Regent Investment Management as of Sept. 30, 2014
Portfolio Holdings for Regent Investment Management
Regent Investment Management holds 191 positions in its portfolio as reported in the September 2014 quarterly 13F filing
| Company (Ticker) | Portfolio Weight | Valued At | Change in Shares | Share Count | Share Price |
|---|---|---|---|---|---|
| Apple (AAPL) | 3.1 | $6.0M | 60k | 100.75 | |
| CVS Caremark Corporation (CVS) | 2.9 | $5.7M | 72k | 79.59 | |
| Johnson & Johnson (JNJ) | 2.6 | $5.0M | 47k | 106.59 | |
| Gilead Sciences (GILD) | 2.5 | $4.9M | 46k | 106.45 | |
| Procter & Gamble Company (PG) | 2.3 | $4.5M | 54k | 83.73 | |
| Walgreen Company | 2.2 | $4.3M | 73k | 59.27 | |
| Farmers Capital Bank | 2.0 | $4.0M | 177k | 22.53 | |
| JPMorgan Chase & Co. (JPM) | 2.0 | $3.9M | 65k | 60.24 | |
| McKesson Corporation (MCK) | 2.0 | $3.8M | 20k | 194.68 | |
| Macy's (M) | 1.8 | $3.4M | 59k | 58.18 | |
| Celgene Corporation | 1.7 | $3.4M | 35k | 94.78 | |
| Halliburton Company (HAL) | 1.6 | $3.1M | 48k | 64.50 | |
| Diageo (DEO) | 1.6 | $3.1M | 27k | 115.41 | |
| Kinder Morgan (KMI) | 1.5 | $3.0M | 79k | 38.34 | |
| Chevron Corporation (CVX) | 1.5 | $3.0M | 25k | 119.32 | |
| Williams Companies (WMB) | 1.4 | $2.7M | 49k | 55.35 | |
| V.F. Corporation (VFC) | 1.4 | $2.7M | 41k | 66.03 | |
| Google Inc Class C | 1.4 | $2.6M | 4.6k | 577.37 | |
| International Business Machines (IBM) | 1.3 | $2.5M | 13k | 189.80 | |
| Verizon Communications (VZ) | 1.3 | $2.5M | 50k | 49.99 | |
| Time Warner | 1.3 | $2.5M | 33k | 75.22 | |
| priceline.com Incorporated | 1.2 | $2.4M | 2.1k | 1158.47 | |
| 1.2 | $2.4M | 4.0k | 588.47 | ||
| E.I. du Pont de Nemours & Company | 1.2 | $2.3M | 32k | 71.77 | |
| Cisco Systems (CSCO) | 1.1 | $2.2M | 87k | 25.17 | |
| Coca-Cola Company (KO) | 1.1 | $2.2M | 51k | 42.66 | |
| Capitala Finance | 1.1 | $2.2M | 122k | 17.72 | |
| Express Scripts Holding | 1.1 | $2.1M | 30k | 70.63 | |
| AmerisourceBergen (COR) | 1.1 | $2.1M | 27k | 77.31 | |
| Prudential Financial (PRU) | 1.0 | $2.0M | 23k | 87.92 | |
| ConocoPhillips (COP) | 1.0 | $1.9M | 25k | 76.52 | |
| Merck & Co (MRK) | 1.0 | $1.9M | 32k | 59.29 | |
| Mylan | 0.9 | $1.8M | 40k | 45.50 | |
| iShares Russell Midcap Value Index (IWS) | 0.9 | $1.7M | 24k | 69.99 | |
| Union Pacific Corporation (UNP) | 0.8 | $1.6M | 15k | 108.42 | |
| iShares Russell 1000 Growth Index (IWF) | 0.8 | $1.6M | 17k | 91.60 | |
| General Mills (GIS) | 0.7 | $1.4M | 29k | 50.44 | |
| Walt Disney Company (DIS) | 0.7 | $1.4M | 16k | 89.05 | |
| General Electric Company | 0.7 | $1.4M | 56k | 25.62 | |
| Eaton (ETN) | 0.7 | $1.4M | 23k | 63.37 | |
| Schlumberger (SLB) | 0.7 | $1.4M | 14k | 101.66 | |
| Hertz Global Holdings | 0.7 | $1.4M | 55k | 25.40 | |
| Vanguard Emerging Markets ETF (VWO) | 0.7 | $1.4M | 33k | 41.72 | |
| ConAgra Foods (CAG) | 0.7 | $1.3M | 41k | 33.05 | |
