Managing Member

0000919574-20-005360.txt : 20200814 0000919574-20-005360.hdr.sgml : 20200814 20200814142137 ACCESSION NUMBER: 0000919574-20-005360 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200814 DATE AS OF CHANGE: 20200814 EFFECTIVENESS DATE: 20200814 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: 201104030 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 LIVE false true false 0001218583 XXXXXXXX 06-30-2020 06-30-2020 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 08-14-2020 1 180 223592 1 0001710524 028-18093 Peak Capital Management LLC INFORMATION TABLE 2 infotable.xml ABB LTD SPONSORED ADR 000375204 890 39462 SH SOLE 0 0 39462 ABBOTT LABS COM 002824100 731 8000 SH SOLE 8000 0 0 ABBVIE INC COM 00287Y109 1064 10833 SH SOLE 0 0 10833 ABERDEEN ASIA-PACIFIC INCOME COM 003009107 317 83170 SH SOLE 83170 0 0 ABERDEEN EMRG MRKTS EQT INM COM 00301W105 222 36680 SH SOLE 36680 0 0 ADAM NAT RES FD INC COM 00548F105 259 22780 SH SOLE 22780 0 0 AGNICO EAGLE MINES LTD COM 008474108 320 5000 SH SOLE 5000 0 0 ALLIANZGI DIVIDEND INT & PRM COM 01883A107 249 22230 SH SOLE 22230 0 0 ALPHABET INC CAP STK CL C 02079K107 1173 830 SH SOLE 800 0 30 ALTRA INDL MOTION CORP COM 02208R106 366 11500 SH SOLE 11500 0 0 AMERICAN EXPRESS CO COM 025816109 762 8000 SH SOLE 8000 0 0 AMGEN INC COM 031162100 307 1300 SH SOLE 1300 0 0 ANTERO RESOURCES CORP COM 03674X106 32 12673 SH SOLE 12673 0 0 ANTERO RESOURCES CORP COM 03674X106 18 7000 SH Call SOLE 7000 0 0 ANTHEM INC COM 036752103 631 2400 SH SOLE 2400 0 0 APPLE INC COM 037833100 6079 16665 SH SOLE 0 0 16665 ASA GOLD AND PRECIOUS MTLS L SHS G3156P103 530 30245 SH SOLE 27480 0 2765 AT&T INC COM 00206R102 426 14076 SH SOLE 0 0 14076 AXALTA COATING SYS LTD COM G0750C108 304 13500 SH SOLE 13500 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 5697 31916 SH SOLE 19700 0 12216 BERRY GLOBAL GROUP INC COM 08579W103 270 6100 SH SOLE 6100 0 0 BIODELIVERY SCIENCES INTL IN COM 09060J106 220 50400 SH SOLE 50400 0 0 BIOLIFE SOLUTIONS INC COM NEW 09062W204 216 13200 SH SOLE 13200 0 0 BK OF AMERICA CORP COM 060505104 309 13000 SH SOLE 13000 0 0 BLACKROCK ENHANCED GLOBAL DI COM 092501105 252 26770 SH SOLE 26770 0 0 BLACKROCK ENHANCED INTL DIV COM BENE INTER 092524107 509 99000 SH SOLE 99000 0 0 BLACKROCK RES & COMMODITIES SHS 09257A108 311 50690 SH SOLE 50690 0 0 BP PLC SPONSORED ADR 055622104 252 10800 SH SOLE 10800 0 0 BWX TECHNOLOGIES INC COM 05605H100 255 4500 SH SOLE 4500 0 0 CALLON PETE CO DEL COM 13123X102 112 97109 SH SOLE 97109 0 0 CAMPBELL SOUP CO COM 134429109 2206 44450 SH SOLE 0 0 44450 CBRE CLARION GLOBAL REAL EST COM 12504G100 187 31320 SH SOLE 31320 0 0 CENOVUS ENERGY INC COM 15135U109 886 189700 SH Call SOLE 189700 0 0 CENOVUS ENERGY INC COM 15135U109 93 20000 SH SOLE 20000 0 0 CENTURY CASINOS INC COM 156492100 44 10500 SH SOLE 10500 0 0 CIMAREX ENERGY CO COM 171798101 649 23604 SH SOLE 23604 0 0 CITIGROUP INC COM NEW 172967424 715 14000 SH SOLE 14000 0 0 CNX RESOURCES CORPORATION COM 12653C108 163 18830 SH SOLE 18830 0 0 COCA COLA CO COM 191216100 670 15000 SH SOLE 15000 0 0 COMSTOCK RES INC COM 