Managing Member

0000919574-20-006831.txt : 20201113 0000919574-20-006831.hdr.sgml : 20201113 20201112190209 ACCESSION NUMBER: 0000919574-20-006831 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201113 DATE AS OF CHANGE: 20201112 EFFECTIVENESS DATE: 20201113 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: 201308570 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 09-30-2020 09-30-2020 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 11-12-2020 1 178 240309 1 0001710524 028-18093 Peak Capital Management LLC INFORMATION TABLE 2 infotable.xml ABB LTD SPONSORED ADR 000375204 743 29190 SH SOLE 0 0 29190 ABBOTT LABS COM 002824100 871 8000 SH SOLE 8000 0 0 ABBVIE INC COM 00287Y109 914 10438 SH SOLE 0 0 10438 ABERDEEN EMRG MRKTS EQT INM COM 00301W105 238 36680 SH SOLE 36680 0 0 AGNICO EAGLE MINES LTD COM 008474108 398 5000 SH SOLE 5000 0 0 ALPHABET INC CAP STK CL C 02079K107 1220 830 SH SOLE 800 0 30 ALTRA INDL MOTION CORP COM 02208R106 407 11000 SH SOLE 11000 0 0 AMERICAN EXPRESS CO COM 025816109 782 7800 SH SOLE 7800 0 0 AMGEN INC COM 031162100 366 1438 SH SOLE 1300 0 138 ANTERO RESOURCES CORP COM 03674X106 35 12673 SH SOLE 12673 0 0 ANTHEM INC COM 036752103 645 2400 SH SOLE 2400 0 0 APPLE INC COM 037833100 6234 53826 SH SOLE 0 0 53826 ARCH RESOURCES INC CL A 03940R107 204 4800 SH SOLE 4800 0 0 ASA GOLD AND PRECIOUS MTLS L SHS G3156P103 349 16385 SH SOLE 13620 0 2765 AT&T INC COM 00206R102 401 14076 SH SOLE 0 0 14076 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 6112 28702 SH SOLE 16700 0 12002 BERRY GLOBAL GROUP INC COM 08579W103 295 6100 SH SOLE 6100 0 0 BIODELIVERY SCIENCES INTL IN COM 09060J106 236 63400 SH SOLE 63400 0 0 BIOLIFE SOLUTIONS INC COM NEW 09062W204 382 13200 SH SOLE 13200 0 0 BK OF AMERICA CORP COM 060505104 313 13000 SH SOLE 13000 0 0 BLACKROCK CR ALLOCATION INCO COM 092508100 240 16870 SH SOLE 16870 0 0 BLACKROCK ENHANCED GLOBAL DI COM 092501105 256 26770 SH SOLE 26770 0 0 BLACKROCK MULTI-SECTOR INC T COM 09258A107 297 18840 SH SOLE 18840 0 0 BLACKROCK RES & COMMODITIES SHS 09257A108 302 50690 SH SOLE 50690 0 0 BP PLC SPONSORED ADR 055622104 210 12000 SH SOLE 12000 0 0 BRANDYWINEGBL GBL INCM OPP COM 10537L104 343 29820 SH SOLE 29820 0 0 BWX TECHNOLOGIES INC COM 05605H100 242 4300 SH SOLE 4300 0 0 CAMPBELL SOUP CO COM 134429109 2150 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 87 22400 SH SOLE 22400 0 0 CENOVUS ENERGY INC COM 15135U109 738 189700 SH Call SOLE 189700 0 0 CIMAREX ENERGY CO COM 171798101 574 23604 SH SOLE 23604 0 0 CITIGROUP INC COM NEW 172967424 621 14400 SH SOLE 14400 0 0 CNX RES CORP COM 12653C108 178 18830 SH SOLE 18830 0 0 COCA COLA CO COM 191216100 746 15109 SH SOLE 15000 0 109 COMSTOCK RES INC COM 205768302 305 69620 SH SOLE 69620 0 0 CONCHO RES INC COM 20605P101 439 9952 SH SOLE 9952 0 0 COPART INC COM 217204106 4149 39453 SH SOLE 39400 0 53 CROWDSTRIKE HLDGS INC CL A 22788C105 305 2219 SH SOLE 0 0 2219 DAVITA INC COM 23918K108 2715 31700 SH SOLE 31700 0 0 DBX ETF TR XTRACK MSCI EAFE 233051630 4307 211530 SH SOLE 