0000919574-19-005000.txt : 20190812
0000919574-19-005000.hdr.sgml : 20190812
20190809173601
ACCESSION NUMBER: 0000919574-19-005000
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190630
FILED AS OF DATE: 20190812
DATE AS OF CHANGE: 20190809
EFFECTIVENESS DATE: 20190812
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SHEPHERD KAPLAN KROCHUK, LLC
CENTRAL INDEX KEY: 0001218583
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10361
FILM NUMBER: 191013983
BUSINESS ADDRESS:
STREET 1: 125 SUMMER STREET
STREET 2: FLOOR 22
CITY: BOSTON
STATE: MA
ZIP: 02110
BUSINESS PHONE: 617-226-1740
MAIL ADDRESS:
STREET 1: 125 SUMMER STREET
STREET 2: FLOOR 22
CITY: BOSTON
STATE: MA
ZIP: 02110
FORMER COMPANY:
FORMER CONFORMED NAME: GRT CAPITAL PARTNERS L.L.C.
DATE OF NAME CHANGE: 20150813
FORMER COMPANY:
FORMER CONFORMED NAME: GRT CAPITAL PARTNERS LLC
DATE OF NAME CHANGE: 20030212
13F-HR
1
primary_doc.xml
13F-HR
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false
true
false
0001218583
XXXXXXXX
06-30-2019
06-30-2019
false
SHEPHERD KAPLAN KROCHUK, LLC
125 Summer Street
Floor 22
Boston
MA
02110
13F HOLDINGS REPORT
028-10361
N
/s/ Timothy A. Krochuk
Managing Member
617-896-1600
/s/ Timothy A. Krochuk
Boston
MA
08-09-2019
0
161
141492
INFORMATION TABLE
2
infotable.xml
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COM
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COM
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123520
SH
SOLE
123520
0
0
ADAM NAT RES FD INC
COM
00548F105
517
31230
SH
SOLE
31230
0
0
ADAMS DIVERSIFIED EQUITY FD
COM
006212104
210
13590
SH
SOLE
13590
0
0
AGNICO EAGLE MINES LTD
COM
008474108
392
7648
SH
SOLE
7648
0
0
ALLIANZGI NFJ DIVID INT & PR
COM
01883A107
544
43860
SH
SOLE
43860
0
0
ALPHABET INC
CAP STK CL C
02079K107
897
830
SH
SOLE
800
0
30
ALPS ETF TR
ALERIAN MLP
00162Q866
2642
268242
SH
SOLE
0
0
268242
ALTRA INDL MOTION CORP
COM
02208R106
682
19000
SH
SOLE
19000
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
1027
31500
SH
SOLE
31500
0
0
AMERICAN EXPRESS CO
COM
025816109
2338
18940
SH
SOLE
18940
0
0
AMERICAN INTL GROUP INC
COM NEW
026874784
1050
19701
SH
SOLE
19701
0
0
AMGEN INC
COM
031162100
456
2476
SH
SOLE
2476
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0
ANTERO RES CORP
COM
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25333
SH
SOLE
25333
0
0
ANTHEM INC
COM
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1109
3930
SH
SOLE
3930
0
0
AVIS BUDGET GROUP INC
COM
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1210
34400
SH
SOLE
34400
0
0
AXALTA COATING SYS LTD
COM
G0750C108
712
23900
SH
SOLE
23900
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0
AZURE PWR GLOBAL LTD
SHS
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11200
SH
SOLE
11200
0
0
BANK AMER CORP
COM
060505104
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15616
SH
SOLE
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0
BANK NEW YORK MELLON CORP
COM
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12701
SH
SOLE
12701
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CL A
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637
2
SH
SOLE
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0
2
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
9713
45563
SH
SOLE
42617
0
2946
BERRY GLOBAL GROUP INC
COM
08579W103
534
10149
SH
SOLE
10149
0
0
BIOLIFE SOLUTIONS INC
COM NEW
09062W204
237
14000
SH
SOLE
14000
0
0
BLACKROCK CR ALLCTN INC TR
COM
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169
13010
SH
SOLE
13010
0
0
BLACKROCK ENHANCED EQT DIV T
COM
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239
26970
SH
SOLE
26970
0
0
BLACKROCK ENHANCED GBL DIV T
COM
092501105
411
38290
SH
SOLE
38290
0
0
BLACKROCK ENHANCED INTL DIV
COM BENE INTER
092524107
202
35950
SH
SOLE
35950
0
0
BLACKROCK FLOAT RATE OME STR
COM
09255X100
395
30770
SH
SOLE
30770
0
0
BLACKROCK RES & COMM STRAT T
SHS
09257A108
529
64660
SH
SOLE
64660
0
0
BOULDER GROWTH & INCOME FD I
COM
101507101
130
11600
SH
SOLE
11600
0
0
BWX TECHNOLOGIES INC
COM
05605H100
1245
23887
SH
SOLE
23887
0
