Regent Investment Management as of Sept. 30, 2013
Portfolio Holdings for Regent Investment Management
Regent Investment Management holds 171 positions in its portfolio as reported in the September 2013 quarterly 13F filing
| Company (Ticker) | Portfolio Weight | Valued At | Change in Shares | Share Count | Share Price |
|---|---|---|---|---|---|
| Apple Computer | 2.6 | $4.0M | 8.3k | 476.81 | |
| Johnson & Johnson (JNJ) | 2.5 | $3.8M | 44k | 86.68 | |
| Farmers Capital Bank | 2.5 | $3.8M | 172k | 21.86 | |
| Walgreen Company | 2.4 | $3.7M | 69k | 53.80 | |
| CVS Caremark Corporation (CVS) | 2.3 | $3.4M | 61k | 56.74 | |
| 2.1 | $3.2M | 3.7k | 875.82 | ||
| Chevron Corporation (CVX) | 2.0 | $3.1M | 25k | 121.51 | |
| Diageo (DEO) | 1.9 | $2.8M | 22k | 127.08 | |
| Procter & Gamble Company (PG) | 1.9 | $2.8M | 37k | 75.59 | |
| McKesson Corporation (MCK) | 1.7 | $2.6M | 20k | 128.30 | |
| International Business Machines (IBM) | 1.7 | $2.5M | 14k | 185.17 | |
| Macy's (M) | 1.6 | $2.5M | 57k | 43.28 | |
| Time Warner | 1.5 | $2.3M | 34k | 65.81 | |
| Gilead Sciences (GILD) | 1.5 | $2.2M | 36k | 62.88 | |
| Pepsi (PEP) | 1.4 | $2.1M | 27k | 79.51 | |
| General Mills (GIS) | 1.4 | $2.1M | 45k | 47.93 | |
| Williams Companies (WMB) | 1.4 | $2.0M | 56k | 36.36 | |
| V.F. Corporation (VFC) | 1.3 | $2.0M | 10k | 199.06 | |
| Express Scripts Holding | 1.3 | $2.0M | 33k | 61.80 | |
| JPMorgan Chase & Co. (JPM) | 1.3 | $2.0M | 38k | 51.68 | |
| ConocoPhillips (COP) | 1.3 | $1.9M | 28k | 69.52 | |
| Coca-Cola Company (KO) | 1.3 | $1.9M | 51k | 37.88 | |
| E.I. du Pont de Nemours & Company | 1.3 | $1.9M | 33k | 58.56 | |
| iShares Russell Midcap Growth Idx. (IWP) | 1.2 | $1.8M | 23k | 78.21 | |
| Cisco Systems (CSCO) | 1.2 | $1.8M | 75k | 23.43 | |
| Kinder Morgan (KMI) | 1.2 | $1.8M | 49k | 35.58 | |
| Prudential Financial (PRU) | 1.1 | $1.7M | 22k | 77.99 | |
| Halliburton Company (HAL) | 1.1 | $1.6M | 33k | 48.15 | |
| iShares Russell 2000 Growth Index (IWO) | 1.0 | $1.6M | 12k | 125.87 | |
| General Electric Company | 1.0 | $1.5M | 64k | 23.89 | |
| Vodafone | 1.0 | $1.5M | 43k | 35.18 | |
| Celgene Corporation | 1.0 | $1.4M | 9.4k | 154.09 | |
| Baxter Intl Inc Com Stk | 1.0 | $1.5M | 22k | 65.69 | |
| Mylan | 0.9 | $1.4M | 38k | 38.17 | |
| Templeton Dragon Fund (TDF) | 0.9 | $1.4M | 55k | 26.03 | |
| AmerisourceBergen (COR) | 0.9 | $1.4M | 23k | 61.10 | |
| McDonald's Corporation (MCD) | 0.8 | $1.3M | 13k | 96.22 | |
| Thermo Fisher Scientific (TMO) | 0.8 | $1.3M | 14k | 92.13 | |
| Capitala Finance | 0.8 | $1.3M | 66k | 19.20 | |
