0001602476-16-000008.txt : 20161102 0001602476-16-000008.hdr.sgml : 20161102 20161102155203 ACCESSION NUMBER: 0001602476-16-000008 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161102 DATE AS OF CHANGE: 20161102 EFFECTIVENESS DATE: 20161102 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Lumbard & Kellner, LLC CENTRAL INDEX KEY: 0001602476 IRS NUMBER: 020438289 STATE OF INCORPORATION: NH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16104 FILM NUMBER: 161967721 BUSINESS ADDRESS: STREET 1: 5 HUTCHINGS DRIVE CITY: HOLLIS STATE: NH ZIP: 03049 BUSINESS PHONE: 603-465-7700 MAIL ADDRESS: STREET 1: PO BOX 749 CITY: HOLLIS STATE: NH ZIP: 03049 FORMER COMPANY: FORMER CONFORMED NAME: Lumbard Investment Counseling, LLC DATE OF NAME CHANGE: 20140312 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001602476 XXXXXXXX 09-30-2016 09-30-2016 Lumbard & Kellner, LLC

PO BOX 749 HOLLIS NH 03049

13F HOLDINGS REPORT 028-16104 N Drew Kellner 6034657700 Drew Kellner Hollis NH 11-02-2016 0 82 145557 false INFORMATION TABLE 2 13F_09_30_16.xml ALPHABET INC CL C COMMON STOCK 02079K107 3638 4681 SH SOLE 4681 0 0 ALTRIA GROUP INC 9.700% 11/10/18 CORPORATE BONDS AND NOTES 02209SAD5 59 50000 SH SOLE 50000 0 0 AMICUS WIND DOWN 0.00001% 6/15/12 CORPORATE BONDS AND NOTES 358497AC9 0 50000 SH SOLE 50000 0 0 APPLIED MATERIALS INC COMMON STOCK 038222105 671 22250 SH SOLE 22250 0 0 AT&T INC COMMON STOCK 00206R102 2948 72581 SH SOLE 72581 0 0 BANK OF AMER MTN 3.42511% 6/29/20 CORPORATE BONDS AND NOTES 06048WCQ1 98 100000 SH SOLE 100000 0 0 BANK OF AMERICA CORP COMMON STOCK 060505104 237 15120 SH SOLE 15120 0 0 BANK OF AMERICA MT 1.32305% 12/01/26 CORPORATE BONDS AND NOTES 5901886X1 845 980000 SH SOLE 980000 0 0 BOEING CO COMMON STOCK 097023105 2983 22642 SH SOLE 22642 0 0 BOMBARDIER INC CL B FOREIGN COMMON STOCK 097751200 1663 1205325 SH SOLE 1205325 0 0 CITIGROUP INC 1.2123% 8/25/36 CORPORATE BONDS AND NOTES 172967DS7 439 600000 SH SOLE 600000 0 0 CITIGROUP INC MTN 3.000% 12/15/20 CORPORATE BONDS AND NOTES 1730T0LD9 298 300000 SH SOLE 300000 0 0 COMCAST CORP CLASS A COMMON STOCK 20030N101 479 7221 SH SOLE 7221 0 0 CORNING INC COMMON STOCK 219350105 4765 201466 SH SOLE 201466 0 0 CYNOSURE INC CL A COMMON STOCK 232577205 861 16895 SH SOLE 16895 0 0 DESARROLLADORA HOM DFLT 9/28/15 OTHER FOREIGN CORPORATE BONDS 25030WAB6 0 63000 SH SOLE 63000 0 0 ELI LILLY CO COMMON STOCK 532457108 478 5955 SH SOLE 5955 0 0 EME REORGN TR COMMON STOCK 268684107 0 83036 SH SOLE 83036 0 0 ENERGY TRANSFER 3.36889% 11/01/66 CORPORATE BONDS AND NOTES 29273RBA6 1338 1968000 SH SOLE 1968000 0 0 EXXON MOBIL CORP COMMON STOCK 30231G102 773 8856 