Skip to main content
Livermore
Livermore
ZHEN

Shepherd Kaplan Krochuk, LLC

SEC CIK
0001218583
Latest filing
Aug 14, 2026

Holdings in Q3 2022

Holdings as of Sep 30, 2022, filed Nov 9, 2022. Long positions only; changes compare share counts with Q2 2022.

Institution overview
Positions
140
−40 vs. Q2 2022
Portfolio value
$198.8M
−$27.7M (−12.2%) vs. Q2 2022
Filed
Nov 9, 2022
SEC
Holdings of Shepherd Kaplan Krochuk, LLC in Q3 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
EQTEQT CorpStock478,207$19.5M9.8%00.0%UnchangedHistory
CRCCalifornia Resources CorpCOM STOCK303,500$11.7M5.9%−20,300−6.3%ReducedHistory
VanEck ETF Trust92189F437FALLEN ANGEL HG306,701$8.04M4.0%−21,070−6.4%Reduced–
Invesco Exch Traded FD Tr II46138E354S&P500 LOW VOL138,699$8.02M4.0%−34,434−19.9%Reduced–
DVNDevon Energy CorpStock120,592$7.25M3.6%−154−0.1%ReducedHistory
AAPLApple Inc.Stock49,333$6.82M3.4%+60.0%AddedHistory
iShares Tr46428743220 YR TR BD ETF57,604$5.90M3.0%−10,608−15.6%Reduced–
Janus Detroit STR Tr47103U852HENDERSON MTG124,049$5.59M2.8%−17,418−12.3%Reduced–
Schwab U.S. Large-Cap Value ETF808524409ETF90,804$5.31M2.7%−16,218−15.2%Reduced–
BRK.BBerkshire Hathaway IncStock18,785$5.02M2.5%−690−3.5%ReducedHistory
CPBCAMPBELL'S CoCOM104,989$4.95M2.5%+60,539+136.2%AddedHistory
iShares MSCI USA Momentum Factor ETF46432F396ETF35,508$4.66M2.3%+6,484+22.3%Added–
CHRDChord Energy CorpCOM NEW33,063$4.52M2.3%+33,063NewHistory
Schwab US Dividend Equity ETF808524797ETF61,785$4.10M2.1%−4,161−6.3%Reduced–
J P Morgan Exchange Traded F46641Q761US QUALTY FCTR115,304$4.04M2.0%−22,645−16.4%Reduced–
iShares Core S&P Small Cap ETF464287804ETF37,218$3.25M1.6%−7,115−16.0%Reduced–
DBX ETF Tr233051630XTRACK MSCI EAFE171,896$3.13M1.6%+5,544+3.3%Added–
ETEnergy Transfer LPCOM UT LTD PTN274,337$3.03M1.5%−27,754−9.2%ReducedHistory
NBRNabors Industries LtdSHS29,700$3.01M1.5%+1,300+4.6%AddedHistory
Vanguard Real Estate ETF922908553ETF37,538$3.01M1.5%−2,374−5.9%Reduced–
iShares Trust iShares 0-1 Year Treasury Bond ETF464288679ETF26,723$2.94M1.5%−5,890−18.1%Reduced–
Goldman Sachs ETF Tr381430479ACCESS INVT GR67,609$2.92M1.5%−8,953−11.7%Reduced–
Turquoise Hill Res Ltd900435207COM94,321$2.79M1.4%+4,368+4.9%Added–
PXDPioneer Natural Resources CoCOM11,725$2.54M1.3%−1,955−14.3%ReducedHistory
ProShares Tr74347X849SHRT 20+YR TRE106,451$2.37M1.2%−9,982−8.6%Reduced–
CPECallon Petroleum CoCOM65,700$2.30M1.2%+65,700NewHistory
Invesco Exch Traded FD Tr II46138E511PFD ETF173,060$2.06M1.0%−23,995−12.2%Reduced–
