Lumbard & Kellner, LLC Diversified Active

CIK: 0001602476 · Show all filings

Period: Q1 2018 (← Previous) (Next →)

Filing Date: May 2, 2018

Total Value ($000): $174,642 (100.0% shares, 0.0% debt)

Holdings (80)

VTI VANGUARD TOTAL STOCK MARKET ETF 14.0%
Value ($000) $24,528 Shares 180,727 Est. Cost $118.73 Unrealized
MIPIX MATTHEWS ASIA DIVIDEND INS 7.3%
Value ($000) $12,763 Shares 652,158 Est. Cost $16.15 Unrealized
PRU PRUDENTIAL FINANCIAL INC 4.1%
Value ($000) $7,163 Shares 69,170 Est. Cost $52.28 Unrealized +47.5%
MINT PIMCO ENHANCED SHORT MATURITY ETF 4.1%
Value ($000) $7,080 Shares 69,722 Est. Cost $101.70 Unrealized
FDX FED EX CORP 4.0%
Value ($000) $6,980 Shares 29,072 Est. Cost $118.69 Unrealized +85.8%
MET METLIFE INC 3.7%
Value ($000) $6,534 Shares 142,383 Est. Cost $30.95 Unrealized +19.7%
WMT WALMART INC 3.6%
Value ($000) $6,291 Shares 70,710 Est. Cost $20.74 Unrealized +36.7%
GOOG ALPHABET INC CL C 3.4%
Value ($000) $5,933 Shares 5,750 Est. Cost $36.87 Unrealized +48.6%
MIDNX MATTHEWS INDIA FUND INSTITUTIONAL 2.9%
Value ($000) $4,999 Shares 148,685 Est. Cost $25.61 Unrealized
GS GOLDMAN SACHS GROUP INC 2.8%
Value ($000) $4,880 Shares 19,376 Est. Cost $137.27 Unrealized +59.1%
EPOL ISHARES MSCI POLAND ETF 2.8%
Value ($000) $4,858 Shares 193,535 Est. Cost $24.30 Unrealized
TIME WARNER INC 2.6%
Value ($000) $4,518 Shares 47,764 Est. Cost $94.99 Unrealized
ZTS ZOETIS INC 2.5%
Value ($000) $4,376 Shares 52,395 Est. Cost $58.79 Unrealized +26.0%
VWO VANGUARD FTSE EMERGING MARKETS ETF 2.5%
Value ($000) $4,354 Shares 92,682 Est. Cost $40.72 Unrealized
IBM INTERNATIONAL BUSINESS MACHINES CORP 2.3%
Value ($000) $4,072 Shares 26,543 Est. Cost $106.70 Unrealized +0.6%
SHIRE PLC A D R 2.3%
Value ($000) $4,004 Shares 26,802 Est. Cost $173.91 Unrealized
KRATON CORPORATION 2.2%
Value ($000) $3,909 Shares 81,938 Est. Cost $19.41 Unrealized
GLW CORNING INC 2.1%
Value ($000) $3,750 Shares 134,511 Est. Cost $14.14 Unrealized +75.5%
RF REGIONS FINL CORP 2.1%
Value ($000) $3,732 Shares 200,870 Est. Cost $7.24 Unrealized +92.1%
BANK OF AMERICA CORP 8.000 1/30/58 1.9%
Value ($000) $3,359 Shares 3,359,000 Est. Cost $1.03 Unrealized
TSN TYSON FOODS INC CL A 1.8%
Value ($000) $3,144 Shares 42,955 Est. Cost $32.40 Unrealized +89.9%
BHF BRIGHTHOUSE FINL INC 1.8%
Value ($000) $3,088 Shares 60,087 Est. Cost $59.35 Unrealized -2.7%
HBAN HUNTINGTON BANCSHARES INC 1.7%
Value ($000) $2,981 Shares 197,410 Est. Cost $6.11 Unrealized +80.2%
SGAPY SINGAPORE TELECOMMUNICATNS A D R 1.7%
