0001602476-19-000002.txt : 20190528
0001602476-19-000002.hdr.sgml : 20190528
20190528111724
ACCESSION NUMBER: 0001602476-19-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190331
FILED AS OF DATE: 20190528
DATE AS OF CHANGE: 20190528
EFFECTIVENESS DATE: 20190528
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: 19856515
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
true
true
0001602476
XXXXXXXX
03-31-2019
03-31-2019
Lumbard & Kellner, LLC
PO BOX 749
HOLLIS
NH
03049
13F HOLDINGS REPORT
028-16104
N
Drew Kellner
Chief Compliance Officer
6034657700
Drew Kellner
Hollis
NH
05-28-2019
0
80
179536
false
INFORMATION TABLE
2
13F_03_31_19.xml
ALPHABET INC CL C
COMMON STOCK
02079K107
6540
5574
SH
SOLE
6540
0
0
AMERICAN EXPRESS CO 4.900 12/29/49
CORPORATE BONDS AND NOTES
025816BL2
694
698000
SH
SOLE
694
0
0
APPLE INC
COMMON STOCK
037833100
626
3298
SH
SOLE
626
0
0
APPLIED MATERIALS INC
COMMON STOCK
038222105
643
16203
SH
SOLE
643
0
0
AT&T INC
COMMON STOCK
00206R102
4565
145571
SH
SOLE
4565
0
0
BANK OF AMER MTN 2.90473 12/01/26
CORPORATE BONDS AND NOTES
5901886X1
852
949000
SH
SOLE
852
0
0
BANK OF AMER MTN 4.66172 6/29/20
CORPORATE BONDS AND NOTES
06048WCQ1
100
100000
SH
SOLE
100
0
0
BANK OF NY MELLON 4.950 12/29/49
CORPORATE BONDS AND NOTES
064058AD2
2020
2000000
SH
SOLE
2020
0
0
BORG WARNER INC
COMMON STOCK
099724106
1144
29795
SH
SOLE
1144
0
0
BRIGHTHOUSE FINL INC
COMMON STOCK
10922N103
2177
59995
SH
SOLE
2177
0
0
CHECK POINT SOFTWARE TECH LTD
FOREIGN COMMON STOCK
M22465104
427
3376
SH
SOLE
427
0
0
CITIGROUP INC 5.950 12/29/49
CORPORATE BONDS AND NOTES
172967JZ5
798
790000
SH
SOLE
798
0
0
CITIGROUP INC 3.20404 8/25/36
CORPORATE BONDS AND NOTES
172967DS7
449
570000
SH
SOLE
449
0
0
CITIGROUP INC MTN 4.03819 12/15/20
CORPORATE BONDS AND NOTES
1730T0LD9
302
300000
SH
SOLE
302
0
0
COMCAST CORP CLASS A
COMMON STOCK
20030N101
421
10529
SH
SOLE
421
0
0
CORNING INC
COMMON STOCK
219350105
4374
132141
SH
SOLE
4374
0
0
COVETRUS INC NPV
COMMON STOCK
22304C100
1959
61519
SH
SOLE
1959
0
0
ELI LILLY CO
COMMON STOCK
532457108
773
5955
SH
SOLE
773
0
0
ENERGY TRANSFER 5.68202 11/01/66
CORPORATE BONDS AND NOTES
29273RBA6
1548
1911000
SH
SOLE
1548
0
0
EXXON MOBIL CORP
COMMON STOCK
30231G102
711
8794
SH
SOLE
711
0
0
FACEBOOK INC CLASS A
COMMON STOCK
30303M102
4929
29567
SH
SOLE
4929
0
0
FED EX CORP
COMMON STOCK
31428X106
5197
28647
SH
SOLE
5197
0
0
