0001602476-19-000003.txt : 20190806 0001602476-19-000003.hdr.sgml : 20190806 20190806143226 ACCESSION NUMBER: 0001602476-19-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190806 DATE AS OF CHANGE: 20190806 EFFECTIVENESS DATE: 20190806 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: 191001485 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 false 0001602476 XXXXXXXX 06-30-2019 06-30-2019 Lumbard & Kellner, LLC

PO BOX 749 HOLLIS NH 03049

13F HOLDINGS REPORT 028-16104 N Drew Kellner 603-465-7700 Drew Kellner Hollis NH 08-06-2019 0 80 185945 false INFORMATION TABLE 2 13F_06_30_19.xml ALPHABET INC CL C COMMON STOCK 02079K107 6035 5583 SH SOLE 6035 0 0 AMERICAN EXPRESS CO 4.900 12/29/49 CORPORATE BONDS AND NOTES 025816BL2 700 698000 SH SOLE 700 0 0 AMICUS WIND DOWN 0.00001 6/15/12 CORPORATE BONDS AND NOTES 358497AC9 0 50000 SH SOLE 0 0 0 APPLE INC COMMON STOCK 037833100 420 2120 SH SOLE 420 0 0 APPLIED MATERIALS INC COMMON STOCK 038222105 728 16203 SH SOLE 728 0 0 AT T INC COMMON STOCK 00206R102 4875 145485 SH SOLE 4875 0 0 BANK OF AMER MTN 3.34735 12/01/26 CORPORATE BONDS AND NOTES 5901886X1 865 949000 SH SOLE 865 0 0 BANK OF AMER MTN 4.21016 6/29/20 CORPORATE BONDS AND NOTES 06048WCQ1 100 100000 SH SOLE 100 0 0 BANK OF NY MELLON 4.950 12/20/67 CORPORATE BONDS AND NOTES 064058AD2 2032 2000000 SH SOLE 2032 0 0 BORG WARNER INC COMMON STOCK 099724106 1165 27761 SH SOLE 1165 0 0 BRIGHTHOUSE FINL INC COMMON STOCK 10922N103 2200 59955 SH SOLE 2200 0 0 CHECK POINT SOFTWARE TECH LTD FOREIGN COMMON STOCK M22465104 390 3376 SH SOLE 390 0 0 CITIGROUP INC 3.201 8/25/36 CORPORATE BONDS AND NOTES 172967DS7 439 570000 SH SOLE 439 0 0 CITIGROUP INC 5.950 12/29/49 CORPORATE BONDS AND NOTES 172967JZ5 812 790000 SH SOLE 812 0 0 CITIGROUP INC MTN 3.86088 12/15/20 CORPORATE BONDS AND NOTES 1730T0LD9 302 300000 SH SOLE 302 0 0 COMCAST CORP CLASS A COMMON STOCK 20030N101 417 9854 SH SOLE 417 0 0 CORNING INC COMMON STOCK 219350105 4430 133306 SH SOLE 4430 0 0 COVETRUS INC NPV COMMON STOCK 22304C100 2726 111456 SH SOLE 2726 0 0 ELI LILLY CO COMMON STOCK 532457108 660 5955 SH SOLE 660 0 0 ENERGY TRANSFER 5.68982 11/01/66 CORPORATE BONDS AND NOTES 29273RBA6 1438 1911000 SH SOLE 1438 0 0 EXXON MOBIL CORP COMMON STOCK 30231G102 674 8794 SH SOLE 674 0 0 FACEBOOK INC CLASS A COMMON STOCK 30303M102 5709 29580 SH SOLE 5709 0 0 FED EX CORP COMMON STOCK 31428X106 4687 28547 SH SOLE 4687 0 0 FIRST AM GOVT OB FD CL Y SHORT TERM FDS-TAXABLE (ACM) 31846V203 11918 11917811 SH SOLE 11918 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 175 16700 SH SOLE 175 0 0 GOLDMAN SACHS GROUP INC COMMON STOCK 38141G104 4213 20589 SH SOLE 4213 0 0 HONEYWELL INTERNATIONAL INC COMMON STOCK 438516106 651 3730 SH SOLE 651 0 0 HUNTINGTON BANCSHARES INC COMMON STOCK 446150104 2701 195420 SH SOLE 2701 0 0 INGRAM MICRO INC 5.450 12/15/24 CORPORATE BONDS AND NOTES 457153AG9 92 90000 SH SOLE 92 0 0 INVESCO QQQ TRUST ETF CLOSED END MUTUAL FUND EQUITY 46090E103 5936 31785 SH SOLE 5936 0 0 ISHARES MSCI POLAND ETF CLOSED END MUTUAL FUND EQUITY 46429B606 4556 191830 SH SOLE 4556 0 0 JOHNSON JOHNSON COMMON STOCK 478160104 208 1490 SH SOLE 208 0 0 JP MORGAN CHASE MTN 2.2168 4/30/24 CORPORATE BONDS AND NOTES 48126N6A0 898 926000 SH SOLE 898 0 0 KEYCORP COMMON STOCK 493267108 2276 128200 SH SOLE 2276 0 0 KIMBERLY CLARK CORP