Lumbard & Kellner, LLC Diversified Active

CIK: 0001602476 · Show all filings

Period: Q4 2017 (← Previous) (Next →)

Filing Date: Feb 13, 2018

Total Value ($000): $194,695 (100.0% shares, 0.0% debt)

Holdings (86)

VTI VANGUARD TOTAL STOCK MARKET ETF 7.1%
Value ($000) $13,838 Shares 100,820 Est. Cost $105.26 Unrealized
FGVXX FIRST AM GOVT OB FD CL Y 7.0%
Value ($000) $13,587 Shares 13,587,079 Est. Cost $1.00 Unrealized
MIPIX MATTHEWS ASIA DIVIDEND INS 6.6%
Value ($000) $12,936 Shares 655,650 Est. Cost $16.15 Unrealized
PRU PRUDENTIAL FINANCIAL INC 4.2%
Value ($000) $8,108 Shares 70,515 Est. Cost $52.28 Unrealized +45.8%
FDX FED EX CORP 3.8%
Value ($000) $7,337 Shares 29,402 Est. Cost $118.69 Unrealized +67.7%
MET METLIFE INC 3.7%
Value ($000) $7,243 Shares 143,263 Est. Cost $30.95 Unrealized +28.9%
WMT WAL MART STORES INC 3.6%
Value ($000) $7,079 Shares 71,685 Est. Cost $20.74 Unrealized +29.3%
MINT PIMCO ENHANCED SHORT MATURITY ETF 3.5%
Value ($000) $6,812 Shares 67,075 Est. Cost $101.70 Unrealized
KRATON CORPORATION 3.2%
Value ($000) $6,144 Shares 127,538 Est. Cost $19.41 Unrealized
GOOG ALPHABET INC CL C 3.1%
Value ($000) $6,089 Shares 5,819 Est. Cost $36.87 Unrealized +37.0%
EPOL ISHARES MSCI POLAND ETF 2.7%
Value ($000) $5,329 Shares 196,720 Est. Cost $24.30 Unrealized
MIDNX MATTHEWS INDIA FUND INSTITUTIONAL 2.7%
Value ($000) $5,216 Shares 151,148 Est. Cost $25.61 Unrealized
BA BOEING CO 2.6%
Value ($000) $5,143 Shares 17,439 Est. Cost $118.66 Unrealized +116.9%
GS GOLDMAN SACHS GROUP INC 2.6%
Value ($000) $5,020 Shares 19,706 Est. Cost $137.27 Unrealized +49.5%
GLW CORNING INC 2.2%
Value ($000) $4,359 Shares 136,276 Est. Cost $14.14 Unrealized +78.4%
VWO VANGUARD FTSE EMERGING MARKETS ETF 2.2%
Value ($000) $4,324 Shares 94,182 Est. Cost $40.72 Unrealized
TIME WARNER INC 2.2%
Value ($000) $4,267 Shares 46,653 Est. Cost $95.00 Unrealized
SHIRE PLC A D R 2.1%
Value ($000) $4,128 Shares 26,610 Est. Cost $173.91 Unrealized
MITEX MATTHEWS ASIA INNOVATORS INSTL FUND 2.1%
Value ($000) $4,032 Shares 282,734 Est. Cost $11.66 Unrealized
IBM INTERNATIONAL BUSINESS MACHINES CORP 2.0%
Value ($000) $3,977 Shares 25,923 Est. Cost $106.68 Unrealized -4.3%
RF REGIONS FINL CORP 2.0%
Value ($000) $3,975 Shares 230,015 Est. Cost $7.24 Unrealized +61.3%
ZTS ZOETIS INC 1.9%
Value ($000) $3,778 Shares 52,445 Est. Cost $58.79 Unrealized +9.6%
BHF BRIGHTHOUSE FINL INC 1.9%
Value ($000) $3,629 Shares 61,887 Est. Cost $59.35 Unrealized -0.3%
TSN TYSON FOODS INC CL A 1.8%
Value ($000) $3,491 Shares 43,065 Est. Cost $32.40 Unrealized +89.7%
HBAN HUNTINGTON BANCSHARES INC 1.7%
Value ($000) $3,403 Shares 233,715 Est. Cost $6.11 Unrealized +59.9%
BANK OF AMERICA CORP 8.000 1/30/58 1.7%
Value ($000) $3,401 Shares 3,389,000 Est. Cost $1.03 Unrealized
T AT&T INC 1.6%