| Exxon Mobil Corporation (XOM) | 0.7 | $1.3M | 14k | 94.06 | |
| 3M Company (MMM) | 0.7 | $1.3M | 9.3k | 141.70 | |
| TJX Companies (TJX) | 0.7 | $1.3M | 22k | 59.16 | |
| Pepsi (PEP) | 0.7 | $1.3M | 14k | 93.07 | |
| Seagate Technology Com Stk | 0.6 | $1.3M | 22k | 57.29 | |
| MetLife (MET) | 0.6 | $1.3M | 23k | 53.73 | |
| iShares Russell Midcap Growth Idx. (IWP) | 0.6 | $1.2M | 14k | 88.38 | |
| Thermo Fisher Scientific (TMO) | 0.6 | $1.2M | 9.7k | 121.75 | |
| Templeton Dragon Fund (TDF) | 0.6 | $1.2M | 46k | 25.78 | |
| U.S. Bancorp (USB) | 0.6 | $1.1M | 27k | 41.84 | |
| Yum! Brands (YUM) | 0.6 | $1.1M | 16k | 71.99 | |
| Qualcomm (QCOM) | 0.6 | $1.1M | 15k | 74.76 | |
| American Express Company (AXP) | 0.6 | $1.1M | 12k | 87.56 | |
| UnitedHealth (UNH) | 0.5 | $1.1M | 12k | 86.21 | |
| Home Depot (HD) | 0.5 | $1.0M | 11k | 91.70 | |
| Whirlpool Corporation (WHR) | 0.5 | $1.0M | 7.0k | 145.62 | |
| United Technologies Corporation | 0.5 | $1.0M | 9.5k | 105.62 | |
| Medtronic | 0.5 | $967k | 16k | 61.98 | |
| EMC Corporation | 0.5 | $966k | 33k | 29.27 | |
| Oracle Corporation (ORCL) | 0.5 | $974k | 26k | 38.27 | |
| American International (AIG) | 0.5 | $980k | 18k | 54.04 | |
| Kraft Foods | 0.5 | $959k | 17k | 56.42 | |
| Ace Limited Cmn | 0.5 | $938k | 8.9k | 104.86 | |
| Eli Lilly & Co. (LLY) | 0.5 | $911k | 14k | 64.82 | |
| Bristol Myers Squibb (BMY) | 0.5 | $910k | 18k | 51.20 | |
| Honeywell International (HON) | 0.5 | $920k | 9.9k | 93.10 | |
| Phillips 66 (PSX) | 0.5 | $922k | 11k | 81.33 | |
| Mondelez Int (MDLZ) | 0.5 | $894k | 26k | 34.27 | |
| Kroger (KR) | 0.5 | $881k | 17k | 51.99 | |
| Apollo Investment | 0.4 | $866k | 106k | 8.17 | |
| Baker Hughes Incorporated | 0.4 | $822k | 13k | 65.03 | |
| Ensco Plc Shs Class A | 0.4 | $819k | 20k | 41.29 | |
| Texas Instruments Incorporated (TXN) | 0.4 | $792k | 17k | 47.71 | |
| Ameriprise Financial (AMP) | 0.4 | $785k | 6.4k | 123.37 | |
| Devon Energy Corporation (DVN) | 0.4 | $786k | 12k | 68.14 | |
| McDonald's Corporation (MCD) | 0.4 | $781k | 8.2k | 94.84 | |
| Via | 0.4 | $752k | 9.8k | 76.93 | |
| Baxter International (BAX) | 0.4 | $769k | 11k | 71.75 | |
| Intel Corporation (INTC) | 0.4 | $764k | 22k | 34.82 | |
| Illumina (ILMN) | 0.4 | $742k | 4.5k | 163.98 | |
| StoneMor Partners | 0.4 | $733k | 28k | 25.79 | |
| Yahoo! | 0.4 | $731k | 18k | 40.72 | |
| Flowserve Corporation (FLS) | 0.4 | $712k | 10k | 70.49 | |
| eBay (EBAY) | 0.3 | $677k | 12k | 56.65 | |
| Philip Morris International (PM) | 0.3 | $688k | 8.3k | 83.36 | |
| General Motors Company (GM) | 0.3 | $661k | 21k | 31.93 | |
| Danaher Corporation (DHR) | 0.3 | $652k | 8.6k | 76.03 | |
| Koninklijke Philips Electronics NV (PHG) | 0.3 | $619k | 20k | 31.74 | |
| China Petroleum & Chemical | 0.3 | $610k | 7.0k | 87.39 | |
| At&t (T) | 0.3 | $602k | 17k | 35.26 | |