0 0 211530 DIAMONDBACK ENERGY INC COM 25278X109 527 17508 SH SOLE 17508 0 0 DISCOVERY INC COM SER C 25470F302 196 10000 SH SOLE 10000 0 0 DIVIDEND & INCOME FD INC COM NEW 25538A204 338 37090 SH SOLE 37090 0 0 DOLLAR GEN CORP NEW COM 256677105 1156 5516 SH SOLE 0 0 5516 ENBRIDGE INC COM 29250N105 426 14600 SH SOLE 14600 0 0 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 2631 485344 SH SOLE 0 0 485344 ENERPLUS CORP COM 292766102 60 32200 SH SOLE 32200 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 350 22173 SH SOLE 0 0 22173 EXXON MOBIL CORP COM 30231G102 216 6299 SH SOLE 4600 0 1699 F M C CORP COM NEW 302491303 318 3000 SH SOLE 3000 0 0 FACEBOOK INC CL A 30303M102 785 2998 SH SOLE 2800 0 198 FIDELITY NATL INFORMATION SV COM 31620M106 721 4897 SH SOLE 4897 0 0 FIRST TR MORNINGSTAR DIVID L SHS 336917109 4958 190269 SH SOLE 0 0 190269 GABELLI DIVID & INCOME TR COM 36242H104 494 26900 SH SOLE 26900 0 0 GABELLI HLTHCARE & WELLNESS SHS 36246K103 256 24760 SH SOLE 24760 0 0 GAIA INC NEW CL A 36269P104 433 44000 SH SOLE 44000 0 0 GALECTIN THERAPEUTICS INC COM NEW 363225202 32 12000 SH SOLE 0 0 12000 GENERAL AMERN INVS INC COM 368802104 210 6190 SH SOLE 6190 0 0 GILEAD SCIENCES INC COM 375558103 297 4700 SH SOLE 4700 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 824 21900 SH SOLE 0 0 21900 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 3323 118052 SH SOLE 0 0 118052 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 3828 116741 SH SOLE 0 0 116741 GOLDMAN SACHS ETF TR ACCESS INVT GR 381430479 4900 88829 SH SOLE 0 0 88829 GOLDMAN SACHS ETF TR ACCES TREASURY 381430529 434 4320 SH SOLE 4320 0 0 GOODRICH PETE CORP COM PAR 382410843 147 19160 SH SOLE 19160 0 0 GRACE W R & CO DEL NEW COM 38388F108 326 8100 SH SOLE 8100 0 0 GROUP 1 AUTOMOTIVE INC COM 398905109 354 4000 SH SOLE 4000 0 0 GUGGENHEIM ENHANCED EQUITY I COM 40167B100 162 29690 SH SOLE 29690 0 0 HANCOCK JOHN INVS TR COM 410142103 263 16620 SH SOLE 16620 0 0 HARBORONE BANCORP INC NEW COM NEW 41165Y100 224 27800 SH SOLE 27800 0 0 HIGHPOINT RES CORP COM 43114K108 25 107740 SH SOLE 107740 0 0 HYCROFT MINING HOLDING CORP *W EXP 02/12/202 44862P117 16 10200 SH SOLE 10200 0 0 IAA INC COM 449253103 292 5600 SH SOLE 5600 0 0 INVESCO EXCH TRADED FD TR II RUSEL 1000 EQL 46138E420 441 13700 SH SOLE 0 0 13700 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 6527 443086 SH SOLE 0 0 443086 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 8427 157108 SH SOLE 0 0 157108 INVESCO LTD SHS G491BT108 171 15000 SH Call SOLE 15000 0 0 ISHARES TR CORE S&P500 ETF 464287200 261 777 SH SOLE 0 0 777 ISHARES TR S&P 500 GRWT ETF 464287309 1111 4808 SH SOLE 0 0 4808 ISHARES TR RUS MD CP GR ETF 464287481 657 3802 SH SOLE 0 0 3802 ISHARES TR NASDAQ BIOTECH 464287556 251 1856 SH SOLE 0 0 1856 ISHARES TR S&P MC 400GR ETF 464287606 266 1114 SH SOLE 0 0 1114 ISHARES TR SHORT TREAS BD 464288679 431 3890 SH SOLE 3890 0 0 ISHARES TR MSCI USA MMENTM 46432F396 5942 40309 SH SOLE 0 0 40309 ISHARES TR TRS FLT RT BD 46434V860 431 8570 SH SOLE 