Lumbard & Kellner, LLC Diversified Active

CIK: 0001602476 · Show all filings

Period: Q3 2018 (← Previous) (Next →)

Filing Date: Nov 14, 2018

Total Value ($000): $191,546 (100.0% shares, 0.0% debt)

Holdings (82)

VTI VANGUARD TOTAL STOCK MARKET ETF 13.5%
Value ($000) $25,939 Shares 173,332 Est. Cost $118.73 Unrealized
MIPIX MATTHEWS ASIA DIVIDEND INS 6.4%
Value ($000) $12,295 Shares 653,666 Est. Cost $16.15 Unrealized
FGVXX FIRST AM GOVT OB FD CL Y 4.4%
Value ($000) $8,464 Shares 8,463,949 Est. Cost $1.00 Unrealized
MINT PIMCO ENHANCED SHORT MATURITY ETF 3.9%
Value ($000) $7,541 Shares 74,212 Est. Cost $101.69 Unrealized
PRU PRUDENTIAL FINANCIAL INC 3.7%
Value ($000) $7,027 Shares 69,355 Est. Cost $52.28 Unrealized +31.3%
FDX FED EX CORP 3.6%
Value ($000) $6,958 Shares 28,897 Est. Cost $118.69 Unrealized +78.8%
MET METLIFE INC 3.5%
Value ($000) $6,795 Shares 145,433 Est. Cost $31.02 Unrealized +14.5%
GOOG ALPHABET INC CL C 3.5%
Value ($000) $6,725 Shares 5,635 Est. Cost $36.87 Unrealized +61.2%
WMT WALMART INC 3.4%
Value ($000) $6,518 Shares 69,410 Est. Cost $20.74 Unrealized +31.8%
SHIRE PLC A D R 3.0%
Value ($000) $5,819 Shares 32,100 Est. Cost $173.07 Unrealized
DIS WALT DISNEY CO THE 2.6%
Value ($000) $4,972 Shares 42,515 Est. Cost $97.17 Unrealized +9.7%
T AT&T INC 2.6%
Value ($000) $4,951 Shares 147,445 Est. Cost $13.50 Unrealized +7.3%
META FACEBOOK INC A 2.5%
Value ($000) $4,874 Shares 29,639 Est. Cost $177.50 Unrealized +1.3%
ZTS ZOETIS INC 2.5%
Value ($000) $4,814 Shares 52,580 Est. Cost $58.79 Unrealized +42.3%
GLW CORNING INC 2.5%
Value ($000) $4,718 Shares 133,656 Est. Cost $14.14 Unrealized +87.3%
MIDNX MATTHEWS INDIA FUND INSTITUTIONAL 2.4%
Value ($000) $4,627 Shares 154,533 Est. Cost $25.89 Unrealized
EPOL ISHARES MSCI POLAND ETF 2.4%
Value ($000) $4,623 Shares 193,760 Est. Cost $24.30 Unrealized
GS GOLDMAN SACHS GROUP INC 2.3%
Value ($000) $4,361 Shares 19,446 Est. Cost $137.27 Unrealized +43.1%
IBM INTERNATIONAL BUSINESS MACHINES CORP 2.1%
Value ($000) $4,001 Shares 26,463 Est. Cost $106.70 Unrealized -5.1%
KRATON CORPORATION 2.0%
Value ($000) $3,877 Shares 82,228 Est. Cost $19.41 Unrealized
VWO VANGUARD FTSE EMERGING MARKETS ETF 2.0%
Value ($000) $3,794 Shares 92,532 Est. Cost $40.72 Unrealized
HSIC SCHEIN HENRY INC 1.8%
Value ($000) $3,387 Shares 39,835 Est. Cost $55.40 Unrealized +12.4%
LMT LOCKHEED MARTIN CORP 1.7%
Value ($000) $3,290 Shares 9,509 Est. Cost $264.26 Unrealized 0.0%
VT VANGUARD TOTAL WORLD STOCK INDEX ETF 1.6%
Value ($000) $3,030 Shares 39,955 Est. Cost $71.10 Unrealized
HBAN HUNTINGTON BANCSHARES INC 1.5%
Value ($000) $2,944 Shares 197,305 Est. Cost $6.11 Unrealized +81.9%
