0000919574-19-003326.txt : 20190514
0000919574-19-003326.hdr.sgml : 20190514
20190514121929
ACCESSION NUMBER: 0000919574-19-003326
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190331
FILED AS OF DATE: 20190514
DATE AS OF CHANGE: 20190514
EFFECTIVENESS DATE: 20190514
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: 19821508
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
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0001218583
XXXXXXXX
03-31-2019
03-31-2019
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
05-14-2019
0
173
160323
INFORMATION TABLE
2
infotable.xml
3M CO
COM
88579Y101
208
1000
SH
SOLE
0
0
1000
ABBOTT LABS
COM
002824100
785
9822
SH
SOLE
9822
0
0
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
522
123520
SH
SOLE
123520
0
0
ADAM NAT RES FD INC
COM
00548F105
531
31670
SH
SOLE
31670
0
0
AGNICO EAGLE MINES LTD
COM
008474108
333
7648
SH
SOLE
7648
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
288
1578
SH
SOLE
0
0
1578
ALLIANZGI NFJ DIVID INT & PR
COM
01883A107
517
42880
SH
SOLE
42880
0
0
ALPHABET INC
CAP STK CL C
02079K107
974
830
SH
SOLE
800
0
30
ALPS ETF TR
ALERIAN MLP
00162Q866
2684
267554
SH
SOLE
0
0
267554
ALTRA INDL MOTION CORP
COM
02208R106
590
19000
SH
SOLE
19000
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
743
23400
SH
SOLE
23400
0
0
AMERICAN EXPRESS CO
COM
025816109
2070
18940
SH
SOLE
18940
0
0
AMERICAN INTL GROUP INC
COM NEW
026874784
848
19701
SH
SOLE
19701
0
0
AMGEN INC
COM
031162100
470
2476
SH
SOLE
2476
0
0
ANTERO RES CORP
COM
03674X106
224
25333
SH
SOLE
25333
0
0
ANTHEM INC
COM
036752103
1128
3930
SH
SOLE
3930
0
0
ARDMORE SHIPPING CORP
COM
Y0207T100
271
44000
SH
SOLE
44000
0
0
ASA GOLD AND PRECIOUS MTLS L
SHS
G3156P103
306
29865
SH
SOLE
27100
0
2765
ASHFORD HOSPITALITY TR INC
COM SHS
044103109
67
14000
SH
SOLE
14000
0
0
AVIS BUDGET GROUP INC
COM
053774105
1199
34400
SH
SOLE
34400
0
0
AXALTA COATING SYS LTD
COM
G0750C108
831
32945
SH
SOLE
32945
0
0
AZURE PWR GLOBAL LTD
SHS
V0393H103
126
11200
SH
SOLE
11200
0
0
BANK AMER CORP
COM
060505104
431
15616
SH
SOLE
15616
0
0
BANK NEW YORK MELLON CORP
COM
064058100
641
12701
SH
SOLE
12701
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
9476
47171
SH
SOLE
42517
0
4654
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
9639
32
SH
SOLE
0
0
32
BERRY GLOBAL GROUP INC
COM
08579W103
536
9949
SH
SOLE
9949
0
0
BIOLIFE SOLUTIONS INC
COM NEW
09062W204
250
14000
SH
SOLE
14000
0
0
BLACKROCK CR ALLCTN INC TR
COM
092508100
301
24260
SH
SOLE
24260
0
0
BLACKROCK ENHANCED EQT DIV T
COM
09251A104
231
26970
SH
SOLE
26970
0
0
BLACKROCK ENHANCED GBL DIV T
COM
092501105
269
25180
SH
SOLE
25180
0
0
BLACKROCK ENHANCED INTL DIV
COM BENE INTER
092524107
200
35950
SH
SOLE
35950
0
0
BLACKROCK FLOAT RATE OME STR
COM
09255X100
128
10220
SH
SOLE
10220
0
0
BLACKROCK RES & COMM STRAT T
SHS
09257A108
528
64660
SH
SOLE
64660
0
0
BLUE HILLS BANCORP INC
COM
095573101
935
39123
SH
SOLE
39123
0
0
BOULDER GROWTH & INCOME FD I
COM
101507101
125
11600
SH
SOLE
11600
0
0
BWX TECHNOLOGIES INC
COM
05605H100
1240
25000
SH
SOLE
25000
0
0
CALIFORNIA RES CORP
COM NEW
13057Q206
5230
203417
SH
SOLE
203417
0
0
CALLON PETE CO DEL
COM
13123X102
1391
