Lumbard & Kellner, LLC Diversified Active

CIK: 0001602476 · Show all filings

Period: Q3 2015 (← Previous) (Next →)

Filing Date: Nov 6, 2015

Total Value ($000): $125,857 (100.0% shares, 0.0% debt)

Holdings (75)

VTI VANGUARD TOTAL STOCK MKT ETF 8.3%
Value ($000) $10,403 Shares 105,380 Est. Cost $101.24 Unrealized
MAPIX MATTHEWS ASIA DIVIDEND FUND 5.3%
Value ($000) $6,714 Shares 450,275 Est. Cost $15.67 Unrealized
MET METLIFE INC 4.6%
Value ($000) $5,836 Shares 123,785 Est. Cost $30.33 Unrealized +8.5%
PRU PRUDENTIAL FINANCIAL INC 4.3%
Value ($000) $5,460 Shares 71,638 Est. Cost $51.45 Unrealized +3.0%
WMT WAL MART STORES INC 3.9%
Value ($000) $4,915 Shares 75,800 Est. Cost $20.75 Unrealized -8.9%
EPOL ISHARES MSCI POLAND CAPPED INVST ETF 3.5%
Value ($000) $4,441 Shares 213,080 Est. Cost $24.56 Unrealized
FGVXX FIRST AMER GOVT OBLIG FUND CL Y 3.3%
Value ($000) $4,193 Shares 4,193,240 Est. Cost $1.00 Unrealized
GLW CORNING INC 3.3%
Value ($000) $4,107 Shares 239,911 Est. Cost $14.14 Unrealized -3.6%
FDX FED EX CORP 3.2%
Value ($000) $4,008 Shares 27,835 Est. Cost $114.00 Unrealized +19.6%
MSFT MICROSOFT CORP 3.1%
Value ($000) $3,857 Shares 87,135 Est. Cost $31.32 Unrealized +24.3%
TSN TYSON FOODS INC CL A 3.0%
Value ($000) $3,830 Shares 88,860 Est. Cost $29.96 Unrealized +11.1%
IBM INTERNATIONAL BUSINESS MACHINES CORP 3.0%
Value ($000) $3,814 Shares 26,308 Est. Cost $106.69 Unrealized -10.6%
GS GOLDMAN SACHS GROUP INC 2.6%
Value ($000) $3,299 Shares 18,985 Est. Cost $136.12 Unrealized +16.7%
VWO VANGUARD FTSE EMERGING MARKETS ETF 2.6%
Value ($000) $3,296 Shares 99,600 Est. Cost $40.87 Unrealized
SGAPY SINGAPORE TELECOMMUNICATNS A D R 2.5%
Value ($000) $3,205 Shares 127,025 Est. Cost $29.46 Unrealized
KEY KEYCORP 2.5%
Value ($000) $3,136 Shares 241,010 Est. Cost $8.05 Unrealized +16.0%
T AT&T INC 2.4%
Value ($000) $3,074 Shares 94,367 Est. Cost $12.27 Unrealized 0.0%
GM GENERAL MOTORS CO 2.1%
Value ($000) $2,664 Shares 88,754 Est. Cost $26.83 Unrealized -10.0%
RF REGIONS FINL CORP 2.1%
Value ($000) $2,646 Shares 293,725 Est. Cost $7.01 Unrealized -2.5%
MARKET VECTORS INDIA SMALL CAP ETF 2.0%
Value ($000) $2,552 Shares 60,325 Est. Cost $42.76 Unrealized
PSX PHILLIPS 66 1.9%
Value ($000) $2,415 Shares 31,432 Est. Cost $49.22 Unrealized +9.8%
HBAN HUNTINGTON BANCSHARES INC 1.9%
Value ($000) $2,380 Shares 224,540 Est. Cost $6.03 Unrealized +21.3%
KRATON PERFORMANCE POLYMERS 1.7%
Value ($000) $2,157 Shares 120,500 Est. Cost $17.90 Unrealized