Value ($000) $3,074 Shares 79,063 Est. Cost $12.59 Unrealized +21.2%
BWA BORG WARNER INC 1.6%
Value ($000) $3,034 Shares 59,390 Est. Cost $28.02 Unrealized +45.3%
SGAPY SINGAPORE TELECOMMUNICATNS A D R 1.5%
Value ($000) $2,858 Shares 107,238 Est. Cost $29.25 Unrealized
VT VANGUARD TOTAL WORLD STOCK INDEX ETF 1.4%
Value ($000) $2,743 Shares 36,935 Est. Cost $70.90 Unrealized
KEY KEYCORP 1.4%
Value ($000) $2,704 Shares 134,065 Est. Cost $8.19 Unrealized +59.5%
BANK OF NY MELLON 0.00495 12/29/49 1.1%
Value ($000) $2,070 Shares 2,000,000 Est. Cost $1.03 Unrealized
ENERGY TRANSFER 3.36889 11/01/66 0.9%
Value ($000) $1,714 Shares 1,953,000 Est. Cost $0.85 Unrealized
US BANK CAPITAL IX 3.54413 4/15/49 0.7%
Value ($000) $1,326 Shares 1,465,000 Est. Cost $0.78 Unrealized
MORGAN STANLEY MTN 3.55361 4/16/19 0.6%
Value ($000) $1,173 Shares 1,162,000 Est. Cost $0.99 Unrealized
FIRST MD CAP I 1.880 1/15/27 0.5%
Value ($000) $972 Shares 1,020,000 Est. Cost $0.81 Unrealized
BANK OF AMERICA MT 1.96611 12/01/26 0.5%
Value ($000) $909 Shares 968,000 Est. Cost $0.87 Unrealized
JP MORGAN CHASE MTN 2.000 4/30/24 0.5%
Value ($000) $897 Shares 969,000 Est. Cost $0.97 Unrealized
MELLON CAP IV 4.08889 6/29/49 0.5%
Value ($000) $890 Shares 944,000 Est. Cost $0.87 Unrealized
AMAT APPLIED MATERIALS INC 0.5%
Value ($000) $882 Shares 17,250 Est. Cost $14.86 Unrealized +232.6%
HON HONEYWELL INTERNATIONAL INC 0.4%
Value ($000) $829 Shares 5,408 Est. Cost $69.20 Unrealized +63.8%
XOM EXXON MOBIL CORP 0.4%
Value ($000) $741 Shares 8,856 Est. Cost $56.40 Unrealized +1.3%
AAPL APPLE INC 0.4%
Value ($000) $739 Shares 4,365 Est. Cost $30.44 Unrealized +28.4%
ELV ANTHEM INC 0.4%
Value ($000) $720 Shares 3,200 Est. Cost $141.45 Unrealized +35.3%
NTC CAPITAL II 1.66304 4/15/27 0.4%
Value ($000) $709 Shares 758,000 Est. Cost $0.82 Unrealized
KEYCORP CAPITAL 1 1.3651 7/01/28 0.3%
Value ($000) $671 Shares 718,000 Est. Cost $0.82 Unrealized
CMCSA COMCAST CORP CLASS A 0.3%
Value ($000) $578 Shares 14,442 Est. Cost $24.26 Unrealized +26.5%
CHKP CHECK POINT SOFTWARE TECH LTD 0.3%
Value ($000) $520 Shares 5,020 Est. Cost $98.01 Unrealized +10.8%
CITIGROUP INC 1.54892 8/25/36 0.3%
Value ($000) $512 Shares 600,000 Est. Cost $0.78 Unrealized
LLY ELI LILLY CO 0.3%
Value ($000) $503 Shares 5,955 Est. Cost $50.99 Unrealized +47.6%
PM PHILIP MORRIS INTL 0.2%
Value ($000) $458 Shares 4,334 Est. Cost $52.73 Unrealized +32.0%
KRE SPDR S&P REGIONAL BANKING ETF 0.2%
Value ($000) $407 Shares 6,920 Est. Cost $55.47 Unrealized
MSFT MICROSOFT CORP 0.2%
Value ($000) $364 Shares 4,250 Est. Cost $31.32 Unrealized +140.3%
PEP PEPSICO INC 0.2%
Value ($000) $354 Shares 2,950 Est. Cost $58.29 Unrealized +52.7%
MRK MERCK CO INC 0.2%
Value ($000) $344 Shares 6,120 Est. Cost $32.98 Unrealized +30.4%
V VISA INC CLASS A SHARES 0.2%
Value ($000) $336 Shares 2,945 Est. Cost $80.89 Unrealized +29.0%