184269
SH
SOLE
184269
0
0
CAMPBELL SOUP CO
COM
134429109
1695
44450
SH
SOLE
0
0
44450
CATERPILLAR INC DEL
COM
149123101
542
4000
SH
SOLE
0
0
4000
CBRE CLARION GLOBAL REAL EST
COM
12504G100
404
54050
SH
SOLE
54050
0
0
CELGENE CORP
COM
151020104
849
9000
SH
SOLE
9000
0
0
CENOVUS ENERGY INC
COM
15135U109
332
38200
SH
Call
SOLE
38200
0
0
CENTRAL SECS CORP
COM
155123102
511
17840
SH
SOLE
17840
0
0
CHECKPOINT THERAPEUTICS INC
COM
162828107
143
50000
SH
SOLE
50000
0
0
CIMAREX ENERGY CO
COM
171798101
633
9054
SH
SOLE
9054
0
0
CITIGROUP INC
COM NEW
172967424
1282
20612
SH
SOLE
20612
0
0
COCA COLA CO
COM
191216100
880
18781
SH
SOLE
16781
0
2000
CONCHO RES INC
COM
20605P101
745
6712
SH
SOLE
6712
0
0
COPART INC
COM
217204106
3597
59372
SH
SOLE
59372
0
0
CORE LABORATORIES N V
COM
N22717107
438
6358
SH
SOLE
6358
0
0
CREDIT SUISSE ASSET MGMT INC
COM
224916106
136
43900
SH
SOLE
43900
0
0
DAVITA INC
COM
23918K108
1938
35695
SH
SOLE
35695
0
0
DAWSON GEOPHYSICAL CO NEW
COM
239360100
76
25833
SH
SOLE
25833
0
0
DELAWARE ENHANCED GBL DIV &
COM
246060107
199
20540
SH
SOLE
20540
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
1818
35200
SH
SOLE
35200
0
0
DIAMONDBACK ENERGY INC
COM
25278X109
1093
10767
SH
SOLE
10767
0
0
DIVIDEND & INCOME FUND
COM NEW
25538A204
513
45120
SH
SOLE
45120
0
0
EAGLE MATERIALS INC
COM
26969P108
253
3000
SH
SOLE
3000
0
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
126
20490
SH
SOLE
20490
0
0
ENBRIDGE INC
COM
29250N105
656
18079
SH
SOLE
14600
0
3479
ENTERPRISE PRODS PARTNERS L
COM
293792107
280
9610
SH
SOLE
0
0
9610
ETF MANAGERS TR
PRIME CYBR SCRTY
26924G201
366
9150
SH
SOLE
0
0
9150
EXXON MOBIL CORP
COM
30231G102
1013
12542
SH
SOLE
0
0
12542
F M C CORP
COM NEW
302491303
400
5202
SH
SOLE
5202
0
0
FACEBOOK INC
CL A
30303M102
534
3203
SH
SOLE
3000
0
203
FIDELITY NATL INFORMATION SV
COM
31620M106
802
7094
SH
SOLE
7094
0
0
FIRST TR HIGH INCOME L/S FD
COM
33738E109
529
36190
SH
SOLE
36190
0
0
FLEX LTD
ORD
Y2573F102
379
37937
SH
SOLE
37937
0
0
FRANKLIN UNVL TR
SH BEN INT
355145103
272
38700
SH
SOLE
38700
0
0
GABELLI GLB SML & MD CP VAL
COM
36249W104
142
12030
SH
SOLE
12030
0
0
GABELLI HLTHCARE & WELLNESS
SHS
36246K103
260
24760
SH
SOLE
24760
0
0
GAIA INC NEW
CL A
36269P104
696
76027
SH
SOLE
76027
0
0
GENERAL AMERN INVS INC
COM
368802104
536
16100
SH
SOLE
16100
0
0
GILEAD SCIENCES INC
COM
375558103
1235
19000
SH
SOLE
19000
0
0
GOLDMAN SACHS ETF TR
ACCES TREASURY
381430529
361
3600
SH
SOLE
3600
0
0
GROUP 1 AUTOMOTIVE INC
COM
398905109
267
4129
SH
SOLE
4129
0
0
HARBORONE BANCORP INC
COM
41165F101
292
16948
SH
SOLE
16948
0
0
HCA HEALTHCARE INC
COM
40412C101
1110
8513
SH
SOLE
0
0
8513
HIGHPOINT RES CORP
COM
43114K108
476
215300
SH
SOLE
215300
0
0
INTERNATIONAL GAME TECHNOLOG
SHS USD
G4863A108
145
11188
SH
SOLE
11188
0
0
INVESCO DYNAMIC CR OPP FD
COM
46132R104
256
23550
SH
SOLE
23550
0
0
INVESCO EXCHANGE TRADED FD T
DYNMC BLDG CON
46137V779
399
14406
SH
SOLE
0
0
14406
INVESCO EXCHNG TRADED FD TR
RUSEL 1000 EQL
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2422
75272
SH
SOLE
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0
75272
INVESCO QQQ TR
UNIT SER 1
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1204