8570 0 0 ISHARES TR 1 3 YR TREAS BD 464287457 445 5140 SH SOLE 5140 0 0 J P MORGAN EXCHANGE-TRADED F US QUALTY FCTR 46641Q761 7196 221745 SH SOLE 0 0 221745 JAPAN SMALLER CAPITALIZATION COM 47109U104 238 27490 SH SOLE 27490 0 0 JMP GROUP LLC COM 46629U107 27 10800 SH SOLE 10800 0 0 JOHNSON & JOHNSON COM 478160104 521 3497 SH SOLE 3000 0 497 KEARNY FINL CORP MD COM 48716P108 410 56800 SH SOLE 56800 0 0 KINDER MORGAN INC DEL COM 49456B101 357 28926 SH SOLE 7200 0 21726 KINROSS GOLD CORP COM 496902404 132 15000 SH SOLE 15000 0 0 KIRKLAND LAKE GOLD LTD COM 49741E100 755 15500 SH SOLE 15500 0 0 LAZARD GLOBAL TOTAL RETURN & COM 52106W103 273 17610 SH SOLE 17610 0 0 LUMEN TECHNOLOGIES INC COM 156700106 333 32963 SH SOLE 0 0 32963 MAG SILVER CORP COM 55903Q104 1502 92400 SH SOLE 92400 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 274 8016 SH SOLE 0 0 8016 MERIT MED SYS INC COM 589889104 218 5000 SH SOLE 5000 0 0 METHANEX CORP COM 59151K108 237 9700 SH SOLE 9700 0 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 413 73400 SH SOLE 73400 0 0 MICROSOFT CORP COM 594918104 2276 10819 SH SOLE 10000 0 819 MONDELEZ INTL INC CL A 609207105 689 12000 SH SOLE 12000 0 0 NETFLIX INC COM 64110L106 868 1735 SH SOLE 0 0 1735 NEW GERMANY FD INC COM 644465106 310 18390 SH SOLE 18390 0 0 NEW GOLD INC CDA COM 644535106 213 125000 SH Call SOLE 125000 0 0 NEWMONT CORP COM 651639106 830 13076 SH SOLE 300 0 12776 NEXGEN ENERGY LTD COM 65340P106 118 68000 SH SOLE 68000 0 0 NOBLE ENERGY INC COM 655044105 604 70630 SH SOLE 70460 0 170 NORTHERN DYNASTY MINERALS LT COM NEW 66510M204 457 465800 SH SOLE 465800 0 0 NORTHERN OIL AND GAS INC MN COM 665531307 1 210 SH SOLE 210 0 0 NORTHERN OIL AND GAS INC MN COM 665531307 408 71000 SH Call SOLE 71000 0 0 NUTRIEN LTD COM 67077M108 235 6000 SH SOLE 6000 0 0 NUVEEN MUN VALUE FD INC COM 670928100 999 93750 SH SOLE 0 0 93750 NUVEEN S&P 500 BUY-WRITE INC COM 6706ER101 515 45680 SH SOLE 45680 0 0 NUVEEN SHT DUR CR OPP FD COM 67074X107 132 10640 SH SOLE 10640 0 0 OSISKO GOLD ROYALTIES LTD COM 68827L101 355 30000 SH SOLE 30000 0 0 PARSLEY ENERGY INC CL A 701877102 907 96920 SH SOLE 96920 0 0 PAYPAL HLDGS INC COM 70450Y103 946 4800 SH SOLE 4800 0 0 PDL CMNTY BANCORP COM 69290X101 133 15033 SH SOLE 15033 0 0 PEPSICO INC COM 713448108 970 7000 SH SOLE 7000 0 0 PHILLIPS 66 COM 718546104 407 7850 SH SOLE 7500 0 350 PIONEER NAT RES CO COM 723787107 551 6404 SH SOLE 6404 0 0 PPL CORP COM 69351T106 739 27165 SH SOLE 0 0 27165 PRETIUM RES INC COM 74139C102 1149 89500 SH SOLE 89500 0 0 PROCTER AND GAMBLE CO COM 742718109 639 4600 SH SOLE 4600 0 0 QUALCOMM INC COM 747525103 1104 9379 SH SOLE 0 0 9379 ROYCE MICRO-CAP TR INC COM 780915104 263 34270 SH SOLE 34270 0 0 ROYCE VALUE TR INC COM 780910105 426 33730 SH SOLE 33730 0 0 S&P GLOBAL INC COM 78409V104 2779 7707 SH SOLE 7690 0 17 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 6003 87869 SH SOLE 0 0 87869 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 438 8500 SH SOLE 8500 0 0 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 