0001559968-18-000006.txt : 20180716 0001559968-18-000006.hdr.sgml : 20180716 20180716091610 ACCESSION NUMBER: 0001559968-18-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180716 DATE AS OF CHANGE: 20180716 EFFECTIVENESS DATE: 20180716 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: 18953671 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 06-30-2018 06-30-2018 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 07-16-2018 0 232 299443 INFORMATION TABLE 2 infotable.xml 3M CO COM 88579y101 1468 7463 SH SOLE 6963 0 500 3M CO COM 88579y101 36 181 SH OTR 0 0 181 A T & T INC COM 00206r102 2935 91397 SH SOLE 81873 0 9524 A T & T INC COM 00206r102 53 1650 SH OTR 0 0 1650 ABBOTT LABORATORIES COM 002824100 1972 32336 SH SOLE 30936 0 1400 ABBVIE INC COM 00287y109 1118 12071 SH SOLE 11436 0 635 ABBVIE INC COM 00287y109 119 1280 SH OTR 0 0 1280 ACTIVISION BLIZZARD COM 00507v109 466 6108 SH SOLE 3554 0 2554 ADIENT PLC F COM g0084w101 329 6680 SH SOLE 6180 0 500 ADOBE SYSTEMS INC COM 00724f101 463 1900 SH SOLE 1900 0 0 AENA SME S.A. EUR10 ISIN#ES010 COM e526k0106 363 2000 SH SOLE 2000 0 0 ALBEMARLE CORP COM 012653101 1888 20010 SH SOLE 20010 0 0 ALIBABA GROUP HOLDING F SPONSO COM 01609w102 5521 29760 SH SOLE 29010 0 750 ALLERGAN PLC F COM g0177j108 339 2035 SH SOLE 1855 0 180 ALPHABET INC. 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