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Livermore
Livermore
ZHEN

Lumbard & Kellner, LLC

SEC CIK
0001602476
Latest filing
Aug 6, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 18, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
100
0 vs. Q2 2021
Portfolio value
$254.9M
−$3.37M (−1.3%) vs. Q2 2021
Filed
Nov 18, 2021
SEC
Holdings of Lumbard & Kellner, LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
iShares Tr46434V878ULTRA SHORT DUR239,878$12.1M4.8%−3,779−1.6%Reduced–
GOOGAlphabet Inc.Stock3,686$9.82M3.9%−225−5.8%ReducedHistory
METMetlife IncStock147,106$9.08M3.6%+121+0.1%AddedHistory
Vanguard Morningstar Total Stock Market ETF922908769ETF39,221$8.71M3.4%−230−0.6%Reduced–
AMATApplied Materials IncStock63,740$8.21M3.2%−3,125−4.7%ReducedHistory
PRUPrudential Financial IncStock75,883$7.98M3.1%+50.0%AddedHistory
Invesco QQQ Trust Series I46090E103ETF21,068$7.54M3.0%−9,278−30.6%Reduced–
GSGoldman Sachs Group IncStock19,543$7.39M2.9%−255−1.3%ReducedHistory
FCXFreeport-McMoran IncStock207,878$6.76M2.7%+7,548+3.8%AddedHistory
GLNGGolar LNG LtdSHS514,247$6.67M2.6%00.0%UnchangedHistory
METAMeta Platforms, Inc.Stock19,432$6.59M2.6%−48−0.2%ReducedHistory
GLDSPDR Gold TrustETF39,905$6.55M2.6%+10,120+34.0%AddedHistory
KMIKinder Morgan, Inc.Stock390,500$6.53M2.6%+491+0.1%AddedHistory
TSNTyson Foods, Inc.Stock78,538$6.20M2.4%−220−0.3%ReducedHistory
FDXFedEx CorpStock28,069$6.16M2.4%+20+0.1%AddedHistory
STNGScorpio Tankers Inc.SHS311,104$5.77M2.3%+183+0.1%AddedHistory
KRAKraton CorpCOM116,735$5.33M2.1%00.0%UnchangedHistory
VTRSViatris IncStock384,241$5.21M2.0%−6,526−1.7%ReducedHistory
MDCSekisui House U.S., Inc.COM108,872$5.09M2.0%+240.0%AddedHistory
iShares Tr46429B309MSCI INDONIA ETF228,045$4.95M1.9%−5,036−2.2%Reduced–
Suntrust Capital 0.8665 3/15/2886788LAA8CORPORATE BONDS AND NOTES4,887,000$4.77M1.9%+4,684,000+2,307.4%Added–
LMTLockheed Martin CorpStock13,616$4.70M1.8%+493+3.8%AddedHistory
Franklin Templeton ETF Tr35473P710FTSE SOUTH KOREA162,362$4.67M1.8%−844−0.5%Reduced–
GMSGMS Inc.COM106,202$4.65M1.8%−250.0%ReducedHistory
TAT&T Inc.Stock170,954$4.62M1.8%+15,217+9.8%AddedHistory
BHFBrighthouse Financial, Inc.COM100,810$4.56M1.8%−325−0.3%ReducedHistory
HBMHudbay Minerals Inc.COM715,844$4.46M1.7%+715,844NewHistory
Matthews India Fund Institutional577130768MUTUAL FUNDS - EQUITY134,432$4.35M1.7%−1,925−1.4%Reduced–
GMGeneral Motors CoCOM77,324$4.08M1.6%−300.0%ReducedHistory
CVETCovetrus, Inc.COM212,688$3.85M1.5%+136,953+180.8%AddedHistory
Invesco Exchange Traded FD T46137V357S&P500 EQL WGT22,762$3.41M1.3%+7,684+51.0%Added–
GLWCorning IncCOM84,273$3.08M1.2%−250.0%ReducedHistory
CYXTCyxtera Technologies, Inc.COMMON STOCK323,141$2.99M1.2%+323,141NewHistory
Vanguard Ftse All-World Ex-US Index Fund922042775ETF48,149$2.94M1.2%−74−0.2%Reduced–
MSFTMicrosoft CorpStock9,989$2.82M1.1%00.0%UnchangedHistory
