Managing Member

0000919574-21-000896.txt : 20210212 0000919574-21-000896.hdr.sgml : 20210212 20210212073721 ACCESSION NUMBER: 0000919574-21-000896 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 EFFECTIVENESS DATE: 20210212 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: 21622773 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 12-31-2020 12-31-2020 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 02-12-2021 1 185 270842 1 0001710524 028-18093 Internal server error. CIK may be invalid. INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 821 7500 SH SOLE 7500 0 0 ABERDEEN EMRG MRKTS EQT INM COM 00301W105 299 36680 SH SOLE 36680 0 0 AGNICO EAGLE MINES LTD COM 008474108 331 4700 SH SOLE 4700 0 0 ALAMOS GOLD INC NEW COM CL A 011532108 163 18600 SH Call SOLE 18600 0 0 ALLIANCEBERNSTEIN GLOBAL HIG COM 01879R106 295 25070 SH SOLE 25070 0 0 ALPHABET INC CAP STK CL C 02079K107 1366 780 SH SOLE 750 0 30 ALTRA INDL MOTION CORP COM 02208R106 504 9100 SH SOLE 9100 0 0 AMERICAN EXPRESS CO COM 025816109 725 6000 SH SOLE 6000 0 0 AMGEN INC COM 031162100 308 1339 SH SOLE 1200 0 139 ANTERO RESOURCES CORP COM 03674X106 69 12673 SH SOLE 12673 0 0 ANTHEM INC COM 036752103 739 2300 SH SOLE 2300 0 0 APPLE INC COM 037833100 6049 45587 SH SOLE 0 0 45587 ARDMORE SHIPPING CORP COM Y0207T100 39 12000 SH Call SOLE 12000 0 0 ASA GOLD AND PRECIOUS MTLS L SHS G3156P103 358 16385 SH SOLE 13620 0 2765 AT&T INC COM 00206R102 405 14076 SH SOLE 0 0 14076 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 5970 25748 SH SOLE 14500 0 11248 BERRY GLOBAL GROUP INC COM 08579W103 337 6000 SH SOLE 6000 0 0 BIODELIVERY SCIENCES INTL IN COM 09060J106 378 89900 SH SOLE 89900 0 0 BIOLIFE SOLUTIONS INC COM NEW 09062W204 399 10000 SH SOLE 10000 0 0 BK OF AMERICA CORP COM 060505104 379 12500 SH SOLE 12500 0 0 BLACKROCK ENHANCED GLOBAL DI COM 092501105 292 26770 SH SOLE 26770 0 0 BLACKROCK RES & COMMODITIES SHS 09257A108 376 50690 SH SOLE 50690 0 0 BWX TECHNOLOGIES INC COM 05605H100 259 4300 SH SOLE 4300 0 0 CALIFORNIA RES CORP COMMON STOCK 13057Q305 1460 61900 SH SOLE 61900 0 0 CAMPBELL SOUP CO COM 134429109 2149 44450 SH SOLE 0 0 44450 CBRE CLARION GLOBAL REAL EST COM 12504G100 215 31320 SH SOLE 31320 0 0 CENOVUS ENERGY INC COM 15135U109 211 35000 SH SOLE 35000 0 0 CENOVUS ENERGY INC COM 15135U109 1056 174800 SH Call SOLE 174800 0 0 CIMAREX ENERGY CO COM 171798101 885 23604 SH SOLE 23604 0 0 CITIGROUP INC COM NEW 172967424 789 12800 SH SOLE 12800 0 0 CNX RES CORP COM 12653C108 203 18830 SH SOLE 18830 0 0 COCA COLA CO COM 191216100 796 14515 SH SOLE 14400 0 115 COMSTOCK RES INC COM 205768302 304 69620 SH SOLE 69620 0 0 CONCHO RES INC COM 20605P101 874 14974 SH SOLE 14974 0 0 CONOCOPHILLIPS COM 20825C104 84 2100 SH Call SOLE 2100 0 0 CONOCOPHILLIPS COM 20825C104 128 3200 SH SOLE 3000 0 200 COPART INC COM 217204106 3951 31051 SH SOLE 31000 0 51 CROWDSTRIKE HLDGS INC CL A 22788C105 470 2219 SH SOLE 0 0 2219 DAVITA INC COM 23918K108 3639 31000 SH SOLE 31000 0 0 DENBURY INC COM 24790A101 514 20000 SH SOLE 20000 0 0 DEVON ENERGY CORP NEW COM 25179M103 411 25988 SH SOLE 25988 0 0 DHT HOLDINGS INC SHS NEW Y2065G121 171 32765 SH SOLE 32765 0 0 DIAMONDBACK