0001559968-17-000008.txt : 20171012
0001559968-17-000008.hdr.sgml : 20171012
20171012102151
ACCESSION NUMBER: 0001559968-17-000008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171012
DATE AS OF CHANGE: 20171012
EFFECTIVENESS DATE: 20171012
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: 171133947
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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09-30-2017
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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
10-12-2017
0
245
296998
INFORMATION TABLE
2
infotable.xml
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77
850
SH
OTR
0
0
850
PRUDENTIAL FINANCIAL
COM
744320102
1947
18315
SH
SOLE
16315
0
2000
RENEURON GROUP PLC ORDF
COM
g7489a105
2
100000
SH
SOLE
100000
0
0
RIO TINTO PLC F SPONSORED ADR
COM
767204100
936
19825
SH
SOLE
17825
0
2000
ROYAL CARIBBEAN CRUI F
COM
v7780t103
1645
13880
SH
SOLE
13880
0
0
ROYAL DUTCH SHELL A ADRF SPONS
COM
780259206
279
4600
SH
SOLE
4600
0
0
ROYAL DUTCH SHELL F SPONSORED
COM
780259206
238
3934
SH
SOLE
1434
0
2500
ROYAL DUTCH SHELL F SPONSORED
COM
780259107
746
11935
SH
SOLE
11435
0
500
S&P GLOBAL INC COM
COM
78409v104
258
1649
SH
SOLE
1649
0
0
SCHEIN HENRY INC
COM
806407102
574
7000
SH
SOLE
7000
0
0
SCHLUMBERGER LTD F
COM
806857108
873
12513
SH
SOLE
10506
0
2007
SEAGATE TECHNOLOGY F
COM
g7945m107
292
8800
SH
SOLE
8800
0
0
SHERWIN WILLIAMS CO
COM
824348106
206
575
SH
SOLE
575
0
0
SKYWORKS SOLUTIONS
COM
83088m102
705
6920
SH
SOLE
6865
0
55
STARBUCKS CORP
COM
855244109
235
4383
SH
SOLE
4383
0
0
STONEMOR PARTNERS LP
COM
86183q100
247
37807
SH
SOLE
32807
0
5000
STRYKER CORP
COM
863667101
895
6300
SH
SOLE
6300
0
0
SYSCO CORPORATION
COM
871829107
1432
26540
SH
SOLE
25740
0
800
TAIWAN SEMICONDUCTR F SPONSORE
COM
874039100
443
11785
SH
SOLE
9283
0
2502
TEMPLETON DRAGON CF
COM
88018t101
404
19400
SH
SOLE
13400
0
6000
TENNECO INC
COM
880349105
279
4600
SH
SOLE
4600
0
0
TEXAS INSTRUMENTS
COM
882508104
1466
16350
SH
SOLE
11350
0
5000
TEXAS ROADHOUSE CLASS A
COM
882681109
260
5300
SH
SOLE
4300
0
1000
THE CHARLES SCHWAB CORP
COM
808513105
1952
44633
SH
SOLE
44633
0
0
THERMO FISHER SCNTFC
COM
883556102
1640
8670
SH
SOLE
7620
0
1050
TIME WARNER INC
COM
887317303
3794
37034
SH
SOLE
32381
0
4653
TJX COMPANIES INC
COM
872540109
1720
23325
SH
SOLE
19925
0
3400
TRACTOR SUPPLY COMP
COM
892356106
239
3770
SH
SOLE
2570
0
1200
TRAVELERS COMPANIES
COM
89417e109
663
5410
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SOLE
5035
0
375
U S BANCORP
COM
902973304
854
15937
SH
SOLE
13937
0
2000
UNILEVER PLC F SPONSORED ADR 1
COM
904767704
481
8300
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SOLE
7500
0
800
UNION PACIFIC CORP
COM
907818108
437
3766
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SOLE
3766
0
0
UNITED CONTL HLDGS
COM
910047109
493
8100
SH
SOLE
7600
0
500
UNITED PARCEL SRVC CLASS B
COM
911312106
197
1639
SH
SOLE
1639
0
0
UNITED PARCEL SRVC CLASS B
COM
911312106
24
200
SH
OTR
0
0
200
UNITED TECHNOLOGIES
COM
913017109
854
7355
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SOLE
6455
0
900
UNITEDHEALTH GRP INC
COM
91324p102
2245
11464
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SOLE
7664
0
3800
VENTAS INC REIT
COM
92276f100
384
5890
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SOLE
3640
0
2250
VENTAS INC REIT
COM
92276f100
65
1000
SH
OTR
0
0
1000
VERIZON COMMUNICATN
COM
92343v104
1516
30639
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SOLE
24696
0
5943
VERIZON COMMUNICATN
COM
92343v104
42
841
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OTR
0
0
841
VF CORPORATION
COM
918204108
2337
36764
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SOLE
32864
0
3900
VISA INC CLASS A
COM
92826c839
1771
16830
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SOLE
16830
0
0
WALGREENS BOOTS ALLI
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931427108
6797
88017
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SOLE
80447
0
7570
WALT DISNEY CO
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254687106
1316
13355
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SOLE
13355
0
0
WATERS CORP
COM
941848103
402
2240
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SOLE
2240
0
0
WELLS FARGO BK N A
COM
949746101
809
14678
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SOLE
13108
0
1570
WESTERN DIGITAL CORP
COM
958102105
2998
34700
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SOLE
30350
0
4350
WHIRLPOOL CORP
COM
963320106
2515
13635
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SOLE
12615
0
1020
WILLIAMS COMPANIES
COM
969457100
2473
82400
SH
SOLE
73500
0
8900
WONDER AUTO TECH INC XXX ESCRO
COM
978esc101
0
10000
SH
SOLE
10000
0
0
WORKDAY INC COM USD0.001CL A
COM
98138h101
2074
19677
SH
SOLE
19677
0
0
YUM BRANDS INC
COM
988498101
832
11300
SH
SOLE
7950
0
3350
YUM CHINA HOLDINGS I
COM
98850p109
452
11300
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SOLE
7950
0
3350
ZIMMER BIOMET HLDGS
COM
98956p102
211
1800
SH
SOLE
1800
0
0
ISHARES CHINA LARGE CAP ETF
ETF
464287184
1000
22700
SH
SOLE
22700
0
0
ISHARES MSCI EAFE ETF
ETF
464287465
252
3685
SH
SOLE
3685
0
0
ISHARES MSCI EAFE ETF
ETF
464287465
66
971
SH
OTR
0
0
971
ISHARES MSCI EMERGING MARKETS
ETF
464287234
475
10594
SH
SOLE
5944
0
4650
ISHARES RUSSELL 2000 GROWTH ET
ETF
464287648
300
1675
SH
SOLE
1675
0
0
ISHARES RUSSELL 2000 VALUE ETF
ETF
464287630
250
2011
SH
SOLE
2011
0
0
ISHARES RUSSELL GROWTH MIDCAP
ETF
464287481
291
2575
SH
SOLE
2575
0
0
SCHWAB EMERGING MARKETS EQUITY
ETF
808524706
1332
49515
SH
SOLE
49515
0
0
VANGUARD FTSE EMERGING MARKETS
ETF
922042858
1778
40800
SH
SOLE
39800
0
1000
VANGUARD INTL EQUITY INDEXFDS
ETF
922042874
976
16740
SH
SOLE
16740
0
0