SGAPY SINGAPORE TELECOMMUNICATNS A D R 1.4%
Value ($000) $2,684 Shares 113,903 Est. Cost $29.07 Unrealized
BHF BRIGHTHOUSE FINL INC 1.4%
Value ($000) $2,677 Shares 60,521 Est. Cost $59.35 Unrealized -29.0%
KEY KEYCORP 1.3%
Value ($000) $2,581 Shares 129,745 Est. Cost $8.19 Unrealized +78.7%
TSN TYSON FOODS INC CL A 1.3%
Value ($000) $2,575 Shares 43,260 Est. Cost $32.40 Unrealized +56.9%
BANK OF NY MELLON 0.00495 12/29/49 1.1%
Value ($000) $2,040 Shares 2,000,000 Est. Cost $1.03 Unrealized
ENERGY TRANSFER 5.49501 11/01/66 0.9%
Value ($000) $1,711 Shares 1,933,000 Est. Cost $0.85 Unrealized
BWA BORG WARNER INC 0.7%
Value ($000) $1,339 Shares 31,305 Est. Cost $28.02 Unrealized +24.7%
US BANK CAPITAL IX 3.54413 4/15/49 0.7%
Value ($000) $1,292 Shares 1,446,000 Est. Cost $0.78 Unrealized
FIRST MD CAP I 3.3113 1/15/27 0.5%
Value ($000) $944 Shares 1,004,000 Est. Cost $0.81 Unrealized
BANK OF AMER MTN 1.96611 12/01/26 0.5%
Value ($000) $924 Shares 968,000 Est. Cost $0.87 Unrealized
JP MORGAN CHASE MTN 2.4224 4/30/24 0.5%
Value ($000) $862 Shares 942,000 Est. Cost $0.97 Unrealized
WACHOVIA CAP TR II 5.56975 3/29/49 0.4%
Value ($000) $847 Shares 855,000 Est. Cost $0.99 Unrealized
HON HONEYWELL INTERNATIONAL INC 0.4%
Value ($000) $846 Shares 5,086 Est. Cost $69.20 Unrealized +75.7%
MELLON CAP IV 4.000 6/29/49 0.4%
Value ($000) $809 Shares 944,000 Est. Cost $0.87 Unrealized
XOM EXXON MOBIL CORP 0.4%
Value ($000) $748 Shares 8,794 Est. Cost $56.40 Unrealized +3.2%
AAPL APPLE INC 0.4%
Value ($000) $744 Shares 3,298 Est. Cost $30.44 Unrealized +61.9%
NTC CAPITAL II 2.26174 4/15/27 0.4%
Value ($000) $713 Shares 758,000 Est. Cost $0.82 Unrealized
MORGAN STANLEY MTN 4.59769 4/16/19 0.4%
Value ($000) $707 Shares 702,000 Est. Cost $0.99 Unrealized
AMERICAN EXPRESS CO 4.900 12/29/49 0.4%
Value ($000) $706 Shares 706,000 Est. Cost $1.01 Unrealized
LLY ELI LILLY CO 0.3%
Value ($000) $639 Shares 5,955 Est. Cost $50.99 Unrealized +77.1%
AMAT APPLIED MATERIALS INC 0.3%
Value ($000) $638 Shares 16,503 Est. Cost $14.86 Unrealized +173.9%
CITIGROUP INC 6.050 12/29/49 0.3%
Value ($000) $618 Shares 600,000 Est. Cost $1.03 Unrealized
CMCSA COMCAST CORP CLASS A 0.3%
Value ($000) $498 Shares 14,067 Est. Cost $24.26 Unrealized +20.9%
MSFT MICROSOFT CORP 0.3%
Value ($000) $486 Shares 4,250 Est. Cost $31.32 Unrealized +221.9%
CITIGROUP INC 3.008 8/25/36 0.3%
Value ($000) $479 Shares 570,000 Est. Cost $0.78 Unrealized
V VISA INC CLASS A SHARES 0.2%
Value ($000) $442 Shares 2,945 Est. Cost $80.89 Unrealized +67.0%
MRK MERCK CO INC 0.2%
Value ($000) $434 Shares 6,120 Est. Cost $32.98 Unrealized +53.6%