FANGDiamondback Energy, Inc.Stock17,002$2.05M1.0%−10,133−37.3%ReducedHistory
CPRTCopart IncCOM19,059$2.03M1.0%+30.0%AddedHistory
DVADavita Inc.COM24,000$1.99M1.0%00.0%UnchangedHistory
CTRACoterra Energy Inc.Stock66,832$1.75M0.9%−30,928−31.6%ReducedHistory
KMIKinder Morgan, Inc.Stock90,688$1.51M0.8%+51,986+134.3%AddedHistory
Goldman Sachs ETF Tr381430206ACTIVEBETA EME57,821$1.49M0.8%−12,446−17.7%Reduced–
Vanguard Morningstar Mid-Cap ETF922908629ETF7,696$1.45M0.7%+32+0.4%Added–
AEMAgnico Eagle Mines LtdStock34,236$1.45M0.7%+20,336+146.3%AddedHistory
SPGIS&P Global Inc.Stock4,590$1.40M0.7%00.0%UnchangedHistory
AMGNAmgen IncStock6,171$1.39M0.7%+256+4.3%AddedHistory
CAHCardinal Health IncStock20,776$1.39M0.7%+472+2.3%AddedHistory
Goldman Sachs ETF Tr381430107ACTIVEBETA INT55,512$1.37M0.7%−24,772−30.9%Reduced–
TMOThermo Fisher Scientific Inc.Stock2,426$1.23M0.6%+10.0%AddedHistory
MSFTMicrosoft CorpStock5,254$1.22M0.6%−619−10.5%ReducedHistory
GOOGAlphabet Inc.Stock12,665$1.22M0.6%00.0%UnchangedConverted for a 20-for-1 splitHistory
GDGeneral Dynamics CorpStock5,730$1.22M0.6%−156−2.7%ReducedHistory
iShares S&P 500 Growth ETF464287309ETF17,388$1.01M0.5%−1,342−7.2%Reduced–
BAXBaxter International IncStock16,238$875.0K0.4%+16,238NewHistory
Vanguard Admiral FDS Inc921932828SMLLCP 600 IDX5,368$867.0K0.4%00.0%Unchanged–
SIISprott Inc.COM NEW25,500$855.0K0.4%00.0%UnchangedHistory
Mag Silver Corp55903Q104COM67,500$842.0K0.4%00.0%Unchanged–
PEPPepsiCo IncStock5,100$833.0K0.4%00.0%UnchangedHistory
UNHUnitedHealth Group IncStock1,617$817.0K0.4%00.0%UnchangedHistory
RMNIRimini Street, Inc.COM167,000$778.0K0.4%+23,200+16.1%AddedHistory
ABBVAbbVie Inc.Stock5,529$742.0K0.4%+41+0.7%AddedHistory
CRKComstock Resources IncCOM42,700$738.0K0.4%−26,920−38.7%ReducedHistory
PPLPPL CorpCOM28,606$725.0K0.4%−19,975−41.1%ReducedHistory
VLOValero Energy CorpStock6,651$711.0K0.4%−262−3.8%ReducedHistory
Silvercrest Metals Inc828363101COM127,925$707.0K0.4%+6,925+5.7%Added–
Syntax ETF Tr87166N106STRATIFD LRG CAP12,196$706.0K0.4%00.0%Unchanged–
ELVElevance Health, Inc.Stock1,500$681.0K0.3%00.0%UnchangedHistory
CVECenovus Energy Inc.COM43,500$669.0K0.3%+13,500+45.0%AddedHistory
KOCoca Cola CoStock11,515$645.0K0.3%+15+0.1%AddedHistory
UCTTUltra Clean Holdings, Inc.COM25,000$644.0K0.3%+400+1.6%AddedHistory
NUVNuveen Municipal Value Fund IncCOM68,793$582.0K0.3%00.0%UnchangedHistory
Syntax ETF Tr87166N502STRATIFIED US TT15,625$577.0K0.3%00.0%Unchanged–
