# EDGAR Filing Document

**Accession Number:** 0001559968
**File Stem:** 0001559968-23-000002
**Filing Date:** 2023-1
**Character Count:** 24761
**Document Hash:** cb04c58493e26af8fe5a00102ca3abf3
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001559968-23-000002.hdr.sgml**: 20230126

**ACCESSION NUMBER**: 0001559968-23-000002

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230126

**DATE AS OF CHANGE**: 20230126

**EFFECTIVENESS DATE**: 20230126

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Regent Investment Management LLC
- **CENTRAL INDEX KEY:** 0001559968
- **IRS NUMBER:** 454951312
- **STATE OF INCORPORATION:** KY
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-15055
- **FILM NUMBER:** 23555915

**BUSINESS ADDRESS:**
- **STREET 1:** 4350 BROWNSBORO ROAD
- **STREET 2:** SUITE 120
- **CITY:** LOUISVILLE
- **STATE:** KY
- **ZIP:** 40207
- **BUSINESS PHONE:** 502-719-1000

**MAIL ADDRESS:**
- **STREET 1:** 4350 BROWNSBORO ROAD
- **STREET 2:** SUITE 120
- **CITY:** LOUISVILLE
- **STATE:** KY
- **ZIP:** 40207

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Regent Investment Management LLC<br>**Address:** 4350 Brownsboro Road<br>Suite 120<br>Louisville, KY 40207

**Form 13F File Number:** 028-15055

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** STEVEN T NAISER<br>**Title:** VICE PRESIDENT<br>**Phone:** 502-719-1000

**Signature, Place, and Date of Signing:**

STEVEN T NAISER  LOUISVILLE, KY  01-26-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 231