CHKP CHECK POINT SOFTWARE TECH LTD 0.2%
Value ($000) $397 Shares 3,376 Est. Cost $98.01 Unrealized +15.9%
KRE SPDR S&P REGIONAL BANKING ETF 0.2%
Value ($000) $387 Shares 6,520 Est. Cost $55.47 Unrealized
PM PHILIP MORRIS INTL 0.2%
Value ($000) $353 Shares 4,334 Est. Cost $52.73 Unrealized +5.2%
PEP PEPSICO INC 0.2%
Value ($000) $330 Shares 2,950 Est. Cost $58.29 Unrealized +55.0%
CITIGROUP INC MTN 3.59063 12/15/20 0.2%
Value ($000) $304 Shares 300,000 Est. Cost $1.03 Unrealized
LYB LYONDELLBASELL INDU CL A 0.2%
Value ($000) $303 Shares 2,955 Est. Cost $54.20 Unrealized +26.7%
NI NISOURCE INC 0.2%
Value ($000) $299 Shares 12,000 Est. Cost $8.50 Unrealized +144.7%
VOYA VOYA FINANCIAL INC 0.1%
Value ($000) $274 Shares 5,525 Est. Cost $36.14 Unrealized +22.9%
SPY SPDR S P 500 ETF 0.1%
Value ($000) $218 Shares 750 Est. Cost $270.67 Unrealized
VFIAX VANGUARD 500 INDEX ADMIRAL 0.1%
Value ($000) $208 Shares 772 Est. Cost $269.43 Unrealized
JNJ JOHNSON JOHNSON 0.1%
Value ($000) $206 Shares 1,490 Est. Cost $108.04 Unrealized 0.0%
SUNTRUST CAPITAL 3.05564 3/15/28 0.1%
Value ($000) $203 Shares 219,000 Est. Cost $0.88 Unrealized
ANADARKO PETROLEUM CORP 0.1%
Value ($000) $203 Shares 3,016 Est. Cost $73.28 Unrealized
NEE NEXTERA ENERGY INC 0.1%
Value ($000) $201 Shares 1,200 Est. Cost $35.46 Unrealized 0.0%
OPUS BANK 5.500 7/01/26 0.1%
Value ($000) $200 Shares 200,000 Est. Cost $1.00 Unrealized
GENERAL ELECTRIC CO 0.1%
Value ($000) $189 Shares 16,700 Est. Cost $28.51 Unrealized
MANUF TRADERS 3.38907 12/28/20 0.1%
Value ($000) $173 Shares 173,000 Est. Cost $1.04 Unrealized
MEXICO EQUITY & INCOME FD 0.1%
Value ($000) $167 Shares 13,635 Est. Cost $15.70 Unrealized
BANK OF AMER MTN 4.37051 6/29/20 0.1%
Value ($000) $101 Shares 100,000 Est. Cost $1.02 Unrealized
INGRAM MICRO INC 5.450 12/15/24 0.0%
Value ($000) $89 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
MASSACHUSETTS ST SER 3.000 12/01/23 0.0%
Value ($000) $51 Shares 50,000 Est. Cost $1.04 Unrealized
WESTWOOD MA REF 4.000 6/01/19 0.0%
Value ($000) $51 Shares 50,000 Est. Cost $1.14 Unrealized
WELLS FARGO MTN 3.500 3/08/22 0.0%
Value ($000) $50 Shares 50,000 Est. Cost $1.04 Unrealized
ALTRIA GROUP INC 9.700 11/10/18 0.0%
Value ($000) $50 Shares 50,000 Est. Cost $1.20 Unrealized
MILTON MA REF 2.000 1/15/19 0.0%
Value ($000) $50 Shares 50,000 Est. Cost $1.02 Unrealized
KOHLS CORPORATION 4.250 7/17/25 0.0%
Value ($000) $50 Shares 50,000 Est. Cost $0.98 Unrealized
STATE STREET CORP 3.34063 6/15/37 0.0%
Value ($000) $27 Shares 30,000 Est. Cost $0.88 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) $8 Shares 30,000 Est. Cost $0.37 Unrealized