Chief Compliance Officer

0001602476-19-000004.txt : 20191121 0001602476-19-000004.hdr.sgml : 20191121 20191121145225 ACCESSION NUMBER: 0001602476-19-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191121 DATE AS OF CHANGE: 20191121 EFFECTIVENESS DATE: 20191121 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: 191237233 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 09-30-2019 09-30-2019 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 11-21-2019 0 81 182520 false INFORMATION TABLE 2 13F_09_30_19.xml ALPHABET INC CL C COMMON STOCK 02079K107 7876 6461 SH SOLE 7876 0 0 AMERICAN EXPRESS CO 4.900 9/15/67 CORPORATE BONDS AND NOTES 025816BL2 698 698000 SH SOLE 698 0 0 APPLE INC COMMON STOCK 037833100 475 2120 SH SOLE 475 0 0 APPLIED MATERIALS INC COMMON STOCK 038222105 759 15203 SH SOLE 759 0 0 AT T INC COMMON STOCK 00206R102 5481 144837 SH SOLE 5481 0 0 BANK OF AMER MTN 3.1028 12/01/26 CORPORATE BONDS AND NOTES 5901886X1 899 949000 SH SOLE 899 0 0 BANK OF AMER MTN 3.82262 6/29/20 CORPORATE BONDS AND NOTES 06048WCQ1 101 100000 SH SOLE 101 0 0 BANK OF NY MELLON 4.950 12/20/67 CORPORATE BONDS AND NOTES 064058AD2 2010 2000000 SH SOLE 2010 0 0 BRIGHTHOUSE FINL INC COMMON STOCK 10922N103 2392 59095 SH SOLE 2392 0 0 CHECK POINT SOFTWARE TECH LTD FOREIGN COMMON STOCK M22465104 370 3376 SH SOLE 370 0 0 CITIGROUP INC 5.950 2/15/68 CORPORATE BONDS AND NOTES 172967JZ5 807 790000 SH SOLE 807 0 0 CITIGROUP INC 2.97158 8/25/36 CORPORATE BONDS AND NOTES 172967DS7 446 570000 SH SOLE 446 0 0 CITIGROUP INC MTN 3.66025 12/15/20 CORPORATE BONDS AND NOTES 1730T0LD9 301 300000 SH SOLE 301 0 0 COMCAST CORP CLASS A COMMON STOCK 20030N101 444 9854 SH SOLE 444 0 0 CORNING INC COMMON STOCK 219350105 3789 132866 SH SOLE 3789 0 0 COVETRUS INC NPV COMMON STOCK 22304C100 3594 302298 SH SOLE 3594 0 0 ELI LILLY CO COMMON STOCK 532457108 666 5955 SH SOLE 666 0 0 ENERGY TRANSFER 5.72087 11/01/66 CORPORATE BONDS AND NOTES 29273RBA6 1433 1911000 SH SOLE 1433 0 0 EXXON MOBIL CORP COMMON STOCK 30231G102 621 8794 SH SOLE 621 0 0 FACEBOOK INC CLASS A COMMON STOCK 30303M102 4922 27638 SH SOLE 4922 0 0 FED EX CORP COMMON STOCK 31428X106 4130 28372 SH SOLE 4130 0 0 FIRST AM GOVT OB FD CL Y SHORT TERM FDS-TAXABLE (ACM) 31846V203 7370 7369619 SH SOLE 7370 0 0 FIRST MD CAP I 3.43631 1/15/27 CORPORATE BONDS AND NOTES 320808AD0 919 992000 SH SOLE 919 0 0 FRANKLIN FTSE SOUTH KOREA ETF CLOSED END MUTUAL FUND EQUITY 35473P710 2975 151840 SH SOLE 2975 0 0 FRANKLIN FTSE TAIWAN ETF CLOSED END MUTUAL FUND EQUITY 35473P686 2103 81327 SH SOLE 2103 0 0 GABRIEL RESOURCES LTD FOREIGN COMMON STOCK 361970106 12 30000 SH SOLE 12 0 0 GENERAL ELECTRIC CO COMMON STOCK 369604103 149 16700 SH SOLE 149 0 0 GOLDMAN SACHS GROUP INC COMMON STOCK 38141G104 4275 20629 SH SOLE 4275 0 0 HARTFORD MULTIFACTOR EMERGING ETF CLOSED END MUTUAL FUND EQUITY 518416201 4439 201409 SH SOLE 4439 0 0 HONEYWELL INTERNATIONAL INC COMMON STOCK 438516106 631 3730 SH SOLE 