Ford MTR Co del Sr 8.500 4/21/23345370CV0CORPORATE BONDS AND NOTES2,412,000$2.65M1.0%00.0%Unchanged–
AAPLApple Inc.Stock18,005$2.55M1.0%−1,930−9.7%ReducedHistory
NOCNorthrop Grumman CorpStock6,547$2.36M0.9%+197+3.1%AddedHistory
Mellon Capital IV 4.04444 12/20/6758551TAA5CORPORATE BONDS AND NOTES2,314,000$2.31M0.9%00.0%Unchanged–
TAKTakeda Pharmaceutical Co LtdADR136,693$2.24M0.9%−1,056−0.8%ReducedHistory
United Financial 5.750 10/01/24910304AA2CORPORATE BONDS AND NOTES1,907,000$2.13M0.8%00.0%Unchanged–
Vanguard Total World Stock ETF922042742ETF20,021$2.04M0.8%−275−1.4%Reduced–
Bank of Ny Mellon 3.69928 12/20/67064058AD2CORPORATE BONDS AND NOTES1,975,000$1.99M0.8%00.0%Unchanged–
State Street SPDR Portfolio Developed World Ex-US ETF78463X889ETF54,026$1.96M0.8%+396+0.7%Added–
Citigroup Inc 0.7565 8/25/36172967DS7CORPORATE BONDS AND NOTES2,015,000$1.76M0.7%00.0%Unchanged–
KEYKeycorpCOM79,003$1.71M0.7%−250.0%ReducedHistory
BRK.ABerkshire Hathaway IncCL A4$1.65M0.6%+2+100.0%AddedHistory
iShares Russell 2000 ETF464287655ETF6,710$1.47M0.6%+6,710New–
iShares Core S&P 500 ETF464287200ETF3,219$1.39M0.5%−587−15.4%Reduced–
US Bank Capital IX 3.57778 4/15/4991731KAA8CORPORATE BONDS AND NOTES1,371,000$1.35M0.5%00.0%Unchanged–
LLYEli Lilly & CoStock5,519$1.27M0.5%00.0%UnchangedHistory
SPYSPDR S&P 500 ETF TrustETF2,877$1.23M0.5%00.0%UnchangedHistory
CMCSAComcast CorpStock20,156$1.13M0.4%+85+0.4%AddedHistory
BRK.BBerkshire Hathaway IncStock3,418$933.0K0.4%−160−4.5%ReducedHistory
JP Morgan Chase MTN 2.000 4/30/2448126N6A0CORPORATE BONDS AND NOTES881,000$904.0K0.4%00.0%Unchanged–
Bank of Amer MTN 0.87538 12/01/265901886X1CORPORATE BONDS AND NOTES901,000$895.0K0.4%00.0%Unchanged–
WELLWelltower Inc.REIT9,780$806.0K0.3%00.0%UnchangedHistory
CSCOCisco Systems, Inc.Stock13,650$743.0K0.3%+91+0.7%AddedHistory
NTC Capital II 0.82957 4/15/27629398AA6CORPORATE BONDS AND NOTES719,000$719.0K0.3%00.0%Unchanged–
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund72201R833ETF6,993$713.0K0.3%+1,715+32.5%Added–
HONHoneywell International IncCOM3,261$692.0K0.3%00.0%UnchangedHistory
VanEck ETF Trust92189F106GOLD MINERS ETF22,542$664.0K0.3%+1,074+5.0%Added–
CDLXCardlytics, Inc.COM7,752$651.0K0.3%+1,562+25.2%AddedHistory
Vanguard Morningstar Value ETF922908744ETF4,365$591.0K0.2%00.0%Unchanged–
State Street Utilities Select Sector SPDR ETF81369Y886ETF8,833$564.0K0.2%−127−1.4%Reduced–
WFCWells Fargo & CompanyStock12,141$563.0K0.2%−349−2.8%ReducedHistory
DVDoubleVerify Holdings, Inc.COM26,021$518.0K0.2%+11,444+78.5%AddedHistory
XOMExxonMobil Holdings CorpCOM8,794$517.0K0.2%00.0%UnchangedHistory
MRKMerck & Co., Inc.Stock6,426$483.0K0.2%00.0%UnchangedHistory
HSICHenry Schein IncCOM5,927$451.0K0.2%00.0%UnchangedHistory
CWHCamping World Holdings, Inc.CL A11,007$428.0K0.2%00.0%UnchangedHistory
JOEST JOE CoCOM10,099$425.0K0.2%00.0%UnchangedHistory
