0000919574-22-004788.txt : 20220812
0000919574-22-004788.hdr.sgml : 20220812
20220812133523
ACCESSION NUMBER: 0000919574-22-004788
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20220630
FILED AS OF DATE: 20220812
DATE AS OF CHANGE: 20220812
EFFECTIVENESS DATE: 20220812
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: 221159218
BUSINESS ADDRESS:
STREET 1: 53 STATE STREET
STREET 2: 23RD FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02109
BUSINESS PHONE: 617-226-1700
MAIL ADDRESS:
STREET 1: 53 STATE STREET
STREET 2: 23RD FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02109
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
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06-30-2022
06-30-2022
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SHEPHERD KAPLAN KROCHUK, LLC
53 State Street
23rd Floor
Boston
MA
02109
13F HOLDINGS REPORT
028-10361
N
Timothy A. Krochuk
Manager
617-896-1600
/s/Timothy A. Krochuk
Boston
MA
08-12-2022
1
191
228855
1
0001710524
028-18093
Peak Capital Management LLC
INFORMATION TABLE
2
infotable.xml
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COM
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COM
00287Y109
841
5488
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SOLE
0
0
5488
ABRDN EMRG MKTS EQTY INCM FD
COM
00301W105
202
36680
SH
SOLE
36680
0
0
ABRDN JAPAN EQUITY FUND INC
COM
00306J109
135
24320
SH
SOLE
24320
0
0
ADAM NAT RES FD INC
COM
00548F105
526
27031
SH
SOLE
27031
0
0
AGNICO EAGLE MINES LTD
COM
008474108
636
13900
SH
SOLE
13500
0
400
ALAMOS GOLD INC NEW
COM CL A
011532108
326
46400
SH
SOLE
46400
0
0
ALAMOS GOLD INC NEW
COM CL A
011532108
103
14700
SH
Call
SOLE
14700
0
0
ALPHABET INC
CAP STK CL C
02079K107
1382
632
SH
SOLE
600
0
32
ALTRA INDL MOTION CORP
COM
02208R106
282
8000
SH
SOLE
8000
0
0
AMERICAN EXPRESS CO
COM
025816109
416
3000
SH
SOLE
3000
0
0
AMGEN INC
COM
031162100
1439
5915
SH
SOLE
900
0
5015
ANTERO MIDSTREAM CORP
COM
03676B102
134
14800
SH
SOLE
14800
0
0
APPLE INC
COM
037833100
6744
49327
SH
SOLE
0
0
49327
ARCH RESOURCES INC
CL A
03940R107
200
1400
SH
SOLE
1400
0
0
ASA GOLD AND PRECIOUS MTLS L
SHS
G3156P103
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36045
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SOLE
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COM
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295
14076
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COM CL A
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60000
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COM NEW
049164205
327
5300
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COM
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5587
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BERKSHIRE HATHAWAY INC DEL
CL B NEW
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5317
19475
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SOLE
10800
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8675
BERRY GLOBAL GROUP INC
COM
08579W103
246
4500
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SOLE
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0
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BK OF AMERICA CORP
COM
060505104
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8400
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SOLE
8400
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0
BLACKROCK ENERGY & RES TR
COM
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252
23010
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23010
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0
BWX TECHNOLOGIES INC
COM
05605H100
303
5500
SH
SOLE
5500
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CALIFORNIA RES CORP
COM STOCK
13057Q305
12466
323800
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323800
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CALIFORNIA RES CORP
COM STOCK
13057Q305
385
10000
SH
Call
SOLE
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0
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COM
134429109
2136
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COM
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20304
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CENOVUS ENERGY INC
COM
15135U109
1049
55200
SH
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SOLE
55200
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CENOVUS ENERGY INC
COM
15135U109
570
30000
SH
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CENTERRA GOLD INC
COM
152006102
90
13350
SH
SOLE
13350
0
0
CENTERRA GOLD INC
COM
152006102
81
12000
SH
Call
SOLE
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CENTRAL SECS CORP
COM
155123102
590
16770
SH
SOLE
16770
0
0
CIPHER MINING INC
COM
17253J106
49
36000
SH
SOLE
0
0
36000
CITIGROUP INC
COM NEW
172967424
414
9000
SH
SOLE
9000
0
0
CLARIVATE PLC
5.25% PFD CONV A
G21810208
274
4800
SH
SOLE
4800
0
0
CNX RES CORP
COM
12653C108
310
18830
SH
SOLE
18830
0
0
COCA COLA CO
COM
191216100
723
11500
SH
SOLE
11400
0
100
COMSTOCK RES INC
COM
205768302
841
69620
SH
SOLE
69620
0
0
COPART INC
COM
217204106
2071
19056
SH
SOLE
19000
0
56
CORNERSTONE BLDG BRANDS INC
COM
21925D109
367
15000
SH
SOLE
15000
0
0
COTERRA ENERGY INC
COM
127097103
2521
97760
SH
SOLE
97760
0
0
CUSHING MLP & INFRASTRUCT
COM NEW
231631300
323
11630
SH
SOLE
11630
0
0
DAVITA INC
COM
23918K108
1919
24000
SH
SOLE
24000
0
0
DBX ETF TR
XTRACK MSCI EAFE
233051630
3468
166352
SH
SOLE
0
0
166352
DEVON ENERGY CORP NEW
COM
25179M103
6654
120746
SH
SOLE
120746
0
0
DHT HOLDINGS INC
SHS NEW
Y2065G121
507
82765
SH
SOLE
82765
0
0
DIAMONDBACK ENERGY INC
COM
25278X109
3287
27135
SH
SOLE
27135
0
0
ELEVANCE HEALTH INC
COM
036752103
724
1500
SH
SOLE
1500
0
0
ENBRIDGE INC
COM
29250N105
304
7200
SH
SOLE
7200
0
0
ENERGY TRANSFER L P
COM UT LTD PTN
29273V100
3015
302091
SH
SOLE
0
0
302091
ENERPLUS CORP
COM
292766102
397
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SH
SOLE
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ENTERPRISE PRODS PARTNERS L
COM
