0001602476-17-000001.txt : 20170216 0001602476-17-000001.hdr.sgml : 20170216 20170216155745 ACCESSION NUMBER: 0001602476-17-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170216 DATE AS OF CHANGE: 20170216 EFFECTIVENESS DATE: 20170216 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: 17617829 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 12-31-2016 12-31-2016 Lumbard & Kellner, LLC

PO BOX 749 HOLLIS NH 03049

13F HOLDINGS REPORT 028-16104 N Drew Kellner 6034657700 Drew Kellner Hollis NH 02-16-2017 0 78 153732 false INFORMATION TABLE 2 13F_12_31_16.xml ALPHABET INC CL C COMMON STOCK 02079K107 3729 4831 SH SOLE 4831 0 0 ALTRIA GROUP INC 9.700 11/10/18 CORPORATE BONDS AND NOTES 02209SAD5 57 50000 SH SOLE 50000 0 0 AMICUS WIND DOWN 0.00001 6/15/12 CORPORATE BONDS AND NOTES 358497AC9 0 50000 SH SOLE 50000 0 0 ANADARKO PETROLEUM CORP COMMON STOCK 032511107 210 3016 SH SOLE 3016 0 0 APPLIED MATERIALS INC COMMON STOCK 038222105 718 22250 SH SOLE 22250 0 0 AT&T INC COMMON STOCK 00206R102 3251 76445 SH SOLE 76445 0 0 BANK OF AMER MTN 3.36455 6/29/20 CORPORATE BONDS AND NOTES 06048WCQ1 101 100000 SH SOLE 100000 0 0 BANK OF AMERICA MT 1.47589 12/01/26 CORPORATE BONDS AND NOTES 5901886X1 870 980000 SH SOLE 980000 0 0 BOEING CO COMMON STOCK 097023105 3356 21554 SH SOLE 21554 0 0 BORG WARNER INC COMMON STOCK 099724106 2364 59945 SH SOLE 59945 0 0 CITIGROUP INC 1.40601 8/25/36 CORPORATE BONDS AND NOTES 172967DS7 477 600000 SH SOLE 600000 0 0 CITIGROUP INC MTN 3.000 12/15/20 CORPORATE BONDS AND NOTES 1730T0LD9 297 300000 SH SOLE 300000 0 0 COMCAST CORP CLASS A COMMON STOCK 20030N101 499 7221 SH SOLE 7221 0 0 CORNING INC COMMON STOCK 219350105 4907 202176 SH SOLE 202176 0 0 CYNOSURE INC CL A COMMON STOCK 232577205 829 18170 SH SOLE 18170 0 0 ELI LILLY CO COMMON STOCK 532457108 438 5955 SH SOLE 5955 0 0 ENERGY TRANSFER 3.36889 11/01/66 CORPORATE BONDS AND NOTES 29273RBA6 1571 1968000 SH SOLE 1968000 0 0 EXXON MOBIL CORP COMMON STOCK 30231G102 799 8856 SH SOLE 8856 0 0 F M C CORPORATION COMMON STOCK 302491303 2771 48990 SH SOLE 48990 0 0 FED EX CORP COMMON STOCK 31428X106 5250 28195 SH SOLE 28195 0 0 FIRST AMERICAN GOVT OBLIG FUND CL Y SHORT TERM FDS-TAXABLE (ACM) 31846V203 18816 18815930 SH SOLE 18815930 0 0 FIRST MD CAP I 1.62835 1/15/27 CORPORATE BONDS AND NOTES 320808AD0 938 1031000 SH SOLE 1031000 0 0 FORD MOTOR CO COMMON STOCK 345370860 1652 136219 SH SOLE 136219 0 0 GABRIEL RESOURCES LTD FOREIGN COMMON STOCK 361970106 12 30000 SH SOLE 30000 0 0 GENERAL ELECTRIC CO COMMON STOCK 369604103 528 16700 SH SOLE 16700 0 0 GENERAL MOTORS CO COMMON STOCK 37045V100 1516 43501 SH SOLE 43501 0 0 GOLDMAN SACHS GR MTN 3.250 8/15/18 CORPORATE BONDS AND NOTES 38141EE96 40 40000 SH SOLE 40000 0 0 GOLDMAN SACHS GROUP INC COMMON STOCK 38141G104 4690 19586 SH SOLE 19586 0 0 HONEYWELL INTERNATIONAL INC COMMON STOCK 438516106 627 5408 SH SOLE 5408 0 0 HUNTINGTON BANCSHARES INC COMMON STOCK 446150104 3023 228700 SH SOLE 228700 0 0 IMMUNOGEN INC COMMON STOCK 45253H101 83 40731 SH SOLE 40731 0 0 INGRAM MICRO INC 4.950 12/15/24 CORPORATE BONDS AND NOTES 457153AG9 85 90000 SH SOLE 90000 0 0 INTERNATIONAL BUSINESS MACHINES CORP COMMON STOCK 459200101 4288 25834 SH SOLE 25834 0 0 ISHARES MSCI POLAND CAPPED INVST ETF CLOSED END MUTUAL FUND EQUITY 46429B606 3640 200905 SH SOLE 200905 0 0 JP MORGAN CHASE MTN 2.000 4/30/24 CORPORATE BONDS AND NOTES 48126N6A0 934 1000000 SH SOLE 1000000 0 0 KEYCORP COMMON STOCK 493267108 2364 129385 SH SOLE 129385 0 0 KEYCORP CAPITAL 1 1.3651 7/01/28 CORPORATE BONDS AND NOTES 