**Form 13F Information Table Value Total:** $373278

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| 3M CO | COM | 88579y101 |  | 771 | 6429 | SH |  | SOLE |  | 6429 | 0 | 0 |
| 3M CO | COM | 88579y101 |  | 22 | 181 | SH |  | OTR |  | 0 | 0 | 181 |
| A T  T INC | COM | 00206r102 |  | 710 | 38593 | SH |  | SOLE |  | 38593 | 0 | 0 |
| ABBOTT LABS | COM | 002824100 |  | 1900 | 17302 | SH |  | SOLE |  | 17302 | 0 | 0 |
| ABBVIE INC | COM | 00287y109 |  | 3104 | 19208 | SH |  | SOLE |  | 19208 | 0 | 0 |
| ABBVIE INC | COM | 00287y109 |  | 207 | 1280 | SH |  | OTR |  | 0 | 0 | 1280 |
| ACTIVISION BLIZZARD | COM | 00507v109 |  | 310 | 4054 | SH |  | SOLE |  | 4054 | 0 | 0 |
| ADOBE INC | COM | 00724f101 |  | 845 | 2510 | SH |  | SOLE |  | 2510 | 0 | 0 |
| ALBEMARLE CORP | COM | 012653101 |  | 3032 | 13980 | SH |  | SOLE |  | 13980 | 0 | 0 |
| ALPHABET INC. CLASS A | COM | 02079k305 |  | 4753 | 53870 | SH |  | SOLE |  | 52670 | 0 | 1200 |
| ALPHABET INC. CLASS C | COM | 02079k107 |  | 11588 | 130596 | SH |  | SOLE |  | 128596 | 0 | 2000 |
| ALTRIA GROUP INC | COM | 02209s103 |  | 332 | 7265 | SH |  | SOLE |  | 7265 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 |  | 7196 | 85665 | SH |  | SOLE |  | 83605 | 0 | 2060 |
| AMERICAN ELEC PWR CO INC | COM | 025537101 |  | 1492 | 15710 | SH |  | SOLE |  | 14510 | 0 | 1200 |
| AMERICAN EXPRESS CO | COM | 025816109 |  | 2652 | 17951 | SH |  | SOLE |  | 17951 | 0 | 0 |
| AMERICAN INTL GROUP INC | COM | 026874784 |  | 590 | 9323 | SH |  | SOLE |  | 9323 | 0 | 0 |
| AMERIPRISE FINL | COM | 03076c106 |  | 3336 | 10713 | SH |  | SOLE |  | 10713 | 0 | 0 |
| AMERISOURCEBERGEN CORP | COM | 03073e105 |  | 1008 | 6080 | SH |  | SOLE |  | 5680 | 0 | 400 |
| AMGEN INC | COM | 031162100 |  | 313 | 1193 | SH |  | SOLE |  | 1193 | 0 | 0 |
| APELLIS PHARMACEUTICALSINC COM | COM | 03753u106 |  | 1102 | 21309 | SH |  | SOLE |  | 21309 | 0 | 0 |
| APOLLO COMMERCIAL REALESTATE F | COM | 03762u105 |  | 67 | 6200 | SH |  | SOLE |  | 6200 | 0 | 0 |
| APOLLO COMMERCIAL REALESTATE F | COM | 03762u105 |  | 323 | 30000 | SH |  | OTR |  | 0 | 0 | 30000 |
| APPHARVEST INC | COM | 03783t103 |  | 6 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| APPLE INC | COM | 037833100 |  | 24318 | 187159 | SH |  | SOLE |  | 185674 | 0 | 1485 |
| APPLIED MATLS INC | COM | 038222105 |  | 819 | 8410 | SH |  | SOLE |  | 8410 | 0 | 0 |
| ATLANTICA SUSTAINABLE F | COM | g0751n103 |  | 1326 | 51210 | SH |  | SOLE |  | 49210 | 0 | 2000 |
| ATMOS ENERGY CORP | COM | 049560105 |  | 448 | 4000 | SH |  | SOLE |  | 4000 | 0 | 0 |
| BK OF AMERICA CORP | COM | 060505104 |  | 5079 | 153351 | SH |  | SOLE |  | 150351 | 0 | 3000 |
| BECTON DICKINSON  CO | COM | 075887109 |  | 1177 | 4629 | SH |  | SOLE |  | 4479 | 0 | 150 |
| BERKSHIRE HATHAWAY INC DEL | COM | 084670702 |  | 1547 | 5008 | SH |  | SOLE |  | 5008 | 0 | 0 |
| BLACKROCK TCP CAPITALCORP COM | COM | 09259e108 |  | 272 | 21000 | SH |  | OTR |  | 0 | 0 | 21000 |
| SQUARE INC | COM | 852234103 |  | 413 | 6577 | SH |  | SOLE |  | 6577 | 0 | 0 |
