Lumbard & Kellner, LLC Diversified Active

CIK: 0001602476 · Show all filings

Period: Q4 2015 (← Previous) (Next →)

Filing Date: Feb 12, 2016

Total Value ($000): $135,840 (100.0% shares, 0.0% debt)

Holdings (84)

VTI VANGUARD TOTAL STOCK MKT ETF 7.8%
Value ($000) $10,622 Shares 101,845 Est. Cost $101.24 Unrealized
FGVXX FIRST AMER GOVT OBLIG FUND CL Y 7.2%
Value ($000) $9,834 Shares 9,833,810 Est. Cost $1.00 Unrealized
MAPIX MATTHEWS ASIA DIVIDEND FUND 5.2%
Value ($000) $7,120 Shares 463,536 Est. Cost $15.66 Unrealized
MET METLIFE INC 4.5%
Value ($000) $6,099 Shares 126,515 Est. Cost $30.35 Unrealized +2.8%
PRU PRUDENTIAL FINANCIAL INC 4.4%
Value ($000) $5,999 Shares 73,693 Est. Cost $51.48 Unrealized +2.2%
TSN TYSON FOODS INC CL A 3.5%
Value ($000) $4,733 Shares 88,745 Est. Cost $29.96 Unrealized +25.7%
WMT WAL MART STORES INC 3.4%
Value ($000) $4,649 Shares 75,845 Est. Cost $20.75 Unrealized -19.9%
GLW CORNING INC 3.1%
Value ($000) $4,209 Shares 230,266 Est. Cost $14.14 Unrealized -2.0%
FDX FED EX CORP 3.1%
Value ($000) $4,176 Shares 28,030 Est. Cost $114.00 Unrealized +16.1%
MINDX MATTHEWS INDIA FUND 2.8%
Value ($000) $3,860 Shares 146,060 Est. Cost $26.43 Unrealized
MSFT MICROSOFT CORP 2.8%
Value ($000) $3,751 Shares 67,615 Est. Cost $31.32 Unrealized +46.6%
FMC F M C CORPORATION 2.7%
Value ($000) $3,648 Shares 93,230 Est. Cost $32.73 Unrealized -17.1%
IBM INTERNATIONAL BUSINESS MACHINES CORP 2.7%
Value ($000) $3,627 Shares 26,354 Est. Cost $106.69 Unrealized -18.0%
EPOL ISHARES MSCI POLAND CAPPED INVST ETF 2.6%
Value ($000) $3,598 Shares 199,065 Est. Cost $24.56 Unrealized
T AT&T INC 2.6%
Value ($000) $3,517 Shares 102,209 Est. Cost $12.28 Unrealized +1.3%
GS GOLDMAN SACHS GROUP INC 2.6%
Value ($000) $3,477 Shares 19,290 Est. Cost $136.36 Unrealized +10.8%
MATFX MATTHEWS ASIA SCI AND TECH INV 2.4%
Value ($000) $3,306 Shares 268,309 Est. Cost $12.32 Unrealized
SGAPY SINGAPORE TELECOMMUNICATNS A D R 2.4%
Value ($000) $3,263 Shares 126,735 Est. Cost $29.46 Unrealized
VWO VANGUARD FTSE EMERGING MARKETS ETF 2.3%
Value ($000) $3,122 Shares 95,445 Est. Cost $40.87 Unrealized
RF REGIONS FINL CORP 2.1%
Value ($000) $2,871 Shares 299,075 Est. Cost $7.00 Unrealized -4.6%
HBAN HUNTINGTON BANCSHARES INC 1.8%
Value ($000) $2,492 Shares 225,360 Est. Cost $6.03 Unrealized +22.2%
KEY KEYCORP 1.7%
Value ($000) $2,376 Shares 180,125 Est. Cost $8.05 Unrealized +7.7%
IMMUNOGEN INC 1.7%
Value ($000) $2,293 Shares 168,990 Est. Cost $11.66 Unrealized
KRATON PERFORMANCE POLYMERS 1.7%
Value ($000) $2,291 Shares 137,900 Est. Cost $17.74 Unrealized
TM TOYOTA MTR CORP A D R 1.6%