ENERGY INC COM 25278X109 1313 27135 SH SOLE 27135 0 0 DISCOVERY INC COM SER C 25470F302 262 10000 SH SOLE 10000 0 0 EATON VANCE SHORT DURATION D COM 27828V104 145 11720 SH SOLE 11720 0 0 ENBRIDGE INC COM 29250N105 256 8000 SH SOLE 8000 0 0 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 2535 410197 SH SOLE 0 0 410197 ENERPLUS CORP COM 292766102 101 32200 SH SOLE 32200 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 468 23888 SH SOLE 0 0 23888 ENVISTA HOLDINGS CORPORATION COM 29415F104 236 7000 SH SOLE 7000 0 0 EQT CORP COM 26884L109 12855 1011407 SH SOLE 1011407 0 0 FACEBOOK INC CL A 30303M102 792 2898 SH SOLE 2700 0 198 FIDELITY NATL INFORMATION SV COM 31620M106 693 4897 SH SOLE 4897 0 0 FIRST TR MLP & ENERGY INCOM COM 33739B104 146 25190 SH SOLE 25190 0 0 FIRST TR MORNINGSTAR DIVID L SHS 336917109 5322 179859 SH SOLE 0 0 179859 FMC CORP COM NEW 302491303 345 3000 SH SOLE 3000 0 0 FRONTLINE LTD SHS NEW G3682E192 234 37659 SH SOLE 37659 0 0 FST TR NEW OPPORT MLP & ENE COM 33739M100 286 67040 SH SOLE 67040 0 0 GABELLI DIVID & INCOME TR COM 36242H104 580 27020 SH SOLE 27020 0 0 GABELLI HLTHCARE & WELLNESS SHS 36246K103 296 24760 SH SOLE 24760 0 0 GAIA INC NEW CL A 36269P104 405 41000 SH SOLE 41000 0 0 GALECTIN THERAPEUTICS INC COM NEW 363225202 28 12575 SH SOLE 0 0 12575 GENERAL AMERN INVS CO INC COM 368802104 230 6190 SH SOLE 6190 0 0 GENERAL MTRS CO COM 37045V100 50 1200 SH Call SOLE 1200 0 0 GENERAL MTRS CO COM 37045V100 416 10000 SH SOLE 10000 0 0 GILEAD SCIENCES INC COM 375558103 233 4000 SH SOLE 4000 0 0 GOLDMAN SACHS ETF TR ACCESS INVT GR 381430479 5811 103324 SH SOLE 0 0 103324 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 4786 150045 SH SOLE 0 0 150045 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 5040 132040 SH SOLE 0 0 132040 GOLDMAN SACHS ETF TR ACCES TREASURY 381430529 580 5790 SH SOLE 5790 0 0 GOODRICH PETE CORP COM PAR 382410843 193 19160 SH SOLE 19160 0 0 GRACE W R & CO DEL NEW COM 38388F108 400 7300 SH SOLE 7300 0 0 GROUP 1 AUTOMOTIVE INC COM 398905109 498 3800 SH SOLE 3800 0 0 HARBORONE BANCORP INC NEW COM NEW 41165Y100 298 27400 SH SOLE 27400 0 0 HYCROFT MINING HOLDING CORP *W EXP 02/12/202 44862P117 28 20000 SH SOLE 20000 0 0 IAA INC COM 449253103 338 5200 SH SOLE 5200 0 0 INGEVITY CORP COM 45688C107 265 3500 SH SOLE 3500 0 0 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 3916 256617 SH SOLE 0 0 256617 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 9326 165849 SH SOLE 0 0 165849 INVESCO EXCH TRADED FD TR II RUSEL 1000 EQL 46138E420 534 13700 SH SOLE 0 0 13700 INVESCO EXCHANGE TRADED FD T S&P500 QUALITY 46137V241 569 13511 SH SOLE 0 0 13511 ISHARES TR 1 3 YR TREAS BD 464287457 542 6280 SH SOLE 6280 0 0 ISHARES TR CORE S&P500 ETF 464287200 291 776 SH SOLE 0 0 776 ISHARES TR NASDAQ BIOTECH 464287556 281 1856 SH SOLE 0 0 1856 ISHARES TR S&P MC 400GR ETF 464287606 322 4452 SH SOLE 0 0 4452 ISHARES TR SHORT TREAS BD 464288679 5952 53854 SH SOLE 4910 0 48944 ISHARES TR MSCI EMG MKT ETF 464287234 203 3937 SH SOLE 0 0 3937 ISHARES TR S&P 500 GRWT ETF 464287309 1227 19232 SH SOLE 0 0 19232 ISHARES TR RUS MD CP GR ETF 464287481 781 7604 SH SOLE 0 0 7604 ISHARES TR MSCI USA MMENTM 