Lumbard & Kellner, LLC Diversified Active

CIK: 0001602476 · Show all filings

Period: Q3 2014 (← Previous) (Next →)

Filing Date: Nov 14, 2014

Total Value ($000): $141,356 (100.0% shares, 0.0% debt)

Holdings (98)

FAAXX FIRST AMERICAN GOVERNMENT OBLIGATION 10.5%
Value ($000) $14,881 Shares 14,881,424 Est. Cost $1.00 Unrealized
MAPIX MATTHEWS ASIA DIVIDEND FUND 5.1%
Value ($000) $7,263 Shares 459,948 Est. Cost $15.67 Unrealized
MET METLIFE INC 4.3%
Value ($000) $6,033 Shares 112,300 Est. Cost $30.18 Unrealized +10.2%
IBM INTERNATIONAL BUSINESS MACHINES CORP 3.4%
Value ($000) $4,835 Shares 25,470 Est. Cost $106.90 Unrealized +7.0%
WMT WAL MART STORES INC 3.2%
Value ($000) $4,584 Shares 59,950 Est. Cost $20.46 Unrealized -0.7%
MSFT MICROSOFT CORP 3.2%
Value ($000) $4,582 Shares 98,835 Est. Cost $30.02 Unrealized +25.5%
PRU PRUDENTIAL FINANCIAL INC 3.1%
Value ($000) $4,447 Shares 50,570 Est. Cost $51.54 Unrealized +6.6%
DIRECTV 3.0%
Value ($000) $4,236 Shares 48,955 Est. Cost $77.21 Unrealized
FDX FED EX CORP 3.0%
Value ($000) $4,224 Shares 26,160 Est. Cost $112.11 Unrealized +15.1%
KEY KEYCORP NEW 2.3%
Value ($000) $3,310 Shares 248,310 Est. Cost $8.05 Unrealized +9.6%
SNY SANOFI A D R 2.2%
Value ($000) $3,152 Shares 55,850 Est. Cost $53.71 Unrealized
JOHNSON CONTROLS INC 2.2%
Value ($000) $3,085 Shares 70,120 Est. Cost $51.25 Unrealized
PFE PFIZER INC 2.1%
Value ($000) $3,012 Shares 101,868 Est. Cost $17.62 Unrealized -1.0%
GLW CORNING INC 2.1%
Value ($000) $2,995 Shares 154,851 Est. Cost $12.34 Unrealized +25.4%
SEADRILL LIMITED 2.1%
Value ($000) $2,901 Shares 108,396 Est. Cost $40.67 Unrealized
BROADCOM CORP CL A 2.0%
Value ($000) $2,852 Shares 70,555 Est. Cost $29.65 Unrealized
TSN TYSON FOODS INC 1.9%
Value ($000) $2,714 Shares 68,935 Est. Cost $29.61 Unrealized 0.0%
GS GOLDMAN SACHS GROUP INC 1.9%
Value ($000) $2,640 Shares 14,380 Est. Cost $129.00 Unrealized +9.0%
RF REGIONS FINL CORP 1.8%
Value ($000) $2,553 Shares 254,240 Est. Cost $7.02 Unrealized -1.6%
EPOL ISHARES MSCI POLAND CAPPED INVSTBL 1.8%
Value ($000) $2,545 Shares 89,605 Est. Cost $29.64 Unrealized
THAI FUND INC 1.8%
Value ($000) $2,532 Shares 205,992 Est. Cost $14.25 Unrealized
QCOM QUALCOMM INC 1.8%
Value ($000) $2,482 Shares 33,201 Est. Cost $50.58 Unrealized +9.6%
KBR KBR INC 1.6%
Value ($000) $2,218 Shares 117,804 Est. Cost $21.04 Unrealized -12.9%
SGAPY SINGAPORE TELECOMMUNICATNS A D R 1.5%
Value ($000) $2,191 Shares 73,310 Est. Cost $29.65 Unrealized
HBAN HUNTINGTON BANCSHARES INC 1.5%
Value ($000) $2,140 Shares 219,915 Est. Cost $6.02 Unrealized +4.5%
F FORD MOTOR CO 1.5%
Value ($000) $2,096 Shares 141,744 Est. Cost $9.00 Unrealized +4.2%
TM TOYOTA MTR CORP A D R 1.5%
Value ($000) $2,071 Shares 17,625 Est. Cost $119.61 Unrealized
HEWLETT PACKARD CO 1.4%
Value ($000) $1,988 Shares 56,041 Est. Cost $27.99 Unrealized
GM GENERAL MOTORS CO 1.3%
Value ($000) $1,864 Shares 58,357 Est. Cost $28.14 Unrealized -5.9%
SZOXF POWERSHARES DB CRUDE SHORT 1.3%
Value ($000) $1,847 Shares 47,300 Est. Cost $38.72 Unrealized