EPDEnterprise Products Partners L.P.Stock23,538$560.0K0.3%00.0%UnchangedHistory
WMTWalmart Inc.Stock4,200$545.0K0.3%00.0%UnchangedHistory
METAMeta Platforms, Inc.Stock3,823$519.0K0.3%+1,212+46.4%AddedHistory
Syntax ETF Tr87166N403STRATIFIED US TT13,945$510.0K0.3%+13,945New–
AAWWAtlas Air Worldwide Holdings IncCOM NEW5,300$507.0K0.3%00.0%UnchangedHistory
MDLZMondelez International, Inc.Stock9,000$493.0K0.2%00.0%UnchangedHistory
NEMNEWMONT CorpStock11,711$492.0K0.2%+300+2.6%AddedHistory
MMPMagellan Midstream Partners, L.P.COM UNIT RP LP10,366$492.0K0.2%00.0%UnchangedHistory
PSXPhillips 66Stock6,050$488.0K0.2%00.0%UnchangedHistory
GPIGroup 1 Automotive IncCOM3,300$471.0K0.2%00.0%UnchangedHistory
ABTAbbott LaboratoriesStock4,800$464.0K0.2%00.0%UnchangedHistory
PGProcter & Gamble CoStock3,651$461.0K0.2%+7+0.2%AddedHistory
Occidental Pete Corp WT Exp 080327674599162Stock11,100$440.0K0.2%00.0%Unchanged–
FCNFti Consulting, IncCOM2,565$425.0K0.2%−673−20.8%ReducedHistory
Enerplus Corp292766102COM30,000$425.0K0.2%00.0%Unchanged–
NFLXNetflix IncStock1,735$408.0K0.2%00.0%UnchangedHistory
WPMWheaton Precious Metals Corp.COM12,600$408.0K0.2%00.0%UnchangedHistory
VVisa Inc.Stock2,281$405.0K0.2%+2+0.1%AddedHistory
AXPAmerican Express CoStock3,000$405.0K0.2%00.0%UnchangedHistory
JNJJohnson & JohnsonStock2,438$398.0K0.2%−458−15.8%ReducedHistory
TGBTrekor Metals LtdCOM348,500$397.0K0.2%+66,100+23.4%AddedHistory
VETVermilion Energy Inc.COM18,000$386.0K0.2%00.0%UnchangedHistory
Vanguard S&P 500 ETF922908363ETF1,159$380.0K0.2%−69−5.6%Reduced–
BHVNBiohaven Ltd.COM2,500$378.0K0.2%+2,500NewHistory
PYPLPayPal Holdings, Inc.Stock4,200$361.0K0.2%00.0%UnchangedHistory
VTNRVertex Energy Inc.COM57,000$355.0K0.2%+27,000+90.0%AddedHistory
TRVTravelers Companies, Inc.Stock2,300$352.0K0.2%00.0%UnchangedHistory
Invesco Exch Traded FD Tr II46138E420RUSEL 1000 EQL9,530$352.0K0.2%−1,801−15.9%Reduced–
CCitigroup IncStock8,100$338.0K0.2%−900−10.0%ReducedHistory
FMCFMC CorpCOM NEW3,100$328.0K0.2%00.0%UnchangedHistory
DHTDHT Holdings, Inc.SHS NEW42,765$323.0K0.2%−40,000−48.3%ReducedHistory
AGIAlamos Gold IncStock43,100$319.0K0.2%−3,300−7.1%ReducedHistory
NTRNutrien Ltd.COM3,600$300.0K0.2%00.0%UnchangedHistory
FISFidelity National Information Services, Inc.Stock3,897$294.0K0.1%00.0%UnchangedHistory
STXSeagate Technology Holdings plcORD SHS5,500$293.0K0.1%00.0%UnchangedHistory
WisdomTree Tr97717W307US LARGECAP DIVD5,181$286.0K0.1%00.0%Unchanged–
BNYBank of New York Mellon CorpStock7,401$285.0K0.1%+1,814+32.5%AddedHistory