205768302 305 69620 SH SOLE 69620 0 0 CONCHO RES INC COM 20605P101 513 9952 SH SOLE 9952 0 0 COPART INC COM 217204106 3414 41000 SH SOLE 41000 0 0 CROWDSTRIKE HLDGS INC CL A 22788C105 3257 32480 SH SOLE 600 0 31880 DAVITA INC COM 23918K108 2651 33500 SH SOLE 33500 0 0 DAWSON GEOPHYSICAL CO NEW COM 239360100 38 26600 SH SOLE 26600 0 0 DBX ETF TR XTRACK MSCI EAFE 233051630 4491 220380 SH SOLE 0 0 220380 DIAMONDBACK ENERGY INC COM 25278X109 732 17508 SH SOLE 17508 0 0 DISCOVERY INC COM SER C 25470F302 212 11000 SH SOLE 11000 0 0 DIVIDEND & INCOME FD INC COM NEW 25538A204 378 37090 SH SOLE 37090 0 0 DOLLAR GEN CORP NEW COM 256677105 1147 6019 SH SOLE 0 0 6019 ENBRIDGE INC COM 29250N105 444 14600 SH SOLE 14600 0 0 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 3047 427911 SH SOLE 0 0 427911 ENERPLUS CORP COM 292766102 82 29100 SH SOLE 29100 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 346 19023 SH SOLE 0 0 19023 EXP WORLD HLDGS INC COM 30212W100 171 10000 SH SOLE 0 0 10000 F M C CORP COM NEW 302491303 299 3000 SH SOLE 3000 0 0 FACEBOOK INC CL A 30303M102 676 2975 SH SOLE 2800 0 175 FIDELITY NATL INFORMATION SV COM 31620M106 657 4897 SH SOLE 4897 0 0 FIRST TR MORNINGSTAR DIVID L SHS 336917109 5262 207472 SH SOLE 0 0 207472 GABELLI DIVID & INCOME TR COM 36242H104 473 26900 SH SOLE 26900 0 0 GABELLI HLTHCARE & WELLNESS SHS 36246K103 249 24760 SH SOLE 24760 0 0 GAIA INC NEW CL A 36269P104 385 46000 SH SOLE 46000 0 0 GALECTIN THERAPEUTICS INC COM NEW 363225202 37 12000 SH SOLE 0 0 12000 GILEAD SCIENCES INC COM 375558103 469 6100 SH SOLE 6100 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 934 22903 SH SOLE 0 0 22903 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 3536 132980 SH SOLE 0 0 132980 GOLDMAN SACHS ETF TR ACCES TREASURY 381430529 562 5590 SH SOLE 5590 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 3475 114717 SH SOLE 0 0 114717 GOODRICH PETE CORP COM PAR 382410843 138 19160 SH SOLE 19160 0 0 GROUP 1 AUTOMOTIVE INC COM 398905109 272 4129 SH SOLE 4129 0 0 HARBORONE BANCORP INC NEW COM NEW 41165Y100 214 25000 SH SOLE 25000 0 0 HIGHPOINT RES CORP COM 43114K108 32 107740 SH SOLE 107740 0 0 INVESCO EXCH TRADED FD TR II RUSEL 1000 EQL 46138E420 420 13700 SH SOLE 0 0 13700 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 1568 111041 SH SOLE 0 0 111041 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 7463 150225 SH SOLE 0 0 150225 INVESCO LTD SHS G491BT108 183 17000 SH Call SOLE 17000 0 0 ISHARES TR S&P MC 400GR ETF 464287606 249 1113 SH SOLE 0 0 1113 ISHARES TR 1 3 YR TREAS BD 464287457 386 4462 SH SOLE 4450 0 12 ISHARES TR USA MOMENTUM FCT 46432F396 8074 61632 SH SOLE 0 0 61632 ISHARES TR MSCI EAFE ETF 464287465 376 6171 SH SOLE 0 0 6171 ISHARES TR RUS MD CP GR ETF 464287481 601 3802 SH SOLE 0 0 3802 ISHARES TR TRS FLT RT BD 46434V860 456 9060 SH SOLE 9060 0 0 ISHARES TR RUS 2000 VAL ETF 464287630 214 2200 SH SOLE 2200 0 0 ISHARES TR NASDAQ BIOTECH 464287556 254 1856 SH SOLE 0 0 1856 ISHARES TR SHORT TREAS BD 464288679 561 5070 SH SOLE 5070 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 553 13819 SH SOLE 0 0 