LUMBARD & KELLNER, LLC Information

5 HUTCHINGS DRIVE, HOLLIS, New Hampshire, 03049, (603) 465-7700

Report Date: 09/30/2014

Position Statistics

Total Positions 63
New Positions 4
Increased Positions 34
Decreased Positions 14
Positions with Activity 48
Sold Out Positions 5
Total Mkt Value (in $ millions) 113

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 0.39%
Capital Goods 1.88%
Conglomerates
Consumer Cyclical 8.87%
Consumer/Non-Cyclical 3.73%
Energy 3%
Financial 28.74%
Healthcare 7.68%
Services 10.67%
Technology 18.78%
Transportation 6.63%
Utilities 0.45%

63 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
MATTHEWS ASIAN FDS ASIA DV FD INVST 7,023 181 2.64 459,948
METLIFE INC COM 6,178 112 1.85 112,300
WAL-MART STORES INC COM 5,195 1,419 37.58 59,950
MICROSOFT CORP COM 4,789 -3,304 (40.82) 98,835
FEDEX CORP COM 4,629 -993 (17.66) 26,160
PRUDENTIAL FINL INC COM 4,626 126 2.80 50,570
DIRECTV COM 4,253 1,984 87.42 48,955
INTERNATIONAL BUSINESS MACHS COM 4,132 96 2.37 25,470
CORNING INC COM 3,583 15 .42 154,851
KEYCORP NEW COM 3,491 5 .14 248,310
JOHNSON CTLS INC COM 3,417 5 .14 70,120
PFIZER INC COM 3,204 68 2.18 101,868
BROADCOM CORP CL A 3,063 New 70,555
HAWAIIAN HOLDINGS INC COM 2,891 17 .60 120,825
DEUTSCHE BK AG LONDON BRH PS CR OIL SH ETN 2,861 97 3.50 47,300
TYSON FOODS INC CL A 2,842 2,842 New 68,935
GOLDMAN SACHS GROUP INC COM 2,811 68 2.50 14,380
REGIONS FINL CORP NEW COM 2,710 75 2.86 254,240
SANOFI SPONSORED ADR 2,561 69 2.79 55,850
THAI FD INC COM 2,484 46 1.89 205,992