| Verizon Communications (VZ) | 0.8 | $1.3M | 27k | 46.66 | |
| ConAgra Foods (CAG) | 0.8 | $1.2M | 41k | 30.35 | |
| Ensco Plc Shs Class A | 0.8 | $1.2M | 23k | 53.74 | |
| Exxon Mobil Corporation (XOM) | 0.8 | $1.2M | 14k | 86.06 | |
| U.S. Bancorp (USB) | 0.8 | $1.2M | 33k | 36.57 | |
| 3M Company (MMM) | 0.8 | $1.2M | 9.7k | 119.39 | |
| iShares Russell 2000 Value Index (IWN) | 0.8 | $1.2M | 13k | 91.66 | |
| Eaton (ETN) | 0.8 | $1.2M | 17k | 68.82 | |
| Target Corporation (TGT) | 0.7 | $1.1M | 18k | 63.95 | |
| Merck & Co (MRK) | 0.7 | $1.1M | 23k | 47.60 | |
| Oracle Corporation (ORCL) | 0.7 | $1.1M | 32k | 33.18 | |
| priceline.com Incorporated | 0.7 | $1.1M | 1.0k | 1010.53 | |
| Hertz Global Holdings | 0.7 | $1.0M | 47k | 22.16 | |
| Amer Intl Grp Com Usd2.50 | 0.7 | $1.1M | 22k | 48.65 | |
| United Technologies Corporation | 0.7 | $1.0M | 9.5k | 107.83 | |
| Yum! Brands (YUM) | 0.7 | $1.0M | 14k | 71.41 | |
| Wal-Mart Stores (WMT) | 0.7 | $995k | 14k | 73.95 | |
| MetLife (MET) | 0.7 | $1.0M | 21k | 46.95 | |
| Qualcomm (QCOM) | 0.7 | $987k | 15k | 67.32 | |
| Vanguard Emerging Markets ETF (VWO) | 0.7 | $982k | 25k | 40.14 | |
| Ace Limited Cmn | 0.6 | $943k | 10k | 93.57 | |
| Seagate Technology Com Stk | 0.6 | $934k | 21k | 43.75 | |
| Walt Disney Company (DIS) | 0.6 | $919k | 14k | 64.51 | |
| UnitedHealth (UNH) | 0.6 | $905k | 13k | 71.58 | |
| Energy Transfer Partners | 0.6 | $892k | 17k | 52.07 | |
| Medtronic | 0.6 | $884k | 17k | 53.25 | |
| TJX Companies (TJX) | 0.6 | $845k | 15k | 56.39 | |
| American Express | 0.6 | $845k | 11k | 75.51 | |
| Honeywell International (HON) | 0.5 | $812k | 9.8k | 83.01 | |
| Intel Corporation (INTC) | 0.5 | $802k | 35k | 22.93 | |
| Schlumberger (SLB) | 0.5 | $793k | 9.0k | 88.37 | |
| Devon Energy Corporation (DVN) | 0.5 | $738k | 13k | 57.72 | |
| eBay (EBAY) | 0.5 | $737k | 13k | 55.77 | |
| Spectra Energy | 0.5 | $720k | 21k | 34.22 | |
| Jabil Circuit (JBL) | 0.5 | $734k | 34k | 21.67 | |
| Flowserve Corporation (FLS) | 0.5 | $728k | 12k | 62.35 | |
| Texas Instruments Incorporated (TXN) | 0.5 | $711k | 18k | 40.31 | |
| Kroger (KR) | 0.5 | $696k | 17k | 40.36 | |
| Phillips 66 (PSX) | 0.5 | $690k | 12k | 57.85 | |
| Danaher Corporation (DHR) | 0.4 | $615k | 8.9k | 69.30 | |
| At&t (T) | 0.4 | $596k | 18k | 33.83 | |
| Ameriprise Financial (AMP) | 0.4 | $580k | 6.4k | 91.15 | |
| Maxim Integrated Products | 0.4 | $581k | 20k | 29.79 | |
| SPDR S&P Biotech (XBI) | 0.4 | $574k | 4.4k | 129.08 | |
| Nationstar Mortgage | 0.4 | $568k | 10k | 56.24 | |
