Regent Investment Management LLC

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CIK 1559968

13F portfolio (2022-Q4)

$373M

Positions

202

Implied 1Y CAGR

modeled · as filed

Long positions in SEC Section 13(f) securities (US-listed stocks, ADRs and ETFs), largest first · Δ vs 2022-Q3. A lagged quarterly snapshot (filed ≤45 days after quarter-end); excludes shorts, options, cash, and shares listed only on non-US exchanges — foreign companies held via a US listing or ADR (e.g. Alibaba, TSMC) ARE included.

Implied return what this book implies · modeled, not advice methodology →

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As filed = each book applied at its quarter-end (what the reported book did) · As copyable = applied at its statutory 45-day filing deadline (what a 13F follower could have earned).

Computing…

Hypothetical modeled performance constructed with hindsight — not actual results, and not indicative of future results. See the Disclaimer.

Exposures · what this manager owns, by sector & size (2022-Q4)

Holdings

202

Top 5

19.8%

Top 10

30.7%

Effective N

61.3

HHI

0.016

This quarter

9 new · 0 exit →

By sector

Information Technology22.7%

Financials15.3%

Health Care11.2%

Consumer Discretionary8.9%

Consumer Staples8.3%

Unclassified7.9%

Communication Services7.7%

Materials5.8%

Other12.1%

By market cap

Mega (>$200B)46.9%

Large ($10–200B)39.2%

Unknown8.7%

Mid ($2–10B)4.8%

Small ($300M–2B)0.4%

By region

North America91.5%

Other7.9%

Europe0.4%

Asia-Pacific0.2%

By industry group GICS — finer than sector

Industry group	Weight	Names
Unclassified	10.18%	33
Pharmaceuticals & Biotechnology	10.13%	9
Technology Hardware & Equipment	9.19%	9
Banks	6.66%	7
Software & IT Services	6.44%	7
Specialty Retail	5.54%	7
Software	5.33%	6
Semiconductors & Semiconductor Equipment	4.84%	12
Chemicals	4.23%	4
Insurance	4.05%	11
Utilities	3.25%	11
Commercial Services & Supplies	2.70%	7
Distributors	2.42%	5
Capital Markets	2.36%	4
Food & Staples Retailing	2.27%	2
Oil, Gas & Consumable Fuels	2.09%	8
Food Products	2.01%	5
Communications Equipment	1.96%	3
Aerospace & Defense	1.79%	3
Beverages	1.54%	3
Machinery	1.29%	5
Health Care Equipment & Supplies	1.09%	5
Diversified Telecommunication Services	0.97%	3
Equity Real Estate Investment Trusts (REITs)	0.96%	8
Metals & Mining	0.84%	3
Media & Entertainment	0.80%	1
Road & Rail	0.78%	3
Transportation Infrastructure	0.58%	2
Tobacco	0.56%	2
Entertainment	0.47%	1
Hotels, Restaurants & Leisure	0.46%	3
Electrical Equipment & Components	0.44%	1
Paper & Forest Products	0.39%	1
Construction Materials	0.35%	1
Airlines	0.29%	1
Textiles, Apparel & Luxury Goods	0.23%	2
Life Sciences Tools & Services	0.21%	2
Automobiles & Components	0.18%	1
Household Durables	0.08%	1

Top holdings

#	Ticker	Name	Sector	Weight
1	AAPL	Apple Inc.	Information Technology	6.51%
2	MSFT	MICROSOFT CORP	Information Technology	3.85%
3	JPM	JPMORGAN CHASE & CO	Financials	3.26%
4	GOOG	Alphabet Inc.	Communication Services	3.10%
5		HORIZON THERAPEUTICS PLC	Unclassified	3.09%
6	JNJ	JOHNSON & JOHNSON	Health Care	2.94%
7	CVS	CVS HEALTH Corp	Consumer Staples	2.15%
8	PG	PROCTER & GAMBLE Co	Materials	1.98%
9	AMZN	AMAZON COM INC	Consumer Discretionary	1.93%
10	BF.B	BROWN FORMAN CORP	Consumer Staples	1.89%

171/202 names classified · sector 92.1% of weight · industry 89.8% · mkt cap 91.3%; unclassified names shown, never dropped.

