Lumbard & Kellner, LLC Diversified Active

Location: Hollis, NH

CIK: 0001602476 · Show all filings

Period: Q4 2016 (← Previous) (Next →)

Filing Date: Feb 16, 2017

Total Value: $154M (100.0% shares, 0.0% debt)

Holdings (77)

FGVXX FIRST AMERICAN GOVT OBLIG FUND CL Y 12.2%
Value $18.82M Shares 18,815,930 Est. Cost $1.00 Unrealized
VTI VANGUARD TOTAL STOCK MKT ETF 6.8%
Value $10.44M Shares 90,490 Est. Cost $102.39 Unrealized
MIPIX MATTHEWS ASIA DIVIDEND INS 6.2%
Value $9.466M Shares 609,905 Est. Cost $15.99 Unrealized
PRU PRUDENTIAL FINANCIAL INC 5.0%
Value $7.734M Shares 74,321 Est. Cost $51.71 Unrealized +21.1%
MET METLIFE INC 4.5%
Value $6.952M Shares 129,000 Est. Cost $30.44 Unrealized +10.8%
FDX FED EX CORP 3.4%
Value $5.25M Shares 28,195 Est. Cost $114.68 Unrealized +38.1%
WMT WAL MART STORES INC 3.2%
Value $4.964M Shares 71,810 Est. Cost $20.74 Unrealized -4.0%
GLW CORNING INC 3.2%
Value $4.907M Shares 202,176 Est. Cost $14.14 Unrealized +31.8%
GS GOLDMAN SACHS GROUP INC 3.1%
Value $4.69M Shares 19,586 Est. Cost $137.27 Unrealized +22.2%
IBM INTERNATIONAL BUSINESS MACHINES CORP 2.8%
Value $4.288M Shares 25,834 Est. Cost $106.61 Unrealized -3.3%
KRATON CORPORATION 2.5%
Value $3.874M Shares 136,013 Est. Cost $19.41 Unrealized
MIDNX MATTHEWS INDIA FUND INSTITUTIONAL 2.5%
Value $3.814M Shares 148,018 Est. Cost $25.46 Unrealized
GOOG ALPHABET INC CL C 2.4%
Value $3.729M Shares 4,831 Est. Cost $35.65 Unrealized +8.5%
EPOL ISHARES MSCI POLAND CAPPED INVST ETF 2.4%
Value $3.64M Shares 200,905 Est. Cost $24.34 Unrealized
VWO VANGUARD FTSE EMERGING MARKETS ETF 2.2%
Value $3.407M Shares 95,220 Est. Cost $40.72 Unrealized
BA BOEING CO 2.2%
Value $3.356M Shares 21,554 Est. Cost $118.66 Unrealized +13.8%
T AT&T INC 2.1%
Value $3.251M Shares 76,445 Est. Cost $12.44 Unrealized +24.3%
TIME WARNER INC 2.1%
Value $3.152M Shares 32,648 Est. Cost $96.54 Unrealized
SHIRE PLC A D R 2.0%
Value $3.075M Shares 18,050 Est. Cost $183.64 Unrealized
RF REGIONS FINL CORP 2.0%
Value $3.042M Shares 211,830 Est. Cost $7.00 Unrealized +26.2%
HBAN HUNTINGTON BANCSHARES INC 2.0%
Value $3.023M Shares 228,700 Est. Cost $6.04 Unrealized +31.0%
FMC F M C CORPORATION 1.8%
Value $2.771M Shares 48,990 Est. Cost $32.73 Unrealized +12.3%
SGAPY SINGAPORE TELECOMMUNICATNS A D R 1.7%
Value $2.556M Shares 102,495 Est. Cost $29.30 Unrealized
TSN TYSON FOODS INC CL A 1.6%
Value $2.45M Shares 39,725 Est. Cost $29.96 Unrealized +73.6%
BWA BORG WARNER INC 1.5%
Value $2.364M Shares 59,945 Est. Cost $28.02 Unrealized 0.0%
KEY KEYCORP 1.5%
Value $2.364M Shares 129,385 Est. Cost $8.04 Unrealized +33.1%
MITEX MATTHEWS ASIA SCIENCE AND TECHNOLOGY 1.5%
Value $2.284M Shares 225,255 Est. Cost $11.55 Unrealized
STATE STR CORP 6/15/37 1.1%
Value $1.653M Shares 1,870,000 Est. Cost $0.88 Unrealized
F FORD MOTOR CO 1.1%
Value $1.652M Shares 136,219 Est. Cost $9.00 Unrealized -17.0%
ENERGY TRANSFER 3.36889 11/01/66 1.0%
Value $1.571M Shares 1,968,000 Est. Cost $0.85 Unrealized
GM GENERAL MOTORS CO 1.0%
Value $1.516M Shares 43,501 Est. Cost $26.87 Unrealized +4.8%
MORGAN STANLEY MTN 3.500 9/30/17 0.9%
Value $1.378M Shares 1,370,000 Est. Cost $1.04 Unrealized
US BANK CAPITAL IX 3.54413 4/15/49 0.8%
Value $1.203M Shares 1,465,000 Est. Cost $0.78 Unrealized
MORGAN STANLEY MTN 2.9291 4/16/19 0.8%
Value $1.195M Shares 1,182,000 Est. Cost $0.99 Unrealized
FIRST MD CAP I 1.62835 1/15/27 0.6%
Value $938K Shares 1,031,000 Est. Cost $0.81 Unrealized
JP MORGAN CHASE MTN 2.000 4/30/24 0.6%
Value $934K Shares 1,000,000 Est. Cost $0.97 Unrealized
BANK OF AMERICA MT 1.47589 12/01/26 0.6%
