
SOLE
5282
0
0
SCHWAB EMERGING MARKETS EQUITY
ETF
808524706
812
38145
SH
SOLE
33145
0
5000
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
515
14610
SH
SOLE
8610
0
6000