DHIHorton D R IncCOM4,869$409.0K0.2%+181+3.9%AddedHistory
PEPPepsiCo IncStock2,640$397.0K0.2%00.0%UnchangedHistory
LTHMLivent Corp.COM17,174$397.0K0.2%00.0%UnchangedHistory
CAGConagra Brands Inc.Stock10,785$365.0K0.1%+1,692+18.6%AddedHistory
RTXRTX CorpStock4,034$346.0K0.1%00.0%UnchangedHistory
Cyxtera Technolo23284C110EQUITY WRT164,467$338.0K0.1%+164,467New–
CHKPCheck Point Software Technologies LtdORD2,966$335.0K0.1%00.0%UnchangedHistory
PMPhilip Morris International Inc.Stock3,500$332.0K0.1%00.0%UnchangedHistory
Vanguard Index FDS922908710COM772$307.0K0.1%00.0%Unchanged–
NEENextera Energy IncStock3,618$284.0K0.1%−878−19.5%ReducedHistory
TREELendingTree, Inc.COM1,995$279.0K0.1%+195+10.8%AddedHistory
LYBLyondellBasell Industries N.V.SHS - A -2,955$277.0K0.1%00.0%UnchangedHistory
PCGPG&E CorpStock25,983$249.0K0.1%+1,098+4.4%AddedHistory
JNJJohnson & JohnsonStock1,490$241.0K0.1%00.0%UnchangedHistory
Schwab U.S. Large-Cap Growth ETF808524300ETF1,619$240.0K0.1%00.0%Unchanged–
GEGeneral Electric CoStock2,210$228.0K0.1%00.0%UnchangedConverted for a 1-for-8 splitHistory
DOVDOVER CorpCOM1,300$202.0K0.1%+1,300NewHistory
WisdomTree Tr97717W851JAPN HEDGE EQT3,206$202.0K0.1%+3,206New–
iShares Select U.S. REIT ETF464287564ETF3,080$201.0K0.1%00.0%Unchanged–
IBMInternational Business Machines CorpStock1,450$201.0K0.1%00.0%UnchangedHistory
KMBKimberly Clark CorpStock1,500$199.0K0.1%00.0%UnchangedHistory
ASPSAltisource Portfolio Solutions S.A.REG SHS20,042$198.0K0.1%00.0%UnchangedHistory
NINisource Inc.COM8,000$194.0K0.1%+8,000NewHistory
JPMorgan Chase Co 0.67563 2/01/27161480AB4CORPORATE BONDS AND NOTES200,000$194.0K0.1%+200,000New–
WMWaste Management IncStock1,000$149.0K0.1%+1,000NewHistory
Kohls Corporation 4.250 7/17/25500255AU8CORPORATE BONDS AND NOTES50,000$54.0K<0.1%00.0%Unchanged–
Wells Fargo MTN 3.500 3/08/2294974BFC9CORPORATE BONDS AND NOTES50,000$51.0K<0.1%00.0%Unchanged–
State Street Corp 1.2165 6/15/37857477AY9CORPORATE BONDS AND NOTES30,000$27.0K<0.1%+30,000New–

Sold out since Q2 2021 (10)

Positions held at the end of Q2 2021 that are gone from this filing.

Positions of Lumbard & Kellner, LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
Franklin Templeton ETF Tr35473P686FTSE TAIWAN105,742$4.73M1.8%–
Starboard Value Acquisitn Co85521J208UNIT 09/10/2025322,941$3.34M1.3%–
Suntrust Capital 0.891 5/15/2786787XAA3CORPORATE BONDS AND NOTES1,429,000$1.40M0.5%–
Opus Bank 5.500 7/01/26684000AA0CORPORATE BONDS AND NOTES1,364,000$1.36M0.5%–
American Express Co 4.900 9/15/67025816BL2CORPORATE BONDS AND NOTES684,000$685.0K0.3%–
VZVerizon Communications IncStock9,195$516.0K0.2%History
iShares U.S. Treasury Bond ETF46429B267ETF7,872$209.0K0.1%–
SPDR Series Trust78464A805ST STR PR SP15003,811$202.0K0.1%–
American Century Eq Inc I025076209EF18,554$183.0K0.1%–
Ingram Micro Inc 5.450 12/15/24457153AG9CORPORATE BONDS AND NOTES90,000$102.0K<0.1%–