0001559968-17-000004.txt : 20170417
0001559968-17-000004.hdr.sgml : 20170417
20170417150453
ACCESSION NUMBER: 0001559968-17-000004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170331
FILED AS OF DATE: 20170417
DATE AS OF CHANGE: 20170417
EFFECTIVENESS DATE: 20170417
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: 17764377
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
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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
CHIEF COMPLIANCE OFFICER
502-719-1000
STEVEN T. NAISRE
LOUISVILLE
KY
04-17-2017
0
235
264868
INFORMATION TABLE
2
infotable.xml
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1000
S&P GLOBAL INC COM
COM
78409v104
306
2342
SH
SOLE
2342
0
0
SCHEIN HENRY INC
COM
806407102
595
3500
SH
SOLE
3100
0
400
SCHLUMBERGER LTD F
COM
806857108
997
12763
SH
SOLE
10506
0
2257
SEAGATE TECHNOLOGY F
COM
g7945m107
514
11200
SH
SOLE
10050
0
1150
SKYWORKS SOLUTIONS
COM
83088m102
719
7340
SH
SOLE
7285
0
55
STARBUCKS CORP
COM
855244109
256
4383
SH
SOLE
4383
0
0
STERICYCLE INC
COM
858912108
220
2650
SH
SOLE
650
0
2000
STONEMOR PARTNERS LP
COM
86183q100
457
57632
SH
SOLE
52632
0
5000
STRYKER CORP
COM
863667101
896
6806
SH
SOLE
6806
0
0
TAIWAN SEMICONDUCTR F SPONSORE
COM
874039100
403
12285
SH
SOLE
9783
0
2502
TECK RESOURCES
COM
878742204
587
26800
SH
SOLE
26800
0
0
TEMPLETON DRAGON CF
COM
88018t101
365
19400
SH
SOLE
13400
0
6000
TENNECO INC
COM
880349105
300
4800
SH
SOLE
4800
0
0
TEXAS INSTRUMENTS
COM
882508104
1317
16350
SH
SOLE
11350
0
5000
TEXAS ROADHOUSE CLASS A
COM
882681109
236
5300
SH
SOLE
3300
0
2000
THE CHARLES SCHWAB CORP
COM
808513105
2325
56961
SH
SOLE
56961
0
0
THERMO FISHER SCNTFC
COM
883556102
1379
8980
SH
SOLE
7930
0
1050
TIME WARNER INC
COM
887317303
3768
38559
SH
SOLE
33656
0
4903
TJX COMPANIES INC
COM
872540109
1853
23436
SH
SOLE
20036
0
3400
TRACTOR SUPPLY COMP
COM
892356106
260
3770
SH
SOLE
2570
0
1200
TRAVELERS COMPANIES
COM
89417e109
591
4905
SH
SOLE
4655
0
250
U S BANCORP
COM
902973304
821
15937
SH
SOLE
13437
0
2500
UNILEVER PLC F SPONSORED ADR 1
COM
904767704
419
8500
SH
SOLE
7700
0
800
UNION PACIFIC CORP
COM
907818108
399
3766
SH
SOLE
3766
0
0
UNITED TECHNOLOGIES
COM
913017109
837
7455
SH
SOLE
6555
0
900
UNITEDHEALTH GRP INC
COM
91324p102
1897
11564
SH
SOLE
7600
0
3964
VENTAS INC REIT
COM
92276f100
383
5890
SH
SOLE
3640
0
2250
VENTAS INC REIT
COM
92276f100
65
1000
SH
OTR
0
0
1000
VERIZON COMMUNICATN
COM
92343v104
1529
31363
SH
SOLE
26220
0
5143
VERIZON COMMUNICATN
COM
92343v104
41
841
SH
OTR
0
0
841
VF CORPORATION
COM
918204108
2048
37264
SH
SOLE
32864
0
4400
VISA INC CLASS A
COM
92826c839
752
8465
SH
SOLE
8465
0
0
WALGREENS BOOTS ALLI
COM
931427108
6655
80129
SH
SOLE
72059
0
8070
WALT DISNEY CO
COM
254687106
1250
11020
SH
SOLE
11020
0
0
WATERS CORP
COM
941848103
350
2240
SH
SOLE
2240
0
0
WEB.COM GROUP INC
COM
94733a104
197
10188
SH
SOLE
9188
0
1000
WELLS FARGO BK N A
COM
949746101
817
14678
SH
SOLE
13108
0
1570
WESTERN DIGITAL CORP
COM
958102105
2550
30895
SH
SOLE
27645
0
3250
WHIRLPOOL CORP
COM
963320106
2178
12710
SH
SOLE
11690
0
1020
WILLIAMS COMPANIES
COM
969457100
2116
71525
SH
SOLE
62625
0
8900
WONDER AUTO TECH INC XXX ESCRO
COM
978esc101
0
10000
SH
SOLE
10000
0
0
WORKDAY INC CL A
COM
98138h101
1672
20077
SH
SOLE
20077
0
0
YUM BRANDS INC
COM
988498101
738
11550
SH
SOLE
8200
0
3350
YUM CHINA HOLDINGS I
COM
98850p109
307
11300
SH
SOLE
7950
0
3350
ZIMMER BIOMET HLDGS
COM
98956p102
220
1800
SH
SOLE
1800
0
0
ISHARES MSCI BRAZIL CAPPED ETF
ETF
464286400
957
25535
SH
SOLE
25535
0
0
ISHARES MSCI EAFE ETF
ETF
464287465
230
3685
SH
SOLE
3685
0
0
ISHARES MSCI EAFE ETF
ETF
464287465
60
971
SH
OTR
0
0
971
ISHARES MSCI EMERGING MARKETS
ETF
464287234
339
8594
SH
SOLE
3944
0
4650
ISHARES RUSSELL 2000 GROWTH ET
ETF
464287648
271
1675
SH
SOLE
1675
0
0
ISHARES RUSSELL 2000 VALUE ETF
ETF
464287630
291
2461
SH
SOLE
2461
0
0
ISHARES RUSSELL GROWTH MIDCAP
ETF
464287481
267
2575
SH
SOLE
2575
0
0
SCHWAB EMERGING MARKETS EQUITY
ETF
808524706
1101
45915
SH
SOLE
45915
0
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
1495
37650
SH
SOLE
36650
0
1000
WISDOMTREE EUROPE HEDGED EQTY
ETF
97717x701
784
12480
SH
SOLE
12480
0
0