Managing Member

0000919574-19-001032.txt : 20190212 0000919574-19-001032.hdr.sgml : 20190212 20190212162507 ACCESSION NUMBER: 0000919574-19-001032 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190212 DATE AS OF CHANGE: 20190212 EFFECTIVENESS DATE: 20190212 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: 19591201 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 12-31-2018 12-31-2018 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 02-12-2019 0 193 145857 INFORMATION TABLE 2 infotable.xml ABBOTT LABS COM 002824100 733 10130 SH SOLE 10130 0 0 ABERDEEN ASIA PACIFIC INCOM COM 003009107 118 30500 SH SOLE 30500 0 0 ADAM NAT RES FD INC COM 00548F105 480 32940 SH SOLE 32940 0 0 AGNICO EAGLE MINES LTD COM 008474108 309 7648 SH SOLE 7648 0 0 ALASKA COMMUNICATIONS SYS GR COM 01167P101 34 23410 SH SOLE 23410 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 216 1578 SH SOLE 0 0 1578 ALLIANZGI NFJ DIVID INT & PR COM 01883A107 480 44960 SH SOLE 44960 0 0 ALPHABET INC CAP STK CL C 02079K107 860 830 SH SOLE 800 0 30 ALPS ETF TR ALERIAN MLP 00162Q866 2316 265259 SH SOLE 0 0 265259 ALTRA INDL MOTION CORP COM 02208R106 516 20500 SH SOLE 20500 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 576 17928 SH SOLE 17928 0 0 AMERICAN EXPRESS CO COM 025816109 1805 18940 SH SOLE 18940 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 776 19701 SH SOLE 19701 0 0 AMERICAN TOWER CORP NEW COM 03027X100 554 3500 SH Put SOLE 3500 0 0 AMGEN INC COM 031162100 482 2476 SH SOLE 2476 0 0 ANTERO RES CORP COM 03674X106 238 25333 SH SOLE 25333 0 0 ANTHEM INC COM 036752103 1032 3930 SH SOLE 3930 0 0 ARC DOCUMENT SOLUTIONS INC COM 00191G103 45 22100 SH SOLE 22100 0 0 ARDMORE SHIPPING CORP COM Y0207T100 205 44000 SH SOLE 44000 0 0 AROTECH CORP COM NEW 042682203 54 20500 SH SOLE 20500 0 0 ASA GOLD AND PRECIOUS MTLS L SHS G3156P103 283 29865 SH SOLE 27100 0 2765 ASHFORD HOSPITALITY TR INC COM SHS 044103109 56 14000 SH SOLE 14000 0 0 ASV HLDGS INC COM 00215L104 20 10000 SH SOLE 10000 0 0 AVIS BUDGET GROUP COM 053774105 762 33900 SH SOLE 33900 0 0 AVON PRODS INC COM 054303102 49 32000 SH SOLE 32000 0 0 AXALTA COATING SYS LTD COM G0750C108 785 33531 SH SOLE 33531 0 0 BABCOCK & WILCOX ENTERPRIS I COM 05614L100 10 25000 SH SOLE 25000 0 0 BANK AMER CORP COM 060505104 385 15616 SH SOLE 15616 0 0 BANK NEW YORK MELLON CORP COM 064058100 739 15701 SH SOLE 15701 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 9792 32 SH SOLE 0 0 32 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 613 3000 SH Call SOLE 3000 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 9570 46871 SH SOLE 