FIRST AM GOVT OB FD CL Y
SHORT TERM FDS-TAXABLE (ACM)
31846V203
6858
6857976
SH
SOLE
6858
0
0
FIRST MD CAP I 3.43631 1/15/27
CORPORATE BONDS AND NOTES
320808AD0
918
992000
SH
SOLE
918
0
0
GABRIEL RESOURCES LTD
FOREIGN COMMON STOCK
361970106
10
30000
SH
SOLE
10
0
0
GENERAL ELECTRIC CO
COMMON STOCK
369604103
167
16700
SH
SOLE
167
0
0
GOLDMAN SACHS GROUP INC
COMMON STOCK
38141G104
3959
20619
SH
SOLE
3959
0
0
HONEYWELL INTERNATIONAL INC
COMMON STOCK
438516106
769
4836
SH
SOLE
769
0
0
HUNTINGTON BANCSHARES INC
COMMON STOCK
446150104
2483
195795
SH
SOLE
2483
0
0
INGRAM MICRO INC 5.450 12/15/24
CORPORATE BONDS AND NOTES
457153AG9
89
90000
SH
SOLE
89
0
0
INVESCO QQQ TRUST ETF
CLOSED END MUTUAL FUND EQUITY
46090E103
5719
31830
SH
SOLE
5719
0
0
ISHARES MSCI POLAND ETF
CLOSED END MUTUAL FUND EQUITY
46429B606
4397
192185
SH
SOLE
4397
0
0
JOHNSON JOHNSON
COMMON STOCK
478160104
208
1490
SH
SOLE
208
0
0
JP MORGAN CHASE MTN 2.4912 4/30/24
CORPORATE BONDS AND NOTES
48126N6A0
890
926000
SH
SOLE
890
0
0
KEYCORP
COMMON STOCK
493267108
2022
128400
SH
SOLE
2022
0
0
KOHLS CORPORATION 4.250 7/17/25
CORPORATE BONDS AND NOTES
500255AU8
51
50000
SH
SOLE
51
0
0
KRATON CORPORATION
COMMON STOCK
50077C106
2653
82458
SH
SOLE
2653
0
0
LOCKHEED MARTIN CORP
COMMON STOCK
539830109
2863
9539
SH
SOLE
2863
0
0
LYONDELLBASELL INDU CL A
FOREIGN COMMON STOCK
N53745100
248
2955
SH
SOLE
248
0
0
MANUF TRADERS 3.4608 12/28/20
CORPORATE BONDS AND NOTES
564759PS1
173
173000
SH
SOLE
173
0
0
MASSACHUSETTS ST SER 3.000 12/01/23
MUNI BDS-FIXED NON TAXABLE
57582PD31
50
50000
SH
SOLE
50
0
0
MATTHEWS ASIA DIVIDEND INS
MUTUAL FUNDS - EQUITY
577130750
11116
648177
SH
SOLE
11116
0
0
MATTHEWS INDIA FUND INSTITUTIONAL
MUTUAL FUNDS - EQUITY
577130768
4291
153040
SH
SOLE
4291
0
0
MELLON CAPITAL IV 4.000 12/20/67
CORPORATE BONDS AND NOTES
58551TAA5
781
944000
SH
SOLE
781
0
0
MERCK CO INC
COMMON STOCK
58933Y105
509
6120
SH
SOLE
509
0
0
METLIFE INC
COMMON STOCK
59156R108
6178
145133
SH
SOLE
6178
0
0
MEXICO EQUITY & INCOME FD
CLOSED END MUTUAL FUND EQUITY
592834105
145
13635
SH
SOLE
145
0
0
MICROSOFT CORP
COMMON STOCK
594918104
230
1950
SH
SOLE
230
0
0
MORGAN STANLEY MTN 4.68644 4/16/19
CORPORATE BONDS AND NOTES
61760QAY0
695
695000
SH
SOLE
695
0
0
NISOURCE INC
COMMON STOCK
65473P105
344
12000
SH
SOLE
344
0
0
NTC CAPITAL II 3.0287 4/15/27
CORPORATE BONDS AND NOTES
629398AA6
701
758000
SH
SOLE
701
0
0
