0001144204-16-075251.txt : 20160112 0001144204-16-075251.hdr.sgml : 20160112 20160112130855 ACCESSION NUMBER: 0001144204-16-075251 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20151231 FILED AS OF DATE: 20160112 DATE AS OF CHANGE: 20160112 EFFECTIVENESS DATE: 20160112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: D. SCOTT NEAL, INC. CENTRAL INDEX KEY: 0001596920 IRS NUMBER: 611287393 STATE OF INCORPORATION: KY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15681 FILM NUMBER: 161338273 BUSINESS ADDRESS: STREET 1: P.O. BOX 2010 CITY: LEXINGTON STATE: KY ZIP: 40588 BUSINESS PHONE: 8592543036 MAIL ADDRESS: STREET 1: P.O. BOX 2010 CITY: LEXINGTON STATE: KY ZIP: 40588 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001596920 XXXXXXXX 12-31-2015 12-31-2015 false D. SCOTT NEAL, INC.

P.o. Box 2010 Lexington KY 40588

13F HOLDINGS REPORT 028-15681 N Jerry Zimmerer 502-459-7199 /s/ Jerry Zimmerer Louisville KY 01-12-2016 0 153 125989 INFORMATION TABLE 2 infotable.xml EVERSOURCE ENERGY COM 30040W108 3 60 SH SOLE 0 0 60 ATLAS RESOURCE PARTNERS LP COM UNT LTD PR 04941A101 0 200 PRN SOLE 0 0 200 ZOETIS INC CL A 98978V103 6 119 SH SOLE 0 0 119 ZILLOW GROUP INC CL A 98954M101 8 300 SH SOLE 0 0 300 ZILLOW GROUP INC CL C CAP STK 98954M200 14 600 SH SOLE 0 0 600 YUM BRANDS INC COM 988498101 8 110 SH SOLE 0 0 110 EXXON MOBIL CORP COM 30231G102 518 6643 SH SOLE 0 0 6643 WAL-MART STORES INC COM 931142103 66 1072 SH SOLE 0 0 1072 WELLS FARGO & CO NEW COM 949746101 10 177 SH SOLE 0 0 177 WEB COM GROUP INC COM 94733A104 17 825 SH SOLE 0 0 825 VECTREN CORP COM 92240G101 19 445 SH SOLE 0 0 445 VANGUARD INDEX FDS REIT ETF 922908553 10787 135299 SH SOLE 0 0 135299 VALMONT INDS INC COM 920253101 32 300 SH SOLE 0 0 300 VANGUARD SCOTTSDALE FDS INT-TERM GOV 92206C706 561 8712 SH SOLE 0 0 8712 V F CORP COM 918204108 3 44 SH SOLE 0 0 44 VANGUARD INTL EQUITY INDEX ALLWRLD EX US 922042775 309 7124 SH SOLE 0 0 7124 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1710 21648 SH SOLE 0 0 21648 VANGUARD INDEX FDS SML CP GRW ETF 922908595 107 882 SH SOLE 0 0 882 VISA INC COM CL A 92826C839 7 90 SH SOLE 0 0 90 PROSHARES TR PSHS ULTRUSS2000 74347R842 17 220 SH SOLE 0 0 220 UNITED TECHNOLOGIES CORP COM 913017109 2 24 SH SOLE 0 0 24 US BANCORP DEL COM NEW 902973304 320 7507 SH SOLE 0 0 7507 UNITED PARCEL SERVICE INC CL B 911312106 3 27 SH SOLE 0 0 27 UNION PAC CORP COM 907818108 2 27 SH SOLE 0 0 27 UNILEVER PLC SPON ADR NEW 904767704 3 