0001602476-20-000004.txt : 20201113 0001602476-20-000004.hdr.sgml : 20201113 20201113094654 ACCESSION NUMBER: 0001602476-20-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201113 DATE AS OF CHANGE: 20201113 EFFECTIVENESS DATE: 20201113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Lumbard & Kellner, LLC CENTRAL INDEX KEY: 0001602476 IRS NUMBER: 020438289 STATE OF INCORPORATION: NH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-16104 FILM NUMBER: 201309517 BUSINESS ADDRESS: STREET 1: 5 HUTCHINGS DRIVE CITY: HOLLIS STATE: NH ZIP: 03049 BUSINESS PHONE: 603-465-7700 MAIL ADDRESS: STREET 1: PO BOX 749 CITY: HOLLIS STATE: NH ZIP: 03049 FORMER COMPANY: FORMER CONFORMED NAME: Lumbard Investment Counseling, LLC DATE OF NAME CHANGE: 20140312 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001602476 XXXXXXXX 09-30-2020 09-30-2020 Lumbard & Kellner, LLC

PO BOX 749 HOLLIS NH 03049

13F HOLDINGS REPORT 028-16104 N Drew Kellner 6034657700 Drew Kellner Hollis X1 11-13-2020 0 73 202510 false INFORMATION TABLE 2 13F_09_30_20.xml ALPHABET INC CL C COMMON STOCK 02079K107 6534 4031 SH SOLE 6534 0 0 AMERICAN EXPRESS CO 4.900 9/15/67 CORPORATE BONDS AND NOTES 025816BL2 645 692000 SH SOLE 645 0 0 APPLE INC COMMON STOCK 037833100 691 6349 SH SOLE 691 0 0 APPLIED MATERIALS INC COMMON STOCK 038222105 4031 68058 SH SOLE 4031 0 0 AT T INC COMMON STOCK 00206R102 4001 148084 SH SOLE 4001 0 0 BANK OF AMER MTN 1.000 12/01/26 CORPORATE BONDS AND NOTES 5901886X1 912 937000 SH SOLE 912 0 0 BANK OF NY MELLON 4.950 12/20/67 CORPORATE BONDS AND NOTES 064058AD2 1956 1978000 SH SOLE 1956 0 0 BRIGHTHOUSE FINL INC COMMON STOCK 10922N103 3261 98521 SH SOLE 3261 0 0 CHECK POINT SOFTWARE TECH LTD FOREIGN COMMON STOCK M22465104 337 2966 SH SOLE 337 0 0 CITIGROUP INC 5.950 2/15/68 CORPORATE BONDS AND NOTES 172967JZ5 776 790000 SH SOLE 776 0 0 CITIGROUP INC 0.89961 8/25/36 CORPORATE BONDS AND NOTES 172967DS7 1566 2052000 SH SOLE 1566 0 0 CITIGROUP INC MTN 3.000 12/15/20 CORPORATE BONDS AND NOTES 1730T0LD9 293 292000 SH SOLE 293 0 0 COMCAST CORP CLASS A COMMON STOCK 20030N101 391 9266 SH SOLE 391 0 0 CORNING INC COMMON STOCK 219350105 4115 128708 SH SOLE 4115 0 0 COVETRUS INC NPV COMMON STOCK 22304C100 4475 181244 SH SOLE 4475 0 0 D R HORTON INC COMMON STOCK 23331A109 5270 78885 SH SOLE 5270 0 0 ELI LILLY CO COMMON STOCK 532457108 768 5889 SH SOLE 768 0 0 EXXON MOBIL CORP COMMON STOCK 30231G102 287 8794 SH SOLE 287 0 0 FACEBOOK INC CLASS A COMMON STOCK 30303M102 4659 17708 SH SOLE 4659 0 0 FED EX CORP COMMON STOCK 31428X106 6864 26452 SH SOLE 6864 0 0 FIRST AM GOVT OB FD CL Y SHORT TERM FDS-TAXABLE (ACM) 31846V203 30590 30589772 SH SOLE 30590 0 0 FORD MTR CO DEL SR 8.500 4/21/23 CORPORATE BONDS AND NOTES 345370CV0 2734 2477000 SH SOLE 2734 0 0 FRANKLIN FTSE SOUTH KOREA ETF CLOSED END MUTUAL FUND EQUITY 35473P710 3754 163291 SH SOLE 3754 0 0 FRANKLIN FTSE TAIWAN ETF CLOSED END MUTUAL FUND EQUITY 35473P686 3399 108269 SH SOLE 3399 0 0 FREEPORT MCMORAN INC COMMON STOCK 35671D857 3121 180000 SH SOLE 3121 0 0 GENERAL ELECTRIC CO COMMON STOCK 369604103 124 16700 SH SOLE 124 0 0 GENERAL MOTORS CO COMMON STOCK 37045V100 4162 120520 SH SOLE 4162 0 0 GMS INC COMMON STOCK 36251C103 2432 107624 SH SOLE 2432 0 0 GOLDMAN SACHS GROUP INC COMMON STOCK 38141G104 3731 19735 SH SOLE 3731 0 0 HARTFORD MULTIFACTOR EMERGING ETF CLOSED END MUTUAL FUND EQUITY 518416201 3769 192500 SH SOLE 3769 0 0 HONEYWELL INTERNATIONAL