Value ($000) $2,106 Shares 17,115 Est. Cost $119.68 Unrealized
F FORD MOTOR CO 1.5%
Value ($000) $1,988 Shares 141,069 Est. Cost $9.00 Unrealized -7.3%
MITSUBISHI HVY IND 1.1%
Value ($000) $1,539 Shares 347,125 Est. Cost $4.45 Unrealized
STATE STREET CAP 1.38875% 6/15/37 1.1%
Value ($000) $1,529 Shares 1,870,000 Est. Cost $0.76 Unrealized
GM GENERAL MOTORS CO 1.1%
Value ($000) $1,482 Shares 43,561 Est. Cost $26.83 Unrealized +3.3%
MORGAN STANLEY MTN 3.500% 9/30/17 1.1%
Value ($000) $1,430 Shares 1,395,000 Est. Cost $1.04 Unrealized
CYNOSURE INC CL A 1.0%
Value ($000) $1,349 Shares 30,205 Est. Cost $30.66 Unrealized
FIRST RESOURCES LTD 1.0%
Value ($000) $1,328 Shares 981,100 Est. Cost $1.41 Unrealized
ENERGY TRANSFER 3.36889% 11/01/66 0.9%
Value ($000) $1,260 Shares 2,000,000 Est. Cost $0.85 Unrealized
MORGAN STANLEY MTN 2.750% 4/16/19 0.9%
Value ($000) $1,224 Shares 1,205,000 Est. Cost $0.99 Unrealized
BOMBARDIER INC CL B 0.9%
Value ($000) $1,185 Shares 1,240,175 Est. Cost $1.97 Unrealized
US BANK CAPITAL IX 3.57778% 4/15/49 0.8%
Value ($000) $1,141 Shares 1,482,000 Est. Cost $0.78 Unrealized
FIRST MD CAP I 0.07833% 1/15/27 0.6%
Value ($000) $882 Shares 1,050,000 Est. Cost $0.81 Unrealized
BANK OF AMERICA MT 0.93275% 12/01/26 0.6%
Value ($000) $848 Shares 1,000,000 Est. Cost $0.87 Unrealized
BROADCOM CORP CL A 0.5%
Value ($000) $735 Shares 12,720 Est. Cost $45.38 Unrealized
MELLON CAP IV 6.244% 6/29/49 0.5%
Value ($000) $730 Shares 947,000 Est. Cost $0.87 Unrealized
GENERAL ELECTRIC CO 0.5%
Value ($000) $723 Shares 23,200 Est. Cost $28.51 Unrealized
XOM EXXON MOBIL CORP 0.5%
Value ($000) $690 Shares 8,856 Est. Cost $56.40 Unrealized -8.9%
MRK MERCK AND CO INC 0.5%
Value ($000) $669 Shares 12,660 Est. Cost $31.90 Unrealized +15.2%
NTC CAPITAL II 0.82174% 4/15/27 0.5%
Value ($000) $654 Shares 758,000 Est. Cost $0.82 Unrealized
KEYCORP CAPITAL 1 1.0655% 7/01/28 0.5%
Value ($000) $627 Shares 765,000 Est. Cost $0.82 Unrealized
HON HONEYWELL INTERNATIONAL INC 0.4%
Value ($000) $560 Shares 5,408 Est. Cost $69.20 Unrealized +7.3%
LLY ELI LILLY CO 0.4%
Value ($000) $502 Shares 5,955 Est. Cost $50.99 Unrealized +36.7%
CITIGROUP INC 0.89864% 8/25/36 0.3%
Value ($000) $456 Shares 600,000 Est. Cost $0.78 Unrealized
CMCSA COMCAST CORP CLASS A 0.3%
Value ($000) $425 Shares 7,527 Est. Cost $18.60 Unrealized +27.8%
AMAT APPLIED MATERIALS INC 0.3%
Value ($000) $420 Shares 22,500 Est. Cost $14.86 Unrealized +3.8%
CVX CHEVRON CORPORATION 0.3%
Value ($000) $399 Shares 4,440 Est. Cost $69.95 Unrealized -16.5%
PM PHILIP MORRIS INTL 0.3%
Value ($000) $378 Shares 4,300 Est. Cost $52.28 Unrealized 0.0%
PEP PEPSICO INC 0.2%