TM TOYOTA MTR CORP A D R 1.6%
Value ($000) $2,026 Shares 17,275 Est. Cost $119.68 Unrealized
F FORD MOTOR CO 1.5%
Value ($000) $1,908 Shares 140,569 Est. Cost $9.00 Unrealized -9.5%
FMC F M C CORPORATION 1.3%
Value ($000) $1,610 Shares 47,465 Est. Cost $38.13 Unrealized -19.8%
IMMUNOGEN INC 1.3%
Value ($000) $1,603 Shares 167,025 Est. Cost $11.64 Unrealized
MITSUBISHI HVY IND 1.2%
Value ($000) $1,556 Shares 350,000 Est. Cost $4.45 Unrealized
BOMBARDIER INC CL B 1.2%
Value ($000) $1,552 Shares 1,261,425 Est. Cost $1.97 Unrealized
STATE STREET CAP 1.38875% 6/15/37 1.2%
Value ($000) $1,505 Shares 1,870,000 Est. Cost $0.76 Unrealized
ENERGY TRANSFER 3.36889% 11/01/66 1.2%
Value ($000) $1,460 Shares 2,000,000 Est. Cost $0.85 Unrealized
MORGAN STANLEY MTN 3.500% 9/30/17 1.1%
Value ($000) $1,443 Shares 1,395,000 Est. Cost $1.04 Unrealized
HAWAIIAN HLDGS INC 1.1%
Value ($000) $1,350 Shares 54,700 Est. Cost $9.81 Unrealized
MORGAN STANLEY MTN 2.750% 4/16/19 1.0%
Value ($000) $1,232 Shares 1,205,000 Est. Cost $0.99 Unrealized
US BANK CAPITAL IX 3.53889% 4/15/49 1.0%
Value ($000) $1,206 Shares 1,482,000 Est. Cost $0.78 Unrealized
FIRST RESOURCES LTD 0.9%
Value ($000) $1,143 Shares 990,575 Est. Cost $1.41 Unrealized
EPI WISDOMTREE INDIA EARNINGS 0.8%
Value ($000) $975 Shares 48,970 Est. Cost $21.88 Unrealized
CYNOSURE INC CL A 0.7%
Value ($000) $928 Shares 30,885 Est. Cost $30.66 Unrealized
FIRST MD CAP I 0.07833% 1/15/27 0.7%
Value ($000) $927 Shares 1,050,000 Est. Cost $0.81 Unrealized
MARKET VECTORS VIETNAM ETF 0.7%
Value ($000) $879 Shares 56,815 Est. Cost $18.99 Unrealized
THAI FUND INC 0.7%
Value ($000) $876 Shares 123,763 Est. Cost $14.25 Unrealized
BANK OF AMERICA MT 0.93275% 12/01/26 0.7%
Value ($000) $852 Shares 1,000,000 Est. Cost $0.87 Unrealized
MELLON CAP IV 6.244% 6/29/49 0.6%
Value ($000) $746 Shares 947,000 Est. Cost $0.87 Unrealized
BROADCOM CORP CL A 0.5%
Value ($000) $667 Shares 12,970 Est. Cost $45.38 Unrealized
NTC CAPITAL II 0.82174% 4/15/27 0.5%
Value ($000) $657 Shares 758,000 Est. Cost $0.82 Unrealized
XOM EXXON MOBIL CORP 0.5%
Value ($000) $580 Shares 7,800 Est. Cost $57.08 Unrealized -14.0%
MRK MERCK AND CO INC 0.5%
Value ($000) $568 Shares 11,510 Est. Cost $31.42 Unrealized +22.2%
HON HONEYWELL INTERNATIONAL INC 0.4%
Value ($000) $493 Shares 5,208 Est. Cost $69.01 Unrealized +6.3%
GENERAL ELECTRIC CO 0.4%
Value ($000) $489 Shares 19,400 Est. Cost $27.99 Unrealized
