0001559968-16-000020.txt : 20161018 0001559968-16-000020.hdr.sgml : 20161018 20161018162818 ACCESSION NUMBER: 0001559968-16-000020 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161018 DATE AS OF CHANGE: 20161018 EFFECTIVENESS DATE: 20161018 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: 161941120 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 09-30-2016 09-30-2016 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 10-18-2016 0 219 192444 INFORMATION TABLE 2 infotable.xml 3M COMPANY COM 88579y101 1178 6683 SH SOLE 6183 0 500 3M COMPANY COM 88579y101 32 181 SH OTR 0 0 181 A T & T INC COM 00206r102 2985 73507 SH SOLE 64657 0 8850 A T & T INC COM 00206r102 67 1650 SH OTR 0 0 1650 ABBOTT LABORATORIES COM 002824100 482 11398 SH SOLE 9998 0 1400 ABBVIE INC COM 00287y109 810 12843 SH SOLE 12208 0 635 ABBVIE INC COM 00287y109 81 1280 SH OTR 0 0 1280 ACTIVISION BLIZZARD COM 00507v109 271 6108 SH SOLE 3554 0 2554 ADOBE SYSTEMS INC COM 00724f101 424 3910 SH SOLE 3910 0 0 ALIBABA GROUP HLDG F ADR 1 ADR COM 01609w102 366 3460 SH SOLE 3460 0 0 ALLERGAN PLC F COM g0177j108 798 3467 SH SOLE 3007 0 460 ALPHABET INC. CLASS A COM 02079k305 2954 3674 SH SOLE 3399 0 275 ALPHABET INC. 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