42217 0 4654 BERRY GLOBAL GROUP INC COM 08579W103 473 9949 SH SOLE 9949 0 0 BIOLIFE SOLUTIONS INC COM NEW 09062W204 168 14000 SH SOLE 14000 0 0 BK TECHNOLOGIES INC COM 09180A100 51 13500 SH SOLE 13500 0 0 BLACKROCK ENHANCED EQT DIV T COM 09251A104 88 11320 SH SOLE 11320 0 0 BLACKROCK RES & COMM STRAT T SHS 09257A108 476 67380 SH SOLE 67380 0 0 BLUE HILLS BANCORP INC COM 095573101 835 39123 SH SOLE 39123 0 0 BOULDER GROWTH & INCOME FD I COM 101507101 121 11600 SH SOLE 11600 0 0 BWX TECHNOLOGIES INC COM 05605H100 1128 29500 SH SOLE 29500 0 0 CALIFORNIA RES CORP COM NEW 13057Q206 3493 205017 SH SOLE 205017 0 0 CALLON PETE CO DEL COM 13123X102 1196 184269 SH SOLE 184269 0 0 CAMPBELL SOUP CO COM 134429109 1466 44450 SH SOLE 0 0 44450 CATERPILLAR INC DEL COM 149123101 508 4000 SH SOLE 0 0 4000 CBRE CLARION GLOBAL REAL EST COM 12504G100 307 49900 SH SOLE 49900 0 0 CELGENE CORP COM 151020104 577 9000 SH SOLE 9000 0 0 CENOVUS ENERGY INC COM 15135U109 233 33200 SH Call SOLE 33200 0 0 CENTRAL SECS CORP COM 155123102 443 17840 SH SOLE 17840 0 0 CHECKPOINT THERAPEUTICS INC COM 162828107 91 50000 SH SOLE 50000 0 0 CITIGROUP INC COM NEW 172967424 1073 20612 SH SOLE 20612 0 0 COCA COLA CO COM 191216100 889 18781 SH SOLE 16781 0 2000 COLUMBIA ETF TR II EMRG MARKETS ETF 19762B509 321 15748 SH SOLE 0 0 15748 CONCHO RES INC COM 20605P101 690 6712 SH SOLE 6712 0 0 COPART INC COM 217204106 2861 59872 SH SOLE 59872 0 0 CORE LABORATORIES N V COM N22717107 379 6358 SH SOLE 6358 0 0 DAVITA INC COM 23918K108 1523 29602 SH SOLE 29602 0 0 DAWSON GEOPHYSICAL CO NEW COM 239360100 84 24900 SH SOLE 24900 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 1448 29021 SH SOLE 29021 0 0 DHI GROUP INC COM 23331S100 30 20000 SH SOLE 20000 0 0 DIAMONDBACK ENERGY INC COM 25278X109 998 10767 SH SOLE 10767 0 0 DIGIRAD CORP COM 253827109 29 51000 SH SOLE 51000 0 0 DIVIDEND & INCOME FUND COM NEW 25538A204 430 45120 SH SOLE 45120 0 0 EAGLE MATERIALS INC COM 26969P108 275 4500 SH SOLE 4500 0 0 EATON VANCE SR INCOME TR SH BEN INT 27826S103 123 20490 SH SOLE 20490 0 0 ECLIPSE RES CORP COM 27890G100 12 11800 SH SOLE 11800 0 0 ENBRIDGE INC COM 29250N105 562 18079 SH SOLE 14600 0 3479 ENTERPRISE PRODS PARTNERS L COM 293792107 236 9610 SH SOLE 0 0 9610 ESTERLINE TECHNOLOGIES CORP COM 297425100 2029 16704 SH SOLE 16704 0 0 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 351 10424 SH SOLE 0 0 10424 EVOLVING SYS INC COM NEW 30049R209 22 18557 SH SOLE 18557 0 0 EXXON MOBIL CORP COM 30231G102 855 12542 SH SOLE 0 0 12542 F M C CORP COM NEW 302491303 385 5202 SH SOLE 5202 0 0 FACEBOOK INC CL A 30303M102 420 3203 SH