0
CALLON PETE CO DEL
COM
13123X102
1214
184269
SH
SOLE
184269
0
0
CAMPBELL SOUP CO
COM
134429109
1781
44450
SH
SOLE
0
0
44450
CBRE CLARION GLOBAL REAL EST
COM
12504G100
478
63810
SH
SOLE
63810
0
0
CELGENE CORP
COM
151020104
832
9000
SH
SOLE
9000
0
0
CENOVUS ENERGY INC
COM
15135U109
443
50200
SH
Call
SOLE
50200
0
0
CENTRAL SECS CORP
COM
155123102
349
11430
SH
SOLE
11430
0
0
CHECKPOINT THERAPEUTICS INC
COM
162828107
30
10000
SH
SOLE
10000
0
0
CIMAREX ENERGY CO
COM
171798101
1825
30754
SH
SOLE
30754
0
0
CITIGROUP INC
COM NEW
172967424
1382
19736
SH
SOLE
19736
0
0
COCA COLA CO
COM
191216100
854
16781
SH
SOLE
16781
0
0
CONCHO RES INC
COM
20605P101
693
6712
SH
SOLE
6712
0
0
CONSOL ENERGY INC NEW
COM
20854L108
412
15500
SH
SOLE
15500
0
0
COPART INC
COM
217204106
4167
55748
SH
SOLE
55748
0
0
CORE LABORATORIES N V
COM
N22717107
332
6358
SH
SOLE
6358
0
0
CREDIT SUISSE ASSET MGMT INC
COM
224916106
137
43900
SH
SOLE
43900
0
0
DAVITA INC
COM
23918K108
3229
57400
SH
SOLE
57400
0
0
DAWSON GEOPHYSICAL CO NEW
COM
239360100
230
92000
SH
SOLE
92000
0
0
DELAWARE ENHANCED GBL DIV &
COM
246060107
270
27240
SH
SOLE
27240
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
1998
35200
SH
SOLE
35200
0
0
DIAMONDBACK ENERGY INC
COM
25278X109
2394
21967
SH
SOLE
21967
0
0
DIVIDEND & INCOME FUND
COM NEW
25538A204
520
45120
SH
SOLE
45120
0
0
EAGLE MATERIALS INC
COM
26969P108
269
2900
SH
SOLE
2900
0
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
128
20490
SH
SOLE
20490
0
0
ENBRIDGE INC
COM
29250N105
527
14600
SH
SOLE
14600
0
0
F M C CORP
COM NEW
302491303
432
5202
SH
SOLE
5202
0
0
FACEBOOK INC
CL A
30303M102
613
3175
SH
SOLE
3000
0
175
FIDELITY NATL INFORMATION SV
COM
31620M106
870
7094
SH
SOLE
7094
0
0
FIRST TR HIGH INCOME L/S FD
COM
33738E109
544
36190
SH
SOLE
36190
0
0
FLEX LTD
ORD
Y2573F102
330
34437
SH
SOLE
34437
0
0
FRANKLIN UNVL TR
SH BEN INT
355145103
283
38700
SH
SOLE
38700
0
0
GABELLI GLB SML & MD CP VAL
COM
36249W104
140
12030
SH
SOLE
12030
0
0
GABELLI HLTHCARE & WELLNESS
SHS
36246K103
261
24760
SH
SOLE
24760
0
0
GAIA INC NEW
CL A
36269P104
804
106094
SH
SOLE
106094
0
0
GENERAL AMERN INVS INC
COM
368802104
551
15530
SH
SOLE
15530
0
0
GILEAD SCIENCES INC
COM
375558103
948
14031
SH
SOLE
14031
0
0
GOLDMAN SACHS ETF TR
ACCES TREASURY
381430529
361
3600
SH
SOLE
3600
0
0
GROUP 1 AUTOMOTIVE INC
COM
398905109
338
4129
SH
SOLE
4129
0
0
HANCOCK JOHN INVS TR
COM
410142103
273
16630
SH
SOLE
16630
0
0
HARBORONE BANCORP INC
COM
41165F101
317
16948
SH
SOLE
16948
0
0
HIGHPOINT RES CORP
COM
43114K108
392
215300
SH
SOLE
215300
0
0
IAA INC
COM
449253103
281
7254
SH
SOLE
7254
0
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INDEPENDENT BANK CORP MASS
COM
453836108
688
9029
SH
SOLE
9029
0
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INTERNATIONAL GAME TECHNOLOG
SHS USD
G4863A108
160
12300
SH
SOLE
12300
0
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INVESCO DYNAMIC CR OPP FD
COM
46132R104
263
23550
SH
SOLE
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INVESCO EXCHNG TRADED FD TR
RUSEL 1000 EQL
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475
14556
SH
SOLE
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INVESCO QQQ TR
UNIT SER 1
46090E103
1251
6700
SH
Put
SOLE
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ISHARES TR
MSCI EMG MKT ETF
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654
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SOLE
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15243
ISHARES TR
S&P 500 GRWT ETF
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1572
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SH
SOLE
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0
8773
ISHARES TR
RUS MD CP GR ETF
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542
3802
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SOLE
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3802
ISHARES TR
RUS MID CAP ETF
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304
5438
SH
SOLE
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0
5438
ISHARES TR
NASDAQ BIOTECH