| Norfolk Southern (NSC) | 0.3 | $591k | 5.3k | 111.51 | |
| iShares MSCI EAFE Index Fund (EFA) | 0.3 | $558k | 8.7k | 64.10 | |
| CBS Corporation | 0.3 | $548k | 10k | 53.45 | |
| Humana (HUM) | 0.3 | $546k | 4.2k | 130.28 | |
| Wells Fargo & Company (WFC) | 0.3 | $523k | 10k | 51.90 | |
| Maxim Integrated Products | 0.3 | $517k | 17k | 30.23 | |
| Stryker Corporation (SYK) | 0.3 | $525k | 6.5k | 80.77 | |
| Kimberly-Clark Corporation (KMB) | 0.3 | $515k | 4.8k | 107.49 | |
| Travelers Companies (TRV) | 0.3 | $512k | 5.5k | 93.86 | |
| Newell Rubbermaid (NWL) | 0.3 | $516k | 15k | 34.40 | |
| Target Corporation (TGT) | 0.3 | $515k | 8.2k | 62.71 | |
| Lincoln National Corporation (LNC) | 0.2 | $488k | 9.1k | 53.63 | |
| Apache Corporation | 0.2 | $481k | 5.1k | 93.95 | |
| United Rentals (URI) | 0.2 | $497k | 4.5k | 111.19 | |
| Amgen (AMGN) | 0.2 | $492k | 3.5k | 140.57 | |
| Nextera Energy (NEE) | 0.2 | $491k | 5.2k | 93.86 | |
| FedEx Corporation (FDX) | 0.2 | $468k | 2.9k | 161.32 | |
| Morgan Stanley (MS) | 0.2 | $468k | 14k | 34.54 | |
| Lamar Advertising Company | 0.2 | $473k | 9.6k | 49.27 | |
| Hewlett-Packard Company | 0.2 | $469k | 13k | 35.46 | |
| Wal-Mart Stores (WMT) | 0.2 | $446k | 5.8k | 76.50 | |
| ON Semiconductor (ON) | 0.2 | $445k | 50k | 8.94 | |
| Energy Transfer Partners | 0.2 | $443k | 6.9k | 63.92 | |
| Abbvie (ABBV) | 0.2 | $450k | 7.8k | 57.81 | |
| Microsoft Corporation (MSFT) | 0.2 | $438k | 9.4k | 46.37 | |
| Schwab Emerging Markets Equity ETF (SCHE) | 0.2 | $437k | 17k | 25.42 | |
| Occidental Petroleum Corporation (OXY) | 0.2 | $404k | 4.2k | 96.19 | |
| Henry Schein (HSIC) | 0.2 | $408k | 3.5k | 116.57 | |
| Abbott Laboratories (ABT) | 0.2 | $383k | 9.2k | 41.63 | |
| Brown-Forman Corporation (BF.A) | 0.2 | $391k | 4.4k | 89.27 | |
| Ventas (VTR) | 0.2 | $387k | 6.3k | 61.92 | |
| iShares NASDAQ Biotechnology Index (IBB) | 0.2 | $399k | 1.5k | 273.29 | |
| Ciena Corporation (CIEN) | 0.2 | $384k | 23k | 16.73 | |
| Unilever (UL) | 0.2 | $393k | 9.4k | 41.94 | |
| iShares S&P US Pref Stock Idx Fnd (PFF) | 0.2 | $395k | 10k | 39.53 | |
| BP (BP) | 0.2 | $367k | 8.3k | 43.97 | |
| PNC Financial Services (PNC) | 0.2 | $367k | 4.3k | 85.59 | |
| Caterpillar (CAT) | 0.2 | $362k | 3.7k | 99.04 | |
| Altria (MO) | 0.2 | $366k | 8.0k | 45.98 | |
| Web | 0.2 | $363k | 18k | 19.96 | |
| Nationstar Mortgage | 0.2 | $377k | 11k | 34.27 | |
| Hartford Financial Services (HIG) | 0.2 | $343k | 9.2k | 37.28 | |
| iShares MSCI Emerging Markets Indx (EEM) | 0.2 | $324k | 7.8k | 41.62 | |
| Western Digital (WDC) | 0.2 | $332k | 3.4k | 97.36 | |
| Mid-America Apartment (MAA) | 0.2 | $328k | 5.0k | 65.60 | |
| Royal Dutch Shell | 0.2 | $338k | 4.4k | 76.23 | |
| WellPoint | 0.2 | $335k | 2.8k | 119.64 | |
| Lowe's Companies (LOW) | 0.2 | $322k | 6.1k | 52.86 | |
