Regent Investment Management LLC Closed Holding Positions

Regent Investment Management LLC

  • $373 Million
  • Q4 2022
Stock Closed Quarter Shares Sold Price Range Trade History
IWF
Ishares Russell 1000 Gr ETF

ETFs
Q4 2020 Filed on Jan 27, 2021
2,960
$209.58 - $241.25 $620K - $714K
Wonder Auto Tech Inc Xxx Escro
Q4 2020 Filed on Jan 27, 2021
10,000
N/A
Capitala Fin CO
Q4 2020 Filed on Jan 27, 2021
11,170
N/A
MCHI
Ishares Msci China ETF

ETFs
Q4 2020 Filed on Jan 27, 2021
8,160
$73.99 - $82.81 $604K - $676K
VRTX
Vertex Pharmaceuticals Inc

Healthcare
Q3 2020 Filed on Oct 19, 2020
700
$255.65 - $303.1 $179K - $212K
Malin Corp PLC Ordf
Q3 2020 Filed on Oct 19, 2020
10,000
N/A
SHW
Sherwin Williams CO

Basic Materials
Q3 2020 Filed on Oct 19, 2020
409
$192.01 - $239.2 $78.5K - $97.8K
DAL
Delta Air Lines, Inc.

Industrials
Q3 2020 Filed on Oct 19, 2020
9,700
$24.94 - $34.57 $242K - $335K
LCTX
Lineage Cell Therapeutics, Inc.

Healthcare
Q3 2020 Filed on Oct 19, 2020
20,000
$0.75 - $1.09 $15K - $21.8K
Capitala Fin CO
Q3 2020 Filed on Oct 19, 2020
28,500
N/A
EEM
Ishares Msci Emerging Markets

ETFs
Q3 2020 Filed on Oct 19, 2020
5,629
$40.44 - $45.55 $228K - $256K
Golar Lng Partners Lpcom Unit
Q2 2020 Filed on Jul 29, 2020
12,000
N/A
United Technologies Cxxx Name
Q2 2020 Filed on Jul 29, 2020
6,205
N/A
UAL
United Airlines Holdings, Inc.

Industrials
Q2 2020 Filed on Jul 29, 2020
6,650
$19.92 - $48.69 $132K - $324K
GPC
Genuine Parts CO

Consumer Cyclical
Q2 2020 Filed on Jul 29, 2020
3,000
$58.26 - $93.52 $175K - $281K
Allergan PLC F
Q2 2020 Filed on Jul 29, 2020
1,473
N/A
Iac/Interactive Corp
Q2 2020 Filed on Jul 29, 2020
16,125
N/A
NWL
Newell Brands Inc.

Consumer Defensive
Q2 2020 Filed on Jul 29, 2020
10,400
$11.62 - $17.42 $121K - $181K
JBLU
Jetblue Airways Corp

Industrials
Q2 2020 Filed on Jul 29, 2020
11,150
$7.48 - $15.59 $83.4K - $174K
DD
Du Pont De Nemours, Inc.

Basic Materials
Q2 2020 Filed on Jul 29, 2020
6,348
$31.87 - $57.04 $202K - $362K
Royal Dutch Shell F Sponsored
Q2 2020 Filed on Jul 29, 2020
6,410
N/A
DXC
Dxc Technology CO

Technology
Q2 2020 Filed on Jul 29, 2020
19,336
$11.67 - $19.56 $226K - $378K
EWZ
Ishares Inc Msci Brazil ETF

ETFs
Q1 2020 Filed on Apr 17, 2020
14,575
$20.82 - $48.41 $303K - $706K
Etfis Ser Tr I Infracapactive
Q1 2020 Filed on Apr 17, 2020
54,500
N/A
PARA
Paramount Global

Communication Services
Q1 2020 Filed on Apr 17, 2020
5,582
$11.28 - $42.13 $63K - $235K
CTVA
Corteva, Inc.

Basic Materials
Q1 2020 Filed on Apr 17, 2020
8,965
$20.74 - $31.71 $186K - $284K
DOW
Dow Inc.

Basic Materials
Q1 2020 Filed on Apr 17, 2020
7,178
$22.0 - $53.75 $158K - $386K
CIDM
Cinedigm Corp.

Communication Services
Q1 2020 Filed on Apr 17, 2020
11,137
$0.29 - $0.82 $3.23K - $9.13K
CG
Carlyle Group Inc.

Financial Services
Q1 2020 Filed on Apr 17, 2020
8,196
$17.08 - $34.45 $140K - $282K
NMRK
Newmark Group, Inc.

Real Estate
Q1 2020 Filed on Apr 17, 2020
25,565
$2.5 - $12.84 $63.9K - $328K
BA
Boeing CO

Industrials
Q1 2020 Filed on Apr 17, 2020
4,913
$95.01 - $347.45 $467K - $1.71M
Raytheon CO
Q1 2020 Filed on Apr 17, 2020
1,000
N/A
DXJ
Wisdomtree Trust Japan Hedged

ETFs
Q1 2020 Filed on Apr 17, 2020
13,075
$36.21 - $54.8 $473K - $717K
D
Dominion Energy, Inc

Utilities
Q1 2020 Filed on Apr 17, 2020
2,602
$59.39 - $89.8 $155K - $234K
HAL
Halliburton CO

Energy
Q1 2020 Filed on Apr 17, 2020
9,250
$4.61 - $25.39 $42.6K - $235K
CCL
Carnival Corp

Consumer Cyclical
Q1 2020 Filed on Apr 17, 2020
36,123
$9.3 - $51.9 $336K - $1.87M
Perspecta Inc
Q1 2020 Filed on Apr 17, 2020
11,725
N/A
RCL
Royal Caribbean Cruises LTD

Consumer Cyclical
Q1 2020 Filed on Apr 17, 2020
23,793
$22.33 - $135.05 $531K - $3.21M
MCHP
Microchip Technology Inc

Technology
Q1 2020 Filed on Apr 17, 2020
2,659
$27.89 - $55.6 $74.2K - $148K
AAL
American Airlines Group Inc.

Industrials
Q4 2019 Filed on Jan 30, 2020
11,994
$25.27 - $31.36 $303K - $376K
Washington Prime Group N
Q4 2019 Filed on Jan 30, 2020
11,000
N/A
Carlyle Group L P Comuts LTD P
Q4 2019 Filed on Jan 30, 2020
8,289
N/A
Celgene Corp
Q4 2019 Filed on Jan 30, 2020
42,473
N/A
Cbs Corp Class B
Q4 2019 Filed on Jan 30, 2020
12,937
N/A
WFC
Wells Fargo & Company

Financial Services
Q4 2019 Filed on Jan 30, 2020
7,841
$47.82 - $54.46 $375K - $427K
COOP
Mr. Cooper Group Inc.

Financial Services
Q4 2019 Filed on Jan 30, 2020
11,024
$10.33 - $13.47 $114K - $148K
BECN
Beacon Roofing Supply Inc

Industrials
Q3 2019 Filed on Oct 17, 2019
6,900
$27.53 - $37.89 $190K - $261K
HPE
Hewlett Packard Enterprise CO

Technology
Q3 2019 Filed on Oct 17, 2019
29,630
$12.68 - $15.37 $376K - $455K
RDS-A
Shell PLC

Energy
Q3 2019 Filed on Oct 17, 2019
3,350
$49.47 - $57.87 $166K - $194K
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