464287556
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1856
SH
SOLE
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0
1856
ISHARES TR
RUS 1000 VAL ETF
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235
1846
SH
SOLE
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1846
ISHARES TR
TRS FLT RT BD
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SOLE
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ISHARES TR
S&P MC 400GR ETF
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276
1221
SH
SOLE
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0
1221
ISHARES TR
CORE S&P SCP ETF
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283
3614
SH
SOLE
0
0
3614
ISHARES TR
SHORT TREAS BD
464288679
362
3270
SH
SOLE
3270
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JAPAN SMALLER CAPTLZTN FD IN
COM
47109U104
106
12500
SH
SOLE
12500
0
0
JOHNSON & JOHNSON
COM
478160104
454
3258
SH
SOLE
3258
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KEARNY FINL CORP MD
COM
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771
58000
SH
SOLE
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0
KINROSS GOLD CORP
COM
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64
16500
SH
SOLE
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KIRKLAND LAKE GOLD LTD
COM
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408
9500
SH
SOLE
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LOGMEIN INC
COM
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221
3000
SH
SOLE
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0
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MAG SILVER CORP
COM
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SH
SOLE
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MARATHON PETE CORP
COM
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SOLE
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METHANEX CORP
COM
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MEXICO FD INC
COM
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SOLE
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MICROSOFT CORP
COM
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SH
SOLE
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MOHAWK INDS INC
COM
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3800
SH
SOLE
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MONDELEZ INTL INC
CL A
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676
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SH
SOLE
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MORGAN STANLEY EM MKTS DM DE
COM
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MORGAN STANLEY EMER MKTS DEB
COM
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COM
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168
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SH
SOLE
107000
0
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NOBLE ENERGY INC
COM
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SH
SOLE
84410
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NUTRIEN LTD
COM
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878
16428
SH
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NUVEEN REAL ASSET INM AND GW
COM
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286
16890
SH
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NUVERRA ENVIRONMENTAL SOLUTI
COM PAR
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144
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SOLE
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ORION ENGINEERED CARBONS S A
COM
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SOLE
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PARSLEY ENERGY INC
CL A
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1842
96920
SH
SOLE
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PATTERN ENERGY GROUP INC
CL A
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1320
57150
SH
SOLE
57150
0
0
PAYPAL HLDGS INC
COM
70450Y103
683
5969
SH
SOLE
5969
0
0
PCSB FINL CORP
COM
69324R104
468
23100
SH
SOLE
23100
0
0