Value $870K Shares 980,000 Est. Cost $0.87 Unrealized
CYNOSURE INC CL A 0.5%
Value $829K Shares 18,170 Est. Cost $31.71 Unrealized
XOM EXXON MOBIL CORP 0.5%
Value $799K Shares 8,856 Est. Cost $56.40 Unrealized +3.1%
MELLON CAP IV 6.244 6/29/49 0.5%
Value $765K Shares 944,000 Est. Cost $0.87 Unrealized
AMAT APPLIED MATERIALS INC 0.5%
Value $718K Shares 22,250 Est. Cost $14.86 Unrealized +85.0%
NTC CAPITAL II 0.82174 4/15/27 0.4%
Value $686K Shares 758,000 Est. Cost $0.82 Unrealized
KEYCORP CAPITAL 1 1.3651 7/01/28 0.4%
Value $653K Shares 742,000 Est. Cost $0.82 Unrealized
HON HONEYWELL INTERNATIONAL INC 0.4%
Value $627K Shares 5,408 Est. Cost $69.20 Unrealized +21.7%
GENERAL ELECTRIC CO 0.3%
Value $528K Shares 16,700 Est. Cost $28.51 Unrealized
CMCSA COMCAST CORP CLASS A 0.3%
Value $499K Shares 7,221 Est. Cost $18.60 Unrealized +44.2%
CITIGROUP INC 1.40601 8/25/36 0.3%
Value $477K Shares 600,000 Est. Cost $0.78 Unrealized
LLY ELI LILLY CO 0.3%
Value $438K Shares 5,955 Est. Cost $50.99 Unrealized +25.9%
PM PHILIP MORRIS INTL 0.3%
Value $393K Shares 4,300 Est. Cost $52.28 Unrealized +11.4%
KRE SPDR S P REGIONAL BANKING ETF 0.2%
Value $362K Shares 6,520 Est. Cost $55.52 Unrealized
MRK MERCK CO INC 0.2%
Value $346K Shares 5,880 Est. Cost $31.90 Unrealized +38.2%
MSFT MICROSOFT CORP 0.2%
Value $311K Shares 5,000 Est. Cost $31.32 Unrealized +72.2%
PEP PEPSICO INC 0.2%
Value $309K Shares 2,950 Est. Cost $58.29 Unrealized +36.2%
CITIGROUP INC MTN 3.000 12/15/20 0.2%
Value $297K Shares 300,000 Est. Cost $1.03 Unrealized
NI NISOURCE INC 0.2%
Value $266K Shares 12,000 Est. Cost $8.50 Unrealized +95.2%
ANADARKO PETROLEUM CORP 0.1%
Value $210K Shares 3,016 Est. Cost $69.63 Unrealized
OPUS BANK 5.500 7/01/26 0.1%
Value $201K Shares 200,000 Est. Cost $1.00 Unrealized
MANUF & TRADERS 5.585 12/28/20 0.1%
Value $197K Shares 198,000 Est. Cost $1.04 Unrealized
SUNTRUST CAPITAL 1.50028 3/15/28 0.1%
Value $189K Shares 219,000 Est. Cost $0.88 Unrealized
MEXICO EQUITY & INCOME FD 0.1%
Value $168K Shares 18,315 Est. Cost $15.70 Unrealized
SLM CORP MTN 8.450 6/15/18 0.1%
Value $108K Shares 100,000 Est. Cost $1.05 Unrealized
BANK OF AMER MTN 3.36455 6/29/20 0.1%
Value $101K Shares 100,000 Est. Cost $1.02 Unrealized
INGRAM MICRO INC 4.950 12/15/24 0.1%
Value $85,000 Shares 90,000 Est. Cost $1.00 Unrealized
IMMUNOGEN INC 0.1%
Value $83,000 Shares 40,731 Est. Cost $7.19 Unrealized
ALTRIA GROUP INC 9.700 11/10/18 0.0%
Value $57,000 Shares 50,000 Est. Cost $1.20 Unrealized
SOUTHBOROUGH MA REF 4.000 6/01/20 0.0%
Value $54,000 Shares 50,000 Est. Cost $1.14 Unrealized
WESTWOOD MA REF 4.000 6/01/19 0.0%
Value $53,000 Shares 50,000 Est. Cost $1.14 Unrealized
US STEEL CORP 7.000 2/01/18 0.0%
Value $52,000 Shares 50,000 Est. Cost $0.70 Unrealized
WELLS FARGO MTN 3.500 3/08/22 0.0%
Value $51,000 Shares 50,000 Est. Cost $1.04 Unrealized
MILTON MA REF 2.000 1/15/19 0.0%
Value $51,000 Shares 50,000 Est. Cost $1.02 Unrealized
MASSACHUSETTS ST SER 3.000 12/01/23 0.0%
Value $51,000 Shares 50,000 Est. Cost $1.04 Unrealized
KOHLS CORPORATION 4.250 7/17/25 0.0%
Value $50,000 Shares 50,000 Est. Cost $0.98 Unrealized
GOLDMAN SACHS GR MTN 3.250 8/15/18 0.0%
Value $40,000 Shares 40,000 Est. Cost $1.02 Unrealized
TEXAS A M UNIV REVS 5.000 5/15/18 0.0%
Value $26,000 Shares 25,000 Est. Cost $1.16 Unrealized
PENNSYLVANIA ST 5.000 7/01/18 0.0%
Value $26,000 Shares 25,000 Est. Cost $1.16 Unrealized
GABRIEL RESOURCES LTD 0.0%
Value $12,000 Shares 30,000 Est. Cost $0.37 Unrealized
AMICUS WIND DOWN 0.00001 6/15/12 0.0%
Value $0 Shares 50,000 Est. Cost Unrealized