13819 ISHARES TR S&P 500 GRWT ETF 464287309 998 4808 SH SOLE 0 0 4808 J P MORGAN EXCHANGE-TRADED F US QUALTY FCTR 46641Q761 8017 263466 SH SOLE 0 0 263466 JAPAN SMALLER CAPITALIZATION COM 47109U104 215 27490 SH SOLE 27490 0 0 JMP GROUP LLC COM 46629U107 44 16000 SH SOLE 16000 0 0 JOHNSON & JOHNSON COM 478160104 422 3000 SH SOLE 3000 0 0 KAR AUCTION SVCS INC COM 48238T109 224 16315 SH SOLE 16315 0 0 KEARNY FINL CORP MD COM 48716P108 384 47000 SH SOLE 47000 0 0 KINDER MORGAN INC DEL COM 49456B101 384 25326 SH SOLE 3600 0 21726 KINROSS GOLD CORP COM 496902404 108 15000 SH SOLE 15000 0 0 KIRKLAND LAKE GOLD LTD COM 49741E100 660 16000 SH SOLE 16000 0 0 LAZARD GLOBAL TOTAL RETURN & COM 52106W103 248 17610 SH SOLE 17610 0 0 MAG SILVER CORP COM 55903Q104 1410 100000 SH SOLE 100000 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 346 8016 SH SOLE 0 0 8016 MARATHON PETE CORP COM 56585A102 355 9500 SH SOLE 9500 0 0 MERIT MED SYS INC COM 589889104 434 9500 SH SOLE 9500 0 0 METHANEX CORP COM 59151K108 266 14700 SH SOLE 14700 0 0 MICROSOFT CORP COM 594918104 2035 10000 SH SOLE 10000 0 0 MOHAWK INDS INC COM 608190104 458 4500 SH SOLE 4500 0 0 MONDELEZ INTL INC CL A 609207105 614 12000 SH SOLE 12000 0 0 NETFLIX INC COM 64110L106 789 1735 SH SOLE 0 0 1735 NEW GERMANY FD INC COM 644465106 279 18390 SH SOLE 18390 0 0 NEW GOLD INC CDA COM 644535106 163 121000 SH Call SOLE 121000 0 0 NEWMONT CORP COM 651639106 807 13076 SH SOLE 300 0 12776 NEXGEN ENERGY LTD COM 65340P106 116 90000 SH SOLE 90000 0 0 NOBLE ENERGY INC COM 655044105 757 84460 SH SOLE 84460 0 0 NORTHERN DYNASTY MINERALS LT COM NEW 66510M204 644 450000 SH SOLE 450000 0 0 NORTHERN OIL & GAS INC NEV COM 665531109 60 71000 SH Call SOLE 71000 0 0 NUTRIEN LTD COM 67077M108 321 10000 SH SOLE 10000 0 0 NUVEEN MUN VALUE FD INC COM 670928100 956 93750 SH SOLE 0 0 93750 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 185 16850 SH SOLE 16850 0 0 NUVEEN SHT DUR CR OPP FD COM 67074X107 125 10640 SH SOLE 10640 0 0 ORION ENGINEERED CARBONS S A COM L72967109 480 45300 SH SOLE 45300 0 0 OSISKO GOLD ROYALTIES LTD COM 68827L101 300 30000 SH SOLE 30000 0 0 PARSLEY ENERGY INC CL A 701877102 1035 96920 SH SOLE 96920 0 0 PAYPAL HLDGS INC COM 70450Y103 836 4800 SH SOLE 4800 0 0 PEPSICO INC COM 713448108 926 7000 SH SOLE 7000 0 0 PHILLIPS 66 COM 718546104 360 5000 SH SOLE 5000 0 0 PIMCO ETF TR INV GRD CRP BD 72201R817 3329 29128 SH SOLE 0 0 29128 PIONEER NAT RES CO COM 723787107 626 6404 SH SOLE 6404 0 0 PPL CORP COM 69351T106 797 30841 SH SOLE 0 0 30841 PRETIUM RES INC COM 74139C102 752 89500 SH SOLE 89500 0 0 PROCTER AND GAMBLE CO COM 742718109 550 4600 SH SOLE 4600 0 0 PROSHARES TR SHORT S&P 500 NE 74347B425 8473 378915 SH SOLE 0 0 378915 QUALCOMM INC COM 747525103 1142 12523 SH SOLE 0 0 12523 REEDS INC COM 758338107 29 30000 SH SOLE 30000 0 0 ROYCE MICRO-CAP TR INC COM 780915104 247 34270 SH SOLE 34270 0 0 ROYCE VALUE TR INC COM 780910105 387 30830 SH SOLE 30830 0 0 S&P GLOBAL INC COM 78409V104 2534 7690 SH SOLE 7690 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 6563 130965 SH SOLE 0 0 130965 