OPUS BANK 5.500 7/01/26
CORPORATE BONDS AND NOTES
684000AA0
194
192000
SH
SOLE
194
0
0
PEPSICO INC
COMMON STOCK
713448108
362
2950
SH
SOLE
362
0
0
PHILIP MORRIS INTL
COMMON STOCK
718172109
383
4334
SH
SOLE
383
0
0
PIMCO ENHANCED SHORT MATURITY ETF
CLOSED END MUTUAL FUND FIXED
72201R833
7444
73294
SH
SOLE
7444
0
0
PRUDENTIAL FINANCIAL INC
COMMON STOCK
744320102
6307
68639
SH
SOLE
6307
0
0
SCHEIN HENRY INC
COMMON STOCK
806407102
2432
40455
SH
SOLE
2432
0
0
SINGAPORE TELECOMMUNICATNS A D R
FOREIGN COMMON STOCK
82929R304
2529
112858
SH
SOLE
2529
0
0
SOUTH CAROLINA ST 2.46622 12/01/49
MUNI BDS-VARIABLE NON TAXABLE
837151JR1
25
25000
SH
SOLE
25
0
0
SOUTHBOROUGH MA REF 4.000 6/01/20
MUNI BDS-FIXED NON TAXABLE
841229LM7
52
50000
SH
SOLE
52
0
0
SPDR S P 500 ETF
CLOSED END MUTUAL FUND EQUITY
78462F103
212
750
SH
SOLE
212
0
0
SPDR S&P REGIONAL BANKING ETF
CLOSED END MUTUAL FUND EQUITY
78464A698
322
6270
SH
SOLE
322
0
0
STATE STREET CORP 3.78819 6/15/37
CORPORATE BONDS AND NOTES
857477AY9
24
30000
SH
SOLE
24
0
0
SUNTRUST CAPITAL 3.36179 3/15/28
CORPORATE BONDS AND NOTES
86788LAA8
189
204000
SH
SOLE
189
0
0
TAKEDA PHARMACEUTICAL SP A D R
FOREIGN COMMON STOCK
874060205
2729
133980
SH
SOLE
2729
0
0
TYSON FOODS INC CL A
COMMON STOCK
902494103
3015
43420
SH
SOLE
3015
0
0
US BANK CAPITAL IX 3.57778 4/15/49
CORPORATE BONDS AND NOTES
91731KAA8
1110
1414000
SH
SOLE
1110
0
0
VANGUARD 500 INDEX ADMIRAL
MUTUAL FUNDS - EQUITY
922908710
202
772
SH
SOLE
202
0
0
VANGUARD FTSE EMERGING MARKETS ETF
CLOSED END MUTUAL FUND EQUITY
922042858
3840
90359
SH
SOLE
3840
0
0
VANGUARD TOTAL STOCK MARKET ETF
CLOSED END MUTUAL FUND EQUITY
922908769
26267
181513
SH
SOLE
26267
0
0
VANGUARD TOTAL WORLD STOCK INDEX ETF
CLOSED END MUTUAL FUND EQUITY
922042742
2937
40145
SH
SOLE
2937
0
0
VISA INC CLASS A SHARES
COMMON STOCK
92826C839
460
2945
SH
SOLE
460
0
0
VOYA FINANCIAL INC
COMMON STOCK
929089100
276
5525
SH
SOLE
276
0
0
WACHOVIA CAP TR II 5.44598 3/29/49
CORPORATE BONDS AND NOTES
92978AAA0
844
855000
SH
SOLE
844
0
0
WALMART INC
COMMON STOCK
931142103
6600
67675
SH
SOLE
6600
0
0
WALT DISNEY CO THE
COMMON STOCK
254687106
4669
42055
SH
SOLE
4669
0
0
WELLS FARGO MTN 3.500 3/08/22
CORPORATE BONDS AND NOTES
94974BFC9
51
50000
SH
SOLE
51
0
0
WESTWOOD MA REF 4.000 6/01/19
MUNI BDS-FIXED NON TAXABLE
961777XD6
50
50000
SH
SOLE
50
0
0
ZOETIS INC
COMMON STOCK
98978V103
5245
52105
SH
SOLE
5245
0
0