0001602476-18-000001.txt : 20180213 0001602476-18-000001.hdr.sgml : 20180213 20180213115006 ACCESSION NUMBER: 0001602476-18-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180213 DATE AS OF CHANGE: 20180213 EFFECTIVENESS DATE: 20180213 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: 18601034 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 12-31-2017 12-31-2017 Lumbard & Kellner, LLC

PO BOX 749 HOLLIS NH 03049

13F HOLDINGS REPORT 028-16104 N Drew Kellner 603-465-7700 Drew Kellner Hollis NH 02-13-2018 0 87 194695 false INFORMATION TABLE 2 13F_12_31_17.xml ALPHABET INC CL C COMMON STOCK 02079K107 6089 5819 SH SOLE 6089 0 0 ALTRIA GROUP INC COMMON STOCK 02209S103 200 2800 SH SOLE 200 0 0 ALTRIA GROUP INC 9.700 11/10/18 CORPORATE BONDS AND NOTES 02209SAD5 53 50000 SH SOLE 53 0 0 ANTHEM INC COMMON STOCK 036752103 720 3200 SH SOLE 720 0 0 APPLE INC COMMON STOCK 037833100 739 4365 SH SOLE 739 0 0 APPLIED MATERIALS INC COMMON STOCK 038222105 882 17250 SH SOLE 882 0 0 AT&T INC COMMON STOCK 00206R102 3074 79063 SH SOLE 3074 0 0 BANK OF AMER MTN 4.68061 6/29/20 CORPORATE BONDS AND NOTES 06048WCQ1 104 100000 SH SOLE 104 0 0 BANK OF AMERICA CORP 8.000 1/30/58 CORPORATE BONDS AND NOTES 060505DR2 3401 3389000 SH SOLE 3401 0 0 BANK OF AMERICA MT 1.96611 12/01/26 CORPORATE BONDS AND NOTES 5901886X1 909 968000 SH SOLE 909 0 0 BANK OF NY MELLON 0.00495 12/29/49 CORPORATE BONDS AND NOTES 064058AD2 2070 2000000 SH SOLE 2070 0 0 BOEING CO COMMON STOCK 097023105 5143 17439 SH SOLE 5143 0 0 BORG WARNER INC COMMON STOCK 099724106 3034 59390 SH SOLE 3034 0 0 BRIGHTHOUSE FINL INC COMMON STOCK 10922N103 3629 61887 SH SOLE 3629 0 0 CHECK POINT SOFTWARE TECH LTD FOREIGN COMMON STOCK M22465104 520 5020 SH SOLE 520 0 0 CITIGROUP INC 1.54892 8/25/36 CORPORATE BONDS AND NOTES 172967DS7 512 600000 SH SOLE 512 0 0 CITIGROUP INC MTN 3.000 12/15/20 CORPORATE BONDS AND NOTES 1730T0LD9 301 300000 SH SOLE 301 0 0 COMCAST CORP CLASS A COMMON STOCK 20030N101 578 14442 SH SOLE 578 0 0 CORNING INC COMMON STOCK 219350105 4359 136276 SH SOLE 4359 0 0 ELI LILLY CO COMMON STOCK 532457108 503 5955 SH SOLE 503 0 0 ENERGY TRANSFER 3.36889 11/01/66 CORPORATE BONDS AND NOTES 29273RBA6 1714 1953000 SH SOLE 1714 0 0 EXXON MOBIL CORP COMMON STOCK 30231G102 741 8856 SH SOLE 741 0 0 FACEBOOK INC A COMMON STOCK 30303M102 269 1527 SH SOLE 269 0 0 FED EX CORP COMMON STOCK 31428X106 7337 29402 SH SOLE 7337 0 0 FIRST AM GOVT OB FD CL Y SHORT TERM FDS-TAXABLE (ACM) 31846V203 13587 13587079 SH SOLE 13587 0 0 FIRST MD CAP I 1.880 1/15/27 CORPORATE BONDS