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Livermore
Livermore
ZHEN

Shepherd Kaplan Krochuk, LLC

SEC CIK
0001218583
Latest filing
Aug 14, 2026

Holdings in Q1 2022

Holdings as of Mar 31, 2022, filed May 6, 2022. Long positions only; changes compare share counts with Q4 2021.

Institution overview
Positions
182
−4 vs. Q4 2021
Portfolio value
$261.1M
−$13.4M (−4.9%) vs. Q4 2021
Filed
May 6, 2022
SEC
Holdings of Shepherd Kaplan Krochuk, LLC in Q1 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
GALTGalectin Therapeutics IncCOM NEW12,000$19.0K<0.1%00.0%UnchangedHistory
BACKIMAC Holdings, Inc.COM35,903$37.0K<0.1%−48,647−57.5%ReducedHistory
Ion Geophysical Corp462044AJ7NOTE 8.000%12/174,000$40.0K<0.1%00.0%Unchanged–
RIGTransocean Ltd.REGISTERED SHS9,000$41.0K<0.1%+3,000+50.0%AddedHistory
Tilray Inc88688TAB6NOTE 5.000%10/050,000$48.0K<0.1%00.0%Unchanged–
New Gold Inc Cda644535106COM36,000$65.0K<0.1%+21,000+140.0%Added–
FREEWhole Earth Brands, Inc.COM CL A10,000$72.0K<0.1%00.0%UnchangedHistory
ATIPATI Physical Therapy, Inc.COM CL A42,000$79.0K<0.1%−1,000−2.3%ReducedHistory
GAIAGaia, IncCL A20,700$102.0K<0.1%00.0%UnchangedHistory
Sustainable Develp Acqu I Co86934L202UNIT 02/04/202611,000$109.0K<0.1%00.0%Unchanged–
RMG Acquisition Corp IIIG76088114UNIT 02/08/202611,000$109.0K<0.1%00.0%Unchanged–
GTGoodyear Tire & Rubber CoCOM8,400$120.0K<0.1%+8,400NewHistory
CIFRCipher Digital Inc.COM36,000$131.0K0.1%+36,000NewHistory
EMFTempleton Emerging Markets FundCOM10,040$138.0K0.1%00.0%UnchangedHistory
COPConocoPhillipsStock1,389$139.0K0.1%+1,389NewHistory
GTYHGTY Technology Holdings Inc.COM49,000$158.0K0.1%+27,000+122.7%AddedHistory
AMAntero Midstream CorpStock14,800$161.0K0.1%+4,500+43.7%AddedHistory
IGRCbre Global Real Estate Income FundCOM18,160$164.0K0.1%−7,830−30.1%ReducedHistory
IVCInvacare Holdings CorpCOM116,469$164.0K0.1%−69,400−37.3%ReducedHistory
GNTGAMCO Natural Resources, Gold & Income TrustSH BEN INT30,130$168.0K0.1%+30,130NewHistory
JEQAbrdn Japan Equity Fund, Inc.COM24,320$169.0K0.1%+24,320NewHistory
STEWSRH Total Return Fund, Inc.COM12,260$182.0K0.1%00.0%UnchangedHistory
NAKNorthern Dynasty Minerals LtdCOM NEW450,000$187.0K0.1%00.0%UnchangedHistory
Vanguard Morningstar Growth ETF922908736ETF703$202.0K0.1%00.0%Unchanged–
MSDMorgan Stanley Emerging Markets Debt Fund IncCOM26,450$206.0K0.1%00.0%UnchangedHistory
BCXBlackRock Resources & Commodities Strategy TrustSHS18,840$208.0K0.1%−16,070−46.0%ReducedHistory
KFKorea Fund IncCOM NEW6,970$210.0K0.1%00.0%UnchangedHistory
SWKSSkyworks Solutions, Inc.Stock1,629$217.0K0.1%+105+6.9%AddedHistory
PDCEPDC Energy, Inc.COM2,999$218.0K0.1%+2,999NewHistory
GILDGilead Sciences, Inc.Stock3,700$220.0K0.1%00.0%UnchangedHistory
Discovery Inc25470F302COM SER C9,000$225.0K0.1%00.0%Unchanged–
GFNew Germany Fund IncCOM19,700$225.0K0.1%−5,240−21.0%ReducedHistory
HONEHarborOne Bancorp, Inc.COM NEW16,200$227.0K0.1%−1,000−5.8%ReducedHistory
NVSTEnvista Holdings CorpCOM4,800$234.0K0.1%00.0%UnchangedHistory
iShares S&P Mid-Cap 400 Growth ETF464287606ETF3,158$244.0K0.1%−1,296−29.1%Reduced–
AEFabrdn Emerging Markets ex-China Fund, Inc.COM36,680$248.0K0.1%00.0%UnchangedHistory
BGRBlackRock Energy & Resources TrustCOM21,510$250.0K0.1%+21,510NewHistory
NXENexGen Energy Ltd.COM45,000$255.0K0.1%00.0%UnchangedHistory
VMCVulcan Materials COCOM1,400$257.0K0.1%00.0%UnchangedHistory
BERYBerry Global Group, Inc.COM4,500$261.0K0.1%00.0%UnchangedHistory
SUSuncor Energy IncStock8,100$264.0K0.1%00.0%UnchangedHistory
MMSIMerit Medical Systems IncCOM4,000$266.0K0.1%00.0%UnchangedHistory
BNYBank of New York Mellon CorpStock5,587$277.0K0.1%00.0%UnchangedHistory
GGZGabelli Global Small & Mid Cap Value TrustCOM20,620$288.0K0.1%00.0%UnchangedHistory
AIMCAltra Industrial Motion Corp.COM7,500$292.0K0.1%00.0%UnchangedHistory
BWXTBWX Technologies, Inc.COM5,500$296.0K0.1%+5,500NewHistory
AGIAlamos Gold IncStock36,500$307.0K0.1%+17,500+92.1%AddedHistory
WABWestinghouse Air Brake Technologies CorpStock3,200$308.0K0.1%00.0%UnchangedHistory
SWZTotal Return Securities FundCOM33,380$308.0K0.1%00.0%UnchangedHistory
