Skip to main content
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
New Gold Inc Cda644535106COM15,000$16.0K<0.1%+15,000New–
AGTCApplied Genetic Technologies CorpCOM10,000$30.0K<0.1%00.0%UnchangedHistory
RIGTransocean Ltd.REGISTERED SHS12,000$45.0K<0.1%00.0%UnchangedHistory
GALTGalectin Therapeutics IncCOM NEW12,000$47.0K<0.1%00.0%UnchangedHistory
GOROGoldgroup Mining Inc.COM30,000$47.0K<0.1%+30,000NewHistory
Tilray Inc88688TAB6NOTE 5.000%10/050,000$49.0K<0.1%00.0%Unchanged–
ASCArdmore Shipping CorpCOM12,000$50.0K<0.1%+12,000NewHistory
Ion Geophysical Corp462044AJ7NOTE 8.000%12/174,000$64.0K<0.1%00.0%Unchanged–
KGCKinross Gold CorpCOM16,500$88.0K<0.1%+500+3.1%AddedHistory
BACKIMAC Holdings, Inc.COM68,000$101.0K<0.1%+55,869+460.5%AddedHistory
RMG Acquisition Corp IIIG76088114UNIT 02/08/202611,000$109.0K<0.1%00.0%Unchanged–
Sustainable Develp Acqu I Co86934L202UNIT 02/04/202611,000$111.0K<0.1%00.0%Unchanged–
FREEWhole Earth Brands, Inc.COM CL A10,000$116.0K<0.1%−1,500−13.0%ReducedHistory
AGIAlamos Gold IncStock17,000$122.0K<0.1%+5,000+41.7%AddedHistory
IVCInvacare Holdings CorpCOM29,125$139.0K0.1%+29,125NewHistory
First Tr MLP & Energy Incom33739B104COM20,300$146.0K0.1%−4,890−19.4%Reduced–
GTYHGTY Technology Holdings Inc.COM20,000$150.0K0.1%−500−2.4%ReducedHistory
RMNIRimini Street, Inc.COM17,500$169.0K0.1%−10,043−36.5%ReducedHistory
EMFTempleton Emerging Markets FundCOM10,040$170.0K0.1%00.0%UnchangedHistory
VETVermilion Energy Inc.COM19,800$196.0K0.1%−12,100−37.9%ReducedHistory
NVSTEnvista Holdings CorpCOM4,800$201.0K0.1%−200−4.0%ReducedHistory
Vanguard Morningstar Growth ETF922908736ETF703$204.0K0.1%00.0%Unchanged–
AZTAAzenta, Inc.COM2,000$205.0K0.1%+2,000NewHistory
AEMAgnico Eagle Mines LtdStock4,000$207.0K0.1%00.0%UnchangedHistory
NAKNorthern Dynasty Minerals LtdCOM NEW450,000$207.0K0.1%00.0%UnchangedHistory
GAIAGaia, IncCL A22,100$210.0K0.1%−1,000−4.3%ReducedHistory
NXENexGen Energy Ltd.COM45,000$213.0K0.1%00.0%UnchangedHistory
BWXTBWX Technologies, Inc.COM4,000$215.0K0.1%+100+2.6%AddedHistory
Discovery Inc25470F302COM SER C9,000$218.0K0.1%−400−4.3%Reduced–
ALDXAldeyra Therapeutics, Inc.COM25,000$220.0K0.1%00.0%UnchangedHistory
AMGNAmgen IncStock1,041$221.0K0.1%−99−8.7%ReducedHistory
Vanguard Morningstar Total Stock Market ETF922908769ETF1,022$227.0K0.1%−163−13.8%Reduced–
FMCFMC CorpCOM NEW2,500$229.0K0.1%00.0%UnchangedHistory
NTRNutrien Ltd.COM3,600$233.0K0.1%−200−5.3%ReducedHistory
SWKSSkyworks Solutions, Inc.Stock1,428$235.0K0.1%+4+0.3%AddedHistory
VMCVulcan Materials COCOM1,400$237.0K0.1%00.0%UnchangedHistory
CNXCNX Resources CorpCOM18,830$238.0K0.1%00.0%UnchangedHistory
ENBEnbridge IncStock6,000$239.0K0.1%−500−7.7%ReducedHistory
Enerplus Corp292766102COM30,000$240.0K0.1%−2,200−6.8%Reduced–
ProShares Tr74347G705ULTRA ENERGY3,535$241.0K0.1%+21+0.6%Added–
HONEHarborOne Bancorp, Inc.COM NEW17,200$241.0K0.1%+200+1.2%AddedHistory
IAAIAA, Inc.COM4,500$246.0K0.1%−200−4.3%ReducedHistory
JOFJapan Smaller Capitalization Fund IncCOM27,490$249.0K0.1%00.0%UnchangedHistory
CVECenovus Energy Inc.COM24,900$250.0K0.1%00.0%UnchangedHistory
OROR Royalties Inc.COM22,500$253.0K0.1%+500+2.3%AddedHistory
ATIPATI Physical Therapy, Inc.COM CL A67,000$255.0K0.1%+67,000NewHistory
Vanguard Morningstar Small-Cap ETF922908751ETF1,177$257.0K0.1%+2+0.2%Added–
GILDGilead Sciences, Inc.Stock3,700$258.0K0.1%00.0%UnchangedHistory
VNTVontier CorpStock7,700$259.0K0.1%−1,700−18.1%ReducedHistory
IGRCbre Global Real Estate Income FundCOM31,320$262.0K0.1%00.0%UnchangedHistory
