0000919574-19-006815.txt : 20191112
0000919574-19-006815.hdr.sgml : 20191112
20191112104816
ACCESSION NUMBER: 0000919574-19-006815
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191112
DATE AS OF CHANGE: 20191112
EFFECTIVENESS DATE: 20191112
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: 191207050
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
09-30-2019
09-30-2019
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
11-12-2019
0
160
136729
INFORMATION TABLE
2
infotable.xml
ABBOTT LABS
COM
002824100
796
9509
SH
SOLE
9509
0
0
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
518
123520
SH
SOLE
123520
0
0
ADAM NAT RES FD INC
COM
00548F105
494
31230
SH
SOLE
31230
0
0
ADVENT CONVERTIBLE & INCOME
COM
00764C109
170
11690
SH
SOLE
11690
0
0
AGNICO EAGLE MINES LTD
COM
008474108
410
7648
SH
SOLE
7648
0
0
ALLIANZGI NFJ DIVID INT & PR
COM
01883A107
536
43860
SH
SOLE
43860
0
0
ALPHABET INC
CAP STK CL C
02079K107
1012
830
SH
SOLE
800
0
30
ALPS ETF TR
ALERIAN MLP
00162Q866
2514
275073
SH
SOLE
0
0
275073
ALTRA INDL MOTION CORP
COM
02208R106
637
23000
SH
SOLE
23000
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
1279
47419
SH
SOLE
47419
0
0
AMERICAN EXPRESS CO
COM
025816109
2240
18940
SH
SOLE
18940
0
0
AMERICAN INTL GROUP INC
COM NEW
026874784
1012
18173
SH
SOLE
18173
0
0
AMGEN INC
COM
031162100
479
2476
SH
SOLE
2476
0
0
ANTERO RES CORP
COM
03674X106
77
25333
SH
SOLE
25333
0
0
ANTERO RES CORP
COM
03674X106
63
21000
SH
Call
SOLE
21000
0
0
ANTHEM INC
COM
036752103
944
3930
SH
SOLE
3930
0
0
ARCH COAL INC
CL A
039380407
312
4200
SH
SOLE
4200
0
0
AVIS BUDGET GROUP INC
COM
053774105
1015
35900
SH
SOLE
35900
0
0
AXALTA COATING SYS LTD
COM
G0750C108
721
23900
SH
SOLE
23900
0
0
BANK AMER CORP
COM
060505104
456
15616
SH
SOLE
15616
0
0
BANK NEW YORK MELLON CORP
COM
064058100
574
12701
SH
SOLE
12701
0
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
9478
45563
SH
SOLE
42617
0
2946
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
624
2
SH
SOLE
0
0
2
BERRY GLOBAL GROUP INC
COM
08579W103
399
10149
SH
SOLE
10149
0
0
BIOLIFE SOLUTIONS INC
COM NEW
09062W204
233
14000
SH
SOLE
14000
0
0
BLACKROCK ENHANCED GBL DIV T
COM
092501105
444
42610
SH
SOLE
42610
0
0
BLACKROCK ENHANCED INTL DIV
COM BENE INTER
092524107
195
35950
SH
SOLE
35950
0
0
BLACKROCK FLOAT RATE OME STR
COM
09255X100
411
32560
SH
SOLE
32560
0
0
BLACKROCK FLOATING RATE INCO
COM
091941104
171
13970
SH
SOLE
13970
0
0
BLACKROCK RES & COMM STRAT T
SHS
09257A108
484
64660
SH
SOLE
64660
0
0
BOULDER GROWTH & INCOME FD I
COM
101507101
130
11600
SH
SOLE
11600
0
0
BWX TECHNOLOGIES INC
COM
05605H100
1224
21387
SH
SOLE
21387
0
0
CALLON PETE CO DEL
COM
13123X102
800
184269
SH
SOLE
184269
0
0
CAMPBELL SOUP CO
COM
134429109
2086
44450