631 0 0 HUNTINGTON BANCSHARES INC COMMON STOCK 446150104 2727 191130 SH SOLE 2727 0 0 INGRAM MICRO INC 5.450 12/15/24 CORPORATE BONDS AND NOTES 457153AG9 93 90000 SH SOLE 93 0 0 INVESCO QQQ TRUST ETF CLOSED END MUTUAL FUND EQUITY 46090E103 6029 31930 SH SOLE 6029 0 0 ISHARES MSCI INDONESIA ETF CLOSED END MUTUAL FUND EQUITY 46429B309 1916 78280 SH SOLE 1916 0 0 ISHARES MSCI POLAND ETF CLOSED END MUTUAL FUND EQUITY 46429B606 3964 192070 SH SOLE 3964 0 0 JP MORGAN CHASE MTN 2.000 4/30/24 CORPORATE BONDS AND NOTES 48126N6A0 905 926000 SH SOLE 905 0 0 KEYCORP COMMON STOCK 493267108 2251 126200 SH SOLE 2251 0 0 KIMBERLY CLARK CORP COMMON STOCK 494368103 213 1500 SH SOLE 213 0 0 KOHLS CORPORATION 4.250 7/17/25 CORPORATE BONDS AND NOTES 500255AU8 53 50000 SH SOLE 53 0 0 KRATON CORPORATION COMMON STOCK 50077C106 2631 81478 SH SOLE 2631 0 0 LIVENT CORP COMMON STOCK 53814L108 3529 527480 SH SOLE 3529 0 0 LOCKHEED MARTIN CORP COMMON STOCK 539830109 3744 9599 SH SOLE 3744 0 0 LYONDELLBASELL INDU CL A FOREIGN COMMON STOCK N53745100 264 2955 SH SOLE 264 0 0 MANUF TRADERS 3.68995 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 INDIA FUND INSTITUTIONAL MUTUAL FUNDS - EQUITY 577130768 3925 152054 SH SOLE 3925 0 0 MELLON CAPITAL IV 4.000 12/20/67 CORPORATE BONDS AND NOTES 58551TAA5 835 944000 SH SOLE 835 0 0 MERCK CO INC COMMON STOCK 58933Y105 515 6120 SH SOLE 515 0 0 METLIFE INC COMMON STOCK 59156R108 6781 143783 SH SOLE 6781 0 0 MICROSOFT CORP COMMON STOCK 594918104 271 1950 SH SOLE 271 0 0 NEXTERA ENERGY INC COMMON STOCK 65339F101 280 1200 SH SOLE 280 0 0 NISOURCE INC COMMON STOCK 65473P105 359 12000 SH SOLE 359 0 0 NTC CAPITAL II 3.18857 4/15/27 CORPORATE BONDS AND NOTES 629398AA6 712 758000 SH SOLE 712 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 404 2950 SH SOLE 404 0 0 PHILIP MORRIS INTL COMMON STOCK 718172109 329 4334 SH SOLE 329 0 0 PIMCO ENHANCED SHORT MATURITY ETF CLOSED END MUTUAL FUND FIXED 72201R833 7041 69212 SH SOLE 7041 0 0 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 6166 68554 SH SOLE 6166 0 0 SCHEIN HENRY INC COMMON STOCK 806407102 2561 40325 SH SOLE 2561 0 0 SINGAPORE TELECOMMUNICATNS A D R FOREIGN COMMON STOCK 82929R304 2531 113373 SH SOLE 2531 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 223 750 SH SOLE 223 0 0 SPDR S&P REGIONAL BANKING ETF CLOSED END MUTUAL FUND EQUITY 78464A698 331 6270 SH SOLE 331 0 0 STATE STREET CORP 3.48603 6/15/37 CORPORATE BONDS AND NOTES 857477AY9 23 30000 SH SOLE 23 0 0 SUNTRUST CAPITAL 2.99444 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 2301 133804 SH SOLE 2301 0 0 TYSON FOODS INC CL A COMMON STOCK 902494103 6507 75540 SH SOLE 6507 0 0 UNITED FINANCIAL 5.750 10/01/24 CORPORATE BONDS AND NOTES 910304AA2 2160 2000000 SH SOLE 2160 0 0 US BANK CAPITAL IX 3.57778 4/15/49 CORPORATE BONDS AND NOTES 91731KAA8 1205 1414000 SH SOLE 1205 0 0 VANGUARD 500 INDEX ADMIRAL MUTUAL FUNDS - 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