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 439 8500 SH SOLE 8500 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 4878 74662 SH SOLE 0 0 74662 SEAGATE TECHNOLOGY PLC SHS G7945M107 349 7200 SH SOLE 7200 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 288 7598 SH SOLE 0 0 7598 SOURCE CAP INC COM 836144105 441 13330 SH SOLE 13330 0 0 SPDR GOLD TR GOLD SHS 78463V107 417 2490 SH SOLE 0 0 2490 SPDR S&P 500 ETF TR TR UNIT 78462F103 16374 53100 SH Put SOLE 22100 0 31000 SPDR S&P 500 ETF TR TR UNIT 78462F103 166 538 SH SOLE 0 0 538 SPDR SER TR SPDR BLOOMBERG 78468R663 561 6130 SH SOLE 6130 0 0 SPDR SER TR PORTFOLIO LN TSR 78464A664 22466 478921 SH SOLE 0 0 478921 STAMPS COM INC COM NEW 852857200 735 4000 SH SOLE 4000 0 0 SYNTAX ETF TR STRATIFD LRG CAP 87166N106 495 10831 SH SOLE 0 0 10831 TECNOGLASS INC SHS G87264100 207 38000 SH SOLE 38000 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 365 17130 SH SOLE 17130 0 0 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 333 18520 SH SOLE 18520 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1015 2800 SH SOLE 2800 0 0 TRAVELERS COMPANIES INC COM 89417E109 456 4000 SH SOLE 4000 0 0 TRI CONTL CORP COM 895436103 256 10380 SH SOLE 10380 0 0 ULTRA CLEAN HLDGS INC COM 90385V107 662 29250 SH SOLE 29250 0 0 UNITED PARCEL SERVICE INC CL B 911312106 1172 10537 SH SOLE 0 0 10537 UNITEDHEALTH GROUP INC COM 91324P102 885 3000 SH SOLE 3000 0 0 VALERO ENERGY CORP COM 91913Y100 1169 19871 SH SOLE 0 0 19871 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 7004 244051 SH SOLE 0 0 244051 VANGUARD INDEX FDS MID CAP ETF 922908629 573 3493 SH SOLE 0 0 3493 VANGUARD INDEX FDS SMALL CP ETF 922908751 275 1884 SH SOLE 0 0 1884 VANGUARD INDEX FDS TOTAL STK MKT 922908769 322 2056 SH SOLE 0 0 2056 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 4825 61447 SH SOLE 0 0 61447 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 945 3334 SH SOLE 0 0 3334 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 6979 128356 SH SOLE 0 0 128356 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 440 7070 SH SOLE 7070 0 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1157 14000 SH SOLE 0 0 14000 VERMILION ENERGY INC COM 923725105 227 50900 SH SOLE 50900 0 0 VISA INC COM CL A 92826C839 386 2000 SH SOLE 2000 0 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 191 12000 SH SOLE 12000 0 0 VOYA GLBL ADV & PREM OPP FD COM 92912R104 374 45660 SH SOLE 45660 0 0 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 477 98690 SH SOLE 98690 0 0 VULCAN MATLS CO COM 929160109 243 2100 SH SOLE 2100 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 203 4800 SH SOLE 4800 0 0 WALMART INC COM 931142103 707 5900 SH SOLE 5900 0 0 WELLS FARGO CO NEW COM 949746101 371 14500 SH SOLE 14500 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 176 4000 SH Call SOLE 4000 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 793 18000 SH SOLE 18000 0 0 WISDOMTREE TR US LARGECAP DIVD 97717W307 410 4413 SH SOLE 0 0 4413 WISDOMTREE TR FLOATNG RAT TREA 97717X628 494 19670 SH SOLE 19670 0 0 WPX ENERGY INC COM 98212B103 749 117368 SH SOLE 117368 0 0