SH
SOLE
0
0
44450
CANADIAN NAT RES LTD
COM
136385101
293
11000
SH
SOLE
11000
0
0
CBRE CLARION GLOBAL REAL EST
COM
12504G100
505
63810
SH
SOLE
63810
0
0
CELGENE CORP
COM
151020104
894
9000
SH
SOLE
9000
0
0
CENOVUS ENERGY INC
COM
15135U109
621
66200
SH
Call
SOLE
66200
0
0
CENOVUS ENERGY INC
COM
15135U109
131
14000
SH
SOLE
14000
0
0
CIMAREX ENERGY CO
COM
171798101
1474
30754
SH
SOLE
30754
0
0
CITIGROUP INC
COM NEW
172967424
1363
19736
SH
SOLE
19736
0
0
COCA COLA CO
COM
191216100
914
16781
SH
SOLE
16781
0
0
CONCHO RES INC
COM
20605P101
456
6712
SH
SOLE
6712
0
0
CONSOL ENERGY INC NEW
COM
20854L108
841
53800
SH
SOLE
53800
0
0
COPART INC
COM
217204106
4446
55348
SH
SOLE
55348
0
0
CORE LABORATORIES N V
COM
N22717107
296
6358
SH
SOLE
6358
0
0
CREDIT SUISSE ASSET MGMT INC
COM
224916106
138
43900
SH
SOLE
43900
0
0
DAVITA INC
COM
23918K108
3025
53000
SH
SOLE
53000
0
0
DAWSON GEOPHYSICAL CO NEW
COM
239360100
165
77000
SH
SOLE
77000
0
0
DELAWARE ENHANCED GBL DIV &
COM
246060107
218
22077
SH
SOLE
22077
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
2028
35200
SH
SOLE
35200
0
0
DIAMONDBACK ENERGY INC
COM
25278X109
1975
21967
SH
SOLE
21967
0
0
DIVIDEND & INCOME FUND
COM NEW
25538A204
544
45520
SH
SOLE
45520
0
0
EAGLE MATERIALS INC
COM
26969P108
261
2900
SH
SOLE
2900
0
0
EATON VANCE LTD DUR INCOME F
COM
27828H105
272
21770
SH
SOLE
21770
0
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
274
44690
SH
SOLE
44690
0
0
ENBRIDGE INC
COM
29250N105
512
14600
SH
SOLE
14600
0
0
F M C CORP
COM NEW
302491303
456
5202
SH
SOLE
5202
0
0
FACEBOOK INC
CL A
30303M102
565
3175
SH
SOLE
3000
0
175
FIDELITY NATL INFORMATION SV
COM
31620M106
942
7094
SH
SOLE
7094
0
0
FIRST TR HIGH INCOME L/S FD
COM
33738E109
549
36190
SH
SOLE
36190
0
0
FRANKLIN UNVL TR
SH BEN INT
355145103
292
38700
SH
SOLE
38700
0
0
GABELLI GLB SML & MD CP VAL
COM
36249W104
134
12030
SH
SOLE
12030
0
0
GABELLI HLTHCARE & WELLNESS
SHS
36246K103
258
24760
SH
SOLE
24760
0
0
GAIA INC NEW
CL A
36269P104
818
125100
SH
SOLE
125100
0
0
GENERAL AMERN INVS INC
COM
368802104
274
7540
SH
SOLE
7540
0
0
GILEAD SCIENCES INC
COM
375558103
889
14031
SH
SOLE
14031
0
0
GOLDMAN SACHS ETF TR
ACCES TREASURY
381430529
431
4290
SH
SOLE
4290
0
0
GROUP 1 AUTOMOTIVE INC
COM
398905109
381
4129
SH
SOLE
4129
0
0
HARBORONE BANCORP INC NEW
COM NEW
41165Y100
306
30428
SH
SOLE
30428
0
0
HIGHPOINT RES CORP
COM
43114K108
342
215300
SH
SOLE
215300
0
0
IAA INC
COM
449253103
303
7254
SH
SOLE
7254
0
0
INDEPENDENT BANK CORP MASS
COM
453836108
674
9029
SH
SOLE
9029
0
0
INTERNATIONAL GAME TECHNOLOG
SHS USD
G4863A108
249
17500
SH
SOLE
17500
0
0
INVESCO EXCHNG TRADED FD TR
RUSEL 1000 EQL
46138E420
462
14417
SH
SOLE
0
0
14417
INVESCO QQQ TR
UNIT SER 1
46090E103
604
3200
SH
Put
SOLE
3200
0
0