| BOOKING HOLDINGS INC | COM | 09857l108 |  | 1503 | 746 | SH |  | SOLE |  | 726 | 0 | 20 |
| BRISTOL-MYERS SQUIBB CO | COM | 110122108 |  | 6807 | 94601 | SH |  | SOLE |  | 92401 | 0 | 2200 |
| BRISTOL-MYERS SQUIBB CO | COM | 110122108 |  | 94 | 1300 | SH |  | OTR |  | 0 | 0 | 1300 |
| BRIXMOR PROPERTY GROUP I REIT | COM | 11120u105 |  | 1008 | 44480 | SH |  | SOLE |  | 40980 | 0 | 3500 |
| BROADCOM INC | COM | 11135f101 |  | 5114 | 9146 | SH |  | SOLE |  | 9146 | 0 | 0 |
| BROWN FORMAN CORP | COM | 115637100 |  | 552 | 8394 | SH |  | SOLE |  | 8394 | 0 | 0 |
| BROWN FORMAN CORP | COM | 115637209 |  | 7062 | 107523 | SH |  | SOLE |  | 107523 | 0 | 0 |
| CARDINAL HEALTH INC | COM | 14149y108 |  | 1818 | 23655 | SH |  | SOLE |  | 21655 | 0 | 2000 |
| CARRIER GLOBAL CORP | COM | 14448c104 |  | 308 | 7477 | SH |  | SOLE |  | 7477 | 0 | 0 |
| CATERPILLAR INC | COM | 149123101 |  | 575 | 2400 | SH |  | SOLE |  | 2400 | 0 | 0 |
| CHESAPEAKE ENERGY CORP | COM | 165167735 |  | 769 | 8145 | SH |  | SOLE |  | 8145 | 0 | 0 |
| CHEVRON CORP NEW | COM | 166764100 |  | 3116 | 17362 | SH |  | SOLE |  | 16832 | 0 | 530 |
| CHEVRON CORP NEW | COM | 166764100 |  | 108 | 600 | SH |  | OTR |  | 0 | 0 | 600 |
| CHUBB LTD F | COM | h1467j104 |  | 974 | 4415 | SH |  | SOLE |  | 4415 | 0 | 0 |
| CIENA CORP | COM | 171779309 |  | 275 | 5390 | SH |  | SOLE |  | 5390 | 0 | 0 |
| CIGNA CORP NEW | COM | 125523100 |  | 717 | 2165 | SH |  | SOLE |  | 2044 | 0 | 121 |
| CISCO SYSTEMS INC | COM | 17275r102 |  | 2099 | 44063 | SH |  | SOLE |  | 43813 | 0 | 250 |
| CITIGROUP INC | COM | 172967424 |  | 1146 | 25341 | SH |  | SOLE |  | 23841 | 0 | 1500 |
| COMCAST CORP NEW CLASS A | COM | 20030n101 |  | 3004 | 85904 | SH |  | SOLE |  | 85904 | 0 | 0 |
| CONAGRA BRANDS INC | COM | 205887102 |  | 1488 | 38462 | SH |  | SOLE |  | 37462 | 0 | 1000 |
| CONOCOPHILLIPS | COM | 20825c104 |  | 1256 | 10647 | SH |  | SOLE |  | 10647 | 0 | 0 |
| COSTCO WHOLESALE CO | COM | 22160k105 |  | 1852 | 4057 | SH |  | SOLE |  | 4057 | 0 | 0 |
| CVS HEALTH CORP | COM | 126650100 |  | 8008 | 85936 | SH |  | SOLE |  | 83896 | 0 | 2040 |
| DANAHER CORPORATION | COM | 235851102 |  | 1991 | 7500 | SH |  | SOLE |  | 7500 | 0 | 0 |
| DIAGEO PLC F SPONSORED ADR 1 A | COM | 25243q205 |  | 784 | 4400 | SH |  | SOLE |  | 4400 | 0 | 0 |
| DUKE ENERGY CORP | COM | 26441c204 |  | 230 | 2229 | SH |  | SOLE |  | 2229 | 0 | 0 |
| EATON CORP PLC F | COM | g29183103 |  | 364 | 2318 | SH |  | SOLE |  | 2318 | 0 | 0 |
| EATON CORP PLC F | COM | g29183103 |  | 126 | 800 | SH |  | OTR |  | 0 | 0 | 800 |
| EBAY INC. | COM | 278642103 |  | 282 | 6800 | SH |  | SOLE |  | 6800 | 0 | 0 |
| ANTHEM INC | COM | 036752103 |  | 1290 | 2515 | SH |  | SOLE |  | 2515 | 0 | 0 |
| EMERSON ELEC CO | COM | 291011104 |  | 1652 | 17197 | SH |  | SOLE |  | 17197 | 0 | 0 |
| ENBRIDGE INC F | COM | 29250n105 |  | 306 | 7830 | SH |  | SOLE |  | 5846 | 0 | 1984 |
| ENERGY TRANSFER L P LP | COM | 29273v100 |  | 166 | 14000 | SH |  | SOLE |  | 14000 | 0 | 0 |