61 SH SOLE 0 0 61 UGI CORP NEW COM 902681105 131 3876 SH SOLE 0 0 3876 TEXAS INSTRS INC COM 882508104 18 328 SH SOLE 0 0 328 TIME WARNER INC COM NEW 887317303 5 80 SH SOLE 0 0 80 TESLA MTRS INC COM 88160R101 113 470 SH SOLE 0 0 470 TRAVELERS COMPANIES INC COM 89417E109 3 29 SH SOLE 0 0 29 TEMPUR SEALY INTL INC COM 88023U101 14 200 SH SOLE 0 0 200 THERMO FISHER SCIENTIFIC I COM 883556102 16 110 SH SOLE 0 0 110 AT&T INC COM 00206R102 1 42 SH SOLE 0 0 42 SYMANTEC CORP COM 871503108 2 112 SH SOLE 0 0 112 STANLEY BLACK & DECKER INC COM 854502101 3 32 SH SOLE 0 0 32 STRATASYS LTD SHS M85548101 7 300 SH SOLE 0 0 300 PROSHARES TR PSHS ULT S&P 500 74347R107 541 8590 SH SOLE 0 0 8590 SPDR S&P 500 ETF TR TR UNIT 78462F103 17734 86985 SH SOLE 0 0 86985 SPLUNK INC COM 848637104 161 2740 SH SOLE 0 0 2740 ISHARES TR 1-3 YR TR BD ETF 464287457 439 5200 SH SOLE 0 0 5200 SIMMONS 1ST NATL CORP CL A $1 PAR 828730200 32 623 SH SOLE 0 0 623 SOLARCITY CORP COM 83416T100 41 795 SH SOLE 0 0 795 SPDR SERIES TRUST BARC SHT TR CP 78464A474 1751 57585 SH SOLE 0 0 57585 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 628 11724 SH SOLE 0 0 11724 SCHWAB STRATEGIC TR INTL EQTY ETF 808524805 386 13998 SH SOLE 0 0 13998 SCHWAB STRATEGIC TR US BRD MKT ETF 808524102 611 12457 SH SOLE 0 0 12457 STARBUCKS CORP COM 855244109 30 500 SH SOLE 0 0 500 RANGE RES CORP COM 75281A109 4 180 SH SOLE 0 0 180 REGENERON PHARMACEUTICALS COM 75886F107 26 47 SH SOLE 0 0 47 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 12548 112172 SH SOLE 0 0 112172 PROSHARES TR PSHS ULTRA QQQ 74347R206 1110 14170 SH SOLE 0 0 14170 QUALCOMM INC COM 747525103 2 34 SH SOLE 0 0 34 PAYPAL HLDGS INC COM 70450Y103 14 400 SH SOLE 0 0 400 PHILLIPS 66 COM 718546104 3 37 SH SOLE 0 0 37 PEARSON PLC SPONSORED ADR 705015105 2 144 SH SOLE 0 0 144 PROCTER & GAMBLE CO COM 742718109 192 2421 SH SOLE 0 0 2421 PFIZER INC COM 717081103 84 2608 SH SOLE 0 0 2608 PEPSICO INC COM 713448108 87 867 SH SOLE 0 0 867 PACIRA PHARMACEUTICALS INC COM 695127100 31 400 SH SOLE 0 0 400 OCCIDENTAL PETE CORP DEL COM 674599105 2 27 SH SOLE 0 0 27 ORACLE CORP COM 68389X105 62 1700 SH SOLE 0 0 1700 OLD NATL BANCORP IND COM 680033107 7 510 SH SOLE 0 0 510 BARCLAYS BK PLC IPSP CROIL ETN 06738C786 3336 535474 SH SOLE 0 0 535474 NOVARTIS A G SPONSORED ADR 66987V109 3 31 SH SOLE 0 0 31 NEXTERA ENERGY INC COM 65339F101 3 28 SH SOLE 0 0 28 NOODLES & CO CL A 65540B105 3 350 SH SOLE 0 0 350 MICROSOFT CORP COM 594918104 99 1779 