Sector allocation over time · how the GICS mix & top names shifted quarter by quarter

top 5/sector, rest → “Other” · 39 quarters

Information TechnologyAAPL, MSFT, CSCO, QCOM, DXC · other

FinancialsJPM, MS, BAC, WSBC, BRK.B · other

Consumer DiscretionaryAMZN, MCK, VFC, COR, M · other

Health CareJNJ, MRK, BMY, GILD, PFE · other

Consumer StaplesCVS, BF.B, KO, DEO, GIS · other

Communication ServicesGOOG, META, VZ, GOOGL, T · other

IndustrialsBABA, FDX, BKNG, UNP, RTX · other

MaterialsPG, KMB, ALB, MOS, FCX · other

EnergyCVX, COP, XOM, HAL, ENB · other

UtilitiesWMB, KMI, NEE, AEP, NRG · other

Real EstateLAMR, MAA, VTR, BRX, WY · other

UnclassifiedWALGREENS BOOTS ALLIANCE INC, FARMERS CAP BANK CORP, CELGENE CORP, HORIZON THERAPEUTICS PLC, WALGREEN CO · other

Sector is classified on each name's CURRENT fundamentals, not point-in-time — apparent sector drift can reflect the market re-rating a holding, not a manager trade. 13F is a lagged quarterly snapshot of long positions in US-listed securities only — foreign companies held via a US listing or ADR ARE included, but shares listed only on non-US exchanges (plus shorts, options and cash) are not. Latest quarter: 92.1% of the book is sector-classified (unclassified names shown, never dropped).

Style box · size × value-growth placement of the reported book (2022-Q4), classified on current fundamentals (not point-in-time) — load it into PORT to overlay your own portfolio

holdings, colored by sector (157 classified)Regent Investment Management LLC centroid (Large Core)

Information TechnologyFinancialsHealth CareConsumer DiscretionaryConsumer StaplesCommunication ServicesIndustrialsMaterialsUtilitiesEnergyReal Estate

Style box summary for Regent Investment Management LLC: centroid Large Core. Heaviest cells: Large Growth 27.5%, Large Value 23.9%, Large Core 18.2%.

Classified: 89.7% of book weight (157/191 names) · unclassified 10.3%: , SCHE, BRK.B, TECK, TTWO, USA, VWO, DEO, TSM, RIO +24 more. Size: cap 70/20/10 bands; style: value/growth composite on our own metrics — not Morningstar's model.

Contribution holdings-based, any period

No contribution data for this period.