| Jabil Circuit (JBL) | 0.2 | $335k | 17k | 20.18 | |
| Cameron International Corporation | 0.2 | $329k | 5.0k | 66.46 | |
| Plum Creek Timber | 0.2 | $321k | 8.2k | 39.01 | |
| Stericycle (SRCL) | 0.2 | $309k | 2.7k | 116.60 | |
| Tenne | 0.2 | $303k | 5.8k | 52.24 | |
| Suncor Energy (SU) | 0.2 | $315k | 8.7k | 36.20 | |
| Deere & Company (DE) | 0.1 | $283k | 3.5k | 81.86 | |
| J.M. Smucker Company (SJM) | 0.1 | $294k | 3.0k | 99.02 | |
| Dcp Midstream Partners | 0.1 | $283k | 5.2k | 54.48 | |
| PowerShares Preferred Portfolio | 0.1 | $291k | 20k | 14.48 | |
| Taiwan Semiconductor Mfg (TSM) | 0.1 | $273k | 14k | 20.19 | |
| Tractor Supply Company (TSCO) | 0.1 | $267k | 4.3k | 61.46 | |
| Genuine Parts Company (GPC) | 0.1 | $278k | 3.2k | 87.84 | |
| MarkWest Energy Partners | 0.1 | $279k | 3.6k | 76.75 | |
| NPS Pharmaceuticals | 0.1 | $268k | 10k | 26.02 | |
| BlackRock Insured Municipal Income Trust (BYM) | 0.1 | $269k | 19k | 13.84 | |
| BioMarin Pharmaceutical (BMRN) | 0.1 | $260k | 3.6k | 72.22 | |
| Cardinal Health (CAH) | 0.1 | $247k | 3.3k | 74.85 | |
| Brown-Forman Corporation (BF.B) | 0.1 | $244k | 2.7k | 90.24 | |
| Ford Motor Company (F) | 0.1 | $263k | 18k | 14.80 | |
| Cavium | 0.1 | $254k | 5.1k | 49.80 | |
| Actavis | 0.1 | $246k | 1.0k | 241.18 | |
| Blackstone | 0.1 | $236k | 7.5k | 31.47 | |
| Pfizer (PFE) | 0.1 | $231k | 7.8k | 29.60 | |
| Hillenbrand (HI) | 0.1 | $238k | 7.7k | 30.86 | |
| LifePoint Hospitals | 0.1 | $243k | 3.5k | 69.23 | |
| BB&T Corporation | 0.1 | $242k | 6.5k | 37.13 | |
| Starbucks Corporation (SBUX) | 0.1 | $239k | 3.2k | 75.47 | |
| iShares Russell 2000 Value Index (IWN) | 0.1 | $230k | 2.5k | 93.46 | |
| Comcast Corporation (CMCSA) | 0.1 | $222k | 4.1k | 53.75 | |
| India Fund (IFN) | 0.1 | $220k | 8.1k | 27.14 | |
| United Parcel Service (UPS) | 0.1 | $210k | 2.1k | 98.13 | |
| iShares Russell 2000 Growth Index (IWO) | 0.1 | $217k | 1.7k | 129.55 | |
| PowerShares Fin. Preferred Port. | 0.1 | $206k | 12k | 17.99 | |
| Annaly Capital Management | 0.1 | $202k | 19k | 10.68 | |
| Flextronics International Ltd Com Stk (FLEX) | 0.1 | $165k | 16k | 10.34 | |
| Singapore Fund | 0.1 | $124k | 10k | 12.40 | |
| Tianyin Pharmaceutical | 0.0 | $16k | 25k | 0.63 | |
| Orient Paper | 0.0 | $14k | 10k | 1.40 | |
| D Implant Sciences Corp Com Stk | 0.0 | $12k | 10k | 1.20 | |
| Amarantus Bioscience Hld | 0.0 | $25k | 273k | 0.09 | |
| Chinacast Education Corporation (CAST) | 0.0 | $0 | 16k | 0.00 | |
| HQ Sustainable Maritime Industries | 0.0 | $0 | 10k | 0.00 | |
| Yuhe International (YUII) | 0.0 | $0 | 13k | 0.00 | |
| Cresud Sa Commercial | 0.0 | $3.0k | 101k | 0.03 | |
| Renhuang Pharmaceuticals | 0.0 | $0 | 11k | 0.00 | |
| Xcelmobility (XCLL) | 0.0 | $0 | 11k | 0.00 | |
| Reneuron Group Plc Ord F | 0.0 | $6.0k | 100k | 0.06 | |
| Wonder Auto Tech Inc Xxx Escro | 0.0 | $0 | 14k | 0.00 |