46432F396 6913 42862 SH SOLE 0 0 42862 ISHARES TR TRS FLT RT BD 46434V860 543 10800 SH SOLE 10800 0 0 J P MORGAN EXCHANGE-TRADED F US QUALTY FCTR 46641Q761 7944 221409 SH SOLE 0 0 221409 JAPAN SMALLER CAPITALIZATION COM 47109U104 249 27490 SH SOLE 27490 0 0 JOHNSON & JOHNSON COM 478160104 551 3499 SH SOLE 3000 0 499 KEARNY FINL CORP MD COM 48716P108 383 36300 SH SOLE 36300 0 0 KINDER MORGAN INC DEL COM 49456B101 522 38202 SH SOLE 7000 0 31202 KINROSS GOLD CORP COM 496902404 123 16800 SH SOLE 16800 0 0 KIRKLAND LAKE GOLD LTD COM 49741E100 640 15500 SH SOLE 15500 0 0 LUMEN TECHNOLOGIES INC COM 156700106 294 30205 SH SOLE 0 0 30205 MAG SILVER CORP COM 55903Q104 1616 78750 SH SOLE 78750 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 440 10366 SH SOLE 0 0 10366 MERIT MED SYS INC COM 589889104 250 4500 SH SOLE 4500 0 0 METHANEX CORP COM 59151K108 346 7500 SH SOLE 7500 0 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 431 70540 SH SOLE 70540 0 0 MICROSOFT CORP COM 594918104 2257 10146 SH SOLE 9400 0 746 MONDELEZ INTL INC CL A 609207105 690 11800 SH SOLE 11800 0 0 MORGAN STANLEY EMER MKTS DEB COM 61744H105 287 30990 SH SOLE 30990 0 0 MORGAN STANLEY EMERGING MKTS COM 617477104 575 91450 SH SOLE 91450 0 0 NETFLIX INC COM 64110L106 938 1735 SH SOLE 0 0 1735 NEUBERGER BERMAN MLP & ENERG COM 64129H104 426 126530 SH SOLE 126530 0 0 NEW GERMANY FD INC COM 644465106 350 18390 SH SOLE 18390 0 0 NEW GOLD INC CDA COM 644535106 337 153800 SH Call SOLE 153800 0 0 NEWMONT CORP COM 651639106 746 12456 SH SOLE 0 0 12456 NEXGEN ENERGY LTD COM 65340P106 160 58100 SH SOLE 58100 0 0 NORTHERN DYNASTY MINERALS LT COM NEW 66510M204 145 450800 SH SOLE 450800 0 0 NORTHERN OIL AND GAS INC MN COM 665531307 622 71000 SH Call SOLE 71000 0 0 NUTRIEN LTD COM 67077M108 260 5400 SH SOLE 5400 0 0 NUVEEN MUN VALUE FD INC COM 670928100 985 88750 SH SOLE 0 0 88750 OSISKO GOLD ROYALTIES LTD COM 68827L101 330 26000 SH SOLE 26000 0 0 PARSLEY ENERGY INC CL A 701877102 3371 237369 SH SOLE 237369 0 0 PAYPAL HLDGS INC COM 70450Y103 1101 4700 SH SOLE 4700 0 0 PEPSICO INC COM 713448108 1008 6800 SH SOLE 6800 0 0 PHILLIPS 66 COM 718546104 500 7150 SH SOLE 6800 0 350 PIONEER NAT RES CO COM 723787107 1298 11396 SH SOLE 11396 0 0 PPL CORP COM 69351T106 779 27621 SH SOLE 0 0 27621 PRETIUM RES INC COM 74139C102 987 86000 SH SOLE 86000 0 0 PROCTER AND GAMBLE CO COM 742718109 640 4600 SH SOLE 4600 0 0 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 293 69350 SH SOLE 69350 0 0 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 303 65160 SH SOLE 65160 0 0 QUALCOMM INC COM 747525103 1545 10140 SH SOLE 0 0 10140 ROYCE MICRO-CAP TR INC COM 780915104 347 34270 SH SOLE 34270 0 0 ROYCE VALUE TR INC COM 780910105 578 35820 SH SOLE 35820 0 0 S&P GLOBAL INC COM 78409V104 2337 7108 SH SOLE 7090 0 18 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 9958 167280 SH SOLE 0 0 167280 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 542 10540 SH SOLE 10540 0 0 SCHWAB STRATEGIC TR US SML CAP ETF 808524607 11618 251505 SH SOLE 0 0 251505 SCORPIO TANKERS INC SHS Y7542C130 565 50447 SH SOLE 50447 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 441 7100 SH SOLE 7100 