MEOHMethanex CorpCOM5,700$262.0K0.1%+5,700NewHistory
TGBTrekor Metals LtdCOM140,080$265.0K0.1%+91,980+191.2%AddedHistory
BERYBerry Global Group, Inc.COM4,500$274.0K0.1%−300−6.3%ReducedHistory
WABWestinghouse Air Brake Technologies CorpStock3,200$276.0K0.1%00.0%UnchangedHistory
ARCHArch Resources, Inc.CL A3,000$278.0K0.1%+3,000NewHistory
Schwab Strategic Tr808524862SHT TM US TRES5,520$283.0K0.1%00.0%Unchanged–
iShares Tr4642874571 3 YR TREAS BD3,280$283.0K0.1%00.0%Unchanged–
KFKorea Fund IncCOM NEW6,970$285.0K0.1%00.0%UnchangedHistory
MMSIMerit Medical Systems IncCOM4,000$287.0K0.1%−100−2.4%ReducedHistory
BNYBank of New York Mellon CorpStock5,587$290.0K0.1%−2,600−31.8%ReducedHistory
SFESSafeguard Scientifics IncCOM NEW33,000$293.0K0.1%+33,000NewHistory
AEFabrdn Emerging Markets ex-China Fund, Inc.COM36,680$305.0K0.1%00.0%UnchangedHistory
SWZTotal Return Securities FundCOM33,380$306.0K0.1%00.0%UnchangedHistory
MXFMexico Fund IncCOM20,920$311.0K0.1%00.0%UnchangedHistory
MSDMorgan Stanley Emerging Markets Debt Fund IncCOM34,440$314.0K0.1%+3,450+11.1%AddedHistory
FST Tr New Opport MLP & Ene33739M100COM56,150$319.0K0.1%−10,890−16.2%Reduced–
GRXGabelli Healthcare & WellnessRx TrustSHS24,760$327.0K0.1%00.0%UnchangedHistory
iShares Core S&P 500 ETF464287200ETF777$335.0K0.1%00.0%Unchanged–
IGDVoya GLOBAL EQUITY DIVIDEND & PREMIUM OPPORTUNITY FUNDCOM56,761$335.0K0.1%00.0%UnchangedHistory
TYTRI-CONTINENTAL CorpCOM10,380$346.0K0.1%00.0%UnchangedHistory
TRVTravelers Companies, Inc.Stock2,300$350.0K0.1%00.0%UnchangedHistory
iShares S&P Mid-Cap 400 Growth ETF464287606ETF4,453$353.0K0.1%00.0%Unchanged–
BACBank of America CorpStock8,400$357.0K0.1%−1,000−10.6%ReducedHistory
PSXPhillips 66Stock5,150$361.0K0.1%−200−3.7%ReducedHistory
SRVNXG Cushing Midstream Energy FundCOM NEW11,630$370.0K0.1%+11,630NewHistory
LUMNLumen Technologies, Inc.Stock30,205$374.0K0.1%00.0%UnchangedHistory
TAT&T Inc.Stock14,076$380.0K0.1%00.0%UnchangedHistory
SMMSalient Midstream & MLP FundSH BEN INT60,300$383.0K0.1%+60,300NewHistory
TWNTaiwan Fund IncCOM10,890$383.0K0.1%00.0%UnchangedHistory
BDSIBiodelivery Sciences International IncCOM107,000$386.0K0.1%−4,000−3.6%ReducedHistory
AAWWAtlas Air Worldwide Holdings IncCOM NEW5,000$408.0K0.2%00.0%UnchangedHistory
KRNYKearny Financial Corp.COM33,000$410.0K0.2%−997−2.9%ReducedHistory
AIMCAltra Industrial Motion Corp.COM7,500$415.0K0.2%−400−5.1%ReducedHistory
GDPGoodrich Petroleum CorpCOM PAR19,160$453.0K0.2%00.0%UnchangedHistory
STXSeagate Technology Holdings plcORD SHS5,500$454.0K0.2%00.0%UnchangedHistory
JNJJohnson & JohnsonStock2,890$467.0K0.2%−170−5.6%ReducedHistory
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP10,366$472.0K0.2%00.0%UnchangedHistory
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
GFNew Germany Fund IncCOM24,940$493.0K0.2%+6,550+35.6%AddedHistory
GLDSPDR Gold TrustETF3,010$494.0K0.2%−844−21.9%ReducedHistory
STMPStamps.com IncCOM NEW1,500$495.0K0.2%−900−37.5%ReducedHistory
VVisa Inc.Stock2,258$503.0K0.2%−250−10.0%ReducedHistory
AXPAmerican Express CoStock3,000$503.0K0.2%−100−3.2%ReducedHistory
Invesco Exch Traded FD Tr II46138E420RUSEL 1000 EQL11,331$506.0K0.2%00.0%Unchanged–
PGProcter & Gamble CoStock3,635$508.0K0.2%−165−4.3%ReducedHistory
EPDEnterprise Products Partners L.P.Stock23,888$517.0K0.2%00.0%UnchangedHistory
MDLZMondelez International, Inc.Stock9,000$524.0K0.2%00.0%UnchangedHistory
WisdomTree Tr97717W307US LARGECAP DIVD4,469$533.0K0.2%+10+0.2%Added–
DHTDHT Holdings, Inc.SHS NEW82,765$540.0K0.2%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