SH SOLE 0 0 1779 MERCK & CO INC NEW COM 58933Y105 26 490 SH SOLE 0 0 490 MONSANTO CO NEW COM 61166W101 9 90 SH SOLE 0 0 90 MAXIMUS INC COM 577933104 113 2000 SH SOLE 0 0 2000 3M CO COM 88579Y101 23 150 SH SOLE 0 0 150 MEAD JOHNSON NUTRITION CO COM 582839106 8 100 SH SOLE 0 0 100 MANULIFE FINL CORP COM 56501R106 23 1538 SH SOLE 0 0 1538 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 8331 32794 SH SOLE 0 0 32794 MEDTRONIC PLC SHS G5960L103 3 43 SH SOLE 0 0 43 MCDONALDS CORP COM 580135101 53 445 SH SOLE 0 0 445 MASTERCARD INC CL A 57636Q104 9 90 SH SOLE 0 0 90 LEXMARK INTL NEW CL A 529771107 48 1476 SH SOLE 0 0 1476 LINKEDIN CORP COM CL A 53578A108 45 200 SH SOLE 0 0 200 LILLY ELI & CO COM 532457108 6 70 SH SOLE 0 0 70 COCA COLA CO COM 191216100 146 3410 SH SOLE 0 0 3410 NORDSTROM INC COM 655664100 2 39 SH SOLE 0 0 39 JOHNSON & JOHNSON COM 478160104 180 1756 SH SOLE 0 0 1756 ISHARES TR U.S. REAL ES ETF 464287739 5776 76930 SH SOLE 0 0 76930 ISHARES TR RUS MID-CAP ETF 464287499 92 575 SH SOLE 0 0 575 ISHARES TR RUSSELL 2000 ETF 464287655 7223 64135 SH SOLE 0 0 64135 ISHARES TR RUS 1000 GRW ETF 464287614 65 654 SH SOLE 0 0 654 ISHARES TR RUS 1000 VAL ETF 464287598 29 295 SH SOLE 0 0 295 ISHARES TR RUS 1000 ETF 464287622 634 5598 SH SOLE 0 0 5598 INVESCO LTD SHS G491BT108 2 72 SH SOLE 0 0 72 ISHARES TR CORE S&P500 ETF 464287200 231 1127 SH SOLE 0 0 1127 ILLINOIS TOOL WKS INC COM 452308109 3 32 SH SOLE 0 0 32 INTEL CORP COM 458140100 161 4684 SH SOLE 0 0 4684 INGREDION INC COM 457187102 10 109 SH SOLE 0 0 109 ISHARES TR 7-10 Y TR BD ETF 464287440 20460 193770 SH SOLE 0 0 193770 INTERCONTINENTAL EXCHANGE COM 45866F104 51 200 SH SOLE 0 0 200 INTERNATIONAL BUSINESS MAC COM 459200101 257 1870 SH SOLE 0 0 1870 HONEYWELL INTL INC COM 438516106 24 235 SH SOLE 0 0 235 HOME DEPOT INC COM 437076102 142 1076 SH SOLE 0 0 1076 ALPHABET INC CAP STK CL A 02079K305 8 10 SH SOLE 0 0 10 ALPHABET INC CAP STK CL C 02079K107 8 10 SH SOLE 0 0 10 SPDR GOLD TRUST GOLD SHS 78463V107 9 90 SH SOLE 0 0 90 GILEAD SCIENCES INC COM 375558103 113 1116 SH SOLE 0 0 1116 GENERAL ELECTRIC CO COM 369604103 229 7348 SH SOLE 0 0 7348 TWENTY FIRST CENTY FOX INC CL A 90130A101 5 190 SH SOLE 0 0 190 FIREEYE INC COM 31816Q101 16 750 SH SOLE 0 0 750 EXPRESS SCRIPTS HLDG CO COM 30219G108 182 2080 SH SOLE 0 0 2080 EMERSON ELEC CO COM 291011104 21 441 SH SOLE 0 0 441 E M C CORP MASS COM 268648102 8 300 SH SOLE 0 0 300 ISHARES TR MSCI EAFE ETF 464287465 3230 55012 SH SOLE 