| ENERGY TRANSFER L P LP | COM | 29273v100 |  | 214 | 18000 | SH |  | OTR |  | 0 | 0 | 18000 |
| ENTERGY CORP | COM | 29364g103 |  | 264 | 2350 | SH |  | SOLE |  | 2350 | 0 | 0 |
| EXPEDIA GROUP INC. | COM | 30212p303 |  | 661 | 7550 | SH |  | SOLE |  | 7550 | 0 | 0 |
| EXXON MOBIL CORP | COM | 30231g102 |  | 1240 | 11240 | SH |  | SOLE |  | 11240 | 0 | 0 |
| FEDEX CORP | COM | 31428x106 |  | 1078 | 6224 | SH |  | SOLE |  | 6224 | 0 | 0 |
| FIRST SOLAR INC | COM | 336433107 |  | 1323 | 8830 | SH |  | SOLE |  | 8830 | 0 | 0 |
| FISERV INC | COM | 337738108 |  | 2167 | 21443 | SH |  | SOLE |  | 21443 | 0 | 0 |
| FLEX LTD F | COM | y2573f102 |  | 456 | 21250 | SH |  | SOLE |  | 21250 | 0 | 0 |
| FORTIVE CORP DISC | COM | 34959j108 |  | 227 | 3534 | SH |  | SOLE |  | 3534 | 0 | 0 |
| FREEPORT-MCMORAN INC | COM | 35671d857 |  | 2052 | 54010 | SH |  | SOLE |  | 53060 | 0 | 950 |
| GASLOG PARTNERS LP UNITLTD PTN | COM | y2687w108 |  | 24 | 3582 | SH |  | SOLE |  | 3582 | 0 | 0 |
| GASLOG PARTNERS LP UNITLTD PTN | COM | y2687w108 |  | 266 | 40000 | SH |  | OTR |  | 0 | 0 | 40000 |
| GENERAL MLS INC | COM | 370334104 |  | 2045 | 24385 | SH |  | SOLE |  | 24385 | 0 | 0 |
| GOLDEN OCEAN GROUP LTDCOM USD0 | COM | g39637205 |  | 348 | 40000 | SH |  | OTR |  | 0 | 0 | 40000 |
| GOLDMAN SACHS GROUP | COM | 38141g104 |  | 1626 | 4735 | SH |  | SOLE |  | 4735 | 0 | 0 |
| HARTFORD FINL SVCS GROUP INC | COM | 416515104 |  | 493 | 6500 | SH |  | SOLE |  | 6500 | 0 | 0 |
| HEALTHCARE REALTY TRUST CLASS | COM | 42226k105 |  | 247 | 12820 | SH |  | SOLE |  | 11820 | 0 | 1000 |
| HILLENBRAND INC | COM | 431571108 |  | 329 | 7713 | SH |  | SOLE |  | 7713 | 0 | 0 |
| HOME DEPOT INC | COM | 437076102 |  | 2711 | 8584 | SH |  | SOLE |  | 8584 | 0 | 0 |
| HONEYWELL INTL INC | COM | 438516106 |  | 1799 | 8397 | SH |  | SOLE |  | 8377 | 0 | 20 |
| HORIZON THERAPEUTICS P F | COM | g46188101 |  | 11545 | 101451 | SH |  | SOLE |  | 95751 | 0 | 5700 |
| HP INC. | COM | 40434l105 |  | 686 | 25530 | SH |  | SOLE |  | 25530 | 0 | 0 |
| HUMANA INC | COM | 444859102 |  | 1560 | 3045 | SH |  | SOLE |  | 3045 | 0 | 0 |
| IAC INC | COM | 44891n208 |  | 303 | 6825 | SH |  | SOLE |  | 6825 | 0 | 0 |
| ILLINOIS TOOL WKS INC | COM | 452308109 |  | 569 | 2585 | SH |  | SOLE |  | 2585 | 0 | 0 |
| ILLUMINA INC | COM | 452327109 |  | 345 | 1705 | SH |  | SOLE |  | 1705 | 0 | 0 |
| INTEL CORP | COM | 458140100 |  | 477 | 18041 | SH |  | SOLE |  | 18041 | 0 | 0 |
| INTEL CORP | COM | 458140100 |  | 40 | 1500 | SH |  | OTR |  | 0 | 0 | 1500 |
| SMUCKER J M CO | COM | 832696405 |  | 1531 | 9660 | SH |  | SOLE |  | 9620 | 0 | 40 |
| JABIL INC | COM | 466313103 |  | 542 | 7950 | SH |  | SOLE |  | 7950 | 0 | 0 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 10919 | 61810 | SH |  | SOLE |  | 61460 | 0 | 350 |
| JOHNSON  JOHNSON | COM | 478160104 |  | 71 | 400 | SH |  | OTR |  | 0 | 0 | 400 |
| JPMORGAN CHASE  CO | COM | 46625h100 |  | 12172 | 90766 | SH |  | SOLE |  | 88966 | 0 | 1800 |
| KIMBERLY-CLARK CORP | COM | 494368103 |  | 1391 | 10245 | SH |  | SOLE |  | 9745 | 0 | 500 |