6700
SH
Put
SOLE
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0
0
INVESCO SR INCOME TR
COM
46131H107
259
61780
SH
SOLE
61780
0
0
ISHARES TR
S&P MC 400GR ETF
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267
1219
SH
SOLE
0
0
1219
ISHARES TR
RUS 1000 VAL ETF
464287598
227
1836
SH
SOLE
0
0
1836
ISHARES TR
NASDAQ BIOTECH
464287556
956
8553
SH
SOLE
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0
8553
ISHARES TR
SHORT TREAS BD
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362
3270
SH
SOLE
3270
0
0
ISHARES TR
CORE S&P SCP ETF
464287804
279
3613
SH
SOLE
0
0
3613
ISHARES TR
S&P 500 GRWT ETF
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2622
15213
SH
SOLE
0
0
15213
ISHARES TR
MSCI EMG MKT ETF
464287234
728
16960
SH
SOLE
0
0
16960
ISHARES TR
TRS FLT RT BD
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362
7180
SH
SOLE
7180
0
0
ISHARES TR
RUS MID CAP ETF
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293
5431
SH
SOLE
0
0
5431
ISHARES TR
RUS MD CP GR ETF
464287481
1044
7694
SH
SOLE
0
0
7694
JAPAN SMALLER CAPTLZTN FD IN
COM
47109U104
110
12500
SH
SOLE
12500
0
0
JOHNSON & JOHNSON
COM
478160104
735
5258
SH
SOLE
3258
0
2000
KAR AUCTION SVCS INC
COM
48238T109
372
7254
SH
SOLE
7254
0
0
KEARNY FINL CORP MD
COM
48716P108
955
74242
SH
SOLE
74242
0
0
KINDER MORGAN INC DEL
COM
49456B101
308
15395
SH
SOLE
0
0
15395
KINROSS GOLD CORP
COM
496902404
57
16500
SH
SOLE
16500
0
0
KIRKLAND LAKE GOLD LTD
COM
49741E100
289
9500
SH
SOLE
9500
0
0
MAG SILVER CORP
COM
55903Q104
1482
139000
SH
SOLE
139000
0
0
MARATHON PETE CORP
COM
56585A102
1359
22705
SH
SOLE
22705
0
0
METHANEX CORP
COM
59151K108
1334
23460
SH
SOLE
23460
0
0
MEXICO FD INC
COM
592835102
228
16460
SH
SOLE
16460
0
0
MICROSOFT CORP
COM
594918104
1216
10309
SH
SOLE
10309
0
0
MOHAWK INDS INC
COM
608190104
416
3300
SH
SOLE
3300
0
0
MONDELEZ INTL INC
CL A
609207105
626
12547
SH
SOLE
12547
0
0
MORGAN STANLEY EM MKTS DM DE
COM
617477104
511
77250
SH
SOLE
77250
0
0
MORGAN STANLEY EMER MKTS DEB
COM
61744H105
259
28860
SH
SOLE
28860
0
0
NEXGEN ENERGY LTD
COM
65340P106
173
107000
SH
SOLE
107000
0
0
NOBLE ENERGY INC
COM
655044105
2087
84410
SH
SOLE
84410
0
0
NUTRIEN LTD
COM
67077M108
867
16428
SH
SOLE
16428
0
0
NUVEEN REAL ASSET INM AND GW
COM
67074Y105
271
16890
SH
SOLE
16890
0
0
NUVERRA ENVIRONMENTAL SOLUTI
COM PAR
67091K302
150
16841
SH
SOLE
16841
0
0
ORION ENGINEERED CARBONS S A
COM
L72967109
887
46700
SH
SOLE
46700
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0
PARSLEY ENERGY INC
CL A
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736
38120
SH
SOLE
38120
0
0
PATTERN ENERGY GROUP INC
CL A
70338P100
1263
57400
SH
SOLE
57400
0
0
PAYPAL HLDGS INC
COM
70450Y103
620
5969
SH
SOLE
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0
0
PCSB FINL CORP
COM
69324R104
452
23100
SH
SOLE
23100
0
0
PENN NATL GAMING INC
COM
707569109
352
17500
SH
SOLE
17500
0
0
PEPSICO INC
COM
713448108
990
8082
SH
SOLE
8082
0
0
PHILLIPS 66
COM
718546104
1013
10639
SH
SOLE
10639
0
0
PIONEER NAT RES CO
COM
723787107
1949
12802
SH
SOLE
12802
0
0
PRETIUM RES INC
COM
74139C102
300
35000
SH
Call
SOLE
35000
0
0
PRETIUM RES INC
COM
74139C102
832
97227
SH
SOLE
97227
0
0
