0001559968-17-000002.txt : 20170130 0001559968-17-000002.hdr.sgml : 20170130 20170130085620 ACCESSION NUMBER: 0001559968-17-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170130 DATE AS OF CHANGE: 20170130 EFFECTIVENESS DATE: 20170130 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: 17555486 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 true false 0001559968 XXXXXXXX 12-31-2016 12-31-2016 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 01-30-2017 0 218 195443 INFORMATION TABLE 2 infotable.xml 3M COMPANY COM 88579y101 1193 6683 SH SOLE 6183 0 500 3M COMPANY COM 88579y101 32 181 SH OTR 0 0 181 A T & T INC COM 00206r102 2882 67757 SH SOLE 59907 0 7850 A T & T INC COM 00206r102 70 1650 SH OTR 0 0 1650 ABBOTT LABORATORIES COM 002824100 444 11548 SH SOLE 10148 0 1400 ABBVIE INC COM 00287y109 742 11843 SH SOLE 11208 0 635 ABBVIE INC COM 00287y109 80 1280 SH OTR 0 0 1280 ACTIVISION BLIZZARD COM 00507v109 221 6108 SH SOLE 3554 0 2554 ADOBE SYSTEMS INC COM 00724f101 557 5410 SH SOLE 5410 0 0 ALIBABA GROUP HLDG F SPONSORED COM 01609w102 321 3660 SH SOLE 3660 0 0 ALLERGAN PLC F COM g0177j108 1607 7653 SH SOLE 6713 0 940 ALPHABET INC. CLASS A COM 02079k305 2875 3628 SH SOLE 3403 0 225 ALPHABET INC. 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