| Union Pacific Corporation (UNP) | 0.4 | $567k | 3.7k | 155.26 | |
| United Rentals (URI) | 0.4 | $560k | 9.6k | 58.27 | |
| China Petroleum & Chemical | 0.4 | $543k | 6.9k | 78.35 | |
| Unilever (UL) | 0.4 | $547k | 14k | 38.60 | |
| Apache Corp Com Stk | 0.4 | $542k | 6.4k | 85.07 | |
| Microsoft Corporation (MSFT) | 0.3 | $532k | 16k | 33.26 | |
| Stryker Corporation (SYK) | 0.3 | $534k | 7.9k | 67.59 | |
| Plum Creek Timber | 0.3 | $522k | 11k | 46.84 | |
| Kimberly-Clark Corporation (KMB) | 0.3 | $481k | 5.1k | 94.18 | |
| Deere & Company (DE) | 0.3 | $489k | 6.0k | 81.47 | |
| Nextera Energy (NEE) | 0.3 | $471k | 5.9k | 80.09 | |
| Travelers Companies (TRV) | 0.3 | $458k | 5.4k | 84.85 | |
| Newell Rubbermaid (NWL) | 0.3 | $448k | 16k | 27.48 | |
| iShares S&P US Pref Stock Idx Fnd (PFF) | 0.3 | $453k | 12k | 38.04 | |
| Annaly C | 0.3 | $454k | 39k | 11.59 | |
| iShares S&P NA Tec.-SW. Idx. Fund (IGV) | 0.3 | $435k | 5.7k | 76.32 | |
| Lincoln National Corporation (LNC) | 0.3 | $420k | 10k | 42.00 | |
| Henry Schein (HSIC) | 0.3 | $420k | 4.1k | 103.70 | |
| Kellogg Company (K) | 0.3 | $424k | 7.2k | 58.69 | |
| Whirlpool Corporation (WHR) | 0.3 | $410k | 2.8k | 146.43 | |
| Bp Plc-spons | 0.3 | $404k | 9.6k | 41.98 | |
| Abbvie (ABBV) | 0.3 | $409k | 9.2k | 44.68 | |
| Occidental Petroleum Corporation (OXY) | 0.3 | $393k | 4.2k | 93.57 | |
| Illumina (ILMN) | 0.3 | $398k | 4.9k | 80.89 | |
| Humana (HUM) | 0.3 | $391k | 4.2k | 93.30 | |
| Amgen | 0.3 | $392k | 3.5k | 112.00 | |
| Schwab Emerging Markets Equity ETF (SCHE) | 0.2 | $372k | 15k | 24.57 | |
| Abbott Laboratories | 0.2 | $362k | 11k | 33.20 | |
| Baker Hughes | 0.2 | $363k | 7.4k | 49.12 | |
| Mondelez Int (MDLZ) | 0.2 | $369k | 12k | 31.42 | |
| iShares MSCI Emerging Markets Indx (EEM) | 0.2 | $343k | 8.4k | 40.79 | |
| PNC Financial Services (PNC) | 0.2 | $331k | 4.6k | 72.54 | |
| EMC Corporation | 0.2 | $332k | 13k | 25.54 | |
| Lowe's Companies (LOW) | 0.2 | $333k | 7.0k | 47.63 | |
| MarkWest Energy Partners | 0.2 | $328k | 4.5k | 72.33 | |
| Banco Latinoamericano De Comercio Exteri (BLX) | 0.2 | $339k | 14k | 24.93 | |
| Suncor Energy (SU) | 0.2 | $333k | 9.3k | 35.80 | |
| Norfolk Southern (NSC) | 0.2 | $317k | 4.1k | 77.32 | |
| Royal Dutch Shell | 0.2 | $317k | 4.8k | 65.58 | |
| Skyworks Solutions (SWKS) | 0.2 | $311k | 13k | 24.88 | |
| Hartford Financial Services (HIG) | 0.2 | $305k | 9.8k | 31.12 | |
| Waste Management (WM) | 0.2 | $304k | 7.4k | 41.30 | |
| Mid-America Apartment (MAA) | 0.2 | $306k | 4.9k | 62.45 | |