Holdings· 202 positions (2022-Q4) · largest first · Δ vs 2022-Q3

#	Security	Shares	Value	Weight	Δ QoQ
1	AAPLAPPLE INC	187,159	$24M	6.5%	HOLD
2	MSFTMICROSOFT CORP	59,898	$14M	3.8%	HOLD
3	JPMJPMORGAN CHASE & CO	90,766	$12M	3.3%	HOLD
4	GOOGALPHABET INC	130,596	$12M	3.1%	HOLD
5	HORIZON THERAPEUTICS PLC	101,451	$12M	3.1%	HOLD
6	JNJJOHNSON & JOHNSON	62,210	$11M	2.9%	HOLD
7	CVSCVS HEALTH CORP	85,936	$8M	2.1%	HOLD
8	PGPROCTER AND GAMBLE CO	48,656	$7M	2.0%	HOLD
9	AMZNAMAZON COM INC	85,665	$7M	1.9%	HOLD
10	BF.BBROWN FORMAN CORP	107,523	$7M	1.9%	HOLD
11	BMYBRISTOL-MYERS SQUIBB CO	95,901	$7M	1.8%	HOLD
12	MRKMERCK & CO INC	61,937	$7M	1.8%	HOLD
13	QCOMQUALCOMM INC	61,840	$7M	1.8%	HOLD
14	PFEPFIZER INC	109,392	$6M	1.5%	HOLD
15	MCKMCKESSON CORP	14,105	$5M	1.4%	HOLD
16	AVGOBROADCOM INC	9,146	$5M	1.4%	HOLD
17	BACBANK AMERICA CORP	153,351	$5M	1.4%	ADD 8%
18	UNHUNITEDHEALTH GROUP INC	9,246	$5M	1.3%	HOLD
19	GOOGLALPHABET INC	53,870	$5M	1.3%	ADD 4%
20	RTXRTX CORPORATION	45,795	$5M	1.2%	HOLD
21	WMBWILLIAMS COS INC	130,295	$4M	1.1%	HOLD
22	METAMETA PLATFORMS INC	34,742	$4M	1.1%	TRIM −14%
23	LOWLOWES COS INC	20,646	$4M	1.1%	HOLD
24	VVISA INC	18,025	$4M	1.0%	HOLD
25	TJXTJX COS INC NEW	45,989	$4M	1.0%	HOLD
26	TMOTHERMO FISHER SCIENTIFIC INC	6,608	$4M	1.0%	HOLD
27	MSMORGAN STANLEY	41,625	$4M	0.9%	HOLD
28	AMPAMERIPRISE FINL INC	10,713	$3M	0.9%	HOLD
29	ABBVABBVIE INC	20,488	$3M	0.9%	HOLD
30	WSBCWESBANCO INC	89,087	$3M	0.9%	TRIM −4%
31	CVXCHEVRON CORP NEW	17,962	$3M	0.9%	HOLD
32	ALBALBEMARLE CORP	13,980	$3M	0.8%	ADD 5%
33	CMCSACOMCAST CORP NEW	85,904	$3M	0.8%	TRIM −7%
34	SWKSSKYWORKS SOLUTIONS INC	32,225	$3M	0.8%	HOLD
35	TTCTORO CO	25,480	$3M	0.8%	HOLD
36	NKENIKE INC	23,875	$3M	0.7%	NEW
37	HDHOME DEPOT INC	8,584	$3M	0.7%	HOLD
38	MUMICRON TECHNOLOGY INC	54,118	$3M	0.7%	TRIM −7%
39	AXPAMERICAN EXPRESS CO	17,951	$3M	0.7%	HOLD
40	MAMASTERCARD INCORPORATED	7,560	$3M	0.7%	HOLD
41	MOSMOSAIC CO NEW	59,030	$3M	0.7%	HOLD
42	KOCOCA COLA CO	40,108	$3M	0.7%	HOLD
43	ORCLORACLE CORP	30,922	$3M	0.7%	HOLD
44	PEPPEPSICO INC	13,449	$2M	0.7%	ADD 2%
45	VZVERIZON COMMUNICATIONS INC	57,804	$2M	0.6%	ADD 10%
46	FISVFISERV INC	21,443	$2M	0.6%	HOLD
47	CSCOCISCO SYS INC	44,063	$2M	0.6%	TRIM −2%
48	FCXFREEPORT MCMORAN INC	54,010	$2M	0.5%	HOLD
49	GISGENERAL MILLS INC	24,385	$2M	0.5%	HOLD
50	WDAYWORKDAY INC	11,990	$2M	0.5%	HOLD
51	DHRDANAHER CORP DEL	7,500	$2M	0.5%	HOLD
52	PRUPRUDENTIAL FINL INC	19,815	$2M	0.5%	HOLD
53	SCHESCHWAB STRATEGIC TR	82,452	$2M	0.5%	HOLD