293792107
574
23538
SH
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23538
EQT CORP
COM
26884L109
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478207
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FERROGLOBE PLC
SHS
G33856108
18
3000
SH
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SOLE
3000
0
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FERROGLOBE PLC
SHS
G33856108
125
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FIDELITY NATL INFORMATION SV
COM
31620M106
357
3897
SH
SOLE
3897
0
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FMC CORP
COM NEW
302491303
332
3100
SH
SOLE
3100
0
0
FTI CONSULTING INC
COM
302941109
586
3238
SH
SOLE
0
0
3238
GABELLI DIVID & INCOME TR
COM
36242H104
583
28490
SH
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28490
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0
GABELLI GLOBAL SMALL & MID C
COM
36249W104
228
20620
SH
SOLE
20620
0
0
GABELLI HLTHCARE & WELLNESS
SHS
36246K103
265
24760
SH
SOLE
24760
0
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GAIA INC NEW
CL A
36269P104
88
20700
SH
SOLE
20700
0
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GALECTIN THERAPEUTICS INC
COM NEW
363225202
16
12000
SH
SOLE
0
0
12000
GAMCO NAT RES GOLD & INCOME
SH BEN INT
36465E101
141
30130
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SOLE
30130
0
0
GENERAL AMERN INVS CO INC
COM
368802104
577
16330
SH
SOLE
16330
0
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GENERAL DYNAMICS CORP
COM
369550108
1302
5886
SH
SOLE
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GILEAD SCIENCES INC
COM
375558103
229
3700
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ACTIVEBETA INT
381430107
2229
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GOLDMAN SACHS ETF TR
ACTIVEBETA EME
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ACCESS INVT GR
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ACCES TREASURY
381430529
640
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COM
382550101
26
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SH
Call
SOLE
2400
0
0
GOODYEAR TIRE & RUBR CO
COM
382550101
181
16860
SH
SOLE
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60
GRAN TIERRA ENERGY INC
COM
38500T101
226
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SH
Call
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196100
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GROUP 1 AUTOMOTIVE INC
COM
398905109
560
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SH
SOLE
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GTY TECHNOLOGY HOLDINGS INC
COM
362409104
389
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SH
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HARBORONE BANCORP INC NEW
COM NEW
41165Y100
223
16200
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16200
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IMAC HLDGS INC
COM
44967K104
25
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SH
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COM
461203101
157
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RUSEL 1000 EQL
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PFD ETF
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CORE S&P500 ETF
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TRS FLT RT BD
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HENDERSON MTG
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COM
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COM
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COM
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LUMEN TECHNOLOGIES INC
COM
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330
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COM
55903Q104
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COM UNIT RP LP
559080106
495
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10366
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COM
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330
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COM
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CL A
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COM
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COM
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COM
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559
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COM
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COM
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COM
61745C105
299
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SHS
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COM
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COM
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COM
644535106
39
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COM
644535106
61
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COM
651639106
681
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COM
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162
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COM NEW
66510M204
102
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COM
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287
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COM
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*W EXP 08/03/202
674599162
410
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OSISKO GOLD ROYALTIES LTD
COM
68827L101
237
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COM
70450Y103
293
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COM
713448108
850
5100
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COM
718546104
496
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SH
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350
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COM SHS BEN INT
69346N107
567
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44120
0
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PIONEER NAT RES CO
COM
723787107