SH SOLE 8856 0 0 F M C CORPORATION COMMON STOCK 302491303 4317 89295 SH SOLE 89295 0 0 FED EX CORP COMMON STOCK 31428X106 4864 27845 SH SOLE 27845 0 0 FIRST AMER GOVT OBLIG FUND CL Y SHORT TERM FDS-TAXABLE (ACM) 31846V203 15114 15113759 SH SOLE 15113759 0 0 FIRST MD CAP I 1.62835% 1/15/27 CORPORATE BONDS AND NOTES 320808AD0 896 1031000 SH SOLE 1031000 0 0 FIRST RESOURCES LTD FOREIGN COMMON STOCK B2927P4 1286 958250 SH SOLE 958250 0 0 FORD MOTOR CO COMMON STOCK 345370860 1644 136219 SH SOLE 136219 0 0 GABRIEL RESOURCES LTD FOREIGN COMMON STOCK 361970106 14 30000 SH SOLE 30000 0 0 GENERAL ELECTRIC CO COMMON STOCK 369604103 495 16700 SH SOLE 16700 0 0 GENERAL MOTORS CO COMMON STOCK 37045V100 1340 42181 SH SOLE 42181 0 0 GOLDMAN SACHS GR MTN 3.250% 8/15/18 CORPORATE BONDS AND NOTES 38141EE96 41 40000 SH SOLE 40000 0 0 GOLDMAN SACHS GROUP INC COMMON STOCK 38141G104 3068 19022 SH SOLE 19022 0 0 HONEYWELL INTERNATIONAL INC COMMON STOCK 438516106 631 5408 SH SOLE 5408 0 0 HUNTINGTON BANCSHARES INC COMMON STOCK 446150104 2257 228900 SH SOLE 228900 0 0 IMMUNOGEN INC COMMON STOCK 45253H101 942 351565 SH SOLE 351565 0 0 INGRAM MICRO INC 4.950% 12/15/24 CORPORATE BONDS AND NOTES 457153AG9 91 90000 SH SOLE 90000 0 0 INTERNATIONAL BUSINESS MACHINES CORP COMMON STOCK 459200101 4015 25274 SH SOLE 25274 0 0 ISHARES MSCI POLAND CAPPED INVST ETF CLOSED END MUTUAL FUND EQUITY 46429B606 3532 193855 SH SOLE 193855 0 0 JP MORGAN CHASE MTN 2.000% 4/30/24 CORPORATE BONDS AND NOTES 48126N6A0 969 1000000 SH SOLE 1000000 0 0 KEYCORP COMMON STOCK 493267108 2183 179335 SH SOLE 179335 0 0 KEYCORP CAPITAL 1 1.3651% 7/01/28 CORPORATE BONDS AND NOTES 49326MAA3 622 742000 SH SOLE 742000 0 0 KIMBERLY CLARK CORP COMMON STOCK 494368103 252 2000 SH SOLE 2000 0 0 KOHLS CORPORATION 4.250% 7/17/25 CORPORATE BONDS AND NOTES 500255AU8 52 50000 SH SOLE 50000 0 0 KRATON CORPORATION COMMON STOCK 50077C106 4022 114793 SH SOLE 114793 0 0 MANUF & TRADERS 5.585% 12/28/20 CORPORATE BONDS AND NOTES 564759PS1 197 198000 SH SOLE 198000 0 0 MASSACHUSETTS ST SER 3.000% 12/01/23 MUNI BDS-FIXED NON TAXABLE 57582PD31 53 50000 SH SOLE 50000 0 0 MATTHEWS ASIA DIVIDEND INS MUTUAL FUNDS - EQUITY 577130750 10030 591040 SH SOLE 591040 0 0 MATTHEWS ASIA SCIENCE AND TECHNOLOGY MUTUAL FUNDS - EQUITY 577125859 3223 257256 SH SOLE 257256 0 0 MATTHEWS INDIA FUND INSTITUTIONAL MUTUAL FUNDS - EQUITY 577130768 4065 144084 SH SOLE 144084 0 0 MELLON CAP IV 6.244% 6/29/49 CORPORATE BONDS AND NOTES 58551TAA5 809 944000 SH SOLE 944000 0 0 MERCK CO INC COMMON STOCK 58933Y105 367 5880 SH SOLE 5880 0 0 METLIFE INC COMMON STOCK 59156R108 5585 125695 SH SOLE 125695 0 0 MEXICO EQUITY & INCOME FD CLOSED END MUTUAL FUND EQUITY 592834105 190 18315 SH SOLE 18315 0 0 MICROSOFT CORP COMMON STOCK 594918104 288 5000 SH SOLE 5000 0 0 MILTON MA REF 2.000% 1/15/19 MUNI BDS-FIXED NON TAXABLE 602006RL4 51 50000 SH SOLE 50000 0 0 MITSUBISHI HVY IND FOREIGN COMMON STOCK 6597067 1436 346950 SH SOLE 346950 0 0 MORGAN STANLEY MTN 3.500% 9/30/17 CORPORATE BONDS AND NOTES 61745EM99 1383 1370000 SH SOLE 1370000 0 0 MORGAN STANLEY MTN 2.88285% 4/16/19 CORPORATE BONDS AND NOTES 61760QAY0 1196 1182000 SH SOLE 1182000 0 0 NISOURCE INC COMMON STOCK 65473P105 289 12000 SH SOLE 12000 0 0 NTC CAPITAL II 0.82174% 4/15/27 CORPORATE BONDS AND NOTES 629398AA6 656 758000 SH SOLE 758000 0 0 PENNSYLVANIA ST 5.000% 7/01/18 MUNI BDS-FIXED NON TAXABLE 70914PLA8 27 25000 SH SOLE 25000 0 0 PEPSICO INC COMMON STOCK 713448108 321 2950 SH SOLE 2950 0 0 PHILIP MORRIS INTL COMMON STOCK 718172109 418 4300 SH SOLE 4300 0 0 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 5941 72763 SH SOLE 72763 0 0 REGIONS FINL CORP COMMON STOCK 7591EP100 2935 297325 SH SOLE 297325 0 0 SHIRE PLC A D R FOREIGN COMMON STOCK 82481R106 3393 17500 SH SOLE 17500 0 0 SINGAPORE TELECOMMUNICATNS A D R FOREIGN COMMON STOCK 82929R304 2911 98905 SH SOLE 98905 0 0 SLM CORP MTN 8.450% 6/15/18 CORPORATE BONDS AND NOTES 78442FEH7 108 100000 SH SOLE 100000 0 0 SOUTHBOROUGH MA REF 4.000% 6/01/20 MUNI BDS-FIXED NON TAXABLE 841229LM7 55 50000 SH SOLE 50000 0 0 SPRINT NEXTEL CORP 6.000% 12/01/16 CORPORATE BONDS AND NOTES 852061AD2 30 30000 SH SOLE 30000 0 0 STATE STREET CAP 1.85028% 6/15/37 CORPORATE BONDS AND NOTES 85748DAA7 1608 1870000 SH SOLE 1870000 0 0 SUNTRUST CAPITAL 1.3025% 3/15/28 CORPORATE BONDS AND NOTES 86788LAA8 184 219000 SH SOLE 219000 0 0 TEXAS A M UNIV REVS 5.000% 5/15/18 MUNI BDS-FIXED NON TAXABLE 882135T71 27 25000 SH SOLE 25000 0 0 TYSON FOODS INC CL A COMMON STOCK 902494103 2976 39855 SH SOLE 39855 0 0 U S TREAS BDS 8.125% 8/15/19 US TREASURY BONDS & NOTES 912810ED6 12 10000 SH SOLE 10000 0 0 US BANK CAPITAL IX 3.54413% 4/15/49 CORPORATE BONDS AND NOTES 91731KAA8 1254 1465000 SH SOLE 1465000 0 0 US STEEL CORP 7.000% 2/01/18 CORPORATE BONDS AND NOTES 912656AG0 52 50000 SH SOLE 50000 0 0 VANGUARD FTSE EMERGING MARKETS ETF CLOSED END MUTUAL FUND EQUITY 922042858 3481 92500 SH SOLE 92500 0 0 VANGUARD TOTAL STOCK MKT ETF CLOSED END MUTUAL FUND EQUITY 922908769 9613 86345 SH SOLE 86345 0 0 WAL MART STORES INC COMMON STOCK 931142103 5066 70240 SH SOLE 70240 0 0 WELLS FARGO MTN 3.500% 3/08/22 CORPORATE BONDS AND NOTES 94974BFC9 53 50000 SH SOLE 50000 0 0 WESTWOOD MA REF 4.000% 6/01/19 MUNI BDS-FIXED NON TAXABLE 961777XD6 54 50000 SH SOLE 50000 0 0