54	ABTABBOTT LABS	17,302	$2M	0.5%	HOLD
55	COSTCOSTCO WHSL CORP NEW	4,057	$2M	0.5%	ADD 138%
56	CAHCARDINAL HEALTH INC	23,655	$2M	0.5%	HOLD
57	HONHONEYWELL INTL INC	8,397	$2M	0.5%	HOLD
58	MDLZMONDELEZ INTL INC	26,716	$2M	0.5%	HOLD
59	PMPHILIP MORRIS INTL INC	17,477	$2M	0.5%	HOLD
60	DISDISNEY WALT CO	20,308	$2M	0.5%	HOLD
61	EMREMERSON ELEC CO	17,197	$2M	0.4%	HOLD
62	GSGOLDMAN SACHS GROUP INC	4,735	$2M	0.4%	HOLD
63	TXNTEXAS INSTRS INC	9,550	$2M	0.4%	HOLD
64	HUMHUMANA INC	3,045	$2M	0.4%	TRIM −4%
65	BRK.BBERKSHIRE HATHAWAY INC DEL	5,008	$2M	0.4%	HOLD
66	SYKSTRYKER CORPORATION	6,300	$2M	0.4%	HOLD
67	SJMSMUCKER J M CO	9,660	$2M	0.4%	HOLD
68	LLYELI LILLY & CO	4,130	$2M	0.4%	HOLD
69	BKNGBOOKING HOLDINGS INC	746	$2M	0.4%	TRIM −4%
70	AEPAMERICAN ELEC PWR CO INC	15,710	$1M	0.4%	HOLD
71	CAGCONAGRA BRANDS INC	38,462	$1M	0.4%	HOLD
72	KMBKIMBERLY-CLARK CORP	10,845	$1M	0.4%	TRIM −4%
73	KMIKINDER MORGAN INC DEL	81,325	$1M	0.4%	HOLD
74	METMETLIFE INC	20,235	$1M	0.4%	HOLD
75	WALGREENS BOOTS ALLIANCE INC	37,044	$1M	0.4%	TRIM −4%
76	UNILEVER PLC	27,155	$1M	0.4%	HOLD
77	ATLANTICA YIELD PLC	51,210	$1M	0.4%	TRIM −12%
78	FSLRFIRST SOLAR INC	8,830	$1M	0.4%	ADD 421%
79	TECKTECK RESOURCES LTD	34,652	$1M	0.4%	TRIM −3%
80	TTWOTAKE-TWO INTERACTIVE SOFTWAR	12,460	$1M	0.3%	TRIM −13%
81	ELVELEVANCE HEALTH INC FORMERLY	2,515	$1M	0.3%	HOLD
82	USALIBERTY ALL STAR EQUITY FD	222,500	$1M	0.3%	ADD 16%
83	COPCONOCOPHILLIPS	10,647	$1M	0.3%	HOLD
84	NRGNRG ENERGY INC	39,150	$1M	0.3%	ADD 2%
85	XOMEXXON MOBIL CORP	11,240	$1M	0.3%	HOLD
86	ONON SEMICONDUCTOR CORP	19,215	$1M	0.3%	TRIM −10%
87	BDXBECTON DICKINSON & CO	4,629	$1M	0.3%	TRIM −2%
88	NEENEXTERA ENERGY INC	13,917	$1M	0.3%	ADD 44%
89	VWOVANGUARD INTL EQUITY INDEX F	29,731	$1M	0.3%	HOLD
90	LIVENT CORP	58,025	$1M	0.3%	HOLD
91	CCITIGROUP INC	25,341	$1M	0.3%	TRIM −28%
92	UPSUNITED PARCEL SERVICE INC	6,346	$1M	0.3%	HOLD
93	APELLIS PHARMACEUTICALS INC	21,309	$1M	0.3%	HOLD
94	FDXFEDEX CORP	6,224	$1M	0.3%	TRIM −5%
95	UNPUNION PAC CORP	5,015	$1M	0.3%	TRIM −3%
96	CORCENCORA INC	6,080	$1M	0.3%	HOLD
97	BRXBRIXMOR PPTY GROUP INC	44,480	$1M	0.3%	HOLD
98	CBCHUBB LIMITED	4,415	$974,000	0.3%	TRIM −2%
99	XIFRXPLR INFRASTRUCTURE LP	13,700	$960,000	0.3%	HOLD
100	TRVTRAVELERS COMPANIES INC	4,660	$874,000	0.2%	HOLD
101	ADBEADOBE INC	2,510	$845,000	0.2%	HOLD
102	ULTAULTA BEAUTY INC	1,787	$838,000	0.2%	HOLD
103	YUMYUM BRANDS INC	6,500	$833,000	0.2%	HOLD
104	AMATAPPLIED MATLS INC	8,410	$819,000	0.2%	HOLD
105	MMM3M CO	6,610	$793,000	0.2%	HOLD