SOLE 3000 0 203 FIDELITY NATL INFORMATION SV COM 31620M106 727 7094 SH SOLE 7094 0 0 FLEX LTD ORD Y2573F102 289 37937 SH SOLE 37937 0 0 FRANKLIN UNVL TR SH BEN INT 355145103 246 38700 SH SOLE 38700 0 0 FUEL TECH INC COM 359523107 219 184152 SH SOLE 184152 0 0 GABELLI HLTHCARE & WELLNESS SHS 36246K103 229 24760 SH SOLE 24760 0 0 GAIA INC NEW CL A 36269P104 155 15000 SH SOLE 15000 0 0 GENERAL AMERN INVS INC COM 368802104 483 16980 SH SOLE 16980 0 0 GEOSPACE TECHNOLOGIES CORP COM 37364X109 108 10500 SH SOLE 10500 0 0 GILEAD SCIENCES INC COM 375558103 663 10600 SH SOLE 10600 0 0 GOLDMAN SACHS ETF TR ACCES TREASURY 381430529 516 5160 SH SOLE 5160 0 0 GRIFFON CORP COM 398433102 105 10000 SH SOLE 10000 0 0 GROUP 1 AUTOMOTIVE INC COM 398905109 218 4129 SH SOLE 4129 0 0 GULFPORT ENERGY CORP COM NEW 402635304 710 108430 SH SOLE 108430 0 0 HARBORONE BANCORP INC COM 41165F101 269 16948 SH SOLE 16948 0 0 HCA HEALTHCARE INC COM 40412C101 1059 8513 SH SOLE 0 0 8513 HERBALIFE NUTRITION LTD COM SHS G4412G101 330 5600 SH SOLE 5600 0 0 HIGHPOINT RES CORP COM 43114K108 536 215300 SH SOLE 215300 0 0 HUTTIG BLDG PRODS INC COM 448451104 32 18000 SH SOLE 18000 0 0 INDUSTRIAL SVCS AMER INC FLA COM 456314103 154 137557 SH SOLE 137557 0 0 INSIGNIA SYS INC COM 45765Y105 44 29554 SH SOLE 29554 0 0 INVESCO DYNAMIC CR OPP FD COM 46132R104 242 23550 SH SOLE 23550 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 1034 6700 SH Put SOLE 6700 0 0 INVESCO SR INCOME TR COM 46131H107 242 61780 SH SOLE 61780 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 662 16960 SH SOLE 0 0 16960 ISHARES TR S&P 500 GRWT ETF 464287309 2689 17844 SH SOLE 0 0 17844 ISHARES TR RUS MD CP GR ETF 464287481 875 7694 SH SOLE 0 0 7694 ISHARES TR RUS MID CAP ETF 464287499 252 5424 SH SOLE 0 0 5424 ISHARES TR NASDAQ BIOTECH 464287556 668 6924 SH SOLE 0 0 6924 ISHARES TR RUS 1000 VAL ETF 464287598 203 1826 SH SOLE 0 0 1826 ISHARES TR S&P MC 400GR ETF 464287606 233 1217 SH SOLE 0 0 1217 ISHARES TR CORE S&P SCP ETF 464287804 250 3612 SH SOLE 0 0 3612 ISHARES TR SHORT TREAS BD 464288679 517 4690 SH SOLE 4690 0 0 ISHARES TR TRS FLT RT BD 46434V860 517 10290 SH SOLE 10290 0 0 JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 104 12500 SH SOLE 12500 0 0 JASON INDS INC COM 471172106 31 22457 SH SOLE 22457 0 0 JOHNSON & JOHNSON COM 478160104 679 5258 SH SOLE 3258 0 2000 KAR AUCTION SVCS INC COM 48238T109 346 7254 SH SOLE 7254 0 0 KEARNY FINL CORP MD COM 48716P108 973 75864 SH SOLE 75864 0 0 KINDER MORGAN INC DEL COM 49456B101 237 15395 SH SOLE 0 0 15395 KINROSS GOLD CORP COM NO PAR 496902404 53 16500 SH SOLE 16500 0 0 KIRKLAND