PROCTER AND GAMBLE CO
COM
742718109
774
7435
SH
SOLE
4935
0
2500
PROSHARES TR
ULTRAPRO QQQ
74347X831
561
9900
SH
Put
SOLE
9900
0
0
QUALCOMM INC
COM
747525103
285
5000
SH
SOLE
5000
0
0
ROYCE GLOBAL VALUE TR INC
COM
78081T104
125
12430
SH
SOLE
12430
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
158
19000
SH
SOLE
19000
0
0
ROYCE VALUE TR INC
COM
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138
10060
SH
SOLE
10060
0
0
S&P GLOBAL INC
COM
78409V104
1685
8003
SH
SOLE
8003
0
0
SEAGATE TECHNOLOGY PLC
SHS
G7945M107
477
9957
SH
SOLE
9957
0
0
SELECT SECTOR SPDR TR
COMMUNICATION
81369Y852
329
7028
SH
SOLE
0
0
7028
SINCLAIR BROADCAST GROUP INC
CL A
829226109
713
18527
SH
SOLE
18527
0
0
SNAP ON INC
COM
833034101
597
3812
SH
SOLE
3812
0
0
SOURCE CAP INC
COM
836144105
233
6470
SH
SOLE
6470
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
251
2057
SH
SOLE
0
0
2057
SPDR S&P 500 ETF TR
TR UNIT
78462F103
214
759
SH
SOLE
0
0
759
SPDR S&P 500 ETF TR
TR UNIT
78462F103
19096
67600
SH
Put
SOLE
67600
0
0
SPDR SER TR
SPDR BLOOMBERG
78468R663
361
3940
SH
SOLE
3940
0
0
SPDR SERIES TRUST
S&P BK ETF
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265
6342
SH
SOLE
0
0
6342
SPDR SERIES TRUST
S&P REGL BKG
78464A698
1109
21600
SH
SOLE
0
0
21600
TECNOGLASS INC
SHS
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146
20000
SH
SOLE
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0
TEKLA HEALTHCARE OPPORTUNIT
SHS
879105104
198
11210
SH
SOLE
11210
0
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
66
10400
SH
SOLE
10400
0
0
TESLA INC
COM
88160R101
560
2000
SH
Put
SOLE
2000
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
1569
5731
SH
SOLE
5731
0
0
TRAVELERS COMPANIES INC
COM
89417E109
803
5855
SH
SOLE
5855
0
0
UBS AG JERSEY BRH
ETRAC WELLS BDCI
902641588
239
12142
SH
SOLE
0
0
12142
ULTRA CLEAN HLDGS INC
COM
90385V107
756
73000
SH
SOLE
73000
0
0
UNITED CONTL HLDGS INC
COM
910047109
960
12029
SH
SOLE
12029
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
1482
5993
SH
SOLE
5993
0
0
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
319
2203
SH
SOLE
0
0
2203
VANGUARD INDEX FDS
SM CP VAL ETF
922908611
721
5603
SH
SOLE
0
0
5603
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
1495
5760
SH
SOLE
0
0
5760
VANGUARD INTL EQUITY INDEX F
TT WRLD ST ETF
922042742
965
13184
SH
SOLE
0
0
13184
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
255
6231
SH
SOLE
0
0
6231
VISA INC
COM CL A
92826C839
469
3000
SH
SOLE
3000
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
917
14500
SH
SOLE
11000
0
3500
WALMART INC
COM
931142103
546
5598
SH
SOLE
5598
0
0
WELLS FARGO GLOBAL DIVIDEND
COM
94987C103
129
24580
SH
SOLE
24580
0
0
WELLS FARGO INCOME OPPORTUNI
WF INC OPPTY FD
94987B105
265
33690
SH
SOLE
33690
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
476
20000
SH
SOLE
20000
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
672
28200
SH
Call
SOLE
28200
0
0
WHITING PETE CORP NEW
COM NEW
966387409
2519
96347
SH
SOLE
96347
0
0
WISDOMTREE TR
US LARGECAP DIVD
97717W307
2509
26633
SH
SOLE
0
0
26633
WISDOMTREE TR
FLOATNG RAT TREA
97717X628
362
14420
SH
SOLE
14420
0
0
WPX ENERGY INC
COM
98212B103
2455
187267
SH
SOLE
187267
0
0