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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
CRWDCrowdStrike Holdings, Inc.Stock2,219$545.0K0.2%00.0%UnchangedHistory
Kirkland Lake Gold Ltd49741E100COM13,300$553.0K0.2%−400−2.9%Reduced–
ASAASA Gold & Precious Metals LtdSHS29,555$558.0K0.2%+4,450+17.7%AddedHistory
ELVElevance Health, Inc.Stock1,500$559.0K0.2%00.0%UnchangedHistory
ABTAbbott LaboratoriesStock4,800$567.0K0.2%−200−4.0%ReducedHistory
WMTWalmart Inc.Stock4,200$585.0K0.2%−132−3.0%ReducedHistory
KMIKinder Morgan, Inc.Stock35,702$597.0K0.2%−200−0.6%ReducedHistory
KOCoca Cola CoStock11,495$603.0K0.2%+30.0%AddedHistory
EDDMorgan Stanley Emerging Markets Domestic Debt Fund, Inc.COM103,450$605.0K0.2%+12,000+13.1%AddedHistory
GPIGroup 1 Automotive IncCOM3,300$620.0K0.2%−200−5.7%ReducedHistory
GAMGeneral American Investors Co IncCOM14,450$622.0K0.2%−480−3.2%ReducedHistory
GDVGabelli Dividend & Income TrustCOM24,300$627.0K0.2%00.0%UnchangedHistory
CCitigroup IncStock9,000$632.0K0.2%00.0%UnchangedHistory
UNHUnitedHealth Group IncStock1,618$632.0K0.2%00.0%UnchangedHistory
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–
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
PEOAdams Natural Resources Fund, Inc.COM40,580$637.0K0.2%+19,660+94.0%AddedHistory
CETCentral Securities CorpCOM15,190$642.0K0.2%+6,550+75.8%AddedHistory
iShares Tr46434V860TRS FLT RT BD12,840$645.0K0.2%00.0%Unchanged–
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–
NMLNeuberger Energy Infrastructure & Income Fund Inc.COM135,640$669.0K0.2%+4,650+3.5%AddedHistory
NEMNEWMONT CorpStock12,856$698.0K0.3%+400+3.2%AddedHistory
CRKComstock Resources IncCOM69,620$721.0K0.3%00.0%UnchangedHistory
Pretium Res Inc74139C102COM75,000$723.0K0.3%+4,000+5.6%Added–
PEPPepsiCo IncStock5,100$767.0K0.3%−100−1.9%ReducedHistory
Silvercrest Metals Inc828363101COM111,000$775.0K0.3%+26,000+30.6%Added–
Syntax ETF Tr87166N106STRATIFD LRG CAP11,814$780.0K0.3%00.0%Unchanged–
iShares Russell Mid-Cap Growth ETF464287481ETF7,011$786.0K0.3%00.0%Unchanged–
VLOValero Energy CorpStock11,230$793.0K0.3%+522+4.9%AddedHistory
NUVNuveen Municipal Value Fund IncCOM71,833$813.0K0.3%−32,855−31.4%ReducedHistory
FROFrontline plcSHS NEW87,659$821.0K0.3%00.0%UnchangedHistory
ABBVAbbVie Inc.Stock7,884$850.0K0.3%−366−4.4%ReducedHistory
METAMeta Platforms, Inc.Stock2,591$879.0K0.3%−17−0.7%ReducedHistory
STNGScorpio Tankers Inc.SHS50,447$935.0K0.3%00.0%UnchangedHistory
Vanguard Admiral FDS Inc921932828SMLLCP 600 IDX4,649$937.0K0.3%00.0%Unchanged–
SIISprott Inc.COM NEW25,500$938.0K0.3%−1,700−6.3%ReducedHistory
PYPLPayPal Holdings, Inc.Stock3,618$941.0K0.3%00.0%UnchangedHistory
UCTTUltra Clean Holdings, Inc.COM22,800$971.0K0.4%+2,000+9.6%AddedHistory
NFLXNetflix IncStock1,743$1.06M0.4%+8+0.5%AddedHistory
Mag Silver Corp55903Q104COM67,500$1.09M0.4%−1,200−1.7%Reduced–
Vanguard Scottsdale FDS92206C409SHRT TRM CORP BD14,000$1.15M0.4%00.0%Unchanged–
COPConocoPhillipsStock18,586$1.26M0.5%−4,075−18.0%ReducedHistory