VTNRVertex Energy Inc.COM31,000$308.0K0.1%+4,500+17.0%AddedHistory
OROR Royalties Inc.COM23,500$310.0K0.1%+1,000+4.4%AddedHistory
MEOHMethanex CorpCOM5,700$311.0K0.1%00.0%UnchangedHistory
GRXGabelli Healthcare & WellnessRx TrustSHS24,760$317.0K0.1%00.0%UnchangedHistory
Vanguard Scottsdale FDS92206C102SHORT TERM TREAS5,370$318.0K0.1%−5,390−50.1%Reduced–
TYTRI-CONTINENTAL CorpCOM10,380$320.0K0.1%00.0%UnchangedHistory
CLVT 0 PfdG21810208Convertible Preferred Equity4,800$325.0K0.1%+4,800New–
FMCFMC CorpCOM NEW2,500$329.0K0.1%00.0%UnchangedHistory
ENBEnbridge IncStock7,200$332.0K0.1%00.0%UnchangedHistory
iShares Core S&P 500 ETF464287200ETF731$332.0K0.1%00.0%Unchanged–
TAT&T Inc.Stock14,076$333.0K0.1%00.0%UnchangedHistory
LUMNLumen Technologies, Inc.Stock30,205$340.0K0.1%00.0%UnchangedHistory
iShares Russell Mid-Cap Growth ETF464287481ETF3,383$340.0K0.1%−2,359−41.1%Reduced–
WisdomTree Tr97717W307US LARGECAP DIVD5,181$341.0K0.1%−3,777−42.2%Reduced–
BACBank of America CorpStock8,400$346.0K0.1%−1,885−18.3%ReducedHistory
KRNYKearny Financial Corp.COM27,000$348.0K0.1%−3,000−10.0%ReducedHistory
TWNTaiwan Fund IncCOM10,890$358.0K0.1%00.0%UnchangedHistory
Cornerstone Building Brands, Inc.21925D109COM15,000$365.0K0.1%+200+1.4%Added–
NTRNutrien Ltd.COM3,600$374.0K0.1%00.0%UnchangedHistory
VETVermilion Energy Inc.COM18,000$378.0K0.1%00.0%UnchangedHistory
Enerplus Corp292766102COM30,000$381.0K0.1%00.0%Unchanged–
MXFMexico Fund IncCOM22,960$381.0K0.1%+2,040+9.8%AddedHistory
CNXCNX Resources CorpCOM18,830$390.0K0.1%00.0%UnchangedHistory
FISFidelity National Information Services, Inc.Stock3,897$391.0K0.1%00.0%UnchangedHistory
AAWWAtlas Air Worldwide Holdings IncCOM NEW4,700$406.0K0.2%00.0%UnchangedHistory
SRVNXG Cushing Midstream Energy FundCOM NEW11,630$406.0K0.2%00.0%UnchangedHistory
ARCHArch Resources, Inc.CL A3,000$412.0K0.2%00.0%UnchangedHistory
JOFJapan Smaller Capitalization Fund IncCOM58,120$416.0K0.2%+30,630+111.4%AddedHistory
TRVTravelers Companies, Inc.Stock2,300$420.0K0.2%00.0%UnchangedHistory
Tricon Residential Inc Com NPV89612W102COM28,000$446.0K0.2%00.0%Unchanged–
PYPLPayPal Holdings, Inc.Stock3,900$451.0K0.2%−510−11.6%ReducedHistory
CRWDCrowdStrike Holdings, Inc.Stock1,990$452.0K0.2%−229−10.3%ReducedHistory
GLDSPDR Gold TrustETF2,514$454.0K0.2%−496−16.5%ReducedHistory
DHTDHT Holdings, Inc.SHS NEW82,765$480.0K0.2%00.0%UnchangedHistory
CCitigroup IncStock9,000$481.0K0.2%00.0%UnchangedHistory
STXSeagate Technology Holdings plcORD SHS5,500$494.0K0.2%−447−7.5%ReducedHistory
TGBTrekor Metals LtdCOM215,800$494.0K0.2%+55,800+34.9%AddedHistory
SMMSalient Midstream & MLP FundSH BEN INT60,300$497.0K0.2%00.0%UnchangedHistory
CVECenovus Energy Inc.COM30,000$500.0K0.2%+5,100+20.5%AddedHistory
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP10,366$509.0K0.2%00.0%UnchangedHistory
Vanguard S&P 500 ETF922908363ETF1,228$510.0K0.2%−2,183−64.0%Reduced–
VVisa Inc.Stock2,300$510.0K0.2%+21+0.9%AddedHistory
JNJJohnson & JohnsonStock2,901$514.0K0.2%−509−14.9%ReducedHistory
EDDMorgan Stanley Emerging Markets Domestic Debt Fund, Inc.COM103,450$516.0K0.2%00.0%UnchangedHistory
PSXPhillips 66Stock6,050$523.0K0.2%00.0%UnchangedHistory
Invesco Exch Traded FD Tr II46138E420RUSEL 1000 EQL11,331$527.0K0.2%00.0%Unchanged–
Occidental Pete Corp WT Exp 080327674599162Stock15,000$528.0K0.2%+15,000New–
GPIGroup 1 Automotive IncCOM3,300$554.0K0.2%00.0%UnchangedHistory
PGProcter & Gamble CoStock3,646$557.0K0.2%00.0%UnchangedHistory
AXPAmerican Express CoStock3,000$561.0K0.2%00.0%UnchangedHistory
MDLZMondelez International, Inc.Stock9,000$565.0K0.2%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 Q1 2022
SecurityClassPutsCalls
CVECenovus Energy Inc.COM–$1.38M
MROMarathon Oil CorpCOM–$399.0K
GTEGran Tierra Energy Inc.COM–$283.0K
SPYSPDR S&P 500 ETF TrustETF$271.0K–
NEMNEWMONT CorpStock–$191.0K
AGIAlamos Gold IncStock–$154.0K
COPConocoPhillipsStock–$150.0K
New Gold Inc Cda644535106COM–$148.0K
RIGTransocean Ltd.REGISTERED SHS–$122.0K
GTGoodyear Tire & Rubber CoCOM–$34.0K
VGZVista Gold CorpCOM NEW–$22.0K