AND NOTES 320808AD0 972 1020000 SH SOLE 972 0 0 FIVE STAR SENIOR LIVING INC COMMON STOCK DDJ32D101 0 100000 SH SOLE 0 0 0 GABRIEL RESOURCES LTD FOREIGN COMMON STOCK 361970106 10 30000 SH SOLE 10 0 0 GENERAL ELECTRIC CO COMMON STOCK 369604103 291 16700 SH SOLE 291 0 0 GOLDMAN SACHS GR MTN 3.250 8/15/18 CORPORATE BONDS AND NOTES 38141EE96 40 40000 SH SOLE 40 0 0 GOLDMAN SACHS GROUP INC COMMON STOCK 38141G104 5020 19706 SH SOLE 5020 0 0 HONEYWELL INTERNATIONAL INC COMMON STOCK 438516106 829 5408 SH SOLE 829 0 0 HUNTINGTON BANCSHARES INC COMMON STOCK 446150104 3403 233715 SH SOLE 3403 0 0 INGRAM MICRO INC 5.450 12/15/24 CORPORATE BONDS AND NOTES 457153AG9 89 90000 SH SOLE 89 0 0 INTERNATIONAL BUSINESS MACHINES CORP COMMON STOCK 459200101 3977 25923 SH SOLE 3977 0 0 ISHARES MSCI POLAND ETF CLOSED END MUTUAL FUND EQUITY 46429B606 5329 196720 SH SOLE 5329 0 0 JOHNSON JOHNSON COMMON STOCK 478160104 208 1490 SH SOLE 208 0 0 JP MORGAN CHASE MTN 2.000 4/30/24 CORPORATE BONDS AND NOTES 48126N6A0 897 969000 SH SOLE 897 0 0 KEYCORP COMMON STOCK 493267108 2704 134065 SH SOLE 2704 0 0 KEYCORP CAPITAL 1 1.3651 7/01/28 CORPORATE BONDS AND NOTES 49326MAA3 671 718000 SH SOLE 671 0 0 KOHLS CORPORATION 4.250 7/17/25 CORPORATE BONDS AND NOTES 500255AU8 51 50000 SH SOLE 51 0 0 KRATON CORPORATION COMMON STOCK 50077C106 6144 127538 SH SOLE 6144 0 0 LYONDELLBASELL INDUSTRIES CL A FOREIGN COMMON STOCK N53745100 326 2955 SH SOLE 326 0 0 MANUF TRADERS 2.55256 12/28/20 CORPORATE BONDS AND NOTES 564759PS1 198 198000 SH SOLE 198 0 0 MASSACHUSETTS ST SER 3.000 12/01/23 MUNI BDS-FIXED NON TAXABLE 57582PD31 51 50000 SH SOLE 51 0 0 MATTHEWS ASIA DIVIDEND INS MUTUAL FUNDS - EQUITY 577130750 12936 655650 SH SOLE 12936 0 0 MATTHEWS ASIA INNOVATORS INSTL FUND MUTUAL FUNDS - EQUITY 577125859 4032 282734 SH SOLE 4032 0 0 MATTHEWS INDIA FUND INSTITUTIONAL MUTUAL FUNDS - EQUITY 577130768 5216 151148 SH SOLE 5216 0 0 MELLON CAP IV 4.08889 6/29/49 CORPORATE BONDS AND NOTES 58551TAA5 890 944000 SH SOLE 890 0 0 MERCK CO INC COMMON STOCK 58933Y105 344 6120 SH SOLE 344 0 0 METLIFE INC COMMON STOCK 59156R108 7243 143263 SH SOLE 7243 0 0 MEXICO EQUITY & INCOME FD CLOSED END MUTUAL FUND EQUITY 592834105 185 18045 SH SOLE 185 0 0 MICROSOFT CORP COMMON STOCK 594918104 364 4250 SH SOLE 364 0 0 MILTON MA REF 2.000 1/15/19 MUNI BDS-FIXED NON TAXABLE 602006RL4 50 50000 SH SOLE 50 0 0 MORGAN STANLEY MTN 3.55361 4/16/19 CORPORATE BONDS AND NOTES 61760QAY0 1173 1162000 SH SOLE 1173 0 0 NISOURCE INC COMMON STOCK 65473P105 308 12000 SH SOLE 308 0 0 NTC CAPITAL II 