HAWAIIAN HLDGS INC 1.1%
Value ($000) $1,625 Shares 120,825 Est. Cost $9.63 Unrealized
STATE STREET CAP TR IV 1.1%
Value ($000) $1,598 Shares 1,875,000 Est. Cost $0.76 Unrealized
KOREA FUND COMMON 1.1%
Value ($000) $1,597 Shares 38,462 Est. Cost $41.28 Unrealized
MORGAN STANLEY 1.1%
Value ($000) $1,491 Shares 1,400,000 Est. Cost $1.04 Unrealized
XOM EXXON MOBIL CORP 1.0%
Value ($000) $1,433 Shares 15,234 Est. Cost $57.08 Unrealized +7.8%
US BANK CAPITAL IX 0.9%
Value ($000) $1,260 Shares 1,482,000 Est. Cost $0.78 Unrealized
MARKET VECTORS VIETNAM ETF 0.9%
Value ($000) $1,249 Shares 57,035 Est. Cost $18.99 Unrealized
MORGAN STANLEY 0.9%
Value ($000) $1,244 Shares 1,205,000 Est. Cost $0.99 Unrealized
MORGAN STANLEYY 0.9%
Value ($000) $1,207 Shares 1,161,000 Est. Cost $1.04 Unrealized
MEDTRONIC INC 0.8%
Value ($000) $1,200 Shares 19,365 Est. Cost $57.40 Unrealized
MARKET VECTORS RUSSIA ETF 0.7%
Value ($000) $1,047 Shares 46,800 Est. Cost $22.37 Unrealized
IMMUNOGEN INC 0.7%
Value ($000) $1,024 Shares 96,700 Est. Cost $13.99 Unrealized
ROYAL BK OF SCOTLAND NV 0.7%
Value ($000) $995 Shares 998,000 Est. Cost $0.99 Unrealized
EUROPEAN INVESTMENT BANK 0.7%
Value ($000) $972 Shares 2,220,000 Est. Cost $0.47 Unrealized
EPI WISDOMTREE INDIA EARNINGS 0.7%
Value ($000) $971 Shares 44,315 Est. Cost $21.91 Unrealized
FIRST MD CAP I 0.7%
Value ($000) $966 Shares 1,050,000 Est. Cost $0.81 Unrealized
BANK OF AMERICA CORP 0.6%
Value ($000) $873 Shares 1,000,000 Est. Cost $0.87 Unrealized
MELLON CAP IV 0.6%
Value ($000) $840 Shares 1,000,000 Est. Cost $0.87 Unrealized
GENERAL ELEC CAP CORP 0.5%
Value ($000) $715 Shares 750,000 Est. Cost $0.90 Unrealized
MRK MERCK AND CO INC 0.5%
Value ($000) $700 Shares 11,810 Est. Cost $31.42 Unrealized +25.3%
NTC CAPITAL II 0.5%
Value ($000) $661 Shares 758,000 Est. Cost $0.82 Unrealized
GENERAL ELECTRIC CO 0.4%
Value ($000) $625 Shares 24,400 Est. Cost $27.99 Unrealized
MARKET VECTORS INDIA SMALL CAP ETF 0.4%
Value ($000) $614 Shares 13,910 Est. Cost $44.14 Unrealized
AMAT APPLIED MATERIALS INC 0.4%
Value ($000) $526 Shares 24,350 Est. Cost $14.86 Unrealized +29.0%
NI NISOURCE INC 0.3%
Value ($000) $492 Shares 12,000 Est. Cost $8.50 Unrealized +25.9%
CITIGROUP INC 0.3%
Value ($000) $486 Shares 600,000 Est. Cost $0.78 Unrealized
CMCSA COMCAST CORP CL A 0.3%
Value ($000) $442 Shares 8,221 Est. Cost $18.38 Unrealized +15.2%
CVX CHEVRON CORPORATION 0.3%
Value ($000) $434 Shares 3,640 Est. Cost $72.49 Unrealized +8.3%
FOVSY FORD OTOMOTIV SANAYI A S A D R 0.3%
Value ($000) $432 Shares 7,600 Est. Cost $52.82 Unrealized
RPM RPM INTERNATIONAL INC 0.3%
Value ($000) $398 Shares 8,700 Est. Cost $38.93 Unrealized +17.8%
PM PHILIP MORRIS INTL 0.3%
Value ($000) $385 Shares 4,620 Est. Cost $47.84 Unrealized +0.1%
MEXICO EQUITY & INCOME FD 0.3%
Value ($000) $380 Shares 23,100 Est. Cost $16.16 Unrealized
KMB KIMBERLY CLARK CORP 0.2%
Value ($000) $330 Shares 3,070 Est. Cost $66.48 Unrealized +6.6%
CITIGROUP INC 0.2%
Value ($000) $311 Shares 300,000 Est. Cost $1.03 Unrealized