| KIMBERLY-CLARK CORP | COM | 494368103 |  | 81 | 600 | SH |  | OTR |  | 0 | 0 | 600 |
| KINDER MORGAN INC | COM | 49456b101 |  | 1470 | 81325 | SH |  | SOLE |  | 81325 | 0 | 0 |
| KKR  CO INC | COM | 48251w104 |  | 325 | 7000 | SH |  | SOLE |  | 5000 | 0 | 2000 |
| KRAFT HEINZ CO | COM | 500754106 |  | 672 | 16518 | SH |  | SOLE |  | 16518 | 0 | 0 |
| KROGER CO | COM | 501044101 |  | 450 | 10100 | SH |  | SOLE |  | 10100 | 0 | 0 |
| L H C GROUP | COM | 50187a107 |  | 296 | 1830 | SH |  | SOLE |  | 1830 | 0 | 0 |
| LAMAR ADVERTISING CO NEW | COM | 512816109 |  | 434 | 4600 | SH |  | SOLE |  | 4600 | 0 | 0 |
| LIBERTY ALL STAR EQUITY FD | COM | 530158104 |  | 553 | 97000 | SH |  | SOLE |  | 97000 | 0 | 0 |
| LIBERTY ALL STAR EQUITY FD | COM | 530158104 |  | 715 | 125500 | SH |  | OTR |  | 0 | 0 | 125500 |
| LILLY ELI  CO | COM | 532457108 |  | 1346 | 3680 | SH |  | SOLE |  | 3680 | 0 | 0 |
| LILLY ELI  CO | COM | 532457108 |  | 165 | 450 | SH |  | OTR |  | 0 | 0 | 450 |
| LINCOLN NATL CORP IND | COM | 534187109 |  | 273 | 8882 | SH |  | SOLE |  | 8882 | 0 | 0 |
| LIVENT CORP | COM | 53814l108 |  | 1153 | 58025 | SH |  | SOLE |  | 55525 | 0 | 2500 |
| LOCKHEED MARTIN CORP | COM | 539830109 |  | 182 | 375 | SH |  | SOLE |  | 375 | 0 | 0 |
| LOCKHEED MARTIN CORP | COM | 539830109 |  | 92 | 190 | SH |  | OTR |  | 0 | 0 | 190 |
| LOWES COS INC | COM | 548661107 |  | 4114 | 20646 | SH |  | SOLE |  | 20616 | 0 | 30 |
| LUMENTUM HOLDINGS INC | COM | 55024u109 |  | 247 | 4735 | SH |  | SOLE |  | 4735 | 0 | 0 |
| LVMH MOET HENNESSY LOUISVUITTO | COM | 502441306 |  | 230 | 1585 | SH |  | SOLE |  | 1585 | 0 | 0 |
| MAIN STR CAP CORP COM | COM | 56035l104 |  | 159 | 4300 | SH |  | SOLE |  | 4300 | 0 | 0 |
| MAIN STR CAP CORP COM | COM | 56035l104 |  | 244 | 6600 | SH |  | OTR |  | 0 | 0 | 6600 |
| MASTERCARD INC CLASS A | COM | 57636q104 |  | 2629 | 7560 | SH |  | SOLE |  | 7560 | 0 | 0 |
| MATCH GROUP INC NEW | COM | 57667l107 |  | 499 | 12030 | SH |  | SOLE |  | 12030 | 0 | 0 |
| MCDONALDS CORP | COM | 580135101 |  | 609 | 2313 | SH |  | SOLE |  | 2313 | 0 | 0 |
| MCKESSON CORP | COM | 58155q103 |  | 5291 | 14105 | SH |  | SOLE |  | 14105 | 0 | 0 |
| MEDTRONIC PLC F | COM | g5960l103 |  | 326 | 4190 | SH |  | SOLE |  | 4190 | 0 | 0 |
| MERCK  CO. INC. | COM | 58933y105 |  | 6772 | 61036 | SH |  | SOLE |  | 59536 | 0 | 1500 |
| MERCK  CO. INC. | COM | 58933y105 |  | 100 | 901 | SH |  | OTR |  | 0 | 0 | 901 |
| META PLATFORMS INC CLASS A | COM | 30303m102 |  | 4181 | 34742 | SH |  | SOLE |  | 34132 | 0 | 610 |
| METLIFE INC | COM | 59156r108 |  | 1464 | 20235 | SH |  | SOLE |  | 19435 | 0 | 800 |
| MICRON TECHNOLOGY INC | COM | 595112103 |  | 2705 | 54118 | SH |  | SOLE |  | 54118 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 |  | 14154 | 59018 | SH |  | SOLE |  | 57988 | 0 | 1030 |
| MICROSOFT CORP | COM | 594918104 |  | 211 | 880 | SH |  | OTR |  | 0 | 0 | 880 |
| MONDELEZ INTL INC | COM | 609207105 |  | 1721 | 25816 | SH |  | SOLE |  | 25641 | 0 | 175 |
