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Livermore
Livermore
ZHEN

Shepherd Kaplan Krochuk, LLC

SEC CIK
0001218583
Latest filing
Aug 14, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 12, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
186
+3 vs. Q2 2021
Portfolio value
$269.1M
−$8.12M (−2.9%) vs. Q2 2021
Filed
Nov 12, 2021
SEC
Holdings of Shepherd Kaplan Krochuk, LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
SPDR Series Trust78464A664ST LON TREAS ETF516,301$21.3M7.9%+127,346+32.7%Added–
EQTEQT CorpStock882,707$18.1M6.7%00.0%UnchangedHistory
VanEck ETF Trust92189F437FALLEN ANGEL HG380,119$12.6M4.7%−15,381−3.9%Reduced–
Vanguard Mortgage-Backed Securities ETF92206C771ETF233,251$12.4M4.6%−8,606−3.6%Reduced–
CRCCalifornia Resources CorpCOM STOCK268,800$11.0M4.1%+10,000+3.9%AddedHistory
Invesco Exch Traded FD Tr II46138E354S&P500 LOW VOL168,087$10.2M3.8%−73,432−30.4%Reduced–
Schwab U.S. Large-Cap Value ETF808524409ETF137,572$9.28M3.4%−10,607−7.2%Reduced–
J P Morgan Exchange Traded F46641Q761US QUALTY FCTR224,886$9.21M3.4%−31,157−12.2%Reduced–
AAPLApple Inc.Stock59,872$8.47M3.1%+898+1.5%AddedHistory
iShares MSCI USA Momentum Factor ETF46432F396ETF36,645$6.43M2.4%−2,595−6.6%Reduced–
Schwab U.S. Small-Cap ETF808524607ETF61,097$6.12M2.3%−3,151−4.9%Reduced–
BRK.BBerkshire Hathaway IncStock22,338$6.10M2.3%−200−0.9%ReducedHistory
First Tr Exchange-Traded FD336917109SHS176,833$5.79M2.2%−5,671−3.1%Reduced–
Goldman Sachs ETF Tr381430479ACCESS INVT GR88,337$4.80M1.8%−4,903−5.3%Reduced–
PXDPioneer Natural Resources CoCOM27,765$4.62M1.7%−4,285−13.4%ReducedHistory
Goldman Sachs ETF Tr381430107ACTIVEBETA INT123,558$4.22M1.6%−37,378−23.2%Reduced–
DBX ETF Tr233051630XTRACK MSCI EAFE182,313$4.14M1.5%−4,660−2.5%Reduced–
Invesco Exch Traded FD Tr II46138E511PFD ETF270,854$4.07M1.5%−9,590−3.4%Reduced–
Vanguard Real Estate ETF922908553ETF37,104$3.78M1.4%−1,976−5.1%Reduced–
DVNDevon Energy CorpStock104,746$3.72M1.4%00.0%UnchangedHistory
Goldman Sachs ETF Tr381430206ACTIVEBETA EME91,835$3.41M1.3%−13,406−12.7%Reduced–
ETEnergy Transfer LPCOM UT LTD PTN320,180$3.07M1.1%−8,919−2.7%ReducedHistory
DVADavita Inc.COM25,400$2.95M1.1%−1,700−6.3%ReducedHistory
iShares Trust iShares 0-1 Year Treasury Bond ETF464288679ETF25,130$2.78M1.0%−1,704−6.4%Reduced–
CPRTCopart IncCOM19,037$2.64M1.0%−508−2.6%ReducedHistory
FANGDiamondback Energy, Inc.Stock27,135$2.57M1.0%00.0%UnchangedHistory
XECCimarex Energy CoCOM23,604$2.06M0.8%00.0%UnchangedHistory
SPGIS&P Global Inc.Stock4,603$1.96M0.7%−10.0%ReducedHistory
CPBCAMPBELL'S CoCOM44,450$1.86M0.7%00.0%UnchangedHistory
Vanguard Morningstar Mid-Cap ETF922908629ETF7,199$1.70M0.6%+19+0.3%Added–
GOOGAlphabet Inc.Stock630$1.68M0.6%00.0%UnchangedHistory
MSFTMicrosoft CorpStock5,854$1.65M0.6%−302−4.9%ReducedHistory
QCOMQualcomm IncStock11,434$1.48M0.5%−799−6.5%ReducedHistory
VanEck ETF Trust92189F106GOLD MINERS ETF50,000$1.47M0.5%00.0%Unchanged–
UPSUnited Parcel Service IncStock7,996$1.46M0.5%−60−0.7%ReducedHistory
GDGeneral Dynamics CorpStock7,316$1.43M0.5%−518−6.6%ReducedHistory
PRUPrudential Financial IncStock13,443$1.41M0.5%−659−4.7%ReducedHistory
PPLPPL CorpCOM50,536$1.41M0.5%−3,033−5.7%ReducedHistory
iShares S&P 500 Growth ETF464287309ETF18,728$1.38M0.5%00.0%Unchanged–
TMOThermo Fisher Scientific Inc.Stock2,413$1.38M0.5%00.0%UnchangedHistory
Vanguard S&P 500 ETF922908363ETF3,385$1.33M0.5%+59+1.8%Added–
COPConocoPhillipsStock18,586$1.26M0.5%−4,075−18.0%ReducedHistory
Vanguard Scottsdale FDS92206C409SHRT TRM CORP BD14,000$1.15M0.4%00.0%Unchanged–
Mag Silver Corp55903Q104COM67,500$1.09M0.4%−1,200−1.7%Reduced–
NFLXNetflix IncStock1,743$1.06M0.4%+8+0.5%AddedHistory
UCTTUltra Clean Holdings, Inc.COM22,800$971.0K0.4%+2,000+9.6%AddedHistory
PYPLPayPal Holdings, Inc.Stock3,618$941.0K0.3%00.0%UnchangedHistory