ANADARKO PETROLEUM CORP 0.2%
Value ($000) $306 Shares 3,016 Est. Cost $79.58 Unrealized
ORCL ORACLE CORPORATION 0.2%
Value ($000) $301 Shares 7,852 Est. Cost $29.05 Unrealized +17.8%
PEP PEPSICO INC 0.2%
Value ($000) $298 Shares 3,200 Est. Cost $58.05 Unrealized +11.8%
PG PROCTER & GAMBLE CO 0.2%
Value ($000) $289 Shares 3,455 Est. Cost $59.73 Unrealized 0.0%
DESARROLLADORA HOMEX A D R 0.2%
Value ($000) $288 Shares 291,075 Est. Cost $1.17 Unrealized
MANUF & TRADERS TRUST CO 0.2%
Value ($000) $266 Shares 255,000 Est. Cost $1.04 Unrealized
LLY ELI LILLY CO 0.2%
Value ($000) $259 Shares 4,000 Est. Cost $39.58 Unrealized +29.8%
SUNTRUST CAPITAL III 0.2%
Value ($000) $220 Shares 250,000 Est. Cost $0.88 Unrealized
GPC GENUINE PARTS COMPANY 0.2%
Value ($000) $218 Shares 2,480 Est. Cost $61.64 Unrealized +1.6%
BANK OF AMERICA CORP 0.1%
Value ($000) $104 Shares 100,000 Est. Cost $1.02 Unrealized
BELCHERTOWN MA 0.1%
Value ($000) $102 Shares 100,000 Est. Cost $1.03 Unrealized
MASSACHUSETTS ST SER B 0.1%
Value ($000) $100 Shares 100,000 Est. Cost $1.02 Unrealized
SOUTHBOROUGH MA REF 0.0%
Value ($000) $57 Shares 50,000 Est. Cost $1.14 Unrealized
WESTWOOD MA REF 0.0%
Value ($000) $56 Shares 50,000 Est. Cost $1.14 Unrealized
UNIV OF MASSACHUSETTS MA BLDG AUTH 0.0%
Value ($000) $54 Shares 50,000 Est. Cost $1.10 Unrealized
MILTON MA REF 0.0%
Value ($000) $52 Shares 50,000 Est. Cost $1.06 Unrealized
MASSACHUSETTS ST SER E 0.0%
Value ($000) $52 Shares 50,000 Est. Cost $1.04 Unrealized
EVERETT MA REF 0.0%
Value ($000) $51 Shares 50,000 Est. Cost $1.04 Unrealized
GE ELEC CAP CORP 0.0%
Value ($000) $51 Shares 50,000 Est. Cost $1.06 Unrealized
WELLS FARGO COMPANY 0.0%
Value ($000) $51 Shares 50,000 Est. Cost $1.04 Unrealized
PROCTER & GAMBLE CO 0.0%
Value ($000) $51 Shares 50,000 Est. Cost $6.06 Unrealized
CELGENE CORP 0.0%
Value ($000) $50 Shares 50,000 Est. Cost $1.00 Unrealized
UNIV OF MICHIGAN MI GEN SER A 0.0%
Value ($000) $43 Shares 40,000 Est. Cost $1.10 Unrealized
GOLDMAN SACHS GROUP INC 0.0%
Value ($000) $41 Shares 40,000 Est. Cost $1.02 Unrealized
PENNSYLVANIA ST SECOND REF 0.0%
Value ($000) $29 Shares 25,000 Est. Cost $1.16 Unrealized
TEXAS A M UNIV REVS FING SYS SER D 0.0%
Value ($000) $29 Shares 25,000 Est. Cost $1.16 Unrealized
NORTH FORK OH LOCAL SCH DIST SCH 0.0%
Value ($000) $27 Shares 25,000 Est. Cost $1.08 Unrealized
WISCONSIN ST TRANSPRTN REVENUE SER A 0.0%
Value ($000) $26 Shares 25,000 Est. Cost $1.08 Unrealized
DERRY NH COOPERATIVE SCH DIST 0.0%
Value ($000) $26 Shares 25,000 Est. Cost $1.04 Unrealized
GEORGIA PACIFIC LLC L P 0.0%
Value ($000) $26 Shares 25,000 Est. Cost $1.08 Unrealized
REGL TRANSPRTN DIST CO SALES TAX 0.0%
Value ($000) $20 Shares 20,000 Est. Cost $1.05 Unrealized
DESARROLLADORA HOMEX SA 0.0%
Value ($000) $11 Shares 63,000 Est. Cost $0.13 Unrealized
TURKISH LIRA SPOT 0.0%
Value ($000) $6 Shares 12,697 Est. Cost $0.47 Unrealized
FRACTIONAL CUSIP FOR 33832D106 0.0%
Value ($000) $0 Shares 100,000 Est. Cost $0.01 Unrealized