LAKE GOLD LTD COM 49741E100 248 9500 SH SOLE 9500 0 0 MAG SILVER CORP COM 55903Q104 1130 154800 SH SOLE 154800 0 0 MARATHON PETE CORP COM 56585A102 1340 22705 SH SOLE 22705 0 0 METHANEX CORP COM 59151K108 1120 23260 SH SOLE 23260 0 0 MEXICO FD INC COM 592835102 218 16460 SH SOLE 16460 0 0 MICRON SOLUTIONS INC COM 59511X105 114 42938 SH SOLE 42938 0 0 MICROSOFT CORP COM 594918104 1047 10309 SH SOLE 10309 0 0 MITCHAM INDS INC COM 606501104 27 10573 SH SOLE 10573 0 0 MONDELEZ INTL INC CL A 609207105 502 12547 SH SOLE 12547 0 0 MORGAN STANLEY EM MKTS DM DE COM 617477104 418 68990 SH SOLE 68990 0 0 NEUBERGER BERMAN HGH YLD FD COM 64128C106 465 48040 SH SOLE 48040 0 0 NEW GOLD INC CDA COM 644535106 61 80400 SH Call SOLE 80400 0 0 NEXGEN ENERGY LTD COM 65340P106 190 107000 SH SOLE 107000 0 0 NOBLE ENERGY INC COM 655044105 1584 84410 SH SOLE 84410 0 0 NUTRIEN LTD COM 67077M108 772 16428 SH SOLE 16428 0 0 NUVEEN PFD & INCM SECURTIES COM 67072C105 158 19070 SH SOLE 19070 0 0 NUVERRA ENVIRONMENTAL SOLUTI COM PAR 67091K302 246 29975 SH SOLE 29975 0 0 OCEAN BIO CHEM INC COM 674631106 114 34652 SH SOLE 34652 0 0 ORION ENGINEERED CARBONS S A COM L72967109 488 19293 SH SOLE 19293 0 0 PARSLEY ENERGY INC CL A 701877102 609 38120 SH SOLE 38120 0 0 PATTERN ENERGY GROUP INC CL A 70338P100 1061 57000 SH SOLE 57000 0 0 PAYPAL HLDGS INC COM 70450Y103 502 5969 SH SOLE 5969 0 0 PCSB FINL CORP COM 69324R104 452 23100 SH SOLE 23100 0 0 PENN NATL GAMING INC COM 707569109 330 17500 SH SOLE 17500 0 0 PEPSICO INC COM 713448108 893 8082 SH SOLE 8082 0 0 PHILLIPS 66 COM 718546104 917 10639 SH SOLE 10639 0 0 PIONEER NAT RES CO COM 723787107 1684 12802 SH SOLE 12802 0 0 PRETIUM RES INC COM 74139C102 321 38000 SH Call SOLE 38000 0 0 PRETIUM RES INC COM 74139C102 592 70000 SH SOLE 70000 0 0 PROCTER AND GAMBLE CO COM 742718109 683 7435 SH SOLE 4935 0 2500 PROSHARES TR ULTRAPRO QQQ 74347X831 367 9900 SH Put SOLE 9900 0 0 PROSHARES TR II ULTRA VIX SHORT 74347W148 1471 18000 SH Put SOLE 18000 0 0 QUALCOMM INC COM 747525103 341 6000 SH SOLE 6000 0 0 RESOLUTE ENERGY CORP COM NEW 76116A306 2679 92430 SH SOLE 92430 0 0 RETRACTABLE TECHNOLOGIES INC COM 76129W105 16 27000 SH SOLE 27000 0 0 ROYCE GLOBAL VALUE TR INC COM 78081T104 110 12430 SH SOLE 12430 0 0 ROYCE MICRO-CAP TR INC COM 780915104 141 19000 SH SOLE 19000 0 0 S&P GLOBAL INC COM 78409V104 1360 8003 SH SOLE 8003 0 0 SANCHEZ ENERGY CORP COM 79970Y105 76 280215 SH SOLE 280215 0 0 SCHMITT INDS INC ORE COM NEW 806870200 28 10000 SH SOLE 10000 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 384 9957 SH SOLE 9957 0 0 SELECT SECTOR SPDR TR COMMUNICATION 