0 0 55012 CONSOLIDATED EDISON INC COM 209115104 64 1000 SH SOLE 0 0 1000 EBAY INC COM 278642103 11 400 SH SOLE 0 0 400 ELECTRONIC ARTS INC COM 285512109 10 140 SH SOLE 0 0 140 ISHARES TR SELECT DIVID ETF 464287168 4928 65571 SH SOLE 0 0 65571 DUKE ENERGY CORP NEW COM NEW 26441C204 16 225 SH SOLE 0 0 225 DISH NETWORK CORP CL A 25470M109 17 300 SH SOLE 0 0 300 DISNEY WALT CO COM DISNEY 254687106 77 736 SH SOLE 0 0 736 DELTA NAT GAS INC COM 247748106 112 5325 SH SOLE 0 0 5325 DIAGEO P L C SPON ADR NEW 25243Q205 2 22 SH SOLE 0 0 22 DOMINION RES INC VA NEW COM 25746U109 3 40 SH SOLE 0 0 40 COLUMBIA PPTY TR INC COM NEW 198287203 14 595 SH SOLE 0 0 595 CHEVRON CORP NEW COM 166764100 36 400 SH SOLE 0 0 400 COGNIZANT TECHNOLOGY SOLUT CL A 192446102 48 800 SH SOLE 0 0 800 CSX CORP COM 126408103 0 2 SH SOLE 0 0 2 CARLISLE COS INC COM 142339100 62 700 SH SOLE 0 0 700 CISCO SYS INC COM 17275R102 113 4171 SH SOLE 0 0 4171 CALIFORNIA RES CORP COM 13057Q107 0 10 SH SOLE 0 0 10 CONOCOPHILLIPS COM 20825C104 3 57 SH SOLE 0 0 57 CUMMINS INC COM 231021106 7 80 SH SOLE 0 0 80 COLGATE PALMOLIVE CO COM 194162103 147 2200 SH SOLE 0 0 2200 ISHARES TR INTERM CR BD ETF 464288638 15795 147232 SH SOLE 0 0 147232 CERNER CORP COM 156782104 35 575 SH SOLE 0 0 575 CRACKER BARREL OLD CTRY ST COM 22410J106 63 498 SH SOLE 0 0 498 CATERPILLAR INC DEL COM 149123101 546 8040 SH SOLE 0 0 8040 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 3 23 SH SOLE 0 0 23 BOSTON SCIENTIFIC CORP COM 101137107 22 1200 SH SOLE 0 0 1200 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 14 169 SH SOLE 0 0 169 BANK NEW YORK MELLON CORP COM 064058100 45 1081 SH SOLE 0 0 1081 VANGUARD BD INDEX FD INC INTERMED TERM 921937819 143 1723 SH SOLE 0 0 1723 BIOGEN INC COM 09062X103 61 200 SH SOLE 0 0 200 BIGLARI HLDGS INC COM 08986R101 2 6 SH SOLE 0 0 6 BB&T CORP COM 054937107 264 6977 SH SOLE 0 0 6977 BANK AMER CORP COM 060505104 5 308 SH SOLE 0 0 308 BOEING CO COM 097023105 3 22 SH SOLE 0 0 22 APPLIED DNA SCIENCES INC COM NEW 03815U201 1 384 SH SOLE 0 0 384 AIR PRODS & CHEMS INC COM 009158106 18 140 SH SOLE 0 0 140 AMC NETWORKS INC CL A 00164V103 8 110 SH SOLE 0 0 110 ALEXION PHARMACEUTICALS IN COM 015351109 382 2000 SH SOLE 0 0 2000 AFLAC INC COM 001055102 3 44 SH SOLE 0 0 44 AUTOMATIC DATA PROCESSING COM 053015103 12 142 SH SOLE 0 0 142 ABBOTT LABS COM 002824100 25 564 SH SOLE 0 0 564 ABBVIE INC COM 00287Y109 33 564 SH SOLE 0 0 564 APPLE INC COM 037833100 5 50 SH SOLE 0 0 50