49326MAA3 653 742000 SH SOLE 742000 0 0 KOHLS CORPORATION 4.250 7/17/25 CORPORATE BONDS AND NOTES 500255AU8 50 50000 SH SOLE 50000 0 0 KRATON CORPORATION COMMON STOCK 50077C106 3874 136013 SH SOLE 136013 0 0 MANUF & TRADERS 5.585 12/28/20 CORPORATE BONDS AND NOTES 564759PS1 197 198000 SH SOLE 198000 0 0 MASSACHUSETTS ST SER 3.000 12/01/23 MUNI BDS-FIXED NON TAXABLE 57582PD31 51 50000 SH SOLE 50000 0 0 MATTHEWS ASIA DIVIDEND INS MUTUAL FUNDS - EQUITY 577130750 9466 609905 SH SOLE 609905 0 0 MATTHEWS ASIA SCIENCE AND TECHNOLOGY MUTUAL FUNDS - EQUITY 577125859 2284 225255 SH SOLE 225255 0 0 MATTHEWS INDIA FUND INSTITUTIONAL MUTUAL FUNDS - EQUITY 577130768 3814 148018 SH SOLE 148018 0 0 MELLON CAP IV 6.244 6/29/49 CORPORATE BONDS AND NOTES 58551TAA5 765 944000 SH SOLE 944000 0 0 MERCK CO INC COMMON STOCK 58933Y105 346 5880 SH SOLE 5880 0 0 METLIFE INC COMMON STOCK 59156R108 6952 129000 SH SOLE 129000 0 0 MEXICO EQUITY & INCOME FD CLOSED END MUTUAL FUND EQUITY 592834105 168 18315 SH SOLE 18315 0 0 MICROSOFT CORP COMMON STOCK 594918104 311 5000 SH SOLE 5000 0 0 MILTON MA REF 2.000 1/15/19 MUNI BDS-FIXED NON TAXABLE 602006RL4 51 50000 SH SOLE 50000 0 0 MORGAN STANLEY MTN 3.500 9/30/17 CORPORATE BONDS AND NOTES 61745EM99 1378 1370000 SH SOLE 1370000 0 0 MORGAN STANLEY MTN 2.9291 4/16/19 CORPORATE BONDS AND NOTES 61760QAY0 1195 1182000 SH SOLE 1182000 0 0 NISOURCE INC COMMON STOCK 65473P105 266 12000 SH SOLE 12000 0 0 NTC CAPITAL II 0.82174 4/15/27 CORPORATE BONDS AND NOTES 629398AA6 686 758000 SH SOLE 758000 0 0 OPUS BANK 5.500 7/01/26 CORPORATE BONDS AND NOTES 684000AA0 201 200000 SH SOLE 200000 0 0 PENNSYLVANIA ST 5.000 7/01/18 MUNI BDS-FIXED NON TAXABLE 70914PLA8 26 25000 SH SOLE 25000 0 0 PEPSICO INC COMMON STOCK 713448108 309 2950 SH SOLE 2950 0 0 PHILIP MORRIS INTL COMMON STOCK 718172109 393 4300 SH SOLE 4300 0 0 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 7734 74321 SH SOLE 74321 0 0 REGIONS FINL CORP COMMON STOCK 7591EP100 3042 211830 SH SOLE 211830 0 0 SHIRE PLC A D R FOREIGN COMMON STOCK 82481R106 3075 18050 SH SOLE 18050 0 0 SINGAPORE TELECOMMUNICATNS A D R FOREIGN COMMON STOCK 82929R304 2556 102495 SH SOLE 102495 0 0 SLM CORP MTN 8.450 6/15/18 CORPORATE BONDS AND NOTES 78442FEH7 108 100000 SH SOLE 100000 0 0 SOUTHBOROUGH MA REF 4.000 6/01/20 MUNI BDS-FIXED NON TAXABLE 841229LM7 54 50000 SH SOLE 50000 0 0 SPDR S P REGIONAL BANKING ETF CLOSED END MUTUAL FUND EQUITY 78464A698 362 6520 SH SOLE 6520 0 0 STATE STR CORP 6/15/37 CORPORATE BONDS AND NOTES 857477AY9 1653 1870000 SH SOLE 1870000 0 0 SUNTRUST CAPITAL 1.50028 3/15/28 CORPORATE BONDS AND NOTES 86788LAA8 189 219000 SH SOLE 219000 0 0 TEXAS A M UNIV REVS 5.000 5/15/18 MUNI BDS-FIXED NON TAXABLE 882135T71 26 25000 SH SOLE 25000 0 0 TIME WARNER INC COMMON STOCK 887317303 3152 32648 SH SOLE 32648 0 0 TYSON FOODS INC CL A COMMON STOCK 902494103 2450 39725 SH SOLE 39725 0 0 US BANK CAPITAL IX 3.54413 4/15/49 CORPORATE BONDS AND NOTES 91731KAA8 1203 1465000 SH SOLE 1465000 0 0 US STEEL CORP 7.000 2/01/18 CORPORATE BONDS AND NOTES 912656AG0 52 50000 SH SOLE 50000 0 0 VANGUARD FTSE EMERGING MARKETS ETF CLOSED END MUTUAL FUND EQUITY 922042858 3407 95220 SH SOLE 95220 0 0 VANGUARD TOTAL STOCK MKT ETF CLOSED END MUTUAL FUND EQUITY 922908769 10435 90490 SH SOLE 90490 0 0 WAL MART STORES INC COMMON STOCK 931142103 4964 71810 SH SOLE 71810 0 0 WELLS FARGO MTN 3.500 3/08/22 CORPORATE BONDS AND NOTES 94974BFC9 51 50000 SH SOLE 50000 0 0 WESTWOOD MA REF 4.000 6/01/19 MUNI BDS-FIXED NON TAXABLE 961777XD6 53 50000 SH SOLE 50000 0 0