81369Y852 326 7905 SH SOLE 0 0 7905 SIFCO INDS INC COM 826546103 79 22767 SH SOLE 22767 0 0 SIGMATRON INTL INC COM 82661L101 30 12600 SH SOLE 12600 0 0 SINCLAIR BROADCAST GROUP INC CL A 829226109 493 18727 SH SOLE 18727 0 0 SNAP ON INC COM 833034101 554 3812 SH SOLE 3812 0 0 SPAR GROUP INC COM 784933103 27 50449 SH SOLE 50449 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 497 4097 SH SOLE 0 0 4097 SPDR S&P 500 ETF TR TR UNIT 78462F103 189 757 SH SOLE 0 0 757 SPDR S&P 500 ETF TR TR UNIT 78462F103 16895 67600 SH Put SOLE 67600 0 0 SPDR SER TR SPDR BLOOMBERG 78468R663 517 5650 SH SOLE 5650 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 1090 23302 SH SOLE 0 0 23302 SPDR SERIES TRUST S&P BK ETF 78464A797 330 8832 SH SOLE 0 0 8832 STARRETT L S CO CL A 855668109 54 10300 SH SOLE 10300 0 0 TEKLA HEALTHCARE OPPORTUNIT SHS 879105104 188 11210 SH SOLE 11210 0 0 TEMPLETON EMERGING MKTS FD I COM 880191101 210 15900 SH SOLE 15900 0 0 TEMPLETON GLOBAL INCOME FD COM 880198106 354 58750 SH SOLE 58750 0 0 TESLA INC COM 88160R101 666 2000 SH Put SOLE 2000 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1283 5731 SH SOLE 5731 0 0 TRAVELERS COMPANIES INC COM 89417E109 701 5855 SH SOLE 5855 0 0 TRIVAGO N V SPON ADS A SHS 89686D105 68 12000 SH SOLE 12000 0 0 U.S. AUTO PARTS NETWORK INC COM 90343C100 49 53535 SH SOLE 53535 0 0 UBS AG JERSEY BRH ETRAC WELLS BDCI 902641588 215 12142 SH SOLE 0 0 12142 ULTRA CLEAN HLDGS INC COM 90385V107 695 82000 SH SOLE 82000 0 0 UNITED CONTL HLDGS INC COM 910047109 1007 12029 SH SOLE 12029 0 0 UNITEDHEALTH GROUP INC COM 91324P102 1493 5993 SH SOLE 5993 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 2009 8742 SH SOLE 0 0 8742 VANGUARD INDEX FDS SM CP VAL ETF 922908611 665 5827 SH SOLE 0 0 5827 VANGUARD INDEX FDS TOTAL STK MKT 922908769 205 1606 SH SOLE 0 0 1606 VANGUARD INTL EQUITY INDEX F TT WRLD ST ETF 922042742 1410 21535 SH SOLE 0 0 21535 VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF 921943858 382 10284 SH SOLE 0 0 10284 VISA INC COM CL A 92826C839 396 3000 SH SOLE 3000 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 540 7900 SH SOLE 4400 0 3500 WALMART INC COM 931142103 521 5598 SH SOLE 5598 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 551 28200 SH Call SOLE 28200 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 391 20000 SH SOLE 20000 0 0 WHITING PETE CORP NEW COM NEW 966387409 893 39347 SH SOLE 39347 0 0 WISDOMTREE TR US LARGECAP DIVD 97717W307 2249 26628 SH SOLE 0 0 26628 WISDOMTREE TR FLOATNG RAT TREA 97717X628 517 20620 SH SOLE 20620 0 0 WPX ENERGY INC COM 98212B103 1388 122267 SH SOLE 122267 0 0