SIISprott Inc.COM NEW25,500$938.0K0.3%−1,700−6.3%ReducedHistory
Vanguard Admiral FDS Inc921932828SMLLCP 600 IDX4,649$937.0K0.3%00.0%Unchanged–
STNGScorpio Tankers Inc.SHS50,447$935.0K0.3%00.0%UnchangedHistory
METAMeta Platforms, Inc.Stock2,591$879.0K0.3%−17−0.7%ReducedHistory
ABBVAbbVie Inc.Stock7,884$850.0K0.3%−366−4.4%ReducedHistory
FROFrontline plcSHS NEW87,659$821.0K0.3%00.0%UnchangedHistory
NUVNuveen Municipal Value Fund IncCOM71,833$813.0K0.3%−32,855−31.4%ReducedHistory
VLOValero Energy CorpStock11,230$793.0K0.3%+522+4.9%AddedHistory
iShares Russell Mid-Cap Growth ETF464287481ETF7,011$786.0K0.3%00.0%Unchanged–
Syntax ETF Tr87166N106STRATIFD LRG CAP11,814$780.0K0.3%00.0%Unchanged–
Silvercrest Metals Inc828363101COM111,000$775.0K0.3%+26,000+30.6%Added–
PEPPepsiCo IncStock5,100$767.0K0.3%−100−1.9%ReducedHistory
Pretium Res Inc74139C102COM75,000$723.0K0.3%+4,000+5.6%Added–
CRKComstock Resources IncCOM69,620$721.0K0.3%00.0%UnchangedHistory
NEMNEWMONT CorpStock12,856$698.0K0.3%+400+3.2%AddedHistory
NMLNeuberger Energy Infrastructure & Income Fund Inc.COM135,640$669.0K0.2%+4,650+3.5%AddedHistory
State Street SPDR Bloomberg 1-3 Month T-Bill ETF78468R663ETF7,060$646.0K0.2%00.0%Unchanged–
Goldman Sachs ETF Tr381430529ACCES TREASURY6,450$646.0K0.2%00.0%Unchanged–
iShares Tr46434V860TRS FLT RT BD12,840$645.0K0.2%00.0%Unchanged–
CETCentral Securities CorpCOM15,190$642.0K0.2%+6,550+75.8%AddedHistory
PEOAdams Natural Resources Fund, Inc.COM40,580$637.0K0.2%+19,660+94.0%AddedHistory
RVTRoyce Small-Cap Trust, Inc.COM35,250$635.0K0.2%+1,300+3.8%AddedHistory
RMTRoyce Micro-Cap Trust, Inc.COM55,580$635.0K0.2%+13,300+31.5%AddedHistory
Vanguard Scottsdale FDS92206C102SHORT TERM TREAS10,300$633.0K0.2%−210−2.0%Reduced–
WisdomTree Tr97717X628FLOATNG RAT TREA25,230$633.0K0.2%−500−1.9%Reduced–
CCitigroup IncStock9,000$632.0K0.2%00.0%UnchangedHistory
UNHUnitedHealth Group IncStock1,618$632.0K0.2%00.0%UnchangedHistory
GDVGabelli Dividend & Income TrustCOM24,300$627.0K0.2%00.0%UnchangedHistory
GAMGeneral American Investors Co IncCOM14,450$622.0K0.2%−480−3.2%ReducedHistory
GPIGroup 1 Automotive IncCOM3,300$620.0K0.2%−200−5.7%ReducedHistory
EDDMorgan Stanley Emerging Markets Domestic Debt Fund, Inc.COM103,450$605.0K0.2%+12,000+13.1%AddedHistory
KOCoca Cola CoStock11,495$603.0K0.2%+30.0%AddedHistory
KMIKinder Morgan, Inc.Stock35,702$597.0K0.2%−200−0.6%ReducedHistory
WMTWalmart Inc.Stock4,200$585.0K0.2%−132−3.0%ReducedHistory
ABTAbbott LaboratoriesStock4,800$567.0K0.2%−200−4.0%ReducedHistory
ELVElevance Health, Inc.Stock1,500$559.0K0.2%00.0%UnchangedHistory
ASAASA Gold & Precious Metals LtdSHS29,555$558.0K0.2%+4,450+17.7%AddedHistory
Kirkland Lake Gold Ltd49741E100COM13,300$553.0K0.2%−400−2.9%Reduced–
CRWDCrowdStrike Holdings, Inc.Stock2,219$545.0K0.2%00.0%UnchangedHistory
DHTDHT Holdings, Inc.SHS NEW82,765$540.0K0.2%00.0%UnchangedHistory
WisdomTree Tr97717W307US LARGECAP DIVD4,469$533.0K0.2%+10+0.2%Added–
MDLZMondelez International, Inc.Stock9,000$524.0K0.2%00.0%UnchangedHistory
EPDEnterprise Products Partners L.P.Stock23,888$517.0K0.2%00.0%UnchangedHistory
PGProcter & Gamble CoStock3,635$508.0K0.2%−165−4.3%ReducedHistory
Invesco Exch Traded FD Tr II46138E420RUSEL 1000 EQL11,331$506.0K0.2%00.0%Unchanged–
VVisa Inc.Stock2,258$503.0K0.2%−250−10.0%ReducedHistory
AXPAmerican Express CoStock3,000$503.0K0.2%−100−3.2%ReducedHistory
STMPStamps.com IncCOM NEW1,500$495.0K0.2%−900−37.5%ReducedHistory
GLDSPDR Gold TrustETF3,010$494.0K0.2%−844−21.9%ReducedHistory
GFNew Germany Fund IncCOM24,940$493.0K0.2%+6,550+35.6%AddedHistory
FISFidelity National Information Services, Inc.Stock3,897$474.0K0.2%−200−4.9%ReducedHistory
WPMWheaton Precious Metals Corp.COM12,600$474.0K0.2%−400−3.1%ReducedHistory
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP10,366$472.0K0.2%00.0%UnchangedHistory