1.66304 4/15/27 CORPORATE BONDS AND NOTES 629398AA6 709 758000 SH SOLE 709 0 0 OPUS BANK 5.500 7/01/26 CORPORATE BONDS AND NOTES 684000AA0 201 200000 SH SOLE 201 0 0 PENNSYLVANIA ST 5.000 7/01/18 MUNI BDS-FIXED NON TAXABLE 70914PLA8 25 25000 SH SOLE 25 0 0 PEPSICO INC COMMON STOCK 713448108 354 2950 SH SOLE 354 0 0 PHILIP MORRIS INTL COMMON STOCK 718172109 458 4334 SH SOLE 458 0 0 PIMCO ENHANCED SHORT MATURITY ETF CLOSED END MUTUAL FUND FIXED 72201R833 6812 67075 SH SOLE 6812 0 0 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 8108 70515 SH SOLE 8108 0 0 REGIONS FINL CORP COMMON STOCK 7591EP100 3975 230015 SH SOLE 3975 0 0 SHIRE PLC A D R FOREIGN COMMON STOCK 82481R106 4128 26610 SH SOLE 4128 0 0 SINGAPORE TELECOMMUNICATNS A D R FOREIGN COMMON STOCK 82929R304 2858 107238 SH SOLE 2858 0 0 SLM CORP MTN 8.450 6/15/18 CORPORATE BONDS AND NOTES 78442FEH7 103 100000 SH SOLE 103 0 0 SOUTH CAROLINA ST 2.500 12/01/49 MUNI BDS-VARIABLE NON TAXABLE 837151JR1 25 25000 SH SOLE 25 0 0 SOUTHBOROUGH MA REF 4.000 6/01/20 MUNI BDS-FIXED NON TAXABLE 841229LM7 53 50000 SH SOLE 53 0 0 SPDR S P 500 ETF CLOSED END MUTUAL FUND EQUITY 78462F103 200 750 SH SOLE 200 0 0 SPDR S&P REGIONAL BANKING ETF CLOSED END MUTUAL FUND EQUITY 78464A698 407 6920 SH SOLE 407 0 0 STATE STREET CORP 2.13122 6/15/37 CORPORATE BONDS AND NOTES 857477AY9 27 30000 SH SOLE 27 0 0 SUNTRUST CAPITAL 1.94859 3/15/28 CORPORATE BONDS AND NOTES 86788LAA8 200 219000 SH SOLE 200 0 0 TEXAS A M UNIV REVS 5.000 5/15/18 MUNI BDS-FIXED NON TAXABLE 882135T71 25 25000 SH SOLE 25 0 0 TIME WARNER INC COMMON STOCK 887317303 4267 46653 SH SOLE 4267 0 0 TYSON FOODS INC CL A COMMON STOCK 902494103 3491 43065 SH SOLE 3491 0 0 US BANK CAPITAL IX 3.54413 4/15/49 CORPORATE BONDS AND NOTES 91731KAA8 1326 1465000 SH SOLE 1326 0 0 VANGUARD FTSE EMERGING MARKETS ETF CLOSED END MUTUAL FUND EQUITY 922042858 4324 94182 SH SOLE 4324 0 0 VANGUARD TOTAL STOCK MARKET ETF CLOSED END MUTUAL FUND EQUITY 922908769 13838 100820 SH SOLE 13838 0 0 VANGUARD TOTAL WORLD STOCK INDEX ETF CLOSED END MUTUAL FUND EQUITY 922042742 2743 36935 SH SOLE 2743 0 0 VISA INC CLASS A SHARES COMMON STOCK 92826C839 336 2945 SH SOLE 336 0 0 VOYA FINANCIAL INC COMMON STOCK 929089100 322 6500 SH SOLE 322 0 0 WAL MART STORES INC COMMON STOCK 931142103 7079 71685 SH SOLE 7079 0 0 WELLS FARGO MTN 3.500 3/08/22 CORPORATE BONDS AND NOTES 94974BFC9 52 50000 SH SOLE 52 0 0 WESTWOOD MA REF 4.000 6/01/19 MUNI BDS-FIXED NON TAXABLE 961777XD6 52 50000 SH SOLE 52 0 0 ZOETIS INC COMMON STOCK 98978V103 3778 52445 SH SOLE 3778 0 0