LYB LYONDELLBASELL INDUSTRIES CL A 0.2%
Value ($000) $326 Shares 2,955 Est. Cost $54.20 Unrealized +17.1%
VOYA VOYA FINANCIAL INC 0.2%
Value ($000) $322 Shares 6,500 Est. Cost $36.14 Unrealized +6.8%
NI NISOURCE INC 0.2%
Value ($000) $308 Shares 12,000 Est. Cost $8.50 Unrealized +139.7%
CITIGROUP INC MTN 3.000 12/15/20 0.2%
Value ($000) $301 Shares 300,000 Est. Cost $1.03 Unrealized
GENERAL ELECTRIC CO 0.1%
Value ($000) $291 Shares 16,700 Est. Cost $28.51 Unrealized
META FACEBOOK INC A 0.1%
Value ($000) $269 Shares 1,527 Est. Cost $132.71 Unrealized +32.3%
JNJ JOHNSON JOHNSON 0.1%
Value ($000) $208 Shares 1,490 Est. Cost $110.98 Unrealized 0.0%
OPUS BANK 5.500 7/01/26 0.1%
Value ($000) $201 Shares 200,000 Est. Cost $1.00 Unrealized
SUNTRUST CAPITAL 1.94859 3/15/28 0.1%
Value ($000) $200 Shares 219,000 Est. Cost $0.88 Unrealized
SPY SPDR S P 500 ETF 0.1%
Value ($000) $200 Shares 750 Est. Cost $266.67 Unrealized
MO ALTRIA GROUP INC 0.1%
Value ($000) $200 Shares 2,800 Est. Cost $36.64 Unrealized 0.0%
MANUF TRADERS 2.55256 12/28/20 0.1%
Value ($000) $198 Shares 198,000 Est. Cost $1.04 Unrealized
MEXICO EQUITY & INCOME FD 0.1%
Value ($000) $185 Shares 18,045 Est. Cost $15.70 Unrealized
BANK OF AMER MTN 4.68061 6/29/20 0.1%
Value ($000) $104 Shares 100,000 Est. Cost $1.02 Unrealized
SLM CORP MTN 8.450 6/15/18 0.1%
Value ($000) $103 Shares 100,000 Est. Cost $1.05 Unrealized
INGRAM MICRO INC 5.450 12/15/24 0.0%
Value ($000) $89 Shares 90,000 Est. Cost $1.00 Unrealized
ALTRIA GROUP INC 9.700 11/10/18 0.0%
Value ($000) $53 Shares 50,000 Est. Cost $1.20 Unrealized
SOUTHBOROUGH MA REF 4.000 6/01/20 0.0%
Value ($000) $53 Shares 50,000 Est. Cost $1.14 Unrealized
WELLS FARGO MTN 3.500 3/08/22 0.0%
Value ($000) $52 Shares 50,000 Est. Cost $1.04 Unrealized
WESTWOOD MA REF 4.000 6/01/19 0.0%
Value ($000) $52 Shares 50,000 Est. Cost $1.14 Unrealized
KOHLS CORPORATION 4.250 7/17/25 0.0%
Value ($000) $51 Shares 50,000 Est. Cost $0.98 Unrealized
MASSACHUSETTS ST SER 3.000 12/01/23 0.0%
Value ($000) $51 Shares 50,000 Est. Cost $1.04 Unrealized
MILTON MA REF 2.000 1/15/19 0.0%
Value ($000) $50 Shares 50,000 Est. Cost $1.02 Unrealized
GOLDMAN SACHS GR MTN 3.250 8/15/18 0.0%
Value ($000) $40 Shares 40,000 Est. Cost $1.02 Unrealized
STATE STREET CORP 2.13122 6/15/37 0.0%
Value ($000) $27 Shares 30,000 Est. Cost $0.88 Unrealized
TEXAS A M UNIV REVS 5.000 5/15/18 0.0%
Value ($000) $25 Shares 25,000 Est. Cost $1.16 Unrealized
PENNSYLVANIA ST 5.000 7/01/18 0.0%
Value ($000) $25 Shares 25,000 Est. Cost $1.16 Unrealized
SOUTH CAROLINA ST 2.500 12/01/49 0.0%
Value ($000) $25 Shares 25,000 Est. Cost $1.04 Unrealized
GABRIEL RESOURCES LTD 0.0%
Value ($000) $10 Shares 30,000 Est. Cost $0.37 Unrealized
FIVE STAR SENIOR LIVING INC 0.0%
Value ($000) $0 Shares 100,000 Est. Cost Unrealized