Options (11)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of Shepherd Kaplan Krochuk, LLC in Q3 2021
SecurityClassPutsCalls
SPYSPDR S&P 500 ETF TrustETF$1.20M–
CVECenovus Energy Inc.COM–$1.13M
New Gold Inc Cda644535106COM–$181.0K
MROMarathon Oil CorpCOM–$180.0K
AGIAlamos Gold IncStock–$153.0K
NEMNEWMONT CorpStock–$130.0K
COPConocoPhillipsStock–$102.0K
ASCArdmore Shipping CorpCOM–$55.0K
RIGTransocean Ltd.REGISTERED SHS–$42.0K
FROFrontline plcSHS NEW–$22.0K
TGBTrekor Metals LtdCOM–$6.00K

Sold out since Q2 2021 (8)

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

Positions of Shepherd Kaplan Krochuk, LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
BGRBlackRock Energy & Resources TrustCOM40,970$402.0K0.1%History
GRAW R Grace & CoCOM4,900$339.0K0.1%History
AWFAlliancebernstein Global High Income Fund IncCOM25,070$314.0K0.1%History
IGAVoya Global Advantage & Premium Opportunity FundCOM30,452$299.0K0.1%History
BOEBlackRock Enhanced Global Dividend TrustCOM22,510$283.0K0.1%History
NGVTIngevity CorpCOM2,800$228.0K0.1%History
iShares Tr464287234MSCI EMG MKT ETF3,940$217.0K0.1%–
SUSuncor Energy IncStock8,430$202.0K0.1%History