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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
GTEGran Tierra Energy Inc.COM3,000$4.00K<0.1%+3,000NewHistory
VGZVista Gold CorpCOM NEW20,000$11.0K<0.1%+20,000NewHistory
GALTGalectin Therapeutics IncCOM NEW12,000$20.0K<0.1%00.0%UnchangedHistory
SRAXSRAX, Inc.CL A13,000$22.0K<0.1%+13,000NewHistory
ATIPATI Physical Therapy, Inc.COM CL A24,000$24.0K<0.1%−36,000−60.0%ReducedHistory
New Gold Inc Cda644535106COM36,000$32.0K<0.1%00.0%Unchanged–
FREEWhole Earth Brands, Inc.COM CL A10,000$38.0K<0.1%00.0%UnchangedHistory
GAIAGaia, IncCL A16,700$41.0K<0.1%−4,000−19.3%ReducedHistory
CIFRCipher Digital Inc.COM36,000$45.0K<0.1%00.0%UnchangedHistory
Tilray Inc88688TAB6NOTE 5.000%10/050,000$49.0K<0.1%00.0%Unchanged–
NAKNorthern Dynasty Minerals LtdCOM NEW210,000$51.0K<0.1%−180,000−46.2%ReducedHistory
IVCInvacare Holdings CorpCOM72,000$56.0K<0.1%−50,469−41.2%ReducedHistory
NSLRNeostellar Capital Corp.COM NEW17,000$66.0K<0.1%+1,450+9.3%AddedHistory
Sustainable Develp Acqu I Co86934L202UNIT 02/04/202611,000$108.0K0.1%00.0%Unchanged–
RMG Acquisition Corp IIIG76088114UNIT 02/08/202611,000$109.0K0.1%00.0%Unchanged–
VanEck Vectors ETF Tr92189F403RUSSIA ETF19,600$111.0K0.1%+5,400+38.0%Added–
AMAntero Midstream CorpStock12,300$113.0K0.1%−2,500−16.9%ReducedHistory
WBDWarner Bros. Discovery, Inc.Stock11,100$128.0K0.1%−1,305−10.5%ReducedHistory
METCRamaco Resources, Inc.COM14,700$135.0K0.1%+14,700NewHistory
NXENexGen Energy Ltd.COM45,000$165.0K0.1%00.0%UnchangedHistory
OROR Royalties Inc.COM18,000$183.0K0.1%−5,500−23.4%ReducedHistory
GTGoodyear Tire & Rubber CoCOM18,660$188.0K0.1%+1,800+10.7%AddedHistory
KRNYKearny Financial Corp.COM19,000$202.0K0.1%−4,000−17.4%ReducedHistory
VMCVulcan Materials COCOM1,300$205.0K0.1%+1,300NewHistory
BERYBerry Global Group, Inc.COM4,500$209.0K0.1%00.0%UnchangedHistory
SUSuncor Energy IncStock7,500$211.0K0.1%−600−7.4%ReducedHistory
TAT&T Inc.Stock14,076$216.0K0.1%00.0%UnchangedHistory
HONEHarborOne Bancorp, Inc.COM NEW16,200$217.0K0.1%00.0%UnchangedHistory
LUMNLumen Technologies, Inc.Stock30,205$220.0K0.1%00.0%UnchangedHistory
ENBEnbridge IncStock6,000$223.0K0.1%−1,200−16.7%ReducedHistory
MMSIMerit Medical Systems IncCOM4,000$226.0K0.1%00.0%UnchangedHistory
GILDGilead Sciences, Inc.Stock3,700$228.0K0.1%00.0%UnchangedHistory
Tricon Residential Inc Com NPV89612W102COM28,000$242.0K0.1%−900−3.1%Reduced–
GLDSPDR Gold TrustETF1,574$243.0K0.1%−940−37.4%ReducedHistory
CGAUCenterra Gold Inc.COM55,800$246.0K0.1%+42,450+318.0%AddedHistory
BWXTBWX Technologies, Inc.COM4,900$247.0K0.1%−600−10.9%ReducedHistory
AIMCAltra Industrial Motion Corp.COM7,400$249.0K0.1%−600−7.5%ReducedHistory
BACBank of America CorpStock8,400$254.0K0.1%00.0%UnchangedHistory
GSMFerroglobe PLCSHS49,000$259.0K0.1%+28,000+133.3%AddedHistory
iShares Core S&P 500 ETF464287200ETF731$262.0K0.1%00.0%Unchanged–
BNYBank of New York Mellon CorpStock7,401$285.0K0.1%+1,814+32.5%AddedHistory
WisdomTree Tr97717W307US LARGECAP DIVD5,181$286.0K0.1%00.0%Unchanged–
STXSeagate Technology Holdings plcORD SHS5,500$293.0K0.1%00.0%UnchangedHistory
FISFidelity National Information Services, Inc.Stock3,897$294.0K0.1%00.0%UnchangedHistory
NTRNutrien Ltd.COM3,600$300.0K0.2%00.0%UnchangedHistory
AGIAlamos Gold IncStock43,100$319.0K0.2%−3,300−7.1%ReducedHistory
DHTDHT Holdings, Inc.SHS NEW42,765$323.0K0.2%−40,000−48.3%ReducedHistory