| MONDELEZ INTL INC | COM | 609207105 |  | 60 | 900 | SH |  | OTR |  | 0 | 0 | 900 |
| MORGAN STANLEY | COM | 617446448 |  | 3539 | 41625 | SH |  | SOLE |  | 38965 | 0 | 2660 |
| NATIONAL RETAIL PROPERTIES I | COM | 637417106 |  | 581 | 12700 | SH |  | SOLE |  | 11700 | 0 | 1000 |
| NEXTERA ENERGY INC | COM | 65339f101 |  | 1072 | 12817 | SH |  | SOLE |  | 12817 | 0 | 0 |
| NEXTERA ENERGY INC | COM | 65339f101 |  | 92 | 1100 | SH |  | OTR |  | 0 | 0 | 1100 |
| NEXTERA ENERGY PARTNE LP | COM | 65341b106 |  | 960 | 13700 | SH |  | SOLE |  | 12200 | 0 | 1500 |
| NIKE INC | COM | 654106103 |  | 2794 | 23875 | SH |  | SOLE |  | 23875 | 0 | 0 |
| NORFOLK SOUTHN CORP | COM | 655844108 |  | 773 | 3135 | SH |  | SOLE |  | 3135 | 0 | 0 |
| NRG ENERGY INC | COM | 629377508 |  | 1246 | 39150 | SH |  | SOLE |  | 37150 | 0 | 2000 |
| NVIDIA CORP | COM | 67066g104 |  | 260 | 1776 | SH |  | SOLE |  | 1776 | 0 | 0 |
| ON SEMICONDUCTOR CORP | COM | 682189105 |  | 1198 | 19215 | SH |  | SOLE |  | 19215 | 0 | 0 |
| ORACLE CORP | COM | 68389x105 |  | 2528 | 30922 | SH |  | SOLE |  | 30922 | 0 | 0 |
| PALO ALTO NETWORKS INC | COM | 697435105 |  | 682 | 4890 | SH |  | SOLE |  | 4890 | 0 | 0 |
| PAYPAL HOLDINGS INCORPOR | COM | 70450y103 |  | 563 | 7905 | SH |  | SOLE |  | 7905 | 0 | 0 |
| PEPSICO INC | COM | 713448108 |  | 2430 | 13449 | SH |  | SOLE |  | 12949 | 0 | 500 |
| PFIZER INC | COM | 717081103 |  | 5426 | 105892 | SH |  | SOLE |  | 104892 | 0 | 1000 |
| PFIZER INC | COM | 717081103 |  | 179 | 3500 | SH |  | OTR |  | 0 | 0 | 3500 |
| PHILIP MORRIS INTL INC | COM | 718172109 |  | 1720 | 16996 | SH |  | SOLE |  | 16996 | 0 | 0 |
| PHILIP MORRIS INTL INC | COM | 718172109 |  | 49 | 481 | SH |  | OTR |  | 0 | 0 | 481 |
| PHILLIPS 66 | COM | 718546104 |  | 570 | 5475 | SH |  | SOLE |  | 5475 | 0 | 0 |
| PNC FINL SVCS GROUP INC | COM | 693475105 |  | 111 | 705 | SH |  | SOLE |  | 705 | 0 | 0 |
| PNC FINL SVCS GROUP INC | COM | 693475105 |  | 95 | 600 | SH |  | OTR |  | 0 | 0 | 600 |
| PROCTER AND GAMBLE CO | COM | 742718109 |  | 7268 | 47956 | SH |  | SOLE |  | 47656 | 0 | 300 |
| PROCTER AND GAMBLE CO | COM | 742718109 |  | 106 | 700 | SH |  | OTR |  | 0 | 0 | 700 |
| PRUDENTIAL FINL INC | COM | 744320102 |  | 1971 | 19815 | SH |  | SOLE |  | 19315 | 0 | 500 |
| PVH CORPORATION | COM | 693656100 |  | 366 | 5180 | SH |  | SOLE |  | 5180 | 0 | 0 |
| QUALCOMM INC | COM | 747525103 |  | 6799 | 61840 | SH |  | SOLE |  | 60490 | 0 | 1350 |
| RAYTHEON TECHNOLOGIES CO | COM | 75513e101 |  | 4622 | 45795 | SH |  | SOLE |  | 43735 | 0 | 2060 |
| RIO TINTO PLC | COM | 767204100 |  | 608 | 8540 | SH |  | SOLE |  | 7740 | 0 | 800 |
| S GLOBAL INC | COM | 78409v104 |  | 487 | 1455 | SH |  | SOLE |  | 1455 | 0 | 0 |
| SALESFORCE INC | COM | 79466l302 |  | 461 | 3475 | SH |  | SOLE |  | 3475 | 0 | 0 |
| HENRY SCHEIN INC | COM | 806407102 |  | 495 | 6200 | SH |  | SOLE |  | 6200 | 0 | 0 |
| SCHLUMBERGER LTD | COM | 806857108 |  | 225 | 4204 | SH |  | SOLE |  | 4204 | 0 | 0 |
| SEAGATE TECHNOLOGY HLD F | COM | g7997r103 |  | 237 | 4500 | SH |  | SOLE |  | 4500 | 0 | 0 |