INC COMMON STOCK 438516106 538 3261 SH SOLE 538 0 0 INGRAM MICRO INC 5.450 12/15/24 CORPORATE BONDS AND NOTES 457153AG9 96 90000 SH SOLE 96 0 0 INVESCO QQQ TRUST ETF CLOSED END MUTUAL FUND EQUITY 46090E103 8297 30800 SH SOLE 8297 0 0 ISHARES MSCI INDONESIA ETF CLOSED END MUTUAL FUND EQUITY 46429B309 2605 142488 SH SOLE 2605 0 0 ISHARES ULTRA SHORT TERM BOND ETF CLOSED END MUTUAL FUND FIXED 46434V878 12670 250690 SH SOLE 12670 0 0 JOHNSON JOHNSON COMMON STOCK 478160104 204 1490 SH SOLE 204 0 0 JP MORGAN CHASE MTN 2.000 4/30/24 CORPORATE BONDS AND NOTES 48126N6A0 951 926000 SH SOLE 951 0 0 KEYCORP COMMON STOCK 493267108 1055 81310 SH SOLE 1055 0 0 KINDER MORGAN INC COMMON STOCK 49456B101 3971 333715 SH SOLE 3971 0 0 KOHLS CORPORATION 4.250 7/17/25 CORPORATE BONDS AND NOTES 500255AU8 49 50000 SH SOLE 49 0 0 KRATON CORPORATION COMMON STOCK 50077C106 7471 263978 SH SOLE 7471 0 0 LIVENT CORP COMMON STOCK 53814L108 3861 359209 SH SOLE 3861 0 0 LOCKHEED MARTIN CORP COMMON STOCK 539830109 4611 13170 SH SOLE 4611 0 0 LUNDIN MNG CORP FOREIGN COMMON STOCK 550372106 2698 446649 SH SOLE 2698 0 0 LYONDELLBASELL INDU CL A FOREIGN COMMON STOCK N53745100 202 2955 SH SOLE 202 0 0 M D C HLDGS INC COMMON STOCK 552676108 4212 96781 SH SOLE 4212 0 0 MANUF TRADERS 1.35975 12/28/20 CORPORATE BONDS AND NOTES 564759PS1 173 173000 SH SOLE 173 0 0 MATTHEWS INDIA FUND INSTITUTIONAL MUTUAL FUNDS - EQUITY 577130768 3031 132012 SH SOLE 3031 0 0 MELLON CAPITAL IV 4.08696 12/20/67 CORPORATE BONDS AND NOTES 58551TAA5 889 900000 SH SOLE 889 0 0 MERCK CO INC COMMON STOCK 58933Y105 456 6060 SH SOLE 456 0 0 METLIFE INC COMMON STOCK 59156R108 5255 138837 SH SOLE 5255 0 0 MICROSOFT CORP COMMON STOCK 594918104 354 1750 SH SOLE 354 0 0 NEXTERA ENERGY INC COMMON STOCK 65339F101 329 4496 SH SOLE 329 0 0 NORTHROP GRUMMAN CORPORATION COMMON STOCK 666807102 1764 6085 SH SOLE 1764 0 0 NTC CAPITAL II 0.8687 4/15/27 CORPORATE BONDS AND NOTES 629398AA6 663 723000 SH SOLE 663 0 0 OPUS BANK 5.500 7/01/26 CORPORATE BONDS AND NOTES 684000AA0 194 192000 SH SOLE 194 0 0 PEPSICO INC COMMON STOCK 713448108 352 2640 SH SOLE 352 0 0 PHILIP MORRIS INTL COMMON STOCK 718172109 308 4334 SH SOLE 308 0 0 PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 4432 69231 SH SOLE 4432 0 0 SCHEIN HENRY INC COMMON STOCK 806407102 1977 31102 SH SOLE 1977 0 0 SPDR S P 500 ETF CLOSED END MUTUAL FUND EQUITY 78462F103 340 1042 SH SOLE 340 0 0 STATE STREET CORP 1.31338 6/15/37 CORPORATE BONDS AND NOTES 857477AY9 25 30000 SH SOLE 25 0 0 SUNTRUST CAPITAL 0.96338 3/15/28 CORPORATE BONDS AND NOTES 86788LAA8 189 203000 SH SOLE 189 0 0 TAKEDA PHARMACEUTICAL SP A D R FOREIGN COMMON STOCK 874060205 2115 137430 SH SOLE 2115 0 0 TYSON FOODS INC CL A COMMON STOCK 902494103 4376 76455 SH SOLE 4376 0 0 UNITED FINANCIAL 5.750 10/01/24 CORPORATE BONDS AND NOTES 910304AA2 2166 1971000 SH SOLE 2166 0 0 US BANK CAPITAL IX 3.57778 4/15/49 CORPORATE BONDS AND NOTES 91731KAA8 1260 1381000 SH SOLE 1260 0 0 VANGUARD 500 INDEX ADMIRAL MUTUAL FUNDS - EQUITY 922908710 233 772 SH SOLE 233 0 0 VANGUARD TOTAL STOCK MARKET ETF CLOSED END MUTUAL FUND EQUITY 922908769 6746 40400 SH SOLE 6746 0 0 VANGUARD TOTAL WORLD STOCK INDEX ETF CLOSED END MUTUAL FUND EQUITY 922042742 910 11521 SH SOLE 910 0 0 WACHOVIA CAP TR II 5.56975 3/29/49 CORPORATE BONDS AND NOTES 92978AAA0 782 781000 SH SOLE 782 0 0 WELLS FARGO MTN 3.500 3/08/22 CORPORATE BONDS AND NOTES 94974BFC9 52 50000 SH SOLE 52 0 0