FMCFMC CorpCOM NEW3,100$328.0K0.2%00.0%UnchangedHistory
CCitigroup IncStock8,100$338.0K0.2%−900−10.0%ReducedHistory
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–
VTNRVertex Energy Inc.COM57,000$355.0K0.2%+27,000+90.0%AddedHistory
PYPLPayPal Holdings, Inc.Stock4,200$361.0K0.2%00.0%UnchangedHistory
BHVNBiohaven Ltd.COM2,500$378.0K0.2%+2,500NewHistory
Vanguard S&P 500 ETF922908363ETF1,159$380.0K0.2%−69−5.6%Reduced–
VETVermilion Energy Inc.COM18,000$386.0K0.2%00.0%UnchangedHistory
TGBTrekor Metals LtdCOM348,500$397.0K0.2%+66,100+23.4%AddedHistory
JNJJohnson & JohnsonStock2,438$398.0K0.2%−458−15.8%ReducedHistory
VVisa Inc.Stock2,281$405.0K0.2%+2+0.1%AddedHistory
AXPAmerican Express CoStock3,000$405.0K0.2%00.0%UnchangedHistory
NFLXNetflix IncStock1,735$408.0K0.2%00.0%UnchangedHistory
WPMWheaton Precious Metals Corp.COM12,600$408.0K0.2%00.0%UnchangedHistory
FCNFti Consulting, IncCOM2,565$425.0K0.2%−673−20.8%ReducedHistory
Enerplus Corp292766102COM30,000$425.0K0.2%00.0%Unchanged–
Occidental Pete Corp WT Exp 080327674599162Stock11,100$440.0K0.2%00.0%Unchanged–
PGProcter & Gamble CoStock3,651$461.0K0.2%+7+0.2%AddedHistory
ABTAbbott LaboratoriesStock4,800$464.0K0.2%00.0%UnchangedHistory
GPIGroup 1 Automotive IncCOM3,300$471.0K0.2%00.0%UnchangedHistory
PSXPhillips 66Stock6,050$488.0K0.2%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
MDLZMondelez International, Inc.Stock9,000$493.0K0.2%00.0%UnchangedHistory
AAWWAtlas Air Worldwide Holdings IncCOM NEW5,300$507.0K0.3%00.0%UnchangedHistory
Syntax ETF Tr87166N403STRATIFIED US TT13,945$510.0K0.3%+13,945New–
METAMeta Platforms, Inc.Stock3,823$519.0K0.3%+1,212+46.4%AddedHistory
WMTWalmart Inc.Stock4,200$545.0K0.3%00.0%UnchangedHistory
EPDEnterprise Products Partners L.P.Stock23,538$560.0K0.3%00.0%UnchangedHistory
Syntax ETF Tr87166N502STRATIFIED US TT15,625$577.0K0.3%00.0%Unchanged–
NUVNuveen Municipal Value Fund IncCOM68,793$582.0K0.3%00.0%UnchangedHistory
UCTTUltra Clean Holdings, Inc.COM25,000$644.0K0.3%+400+1.6%AddedHistory
KOCoca Cola CoStock11,515$645.0K0.3%+15+0.1%AddedHistory
CVECenovus Energy Inc.COM43,500$669.0K0.3%+13,500+45.0%AddedHistory
ELVElevance Health, Inc.Stock1,500$681.0K0.3%00.0%UnchangedHistory
Syntax ETF Tr87166N106STRATIFD LRG CAP12,196$706.0K0.4%00.0%Unchanged–
Silvercrest Metals Inc828363101COM127,925$707.0K0.4%+6,925+5.7%Added–
VLOValero Energy CorpStock6,651$711.0K0.4%−262−3.8%ReducedHistory
PPLPPL CorpCOM28,606$725.0K0.4%−19,975−41.1%ReducedHistory
CRKComstock Resources IncCOM42,700$738.0K0.4%−26,920−38.7%ReducedHistory
ABBVAbbVie Inc.Stock5,529$742.0K0.4%+41+0.7%AddedHistory
RMNIRimini Street, Inc.COM167,000$778.0K0.4%+23,200+16.1%AddedHistory
UNHUnitedHealth Group IncStock1,617$817.0K0.4%00.0%UnchangedHistory
PEPPepsiCo IncStock5,100$833.0K0.4%00.0%UnchangedHistory
Mag Silver Corp55903Q104COM67,500$842.0K0.4%00.0%Unchanged–
SIISprott Inc.COM NEW25,500$855.0K0.4%00.0%UnchangedHistory
Vanguard Admiral FDS Inc921932828SMLLCP 600 IDX5,368$867.0K0.4%00.0%Unchanged–
BAXBaxter International IncStock16,238$875.0K0.4%+16,238NewHistory
iShares S&P 500 Growth ETF464287309ETF17,388$1.01M0.5%−1,342−7.2%Reduced–
GDGeneral Dynamics CorpStock5,730$1.22M0.6%−156−2.7%ReducedHistory
GOOGAlphabet Inc.Stock12,665$1.22M0.6%00.0%UnchangedConverted for a 20-for-1 splitHistory
MSFTMicrosoft CorpStock5,254$1.22M0.6%−619−10.5%ReducedHistory

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