| SHELL PLC F SPONSORED ADR 1 AD | COM | 780259305 |  | 205 | 3597 | SH |  | SOLE |  | 3097 | 0 | 500 |
| SKYWORKS SOLUTIONS | COM | 83088m102 |  | 2937 | 32225 | SH |  | SOLE |  | 31725 | 0 | 500 |
| SOUTHERN CO | COM | 842587107 |  | 207 | 2900 | SH |  | SOLE |  | 2900 | 0 | 0 |
| STAG INDUSTRIAL INC REIT | COM | 85254j102 |  | 271 | 8375 | SH |  | SOLE |  | 8375 | 0 | 0 |
| STORE CAP CORP | COM | 862121100 |  | 331 | 10335 | SH |  | SOLE |  | 9335 | 0 | 1000 |
| STRYKER CORPORATION | COM | 863667101 |  | 1540 | 6300 | SH |  | SOLE |  | 6300 | 0 | 0 |
| SYSCO CORP | COM | 871829107 |  | 409 | 5350 | SH |  | SOLE |  | 5350 | 0 | 0 |
| T-MOBILE US INC | COM | 872590104 |  | 623 | 4450 | SH |  | SOLE |  | 4450 | 0 | 0 |
| TAIWAN SEMICONDUCTOR MFG LTD | COM | 874039100 |  | 634 | 8517 | SH |  | SOLE |  | 8517 | 0 | 0 |
| TAKE-TWO INTERACTIVE SOFTWAR | COM | 874054109 |  | 1297 | 12460 | SH |  | SOLE |  | 12460 | 0 | 0 |
| TECK RESOURCES LTD | COM | 878742204 |  | 1311 | 34652 | SH |  | SOLE |  | 34652 | 0 | 0 |
| TESLA INC | COM | 88160r101 |  | 671 | 5445 | SH |  | SOLE |  | 5445 | 0 | 0 |
| TEXAS INSTRS INC | COM | 882508104 |  | 1578 | 9550 | SH |  | SOLE |  | 9550 | 0 | 0 |
| COCA COLA CO | COM | 191216100 |  | 2551 | 40108 | SH |  | SOLE |  | 40108 | 0 | 0 |
| THE MOSAIC CO | COM | 61945c103 |  | 2590 | 59030 | SH |  | SOLE |  | 57030 | 0 | 2000 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 |  | 3639 | 6608 | SH |  | SOLE |  | 6608 | 0 | 0 |
| TJX COS INC NEW | COM | 872540109 |  | 3661 | 45989 | SH |  | SOLE |  | 45899 | 0 | 90 |
| TORO CO | COM | 891092108 |  | 2884 | 25480 | SH |  | SOLE |  | 25480 | 0 | 0 |
| TRACTOR SUPPLY CO | COM | 892356106 |  | 326 | 1450 | SH |  | SOLE |  | 1450 | 0 | 0 |
| TRAVELERS COMPANIES | COM | 89417e109 |  | 874 | 4660 | SH |  | SOLE |  | 4610 | 0 | 50 |
| US BANCORP DEL | COM | 902973304 |  | 318 | 7292 | SH |  | SOLE |  | 7292 | 0 | 0 |
| ULTA BEAUTY INC. | COM | 90384s303 |  | 838 | 1787 | SH |  | SOLE |  | 1787 | 0 | 0 |
| UNILEVER PLC | COM | 904767704 |  | 1367 | 27155 | SH |  | SOLE |  | 25355 | 0 | 1800 |
| UNION PAC CORP | COM | 907818108 |  | 1038 | 5015 | SH |  | SOLE |  | 5015 | 0 | 0 |
| UNITED PARCEL SERVICE INC | COM | 911312106 |  | 1103 | 6346 | SH |  | SOLE |  | 6316 | 0 | 30 |
| UNITEDHEALTH GRP INC | COM | 91324p102 |  | 4902 | 9246 | SH |  | SOLE |  | 9221 | 0 | 25 |
| VALE SA F SPONSORED ADR 1 ADR | COM | 91912e105 |  | 482 | 28400 | SH |  | SOLE |  | 26400 | 0 | 2000 |
| VERISIGN INC | COM | 92343e102 |  | 715 | 3480 | SH |  | SOLE |  | 3480 | 0 | 0 |
| VERIZON COMMUNICATN | COM | 92343v104 |  | 2230 | 56589 | SH |  | SOLE |  | 53561 | 0 | 3028 |
| VERIZON COMMUNICATN | COM | 92343v104 |  | 48 | 1215 | SH |  | OTR |  | 0 | 0 | 1215 |
| V F CORP | COM | 918204108 |  | 478 | 17300 | SH |  | SOLE |  | 17200 | 0 | 100 |
| VIATRIS INC | COM | 92556v106 |  | 423 | 38043 | SH |  | SOLE |  | 34919 | 0 | 3124 |
| VIATRIS INC | COM | 92556v106 |  | 5 | 434 | SH |  | OTR |  | 0 | 0 | 434 |