Value ($000) $2,944 Shares 113,478 Est. Cost $29.07 Unrealized
VT VANGUARD TOTAL WORLD STOCK INDEX ETF 1.6%
Value ($000) $2,879 Shares 39,105 Est. Cost $71.05 Unrealized
T AT&T INC 1.6%
Value ($000) $2,798 Shares 78,495 Est. Cost $12.59 Unrealized +25.6%
HSIC SCHEIN HENRY INC 1.5%
Value ($000) $2,666 Shares 39,660 Est. Cost $55.40 Unrealized 0.0%
KEY KEYCORP 1.5%
Value ($000) $2,538 Shares 129,830 Est. Cost $8.19 Unrealized +78.3%
BANK OF NY MELLON 0.00495 12/29/49 1.2%
Value ($000) $2,048 Shares 2,000,000 Est. Cost $1.03 Unrealized
ENERGY TRANSFER 3.36889 11/01/66 1.0%
Value ($000) $1,701 Shares 1,933,000 Est. Cost $0.85 Unrealized
BWA BORG WARNER INC 0.9%
Value ($000) $1,584 Shares 31,535 Est. Cost $28.02 Unrealized +46.5%
US BANK CAPITAL IX 3.54413 4/15/49 0.7%
Value ($000) $1,306 Shares 1,446,000 Est. Cost $0.78 Unrealized
MORGAN STANLEY MTN 3.55361 4/16/19 0.7%
Value ($000) $1,154 Shares 1,142,000 Est. Cost $0.99 Unrealized
AMAT APPLIED MATERIALS INC 0.5%
Value ($000) $959 Shares 17,250 Est. Cost $14.86 Unrealized +242.5%
FIRST MD CAP I 1.880 1/15/27 0.5%
Value ($000) $954 Shares 1,004,000 Est. Cost $0.81 Unrealized
BANK OF AMER MTN 1.96611 12/01/26 0.5%
Value ($000) $916 Shares 968,000 Est. Cost $0.87 Unrealized
JP MORGAN CHASE MTN 2.000 4/30/24 0.5%
Value ($000) $863 Shares 942,000 Est. Cost $0.97 Unrealized
MELLON CAP IV 4.000 6/29/49 0.5%
Value ($000) $855 Shares 944,000 Est. Cost $0.87 Unrealized
HON HONEYWELL INTERNATIONAL INC 0.4%
Value ($000) $782 Shares 5,408 Est. Cost $69.20 Unrealized +69.8%
AAPL APPLE INC 0.4%
Value ($000) $732 Shares 4,365 Est. Cost $30.44 Unrealized +32.8%
AMERICAN EXPRESS CO 4.900 12/29/49 0.4%
Value ($000) $710 Shares 706,000 Est. Cost $1.01 Unrealized
NTC CAPITAL II 1.66304 4/15/27 0.4%
Value ($000) $709 Shares 758,000 Est. Cost $0.82 Unrealized
XOM EXXON MOBIL CORP 0.4%
Value ($000) $661 Shares 8,856 Est. Cost $56.40 Unrealized -1.2%
CHKP CHECK POINT SOFTWARE TECH LTD 0.3%
Value ($000) $499 Shares 5,020 Est. Cost $98.01 Unrealized +5.1%
CITIGROUP INC 2.03442 8/25/36 0.3%
Value ($000) $499 Shares 570,000 Est. Cost $0.78 Unrealized
CMCSA COMCAST CORP CLASS A 0.3%
Value ($000) $493 Shares 14,442 Est. Cost $24.26 Unrealized +31.0%
LLY ELI LILLY CO 0.3%
Value ($000) $461 Shares 5,955 Est. Cost $50.99 Unrealized +40.6%
PM PHILIP MORRIS INTL 0.2%
Value ($000) $431 Shares 4,334 Est. Cost $52.73 Unrealized +30.3%
KRE SPDR S&P REGIONAL BANKING ETF 0.2%
Value ($000) $394 Shares 6,520 Est. Cost $55.47 Unrealized
MSFT MICROSOFT CORP 0.2%