3052
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COM
69351T106
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COM
742718109
524
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44
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SHRT 20+YR TRE
74347X849
2334
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COM
744320102
1232
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12877
PUTNAM PREMIER INCOME TR
SH BEN INT
746853100
159
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COM
76674Q107
864
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G76088114
109
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11000
0
0
ROYCE MICRO-CAP TR INC
COM
780915104
473
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SH
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56530
0
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COM
78409V104
1547
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SH
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SH BEN INT
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181
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0
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US DIVIDEND EQ
808524797
4724
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65946
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US LCAP VA ETF
808524409
6680
107022
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0
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107022
SCORPIO TANKERS INC
SHS
Y7542C130
1398
40500
SH
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40500
0
0
SEAGATE TECHNOLOGY HLDNGS PL
ORD SHS
G7997R103
393
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COM
828363101
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SH
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121000
0
0
SPDR GOLD TR
GOLD SHS
78463V107
424
2514
SH
SOLE
940
0
1574
SPDR SER TR
BLOOMBERG 1-3 MO
78468R663
645
7052
SH
SOLE
6930
0
122
SPROTT INC
COM NEW
852066208
886
25500
SH
SOLE
25500
0
0
SRH TOTAL RETURN FUND INC
COM
101507101
147
12260
SH
SOLE
12260
0
0
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COM
867224107
284
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SH
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8100
0
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COM NEW
86887Q109
100
15550
SH
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15550
0
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SUSTAINABLE DEVELP ACQU I CO
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86934L202
108
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SOLE
11000
0
0
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COM
870875101
262
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SH
SOLE
33380
0
0
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STRATIFIED US TT
87166N502
589
15625
SH
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0
0
15625
SYNTAX ETF TR
STRATIFD LRG CAP
87166N106
739
12196
SH
SOLE
0
0
12196
TAIWAN FD INC
COM
874036106
357
14200
SH
SOLE
14200
0
0
TASEKO MINES LTD
COM
876511106
305
282400
SH
SOLE
282400
0
0
TEMPLETON EMERGING MKTS FD
COM
880191101
120
10040
SH
SOLE
10040
0
0
THERMO FISHER SCIENTIFIC INC
COM
883556102
1317
2425
SH
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2400
0
25
TILRAY BRANDS INC
NOTE 5.000%10/0
88688TAB6
45
50000
SH
SOLE
50000
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
30
9000
SH
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0
0
TRANSOCEAN LTD
REG SHS
H8817H100
109
32700
SH
Call
SOLE
32700
0
0
TRAVELERS COMPANIES INC
COM
89417E109
389
2300
SH
SOLE
2300
0
0
TRI CONTL CORP
COM
895436103
272
10380
SH
SOLE
10380
0
0
TRICON RESIDENTIAL INC
COM NPV
89612W102
293
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SH
SOLE
28900
0
0
TRUIST FINL CORP
COM
89832Q109
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TURQUOISE HILL RES LTD
COM
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2409
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ULTRA CLEAN HLDGS INC
COM
90385V107
732
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SH
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0
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UNITEDHEALTH GROUP INC
COM
91324P102
831
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SH
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1600
0
17
VALERO ENERGY CORP
COM
91913Y100
735
6913
SH
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0
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6913
VANECK ETF TRUST
INVESTMENT GRD
92189F486
653
26440
SH
SOLE
26440
0
0
VANECK ETF TRUST
VANECK RUSSIA ET
92189F403
80
14200
SH
SOLE
14200
0
0
VANECK ETF TRUST
FALLEN ANGEL HG
92189F437
8856
327771
SH
SOLE
0
0
327771
VANGUARD ADMIRAL FDS INC
SMLLCP 600 IDX
921932828
913
5368
SH
SOLE
0
0
5368
VANGUARD INDEX FDS
S&P 500 ETF SHS
922908363
426
1228
SH
SOLE
0
0
1228
VANGUARD INDEX FDS
REAL ESTATE ETF
922908553
3636
39912
SH
SOLE
0
0
39912
VANGUARD INDEX FDS
MID CAP ETF
922908629
1510
7664
SH
SOLE
0
0
7664
VANGUARD SCOTTSDALE FDS
SHORT TERM TREAS
92206C102
235
4000
SH
SOLE
4000
0
0
VERMILION ENERGY INC
COM
923725105
343
18000
SH
SOLE
18000
0
0
VERTEX ENERGY INC
COM
92534K107
316
30000
SH
SOLE
30000
0
0
VISA INC
COM CL A
92826C839
449
2279
SH
SOLE
1500
0
779
VISTA GOLD CORP
COM NEW
927926303
18
27000
SH
Call
SOLE
27000
0
0
VOYA GLBL ADV & PREM OPP FD
COM
92912R104
111
12210
SH
SOLE
12210
0
0
VOYA GLBL EQTY DIV & PREM OP
COM
92912T100
112
20300
SH
SOLE
20300
0
0
WABTEC
COM
929740108
271
3300
SH
SOLE
3300
0
0
WALMART INC
COM
931142103
511
4200
SH
SOLE
4200
0
0
WARNER BROS DISCOVERY INC
COM SER A
934423104
166
12405
SH
SOLE
9000
0
3405
WHEATON PRECIOUS METALS CORP
COM
962879102
454
12600
SH
SOLE
12600
0
0
WHITING PETE CORP NEW
COM NEW
966387508
4340
63800
SH
SOLE
63800
0
0
WHOLE EARTH BRANDS INC
COM CL A
96684W100
62
10000
SH
SOLE
10000
0
0
WISDOMTREE TR
FLOATNG RAT TREA
97717Y527
669
13294
SH
SOLE
13120
0
174
WISDOMTREE TR
US LARGECAP DIVD
97717W307
306
5181
SH
SOLE
0
0
5181