8595 164691 SH SOLE 0 0 164691 SEAGATE TECHNOLOGY PLC SHS G7945M107 355 7200 SH SOLE 7200 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 232 7736 SH SOLE 0 0 7736 SILVERCREST METALS INC COM 828363101 144 17000 SH SOLE 17000 0 0 SPDR GOLD TR GOLD SHS 78463V107 643 3630 SH SOLE 940 0 2690 SPDR S&P 500 ETF TR TR UNIT 78462F103 21533 64300 SH Put SOLE 22100 0 42200 SPDR S&P 500 ETF TR TR UNIT 78462F103 212 633 SH SOLE 0 0 633 SPDR SER TR PORTFOLIO LN TSR 78464A664 25878 553669 SH SOLE 0 0 553669 SPDR SER TR SPDR BLOOMBERG 78468R663 434 4740 SH SOLE 4740 0 0 SPROTT INC COM NEW 852066208 1229 36000 SH SOLE 36000 0 0 STAMPS COM INC COM NEW 852857200 964 4000 SH SOLE 4000 0 0 SYNTAX ETF TR STRATIFD LRG CAP 87166N106 564 11643 SH SOLE 0 0 11643 TECNOGLASS INC SHS G87264100 178 33600 SH SOLE 33600 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 353 17130 SH SOLE 17130 0 0 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 326 18520 SH SOLE 18520 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1240 2809 SH SOLE 2800 0 9 TRAVELERS COMPANIES INC COM 89417E109 454 4200 SH SOLE 4200 0 0 TRI CONTL CORP COM 895436103 269 10380 SH SOLE 10380 0 0 ULTRA CLEAN HLDGS INC COM 90385V107 612 28500 SH SOLE 28500 0 0 UNITED PARCEL SERVICE INC CL B 911312106 1172 7036 SH SOLE 0 0 7036 UNITEDHEALTH GROUP INC COM 91324P102 939 3012 SH SOLE 3000 0 12 VALERO ENERGY CORP COM 91913Y100 935 21595 SH SOLE 0 0 21595 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 8900 299266 SH SOLE 0 0 299266 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1029 3346 SH SOLE 0 0 3346 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 3044 38549 SH SOLE 0 0 38549 VANGUARD INDEX FDS MID CAP ETF 922908629 651 3693 SH SOLE 0 0 3693 VANGUARD INDEX FDS SMALL CP ETF 922908751 272 1771 SH SOLE 0 0 1771 VANGUARD INDEX FDS TOTAL STK MKT 922908769 398 2339 SH SOLE 0 0 2339 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1160 14000 SH SOLE 0 0 14000 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 16748 308599 SH SOLE 0 0 308599 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 439 7070 SH SOLE 7070 0 0 VAREX IMAGING CORP COM 92214X106 127 10000 SH SOLE 10000 0 0 VERMILION ENERGY INC COM 923725105 154 65800 SH SOLE 65800 0 0 VISA INC COM CL A 92826C839 550 2753 SH SOLE 2000 0 753 VOYA GLBL ADV & PREM OPP FD COM 92912R104 381 45660 SH SOLE 45660 0 0 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 489 98690 SH SOLE 98690 0 0 VULCAN MATLS CO COM 929160109 285 2100 SH SOLE 2100 0 0 WABTEC COM 929740108 278 4500 SH SOLE 4500 0 0 WALMART INC COM 931142103 825 5900 SH SOLE 5900 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 123 2500 SH Call SOLE 2500 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 883 18000 SH SOLE 18000 0 0 WHOLE EARTH BRANDS INC COM CL A 96684W100 108 13000 SH SOLE 13000 0 0 WISDOMTREE TR FLOATNG RAT TREA 97717X628 431 17160 SH SOLE 17160 0 0 WISDOMTREE TR US LARGECAP DIVD 97717W307 429 4425 SH SOLE 0 0 4425 WPX ENERGY INC COM 98212B103 575 117368 SH SOLE 117368 0 0