Value ($000) $388 Shares 4,250 Est. Cost $31.32 Unrealized +169.2%
V VISA INC CLASS A SHARES 0.2%
Value ($000) $352 Shares 2,945 Est. Cost $80.89 Unrealized +41.9%
MRK MERCK CO INC 0.2%
Value ($000) $333 Shares 6,120 Est. Cost $32.98 Unrealized +28.1%
VOYA VOYA FINANCIAL INC 0.2%
Value ($000) $328 Shares 6,500 Est. Cost $36.14 Unrealized +28.4%
PEP PEPSICO INC 0.2%
Value ($000) $322 Shares 2,950 Est. Cost $58.29 Unrealized +53.1%
LYB LYONDELLBASELL INDUSTRIES CL A 0.2%
Value ($000) $312 Shares 2,955 Est. Cost $54.20 Unrealized +27.3%
CITIGROUP INC MTN 3.000 12/15/20 0.2%
Value ($000) $304 Shares 300,000 Est. Cost $1.03 Unrealized
NI NISOURCE INC 0.2%
Value ($000) $287 Shares 12,000 Est. Cost $8.50 Unrealized +115.3%
GENERAL ELECTRIC CO 0.1%
Value ($000) $225 Shares 16,700 Est. Cost $28.51 Unrealized
META FACEBOOK INC A 0.1%
Value ($000) $210 Shares 1,312 Est. Cost $132.71 Unrealized +34.4%
MINDX MATTHEWS INDIA FUND 0.1%
Value ($000) $209 Shares 6,270 Est. Cost $33.33 Unrealized
OPUS BANK 5.500 7/01/26 0.1%
Value ($000) $206 Shares 200,000 Est. Cost $1.00 Unrealized
SUNTRUST CAPITAL 1.94859 3/15/28 0.1%
Value ($000) $203 Shares 219,000 Est. Cost $0.88 Unrealized
MANUF TRADERS 2.67213 12/28/20 0.1%
Value ($000) $173 Shares 173,000 Est. Cost $1.04 Unrealized
MEXICO EQUITY & INCOME FD 0.1%
Value ($000) $161 Shares 14,665 Est. Cost $15.70 Unrealized
BANK OF AMER MTN 4.68061 6/29/20 0.1%
Value ($000) $103 Shares 100,000 Est. Cost $1.02 Unrealized
SLM CORP MTN 8.450 6/15/18 0.1%
Value ($000) $101 Shares 100,000 Est. Cost $1.05 Unrealized
INGRAM MICRO INC 5.450 12/15/24 0.0%
Value ($000) $87 Shares 90,000 Est. Cost $1.00 Unrealized
SOUTHBOROUGH MA REF 4.000 6/01/20 0.0%
Value ($000) $52 Shares 50,000 Est. Cost $1.14 Unrealized
ALTRIA GROUP INC 9.700 11/10/18 0.0%
Value ($000) $52 Shares 50,000 Est. Cost $1.20 Unrealized
WESTWOOD MA REF 4.000 6/01/19 0.0%
Value ($000) $51 Shares 50,000 Est. Cost $1.14 Unrealized
MASSACHUSETTS ST SER 3.000 12/01/23 0.0%
Value ($000) $51 Shares 50,000 Est. Cost $1.04 Unrealized
KOHLS CORPORATION 4.250 7/17/25 0.0%
Value ($000) $50 Shares 50,000 Est. Cost $0.98 Unrealized
WELLS FARGO MTN 3.500 3/08/22 0.0%
Value ($000) $50 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
SOUTH CAROLINA ST 2.500 12/01/49 0.0%
Value ($000) $25 Shares 25,000 Est. Cost $1.04 Unrealized
PENNSYLVANIA ST 5.000 7/01/18 0.0%
Value ($000) $25 Shares 25,000 Est. Cost $1.16 Unrealized
GABRIEL RESOURCES LTD 0.0%
Value ($000) $8 Shares 30,000 Est. Cost $0.37 Unrealized