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
Chief Compliance Officer
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