Sold out since Q4 2021 (22)

Positions held at the end of Q4 2021 that are gone from this filing.

Positions of Shepherd Kaplan Krochuk, LLC sold out since Q4 2021
SecurityClassShares in Q4 2021Value in Q4 2021% of portfolio in Q4 2021History
Vanguard Mortgage-Backed Securities ETF92206C771ETF172,186$9.10M3.3%–
First Tr Exchange-Traded FD336917109SHS187,255$6.66M2.4%–
QCOMQualcomm IncStock10,949$2.00M0.7%History
UPSUnited Parcel Service IncStock7,876$1.69M0.6%History
Vanguard Scottsdale FDS92206C409SHRT TRM CORP BD13,692$1.11M0.4%–
Pretium Res Inc74139C102COM75,000$1.06M0.4%–
State Street SPDR Bloomberg 1-3 Month T-Bill ETF78468R663ETF7,200$658.0K0.2%–
FROFrontline plcSHS NEW87,659$620.0K0.2%History
Kirkland Lake Gold Ltd49741E100COM13,300$558.0K0.2%–
GOOGLAlphabet Inc.Stock179$519.0K0.2%History
Vanguard Morningstar Total Stock Market ETF922908769ETF1,508$364.0K0.1%–
BDSIBiodelivery Sciences International IncCOM114,000$353.0K0.1%History
ADBEAdobe Inc.Stock490$278.0K0.1%History
NVDANVIDIA CorpStock922$271.0K0.1%History
ProShares Tr74347G705ULTRA ENERGY3,535$271.0K0.1%–
Vanguard Morningstar Small-Cap ETF922908751ETF1,089$246.0K0.1%–
IAAIAA, Inc.COM4,500$228.0K0.1%History
DHRDanaher CorpStock671$221.0K0.1%History
AZTAAzenta, Inc.COM2,000$206.0K0.1%History
IGDVoya GLOBAL EQUITY DIVIDEND & PREMIUM OPPORTUNITY FUNDCOM19,671$122.0K<0.1%History
KGCKinross Gold CorpCOM16,500$96.0K<0.1%History
GOROGoldgroup Mining Inc.COM40,702$63.0K<0.1%History