ISHARES TR
MSCI EMG MKT ETF
464287234
623
15243
SH
SOLE
0
0
15243
ISHARES TR
S&P 500 GRWT ETF
464287309
1468
8153
SH
SOLE
0
0
8153
ISHARES TR
RUS MD CP GR ETF
464287481
537
3802
SH
SOLE
0
0
3802
ISHARES TR
RUS MID CAP ETF
464287499
304
5438
SH
SOLE
0
0
5438
ISHARES TR
S&P MC 400GR ETF
464287606
273
1221
SH
SOLE
0
0
1221
ISHARES TR
CORE S&P SCP ETF
464287804
281
3614
SH
SOLE
0
0
3614
ISHARES TR
SHORT TREAS BD
464288679
480
4340
SH
SOLE
4340
0
0
ISHARES TR
TRS FLT RT BD
46434V860
430
8560
SH
SOLE
8560
0
0
JAPAN SMALLER CAPTLZTN FD IN
COM
47109U104
110
12500
SH
SOLE
12500
0
0
JOHNSON & JOHNSON
COM
478160104
422
3258
SH
SOLE
3258
0
0
KEARNY FINL CORP MD
COM
48716P108
756
58000
SH
SOLE
58000
0
0
KINROSS GOLD CORP
COM
496902404
76
16500
SH
SOLE
16500
0
0
KIRKLAND LAKE GOLD LTD
COM
49741E100
426
9500
SH
SOLE
9500
0
0
MAG SILVER CORP
COM
55903Q104
1586
149488
SH
SOLE
149488
0
0
MARATHON PETE CORP
COM
56585A102
1889
31100
SH
SOLE
31100
0
0
MERIT MED SYS INC
COM
589889104
510
16750
SH
SOLE
16750
0
0
METHANEX CORP
COM
59151K108
917
25860
SH
SOLE
25860
0
0
MEXICO FD INC
COM
592835102
215
16460
SH
SOLE
16460
0
0
MICROSOFT CORP
COM
594918104
1433
10309
SH
SOLE
10309
0
0
MOHAWK INDS INC
COM
608190104
782
6300
SH
SOLE
6300
0
0
MONDELEZ INTL INC
CL A
609207105
694
12547
SH
SOLE
12547
0
0
MORGAN STANLEY EM MKTS DM DE
COM
617477104
509
77250
SH
SOLE
77250
0
0
MORGAN STANLEY EMER MKTS DEB
COM
61744H105
273
29730
SH
SOLE
29730
0
0
NEXGEN ENERGY LTD
COM
65340P106
139
107000
SH
SOLE
107000
0
0
NOBLE ENERGY INC
COM
655044105
1896
84410
SH
SOLE
84410
0
0
NORTHERN OIL & GAS INC NEV
COM
665531109
139
71000
SH
Call
SOLE
71000
0
0
NUTRIEN LTD
COM
67077M108
819
16428
SH
SOLE
16428
0
0
NUVEEN GLOBAL HIGH INCOME FD
SHS
67075G103
274
17610
SH
SOLE
17610
0
0
NUVEEN REAL ASSET INM AND GW
COM
67074Y105
296
16890
SH
SOLE
16890
0
0
NUVERRA ENVIRONMENTAL SOLUTI
COM PAR
67091K302
171
40475
SH
SOLE
40475
0
0
ORION ENGINEERED CARBONS S A
COM
L72967109
1643
98300
SH
SOLE
98300
0
0
OSISKO GOLD ROYALTIES LTD
COM
68827L101
149
16000
SH
SOLE
16000
0
0
PARSLEY ENERGY INC
CL A
701877102
1628
96920
SH
SOLE
96920
0
0
PATTERN ENERGY GROUP INC
CL A
70338P100
1293
48000
SH
SOLE
48000
0
0
PAYPAL HLDGS INC
COM
70450Y103
618
5969
SH
SOLE
5969
0
0
PCSB FINL CORP
COM
69324R104
462
23100
SH
SOLE
23100
0
0
PENN NATL GAMING INC
COM
707569109
326
17500
SH
SOLE
17500
0
0
PEPSICO INC
COM
713448108
971
7082
SH
SOLE
7082
0
0
PHILLIPS 66
COM
718546104
1089
10639
SH
SOLE
10639
0
0
PIONEER NAT RES CO
COM
723787107
1610
12802
SH
SOLE
12802
0
0
PRETIUM RES INC
COM
74139C102
1047
91000
SH
SOLE
91000
0
0
PRETIUM RES INC
COM
74139C102
161
14000
SH
Call
SOLE
14000
0
0
PROCTER & GAMBLE CO
COM
742718109
614
4935
SH
SOLE
4935
0
0
PROSHARES TR
ULTRAPRO QQQ
74347X831