Options (6)

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 2022
SecurityClassPutsCalls
CRCCalifornia Resources CorpCOM STOCK–$384.0K
CVECenovus Energy Inc.COM–$323.0K
GTEGran Tierra Energy Inc.COM–$103.0K
CGAUCenterra Gold Inc.COM–$53.0K
New Gold Inc Cda644535106COM–$48.0K
AGIAlamos Gold IncStock–$22.0K

Sold out since Q2 2022 (50)

Positions held at the end of Q2 2022 that are gone from this filing.

Positions of Shepherd Kaplan Krochuk, LLC sold out since Q2 2022
SecurityClassShares in Q2 2022Value in Q2 2022% of portfolio in Q2 2022History
WLLWhiting Holdings LLCCOM NEW63,800$4.34M1.9%History
STNGScorpio Tankers Inc.SHS40,500$1.40M0.6%History
PRUPrudential Financial IncStock12,877$1.23M0.5%History
TFCTruist Financial CorpCOM21,637$1.03M0.5%History
WisdomTree Tr97717Y527FLOATNG RAT TREA13,294$669.0K0.3%–
VanEck ETF Trust92189F486IG FLOA RATE ETF26,440$653.0K0.3%–
State Street SPDR Bloomberg 1-3 Month T-Bill ETF78468R663ETF7,052$645.0K0.3%–
Goldman Sachs ETF Tr381430529ACCES TREASURY6,410$640.0K0.3%–
iShares Tr46434V860TRS FLT RT BD12,600$635.0K0.3%–
NMLNeuberger Energy Infrastructure & Income Fund Inc.COM100,510$603.0K0.3%History
CETCentral Securities CorpCOM16,770$590.0K0.3%History
GDVGabelli Dividend & Income TrustCOM28,490$583.0K0.3%History
GAMGeneral American Investors Co IncCOM16,330$577.0K0.3%History
PDXPIMCO Dynamic Income Strategy FundCOM SHS BEN INT44,120$567.0K0.3%History
ASAASA Gold & Precious Metals LtdSHS36,045$529.0K0.2%History
PEOAdams Natural Resources Fund, Inc.COM27,031$526.0K0.2%History
MXFMexico Fund IncCOM33,210$479.0K0.2%History
RMTRoyce Micro-Cap Trust, Inc.COM56,530$473.0K0.2%History
EDDMorgan Stanley Emerging Markets Domestic Debt Fund, Inc.COM103,450$464.0K0.2%History
JOFJapan Smaller Capitalization Fund IncCOM66,610$421.0K0.2%History
GTYHGTY Technology Holdings Inc.COM62,100$389.0K0.2%History
Cornerstone Building Brands, Inc.21925D109COM15,000$367.0K0.2%–
TWNTaiwan Fund IncCOM14,200$357.0K0.2%History
SRVNXG Cushing Midstream Energy FundCOM NEW11,630$323.0K0.1%History
CNXCNX Resources CorpCOM18,830$310.0K0.1%History
IIFMorgan Stanley India Investment Fund, Inc.COM13,360$299.0K0.1%History
CLVT 0 PfdG21810208Convertible Preferred Equity4,800$274.0K0.1%–
TYTRI-CONTINENTAL CorpCOM10,380$272.0K0.1%History
WABWestinghouse Air Brake Technologies CorpStock3,300$271.0K0.1%History
GRXGabelli Healthcare & WellnessRx TrustSHS24,760$265.0K0.1%History
SWZTotal Return Securities FundCOM33,380$262.0K0.1%History
BGRBlackRock Energy & Resources TrustCOM23,010$252.0K0.1%History
Vanguard Scottsdale FDS92206C102SHORT TERM TREAS4,000$235.0K0.1%–
GGZGabelli Global Small & Mid Cap Value TrustCOM20,620$228.0K0.1%History
MEOHMethanex CorpCOM5,700$218.0K0.1%History
AEFabrdn Emerging Markets ex-China Fund, Inc.COM36,680$202.0K0.1%History
iShares S&P Mid-Cap 400 Growth ETF464287606ETF3,158$201.0K0.1%–
ARCHArch Resources, Inc.CL A1,400$200.0K0.1%History
SMMSalient Midstream & MLP FundSH BEN INT23,850$181.0K0.1%History
MSDMorgan Stanley Emerging Markets Debt Fund IncCOM26,450$175.0K0.1%History
PPTFranklin Premier Income TrustSH BEN INT41,860$159.0K0.1%History
STEWSRH Total Return Fund, Inc.COM12,260$147.0K0.1%History
GNTGAMCO Natural Resources, Gold & Income TrustSH BEN INT30,130$141.0K0.1%History
GFNew Germany Fund IncCOM16,580$140.0K0.1%History
JEQAbrdn Japan Equity Fund, Inc.COM24,320$135.0K0.1%History
EMFTempleton Emerging Markets FundCOM10,040$120.0K0.1%History
IGDVoya GLOBAL EQUITY DIVIDEND & PREMIUM OPPORTUNITY FUNDCOM20,300$112.0K<0.1%History
IGAVoya Global Advantage & Premium Opportunity FundCOM12,210$111.0K<0.1%History
RIGTransocean Ltd.REGISTERED SHS9,000$30.0K<0.1%History
BACKIMAC Holdings, Inc.COM30,000$25.0K<0.1%History