| iShares MSCI EAFE Index Fund (EFA) | 0.2 | $306k | 4.8k | 63.84 | |
| Stericycle (SRCL) | 0.2 | $306k | 2.7k | 115.47 | |
| J.M. Smucker Company (SJM) | 0.2 | $303k | 2.9k | 105.03 | |
| Cameron International Corporation | 0.2 | $306k | 5.3k | 58.29 | |
| iShares Russell Midcap Value Index (IWS) | 0.2 | $302k | 5.0k | 60.92 | |
| Yongye International | 0.2 | $306k | 49k | 6.20 | |
| Tractor Supply Company (TSCO) | 0.2 | $290k | 4.3k | 67.13 | |
| Apollo Investment | 0.2 | $285k | 35k | 8.14 | |
| Potlatch Corporation (PCH) | 0.2 | $270k | 6.8k | 39.71 | |
| BioMarin Pharmaceutical (BMRN) | 0.2 | $260k | 3.6k | 72.22 | |
| Bristol Myers Squibb (BMY) | 0.2 | $262k | 5.7k | 46.21 | |
| WellPoint | 0.2 | $251k | 3.0k | 83.67 | |
| Comcast Corporation (CMCSA) | 0.2 | $242k | 5.4k | 45.07 | |
| Principal Financial (PFG) | 0.2 | $248k | 5.8k | 42.76 | |
| Western Digital (WDC) | 0.2 | $235k | 3.7k | 63.34 | |
| PowerShares Fin. Preferred Port. | 0.2 | $248k | 15k | 17.16 | |
| Duke Energy (DUK) | 0.2 | $235k | 3.5k | 66.78 | |
| Mattel (MAT) | 0.1 | $231k | 5.5k | 41.81 | |
| Koninklijke Philips Electronics NV (PHG) | 0.1 | $223k | 6.9k | 32.32 | |
| KKR & Co | 0.1 | $226k | 11k | 20.55 | |
| Bb&t Corp | 0.1 | $220k | 6.5k | 33.76 | |
| Caterpillar (CAT) | 0.1 | $211k | 2.5k | 83.23 | |
| Coach | 0.1 | $217k | 4.0k | 54.65 | |
| Chart Industries (GTLS) | 0.1 | $218k | 1.8k | 122.82 | |
| Metlife Inc. 6.5% Pfd Non-cumu p | 0.1 | $200k | 8.0k | 24.87 | |
| Taiwan Semiconductor Mfg (TSM) | 0.1 | $178k | 11k | 16.92 | |
| Ford Motor Company (F) | 0.1 | $175k | 10k | 16.87 | |
| ON Semiconductor (ON) | 0.1 | $186k | 26k | 7.29 | |
| Flextronics International Ltd Com Stk (FLEX) | 0.1 | $165k | 18k | 9.10 | |
| Petroleo Brasileiro SA (PBR) | 0.1 | $156k | 10k | 15.48 | |
| KKR Financial Holdings | 0.1 | $153k | 15k | 10.34 | |
| Singapore Fund (SGF) | 0.1 | $157k | 12k | 13.08 | |
| Vimpel | 0.1 | $141k | 12k | 11.75 | |
| ANWORTH MTG ASSET Corp Com Stk | 0.0 | $58k | 12k | 4.83 | |
| Tianyin Pharmaceutical | 0.0 | $24k | 32k | 0.74 | |
| Chinacast Education Corporation (CAST) | 0.0 | $2.1k | 23k | 0.09 | |
| Wonder Auto Technology | 0.0 | $0 | 16k | 0.00 | |
| HQ Sustainable Maritime Industries | 0.0 | $0 | 10k | 0.00 | |
| Yuhe International (YUII) | 0.0 | $0 | 15k | 0.00 | |
| Cresud Sa Commercial | 0.0 | $6.1k | 101k | 0.06 | |
| Renhuang Pharmaceuticals | 0.0 | $0 | 11k | 0.00 | |
| Xcelmobility (XCLL) | 0.0 | $1.1k | 11k | 0.10 | |
| Amarantus Bioscience Hld | 0.0 | $1.0k | 20k | 0.05 | |
| Reneuron Group Plc Ord F | 0.0 | $5.0k | 100k | 0.05 |