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 297 7841 SH SOLE 0 0 7841 SILVERCREST METALS INC COM 828363101 330 29500 SH SOLE 29500 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 200 1309 SH SOLE 0 0 1309 SPDR GOLD TR GOLD SHS 78463V107 798 4474 SH SOLE 940 0 3534 SPDR S&P 500 ETF TR TR UNIT 78462F103 203 542 SH SOLE 0 0 542 SPDR S&P 500 ETF TR TR UNIT 78462F103 5515 14750 SH Put SOLE 13900 0 850 SPDR SER TR SPDR BLOOMBERG 78468R663 580 6340 SH SOLE 6340 0 0 SPDR SER TR PORTFOLIO LN TSR 78464A664 29341 650147 SH SOLE 0 0 650147 SPROTT INC COM NEW 852066208 955 33000 SH SOLE 33000 0 0 STAMPS COM INC COM NEW 852857200 746 3800 SH SOLE 3800 0 0 SYNTAX ETF TR STRATIFD LRG CAP 87166N106 661 11814 SH SOLE 0 0 11814 TECNOGLASS INC SHS G87264100 152 22000 SH SOLE 22000 0 0 TEKLA HEALTHCARE INVS SH BEN INT 87911J103 408 17130 SH SOLE 17130 0 0 TEKLA LIFE SCIENCES INVS SH BEN INT 87911K100 366 18520 SH SOLE 18520 0 0 TESLA INC COM 88160R101 212 300 SH Call SOLE 300 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1169 2509 SH SOLE 2500 0 9 TILRAY INC NOTE 5.000%10/0 88688TAB6 42 50000 SH SOLE 50000 0 0 TRAVELERS COMPANIES INC COM 89417E109 491 3500 SH SOLE 3500 0 0 TRI CONTL CORP COM 895436103 306 10380 SH SOLE 10380 0 0 ULTRA CLEAN HLDGS INC COM 90385V107 835 26800 SH SOLE 26800 0 0 UNITED PARCEL SERVICE INC CL B 911312106 1399 8306 SH SOLE 0 0 8306 UNITEDHEALTH GROUP INC COM 91324P102 1021 2912 SH SOLE 2900 0 12 VALERO ENERGY CORP COM 91913Y100 885 15638 SH SOLE 0 0 15638 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1801 50000 SH SOLE 50000 0 0 VANECK VECTORS ETF TR FALLEN ANGEL HG 92189F437 9417 293370 SH SOLE 0 0 293370 VANGUARD ADMIRAL FDS INC SMLLCP 600 IDX 921932828 634 3779 SH SOLE 0 0 3779 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 1140 3318 SH SOLE 0 0 3318 VANGUARD INDEX FDS MID CAP ETF 922908629 1367 6610 SH SOLE 0 0 6610 VANGUARD INDEX FDS SMALL CP ETF 922908751 325 1670 SH SOLE 0 0 1670 VANGUARD INDEX FDS TOTAL STK MKT 922908769 448 2302 SH SOLE 0 0 2302 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 3225 37969 SH SOLE 0 0 37969 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 1166 14000 SH SOLE 0 0 14000 VANGUARD SCOTTSDALE FDS SHORT TERM TREAS 92206C102 537 8710 SH SOLE 8710 0 0 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 19255 356115 SH SOLE 0 0 356115 VERMILION ENERGY INC COM 923725105 205 46000 SH SOLE 46000 0 0 VISA INC COM CL A 92826C839 580 2653 SH SOLE 1900 0 753 VOYA GLBL ADV & PREM OPP FD COM 92912R104 400 45660 SH SOLE 45660 0 0 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 565 108230 SH SOLE 108230 0 0 VULCAN MATLS CO COM 929160109 297 2000 SH SOLE 2000 0 0 WABTEC COM 929740108 242 3300 SH SOLE 3300 0 0 WALMART INC COM 931142103 822 5700 SH SOLE 5700 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 626 15000 SH SOLE 15000 0 0 WHOLE EARTH BRANDS INC COM CL A 96684W100 125 11500 SH SOLE 11500 0 0 WISDOMTREE TR FLOATNG RAT TREA 97717X628 543 21620 SH SOLE 21620 0 0 WISDOMTREE TR US LARGECAP DIVD 97717W307 477 4439 SH SOLE 0 0 4439 WPX ENERGY INC COM 98212B103 1472 180672 SH SOLE 180672 0 0 ZYNGA INC CL A 98986T108 118 12000 SH Call SOLE 12000 0 0