106	DEODIAGEO PLC	4,400	$784,000	0.2%	HOLD
107	NSCNORFOLK SOUTHN CORP	3,135	$773,000	0.2%	TRIM −5%
108	EXEEXPAND ENERGY CORPORATION	8,145	$769,000	0.2%	ADD 2%
109	CITHE CIGNA GROUP	2,165	$717,000	0.2%	HOLD
110	VRSNVERISIGN INC	3,480	$715,000	0.2%	TRIM −3%
111	TAT&T INC	38,593	$710,000	0.2%	HOLD
112	HPQHP INC	25,530	$686,000	0.2%	TRIM −4%
113	PANWPALO ALTO NETWORKS INC	4,890	$682,000	0.2%	TRIM −40%
114	KHCKRAFT HEINZ CO	16,518	$672,000	0.2%	TRIM −2%
115	TSLATESLA INC	5,445	$671,000	0.2%	HOLD
116	EXPEEXPEDIA GROUP INC	7,550	$661,000	0.2%	HOLD
117	TSMTAIWAN SEMICONDUCTOR MFG LTD	8,517	$634,000	0.2%	HOLD
118	TMUST-MOBILE US INC	4,450	$623,000	0.2%	HOLD
119	MCDMCDONALDS CORP	2,313	$609,000	0.2%	HOLD
120	RIORIO TINTO PLC	8,540	$608,000	0.2%	TRIM −2%
121	AIGAMERICAN INTL GROUP INC	9,323	$590,000	0.2%	HOLD
122	NNNNNN REIT INC	12,700	$581,000	0.2%	HOLD
123	CATCATERPILLAR INC	2,400	$575,000	0.2%	HOLD
124	PSXPHILLIPS 66	5,475	$570,000	0.2%	HOLD
125	ITWILLINOIS TOOL WKS INC	2,585	$569,000	0.2%	HOLD
126	PYPLPAYPAL HLDGS INC	7,905	$563,000	0.2%	HOLD
127	BF.ABROWN FORMAN CORP	8,394	$552,000	0.1%	TRIM −7%
128	QUALISHARES TR	4,810	$548,000	0.1%	HOLD
129	JBLJabil Circuit, Inc.	7,950	$542,000	0.1%	HOLD
130	INTCINTEL CORP	19,541	$517,000	0.1%	TRIM −10%
131	MTCHMATCH GROUP INC NEW	12,030	$499,000	0.1%	TRIM −6%
132	HSICHENRY SCHEIN INC	6,200	$495,000	0.1%	HOLD
133	HIGHARTFORD INSURANCE GROUP INC	6,500	$493,000	0.1%	HOLD
134	ETNEATON CORP PLC	3,118	$490,000	0.1%	HOLD
135	SPGIS&P GLOBAL INC	1,455	$487,000	0.1%	ADD 62%
136	VALEVALE S A	28,400	$482,000	0.1%	HOLD
137	VFCV F CORP	17,300	$478,000	0.1%	HOLD
138	CRMSALESFORCE INC	3,475	$461,000	0.1%	NEW
139	SCHGSCHWAB U.S. LARGE-CAP GROWTH ETF	8,240	$458,000	0.1%	HOLD
140	FLEXFlextronics Internat'l. Ltd.	21,250	$456,000	0.1%	HOLD
141	KRKROGER CO	10,100	$450,000	0.1%	HOLD
142	ATOATMOS ENERGY CORP	4,000	$448,000	0.1%	HOLD
143	AMZAETFIS SER TR I	13,850	$438,000	0.1%	TRIM −39%
144	LAMRLAMAR ADVERTISING CO	4,600	$434,000	0.1%	TRIM −10%
145	VTRSVIATRIS INC	38,477	$428,000	0.1%	TRIM −6%
146	WATWATERS CORP	1,240	$425,000	0.1%	HOLD
147	WDCWESTERN DIGITAL CORP	13,274	$419,000	0.1%	TRIM −4%
148	XYZBLOCK INC	6,577	$413,000	0.1%	TRIM −20%
149	SYYSYSCO CORP	5,350	$409,000	0.1%	HOLD
150	MAINMAIN STR CAP CORP	10,900	$403,000	0.1%	HOLD
151	VICIVICI PPTYS INC	12,425	$403,000	0.1%	TRIM −2%
152	XLKSELECT SECTOR SPDR TR	3,188	$397,000	0.1%	HOLD
153	ARIAPOLLO COML REAL EST FIN INC	36,200	$390,000	0.1%	ADD 87%