CITIGROUP INC 0.84124% 8/25/36 0.4%
Value ($000) $453 Shares 600,000 Est. Cost $0.78 Unrealized
CMCSA COMCAST CORP CL A 0.3%
Value ($000) $411 Shares 7,221 Est. Cost $18.38 Unrealized +27.0%
AMAT APPLIED MATERIALS INC 0.3%
Value ($000) $331 Shares 22,500 Est. Cost $14.86 Unrealized -0.8%
LLY ELI LILLY CO 0.2%
Value ($000) $310 Shares 3,700 Est. Cost $39.58 Unrealized +78.0%
CITIGROUP INC MTN 3.000% 12/15/20 0.2%
Value ($000) $305 Shares 300,000 Est. Cost $1.03 Unrealized
PEP PEPSICO INC 0.2%
Value ($000) $302 Shares 3,200 Est. Cost $58.05 Unrealized +19.7%
CVX CHEVRON CORPORATION 0.2%
Value ($000) $287 Shares 3,640 Est. Cost $72.49 Unrealized -25.7%
MEXICO EQUITY & INCOME FD 0.2%
Value ($000) $227 Shares 20,654 Est. Cost $15.70 Unrealized
NI NISOURCE INC 0.2%
Value ($000) $223 Shares 12,000 Est. Cost $8.50 Unrealized +44.7%
COLUMBIA PIPELINE GROUP W I 0.2%
Value ($000) $219 Shares 12,000 Est. Cost $18.25 Unrealized
MANUF & TRADERS 5.585% 12/28/20 0.2%
Value ($000) $201 Shares 201,000 Est. Cost $1.04 Unrealized
SUNTRUST CAPITAL 0.93585% 3/15/28 0.1%
Value ($000) $186 Shares 219,000 Est. Cost $0.88 Unrealized
BAC BANK OF AMERICA CORP 0.1%
Value ($000) $171 Shares 11,000 Est. Cost $13.45 Unrealized 0.0%
BANK OF AMER MTN 2.26007% 6/29/20 0.1%
Value ($000) $101 Shares 100,000 Est. Cost $1.02 Unrealized
SOUTHBOROUGH MA REF 4.000% 6/01/20 0.0%
Value ($000) $56 Shares 50,000 Est. Cost $1.14 Unrealized
WESTWOOD MA REF 4.000% 6/01/19 0.0%
Value ($000) $55 Shares 50,000 Est. Cost $1.14 Unrealized
MASSACHUSETTS ST SER 3.000% 12/01/23 0.0%
Value ($000) $52 Shares 50,000 Est. Cost $1.04 Unrealized
WELLS FARGO MTN 3.500% 3/08/22 0.0%
Value ($000) $52 Shares 50,000 Est. Cost $1.04 Unrealized
MILTON MA REF 2.000% 1/15/19 0.0%
Value ($000) $52 Shares 50,000 Est. Cost $1.06 Unrealized
UNIV OF MA 5.000% 5/01/16 0.0%
Value ($000) $51 Shares 50,000 Est. Cost $1.10 Unrealized
UNIV OF MICHIGAN MI 5.000% 4/01/16 0.0%
Value ($000) $41 Shares 40,000 Est. Cost $1.10 Unrealized
GOLDMAN SACHS GR MTN 3.250% 8/15/18 0.0%
Value ($000) $41 Shares 40,000 Est. Cost $1.02 Unrealized
PENNSYLVANIA ST 5.000% 7/01/18 0.0%
Value ($000) $28 Shares 25,000 Est. Cost $1.16 Unrealized
TEXAS A M UNIV REVS 5.000% 5/15/18 0.0%
Value ($000) $28 Shares 25,000 Est. Cost $1.16 Unrealized
NORTH FORK OH 5.750% 12/01/15 0.0%
Value ($000) $25 Shares 25,000 Est. Cost $1.08 Unrealized
DESARROLLADORA HOMEX A D R 0.0%
Value ($000) $16 Shares 91,575 Est. Cost $1.17 Unrealized