Vanguard S&P 500 ETF922908363ETF3,385$1.33M0.5%+59+1.8%Added–
TMOThermo Fisher Scientific Inc.Stock2,413$1.38M0.5%00.0%UnchangedHistory
iShares S&P 500 Growth ETF464287309ETF18,728$1.38M0.5%00.0%Unchanged–
PPLPPL CorpCOM50,536$1.41M0.5%−3,033−5.7%ReducedHistory
PRUPrudential Financial IncStock13,443$1.41M0.5%−659−4.7%ReducedHistory
GDGeneral Dynamics CorpStock7,316$1.43M0.5%−518−6.6%ReducedHistory
UPSUnited Parcel Service IncStock7,996$1.46M0.5%−60−0.7%ReducedHistory
VanEck ETF Trust92189F106GOLD MINERS ETF50,000$1.47M0.5%00.0%Unchanged–
QCOMQualcomm IncStock11,434$1.48M0.5%−799−6.5%ReducedHistory
MSFTMicrosoft CorpStock5,854$1.65M0.6%−302−4.9%ReducedHistory
GOOGAlphabet Inc.Stock630$1.68M0.6%00.0%UnchangedHistory
Vanguard Morningstar Mid-Cap ETF922908629ETF7,199$1.70M0.6%+19+0.3%Added–
CPBCAMPBELL'S CoCOM44,450$1.86M0.7%00.0%UnchangedHistory
SPGIS&P Global Inc.Stock4,603$1.96M0.7%−10.0%ReducedHistory
XECCimarex Energy CoCOM23,604$2.06M0.8%00.0%UnchangedHistory
FANGDiamondback Energy, Inc.Stock27,135$2.57M1.0%00.0%UnchangedHistory
CPRTCopart IncCOM19,037$2.64M1.0%−508−2.6%ReducedHistory
iShares Trust iShares 0-1 Year Treasury Bond ETF464288679ETF25,130$2.78M1.0%−1,704−6.4%Reduced–
DVADavita Inc.COM25,400$2.95M1.1%−1,700−6.3%ReducedHistory
ETEnergy Transfer LPCOM UT LTD PTN320,180$3.07M1.1%−8,919−2.7%ReducedHistory
Goldman Sachs ETF Tr381430206ACTIVEBETA EME91,835$3.41M1.3%−13,406−12.7%Reduced–
DVNDevon Energy CorpStock104,746$3.72M1.4%00.0%UnchangedHistory
Vanguard Real Estate ETF922908553ETF37,104$3.78M1.4%−1,976−5.1%Reduced–
Invesco Exch Traded FD Tr II46138E511PFD ETF270,854$4.07M1.5%−9,590−3.4%Reduced–
DBX ETF Tr233051630XTRACK MSCI EAFE182,313$4.14M1.5%−4,660−2.5%Reduced–
Goldman Sachs ETF Tr381430107ACTIVEBETA INT123,558$4.22M1.6%−37,378−23.2%Reduced–
PXDPioneer Natural Resources CoCOM27,765$4.62M1.7%−4,285−13.4%ReducedHistory
Goldman Sachs ETF Tr381430479ACCESS INVT GR88,337$4.80M1.8%−4,903−5.3%Reduced–
First Tr Exchange-Traded FD336917109SHS176,833$5.79M2.2%−5,671−3.1%Reduced–
BRK.BBerkshire Hathaway IncStock22,338$6.10M2.3%−200−0.9%ReducedHistory
Schwab U.S. Small-Cap ETF808524607ETF61,097$6.12M2.3%−3,151−4.9%Reduced–
iShares MSCI USA Momentum Factor ETF46432F396ETF36,645$6.43M2.4%−2,595−6.6%Reduced–
AAPLApple Inc.Stock59,872$8.47M3.1%+898+1.5%AddedHistory
J P Morgan Exchange Traded F46641Q761US QUALTY FCTR224,886$9.21M3.4%−31,157−12.2%Reduced–
Schwab U.S. Large-Cap Value ETF808524409ETF137,572$9.28M3.4%−10,607−7.2%Reduced–
Invesco Exch Traded FD Tr II46138E354S&P500 LOW VOL168,087$10.2M3.8%−73,432−30.4%Reduced–
CRCCalifornia Resources CorpCOM STOCK268,800$11.0M4.1%+10,000+3.9%AddedHistory
Vanguard Mortgage-Backed Securities ETF92206C771ETF233,251$12.4M4.6%−8,606−3.6%Reduced–
VanEck ETF Trust92189F437FALLEN ANGEL HG380,119$12.6M4.7%−15,381−3.9%Reduced–
EQTEQT CorpStock882,707$18.1M6.7%00.0%UnchangedHistory
SPDR Series Trust78464A664ST LON TREAS ETF516,301$21.3M7.9%+127,346+32.7%Added–

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