154	ETENERGY TRANSFER L P	32,000	$380,000	0.1%	ADD 28%
155	PVHPVH CORPORATION	5,180	$366,000	0.1%	TRIM −47%
156	MTUMISHARES TR	2,470	$360,000	0.1%	HOLD
157	2663476DGOLDEN OCEAN GROUP LTD	40,000	$348,000	0.1%	ADD 167%
158	ILMNILLUMINA INC	1,705	$345,000	0.1%	ADD 3%
159	USMVISHARES TR	4,629	$334,000	0.1%	HOLD
160	MOALTRIA GROUP INC	7,265	$332,000	0.1%	HOLD
161	STORE CAPITAL CORP	10,335	$331,000	0.1%	HOLD
162	HILLENBRAND INC	7,713	$329,000	0.1%	HOLD
163	TSCOTRACTOR SUPPLY CO	1,450	$326,000	0.1%	HOLD
164	MDTMEDTRONIC PLC	4,190	$326,000	0.1%	TRIM −14%
165	KKRKKR & CO INC	7,000	$325,000	0.1%	HOLD
166	USBUS BANCORP	7,292	$318,000	0.1%	HOLD
167	AMGNAMGEN INC	1,193	$313,000	0.1%	HOLD
168	WHRWHIRLPOOL CORP	2,215	$313,000	0.1%	HOLD
169	ACTIVISION BLIZZARD INC	4,054	$310,000	0.1%	HOLD
170	CARRCARRIER GLOBAL CORPORATION	7,477	$308,000	0.1%	HOLD
171	ENBENBRIDGE INC	7,830	$306,000	0.1%	HOLD
172	PPLIIAC INC	6,825	$303,000	0.1%	TRIM −54%
173	LHC GROUP INC	1,830	$296,000	0.1%	HOLD
174	GASLOG PARTNERS LP	43,582	$290,000	0.1%	TRIM −26%
175	EBAYEBAY INC.	6,800	$282,000	0.1%	HOLD
176	YUMCYUM CHINA HLDGS INC	5,100	$279,000	0.1%	HOLD
177	CIENCIENA CORP	5,390	$275,000	0.1%	TRIM −5%
178	LMTLOCKHEED MARTIN CORP	565	$274,000	0.1%	HOLD
179	LNCLINCOLN NATL CORP IND	8,882	$273,000	0.1%	HOLD
180	TCPCBLACKROCK TCP CAPITAL CORP	21,000	$272,000	0.1%	ADD 91%
181	STAGSTAG INDL INC	8,375	$271,000	0.1%	ADD 2%
182	IVVISHARES TR	703	$270,000	0.1%	HOLD
183	IWOISHARES TR	1,250	$268,000	0.1%	HOLD
184	ETRENTERGY CORP NEW	2,350	$264,000	0.1%	HOLD
185	NVDANVIDIA CORPORATION	1,776	$260,000	0.1%	HOLD
186	SCHXSCHWAB U.S. LARGE-CAP ETF	5,591	$252,000	0.1%	TRIM −12%
187	WYWEYERHAEUSER CO	8,125	$252,000	0.1%	HOLD
188	HRHEALTHCARE RLTY TR	12,820	$247,000	0.1%	ADD 27%
189	LITELUMENTUM HLDGS INC	4,735	$247,000	0.1%	HOLD
190	IWPISHARES TR	2,900	$242,000	0.1%	HOLD
191	STXSEAGATE TECHNOLOGY HLDNGS PL	4,500	$237,000	0.1%	HOLD
192	DUKDUKE ENERGY CORP NEW	2,229	$230,000	0.1%	HOLD
193	LVMUYLVMH MOET HENNESSY LOU FSPONSORED ADR 1 ADR REPS 0.2 ORD SHS	1,585	$230,000	0.1%	NEW
194	ZBHZIMMER BIOMET HOLDINGS INC	1,800	$230,000	0.1%	NEW
195	FTVFORTIVE CORP	3,534	$227,000	0.1%	HOLD
196	SLBSCHLUMBERGER LTD	4,204	$225,000	0.1%	NEW
197	DGROISHARES CORE DIVIDEND GROWTH ETF	4,345	$217,000	0.1%	NEW
198	SOSOUTHERN CO	2,900	$207,000	0.1%	NEW
199	PNCPNC FINL SVCS GROUP INC	1,305	$206,000	0.1%	NEW
200	SHELSHELL PLC	3,597	$205,000	0.1%	NEW

showing the top 200 by weight

☆Regent Investment Management LLC