610
9900
SH
Put
SOLE
9900
0
0
RANGE RES CORP
COM
75281A109
53
14000
SH
Call
SOLE
14000
0
0
REEDS INC
COM
758338107
101
78000
SH
SOLE
78000
0
0
ROYCE GLOBAL VALUE TR INC
COM
78081T104
136
13410
SH
SOLE
13410
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
276
34270
SH
SOLE
34270
0
0
ROYCE VALUE TR INC
COM
780910105
537
39040
SH
SOLE
39040
0
0
S&P GLOBAL INC
COM
78409V104
1961
8003
SH
SOLE
8003
0
0
SEAGATE TECHNOLOGY PLC
SHS
G7945M107
536
9957
SH
SOLE
9957
0
0
SINCLAIR BROADCAST GROUP INC
CL A
829226109
641
15000
SH
SOLE
15000
0
0
SNAP ON INC
COM
833034101
550
3512
SH
SOLE
3512
0
0
SOURCE CAP INC
COM
836144105
553
15150
SH
SOLE
15150
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
286
2057
SH
SOLE
0
0
2057
SPDR S&P 500 ETF TR
TR UNIT
78462F103
16797
56600
SH
Put
SOLE
56600
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
158
532
SH
SOLE
0
0
532
SPDR SERIES TRUST
SPDR BLOOMBERG
78468R663
467
5100
SH
SOLE
5100
0
0
SUNCOR ENERGY INC NEW
COM
867224107
420
13300
SH
SOLE
13300
0
0
SUTTER ROCK CAP CORP
COM
86944Q100
72
11500
SH
SOLE
11500
0
0
TECNOGLASS INC
SHS
G87264100
309
38000
SH
SOLE
38000
0
0
TEKLA LIFE SCIENCES INVS
SH BEN INT
87911K100
189
12520
SH
SOLE
12520
0
0
TESLA INC
COM
88160R101
241
1000
SH
Put
SOLE
1000
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
1669
5731
SH
SOLE
5731
0
0
TRAVELERS COMPANIES INC
COM
89417E109
871
5855
SH
SOLE
5855
0
0
ULTRA CLEAN HLDGS INC
COM
90385V107
893
61000
SH
SOLE
61000
0
0
UNITED AIRLINES HLDGS INC
COM
910047109
1063
12029
SH
SOLE
12029
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
1302
5993
SH
SOLE
5993
0
0
VANGUARD ADMIRAL FDS INC
SMLLCP 600 IDX
921932828
321
2250
SH
SOLE
0
0
2250
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
934
3428
SH
SOLE
0
0
3428
VANGUARD INDEX FDS
MID CAP ETF
922908629
782
4667
SH
SOLE
0
0
4667
VANGUARD INDEX FDS
SMALL CP ETF
922908751
284
1846
SH
SOLE
0
0
1846
VANGUARD INDEX FDS
TOTAL STK MKT
922908769
380
2516
SH
SOLE
0
0
2516
VANGUARD INTL EQUITY INDEX F
TT WRLD ST ETF
922042742
916
12238
SH
SOLE
0
0
12238
VANGUARD TAX MANAGED INTL FD
FTSE DEV MKT ETF
921943858
261
6344
SH
SOLE
0
0
6344
VISA INC
COM CL A
92826C839
516
3000
SH
SOLE
3000
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
1300
23500
SH
SOLE
23500
0
0
WALMART INC
COM
931142103
664
5598
SH
SOLE
5598
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
525
20000
SH
SOLE
20000
0
0
WHEATON PRECIOUS METALS CORP
COM
962879102
646
24600
SH
Call
SOLE
24600
0
0
WHITING PETE CORP NEW
COM NEW
966387409
774
96347
SH
SOLE
96347
0
0
WISDOMTREE TR
FLOATNG RAT TREA
97717X628
430
17180
SH
SOLE
17180
0
0
WISDOMTREE TR
US LARGECAP DIVD
97717W307
1470
14842
SH
SOLE
0
0
14842
WPX ENERGY INC
COM
98212B103
1983
187267
SH
SOLE
187267
0
0