| VICI PPTYS INC | COM | 925652109 |  | 403 | 12425 | SH |  | SOLE |  | 10425 | 0 | 2000 |
| VISA INC CLASS A | COM | 92826c839 |  | 3745 | 18025 | SH |  | SOLE |  | 18025 | 0 | 0 |
| WALGREENS BOOTS ALLIANCE INC | COM | 931427108 |  | 1384 | 37044 | SH |  | SOLE |  | 34844 | 0 | 2200 |
| DISNEY WALT CO | COM | 254687106 |  | 1764 | 20308 | SH |  | SOLE |  | 20308 | 0 | 0 |
| WASTE MANAGEMENT INC | COM | 94106l109 |  | 63 | 400 | SH |  | SOLE |  | 400 | 0 | 0 |
| WASTE MANAGEMENT INC | COM | 94106l109 |  | 141 | 900 | SH |  | OTR |  | 0 | 0 | 900 |
| WATERS CORP | COM | 941848103 |  | 425 | 1240 | SH |  | SOLE |  | 1240 | 0 | 0 |
| WESBANCO INC | COM | 950810101 |  | 3294 | 89087 | SH |  | SOLE |  | 89087 | 0 | 0 |
| WESTERN DIGITAL CORP. | COM | 958102105 |  | 419 | 13274 | SH |  | SOLE |  | 12774 | 0 | 500 |
| WEYERHAEUSER CO MTN BE | COM | 962166104 |  | 252 | 8125 | SH |  | SOLE |  | 6125 | 0 | 2000 |
| WHIRLPOOL CORP | COM | 963320106 |  | 313 | 2215 | SH |  | SOLE |  | 2215 | 0 | 0 |
| WILLIAMS COS INC | COM | 969457100 |  | 4234 | 128695 | SH |  | SOLE |  | 123495 | 0 | 5200 |
| WILLIAMS COS INC | COM | 969457100 |  | 53 | 1600 | SH |  | OTR |  | 0 | 0 | 1600 |
| WORKDAY INC COM USD0.001CL A | COM | 98138h101 |  | 2006 | 11990 | SH |  | SOLE |  | 11990 | 0 | 0 |
| YUM BRANDS INC | COM | 988498101 |  | 833 | 6500 | SH |  | SOLE |  | 6500 | 0 | 0 |
| YUM CHINA HOLDINGS INC | COM | 98850p109 |  | 279 | 5100 | SH |  | SOLE |  | 5100 | 0 | 0 |
| ZIMMER BIOMET HOLDINGSINC COM | COM | 98956p102 |  | 230 | 1800 | SH |  | SOLE |  | 1800 | 0 | 0 |
| ETFIS SER TR I INFRACACT MLP | ETF | 26923g772 |  | 138 | 4350 | SH |  | SOLE |  | 4350 | 0 | 0 |
| ETFIS SER TR I INFRACACT MLP | ETF | 26923g772 |  | 300 | 9500 | SH |  | OTR |  | 0 | 0 | 9500 |
| ISHARES CORE DIVIDEND GROWTH E | ETF | 46434v621 |  | 217 | 4345 | SH |  | SOLE |  | 4345 | 0 | 0 |
| ISHARES TR | ETF | 464287200 |  | 163 | 425 | SH |  | SOLE |  | 425 | 0 | 0 |
| ISHARES TR | ETF | 464287200 |  | 107 | 278 | SH |  | OTR |  | 0 | 0 | 278 |
| ISHARES MSCI USA MIN VOL FCTR | ETF | 46429b697 |  | 334 | 4629 | SH |  | SOLE |  | 4629 | 0 | 0 |
| ISHARES MSCI USA MOMNTUM FCT E | ETF | 46432f396 |  | 360 | 2470 | SH |  | SOLE |  | 2470 | 0 | 0 |
| ISHARES MSCI USA QLTY FACT ETF | ETF | 46432f339 |  | 548 | 4810 | SH |  | SOLE |  | 4810 | 0 | 0 |
| ISHARES TR | ETF | 464287481 |  | 242 | 2900 | SH |  | SOLE |  | 2900 | 0 | 0 |
| ISHARES TR | ETF | 464287648 |  | 268 | 1250 | SH |  | SOLE |  | 1250 | 0 | 0 |
| SCHWAB STRATEGIC TR | ETF | 808524706 |  | 1952 | 82452 | SH |  | SOLE |  | 82452 | 0 | 0 |
| SCHWAB STRATEGIC TR | ETF | 808524201 |  | 252 | 5591 | SH |  | SOLE |  | 5591 | 0 | 0 |
| SCHWAB STRATEGIC TR | ETF | 808524300 |  | 458 | 8240 | SH |  | SOLE |  | 8240 | 0 | 0 |
| SELECT SECTOR SPDR TRUSTTECHNO | ETF | 81369y803 |  | 397 | 3188 | SH |  | SOLE |  | 3188 | 0 | 0 |
| VANGUARD INTL EQUITY INDEX F | ETF | 922042858 |  | 1159 | 29731 | SH |  | SOLE |  | 25731 | 0 | 4000 |

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