PENN NATL GAMING INC
COM
707569109
337
17500
SH
SOLE
17500
0
0
PEPSICO INC
COM
713448108
1060
8082
SH
SOLE
8082
0
0
PHILLIPS 66
COM
718546104
995
10639
SH
SOLE
10639
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PIONEER NAT RES CO
COM
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1970
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SH
SOLE
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PRETIUM RES INC
COM
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350
35000
SH
Call
SOLE
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0
0
PRETIUM RES INC
COM
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93029
SH
SOLE
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0
0
PROCTER AND GAMBLE CO
COM
742718109
541
4935
SH
SOLE
4935
0
0
PROSHARES TR
ULTRAPRO QQQ
74347X831
612
9900
SH
Put
SOLE
9900
0
0
QUALCOMM INC
COM
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373
4900
SH
SOLE
4900
0
0
ROYCE GLOBAL VALUE TR INC
COM
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131
12430
SH
SOLE
12430
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
156
19000
SH
SOLE
19000
0
0
ROYCE VALUE TR INC
COM
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140
10060
SH
SOLE
10060
0
0
S&P GLOBAL INC
COM
78409V104
1823
8003
SH
SOLE
8003
0
0
SEAGATE TECHNOLOGY PLC
SHS
G7945M107
469
9957
SH
SOLE
9957
0
0
SINCLAIR BROADCAST GROUP INC
CL A
829226109
804
15000
SH
SOLE
15000
0
0
SNAP ON INC
COM
833034101
598
3612
SH
SOLE
3612
0
0
SOURCE CAP INC
COM
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237
6470
SH
SOLE
6470
0
0
SPDR GOLD TRUST
GOLD SHS
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274
2057
SH
SOLE
0
0
2057
SPDR S&P 500 ETF TR
TR UNIT
78462F103
18049
61600
SH
Put
SOLE
61600
0
0
SPDR SERIES TRUST
S&P BK ETF
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256
5902
SH
SOLE
0
0
5902
SPDR SERIES TRUST
S&P REGL BKG
78464A698
409
7659
SH
SOLE
0
0
7659
SPDR SERIES TRUST
SPDR BLOOMBERG
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361
3940
SH
SOLE
3940
0
0
TECNOGLASS INC
SHS
G87264100
247
38000
SH
SOLE
38000
0
0
TEKLA HEALTHCARE OPPORTUNIT
SHS
879105104
200
11210
SH
SOLE
11210
0
0
TESLA INC
COM
88160R101
223
1000
SH
Put
SOLE
1000
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
1683
5731
SH
SOLE
5731
0
0
TRAVELERS COMPANIES INC
COM
89417E109
875
5855
SH
SOLE
5855
0
0
ULTRA CLEAN HLDGS INC
COM
90385V107
1002
72000
SH
SOLE
72000
0
0
UNITED CONTL HLDGS INC
COM
910047109
1053
12029
SH
SOLE
12029
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
1462
5993
SH
SOLE
5993
0
0
VANGUARD ADMIRAL FDS INC
SMLLCP 600 IDX
921932828
321
2250
SH
SOLE
0
0
2250
VANGUARD INDEX FDS
SM CP VAL ETF
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201
1543
SH
SOLE
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0
1543
VANGUARD INDEX FDS
S&P 500 ETF SHS
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807
2998
SH
SOLE
0
0
2998
VANGUARD INDEX FDS
SMALL CP ETF
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222
1420
SH
SOLE
0
0
1420
VANGUARD INDEX FDS
MID CAP ETF
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775
4638
SH
SOLE
0
0
4638
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
377
2511
SH
SOLE
0
0
2511
VANGUARD INTL EQUITY INDEX F
TT WRLD ST ETF
922042742
915
12168
SH
SOLE
0
0
12168
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
263
6309
SH
SOLE
0
0
6309
VISA INC
COM CL A
92826C839
521
3000
SH
SOLE
3000
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
2034
37200
SH
SOLE
37200
0
0
WALMART INC
COM
931142103
619
5598
SH
SOLE
5598
0
0
WELLS FARGO INCOME OPPORTUNI
WF INC OPPTY FD
94987B105
278
33690
SH
SOLE
33690
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
484
20000
SH
SOLE
20000
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
682
28200
SH
Call
SOLE
28200
0
0
WHITING PETE CORP NEW
COM NEW
966387409
1800
96347
SH
SOLE
96347
0
0
WISDOMTREE TR
FLOATNG RAT TREA
97717X628
362
14420
SH
SOLE
14420
0
0
WISDOMTREE TR
US LARGECAP DIVD
97717W307
1437
14827
SH
SOLE
0
0
14827
WPX ENERGY INC
COM
98212B103
2155
187267
SH
SOLE
187267
0
0