COMMON STOCK 494368103 200 1500 SH SOLE 200 0 0 KOHLS CORPORATION 4.25 7/17/25 CORPORATE BONDS AND NOTES 500255AU8 52 50000 SH SOLE 52 0 0 KRATON CORPORATION COMMON STOCK 50077C106 2559 82353 SH SOLE 2559 0 0 LIVENT CORP COMMON STOCK 53814L108 3654 528035 SH SOLE 3654 0 0 LOCKHEED MARTIN CORP COMMON STOCK 539830109 3464 9529 SH SOLE 3464 0 0 LYONDELLBASELL INDU CL A FOREIGN COMMON STOCK N53745100 255 2955 SH SOLE 255 0 0 MANUF TRADERS 3.76624 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 10869 646195 SH SOLE 10869 0 0 MATTHEWS INDIA FUND INSTITUTIONAL MUTUAL FUNDS - EQUITY 577130768 4155 152852 SH SOLE 4155 0 0 MELLON CAPITAL IV 4.000 12/20/67 CORPORATE BONDS AND NOTES 58551TAA5 809 944000 SH SOLE 809 0 0 MERCK CO INC COMMON STOCK 58933Y105 513 6120 SH SOLE 513 0 0 METLIFE INC COMMON STOCK 59156R108 7180 144558 SH SOLE 7180 0 0 MICROSOFT CORP COMMON STOCK 594918104 261 1950 SH SOLE 261 0 0 NEXTERA ENERGY INC COMMON STOCK 65339F101 246 1200 SH SOLE 246 0 0 NISOURCE INC COMMON STOCK 65473P105 346 12000 SH SOLE 346 0 0 NTC CAPITAL II 3.380 4/15/27 CORPORATE BONDS AND NOTES 629398AA6 700 758000 SH SOLE 700 0 0 OPUS BANK 5.500 7/01/26 CORPORATE BONDS AND NOTES 684000AA0 195 192000 SH SOLE 195 0 0 PEPSICO INC COMMON STOCK 713448108 387 2950 SH SOLE 387 0 0 PHILIP MORRIS INTL COMMON STOCK 718172109 340 4334 SH SOLE 340 0 0 PIMCO ENHANCED SHORT MATURITY ETF CLOSED END MUTUAL FUND FIXED 72201R833 7293 71679 SH SOLE 7293 0 0 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 6918 68494 SH SOLE 6918 0 0 SCHEIN HENRY INC COMMON STOCK 806407102 2823 40385 SH SOLE 2823 0 0 SINGAPORE TELECOMMUNICATNS A D R FOREIGN COMMON STOCK 82929R304 2924 112858 SH SOLE 2924 0 0 SOUTHBOROUGH MA REF 4.000 6/01/20 MUNI BDS-FIXED NON TAXABLE 841229LM7 51 50000 SH SOLE 51 0 0 SPDR S P 500 ETF CLOSED END MUTUAL FUND EQUITY 78462F103 220 750 SH SOLE 220 0 0 SPDR S&P REGIONAL BANKING ETF CLOSED END MUTUAL FUND EQUITY 78464A698 335 6270 SH SOLE 335 0 0 STATE STREET CORP 3.78819 6/15/37 CORPORATE BONDS AND NOTES 857477AY9 23 30000 SH SOLE 23 0 0 SUNTRUST CAPITAL 3.33177 3/15/28 CORPORATE BONDS AND NOTES 86788LAA8 186 204000 SH SOLE 186 0 0 TAKEDA PHARMACEUTICAL SP A D R FOREIGN COMMON STOCK 874060205 2368 133804 SH SOLE 2368 0 0 TYSON FOODS INC CL A COMMON STOCK 902494103 6137 76015 SH SOLE 6137 0 0 US BANK CAPITAL IX 3.57778 4/15/49 CORPORATE BONDS AND NOTES 91731KAA8 1156 1414000 SH SOLE 1156 0 0 VANGUARD 500 INDEX ADMIRAL MUTUAL FUNDS - EQUITY 922908710 210 772 SH SOLE 210 0 0 VANGUARD FTSE EMERGING MARKETS ETF CLOSED END MUTUAL FUND EQUITY 922042858 3166 74434 SH SOLE 3166 0 0 VANGUARD TOTAL STOCK MARKET ETF CLOSED END MUTUAL FUND EQUITY 922908769 20068 133708 SH SOLE 20068 0 0 VANGUARD TOTAL WORLD STOCK INDEX ETF CLOSED END MUTUAL FUND EQUITY 922042742 2314 30790 SH SOLE 2314 0 0 VISA INC CLASS A SHARES COMMON STOCK 92826C839 492 2834 SH SOLE 492 0 0 VOYA FINANCIAL INC COMMON STOCK 929089100 306 5525 SH SOLE 306 0 0 WACHOVIA CAP TR II 5.69083 3/29/49 CORPORATE BONDS AND NOTES 92978AAA0 855 855000 SH SOLE 855 0 0 WALMART INC COMMON STOCK 931142103 7477 67675 SH SOLE 7477 0 0 WALT DISNEY CO THE COMMON STOCK 254687106 1909 13674 SH SOLE 1909 0 0 WELLS FARGO MTN 3.500 3/08/22 CORPORATE BONDS AND NOTES 94974BFC9 51 50000 SH SOLE 51 0 0 ZOETIS INC COMMON STOCK 98978V103 5899 51980 SH SOLE 5899 0 0