Value ($000) $325 Shares 3,250 Est. Cost $58.29 Unrealized +26.0%
CITIGROUP INC MTN 3.000% 12/15/20 0.2%
Value ($000) $301 Shares 300,000 Est. Cost $1.03 Unrealized
KMB KIMBERLY CLARK CORP 0.2%
Value ($000) $255 Shares 2,000 Est. Cost $85.00 Unrealized 0.0%
COLUMBIA PIPELINE GROUP W I 0.2%
Value ($000) $240 Shares 12,000 Est. Cost $18.25 Unrealized
NI NISOURCE INC 0.2%
Value ($000) $234 Shares 12,000 Est. Cost $8.50 Unrealized +64.1%
BAC BANK OF AMERICA CORP 0.2%
Value ($000) $220 Shares 13,050 Est. Cost $13.46 Unrealized +0.7%
JNJ JOHNSON JOHNSON 0.2%
Value ($000) $219 Shares 2,130 Est. Cost $75.93 Unrealized 0.0%
BA BOEING CO 0.2%
Value ($000) $217 Shares 1,500 Est. Cost $128.88 Unrealized 0.0%
MEXICO EQUITY & INCOME FD 0.2%
Value ($000) $209 Shares 19,386 Est. Cost $15.70 Unrealized
MANUF & TRADERS 5.585% 12/28/20 0.1%
Value ($000) $201 Shares 201,000 Est. Cost $1.04 Unrealized
SUNTRUST CAPITAL 0.97647% 3/15/28 0.1%
Value ($000) $176 Shares 219,000 Est. Cost $0.88 Unrealized
SLM CORP MTN 8.450% 6/15/18 0.1%
Value ($000) $105 Shares 100,000 Est. Cost $1.05 Unrealized
BANK OF AMER MTN 2.46957% 6/29/20 0.1%
Value ($000) $99 Shares 100,000 Est. Cost $1.02 Unrealized
INGRAM MICRO INC 4.950% 12/15/24 0.1%
Value ($000) $90 Shares 90,000 Est. Cost $1.00 Unrealized
ALTRIA GROUP INC 9.700% 11/10/18 0.0%
Value ($000) $60 Shares 50,000 Est. Cost $1.20 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
CONSTELLATION BRANDS 7.250% 9/01/16 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
MASSACHUSETTS ST SER 3.000% 12/01/23 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) $51 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
KOHLS CORPORATION 4.250% 7/17/25 0.0%
Value ($000) $49 Shares 50,000 Est. Cost $0.98 Unrealized
GOLDMAN SACHS GR MTN 3.250% 8/15/18 0.0%
Value ($000) $40 Shares 40,000 Est. Cost $1.02 Unrealized
UNIV OF MICHIGAN MI 5.000% 4/01/16 0.0%
Value ($000) $40 Shares 40,000 Est. Cost $1.10 Unrealized
US STEEL CORP 7.000% 2/01/18 0.0%
Value ($000) $35 Shares 50,000 Est. Cost $0.70 Unrealized
TYSON FOODS INC 6.600% 4/01/16 0.0%
Value ($000) $35 Shares 35,000 Est. Cost $1.00 Unrealized
SPRINT NEXTEL CORP 6.000% 12/01/16 0.0%
Value ($000) $30 Shares 30,000 Est. Cost $1.00 Unrealized
TEXAS A M UNIV REVS 5.000% 5/15/18 0.0%
Value ($000) $27 Shares 25,000 Est. Cost $1.16 Unrealized
PENNSYLVANIA ST 5.000% 7/01/18 0.0%
Value ($000) $27 Shares 25,000 Est. Cost $1.16 Unrealized
FORD MOTOR MTN 4.200% 9/20/25 0.0%
Value ($000) $25 Shares 25,000 Est. Cost $1.00 Unrealized
MOHAWK INDS INC 6.125% 1/15/16 0.0%
Value ($000) $20 Shares 20,000 Est. Cost $1.00 Unrealized