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 1 primary_doc.xml 13F-HR LIVE false true false 0001218583 XXXXXXXX 06-30-2022 06-30-2022 false SHEPHERD KAPLAN KROCHUK, LLC

53 State Street 23rd Floor Boston MA 02109

13F HOLDINGS REPORT 028-10361 N Timothy A. Krochuk 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 ABBOTT LABS COM 002824100 522 4800 SH SOLE 4800 0 0 ABBVIE INC COM 00287Y109 841 5488 SH 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 529 36045 SH SOLE 33280 0 2765 AT&T INC COM 00206R102 295 14076 SH SOLE 0 0 14076 ATI PHYSICAL THERAPY INC COM CL A 00216W109 85 60000 SH SOLE 60000 0 0 ATLAS AIR WORLDWIDE HLDGS IN COM NEW 049164205 327 5300 SH SOLE 5300 0 0 BANK NEW YORK MELLON CORP COM 064058100 233 5587 SH SOLE 0 0 5587 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 5317 19475 SH SOLE 10800 0 8675 BERRY GLOBAL GROUP INC COM 08579W103 246 4500 SH SOLE 4500 0 0 BK OF AMERICA CORP COM 060505104 261 8400 SH SOLE 8400 0 0 BLACKROCK ENERGY & RES TR COM 09250U101 252 23010 SH SOLE 23010 0 0 BWX TECHNOLOGIES INC COM 05605H100 303 5500 SH SOLE 5500 0 0 CALIFORNIA RES CORP COM STOCK 13057Q305 12466 323800 SH SOLE 323800 0 0 CALIFORNIA RES CORP COM STOCK 13057Q305 385 10000 SH Call SOLE 10000 0 0 CAMPBELL SOUP CO COM 134429109 2136 44450 SH SOLE 0 0 44450 CARDINAL HEALTH INC COM 14149Y108 1061 20304 SH SOLE 0 0 20304 CENOVUS ENERGY INC COM 15135U109 1049 55200 SH Call SOLE 55200 0 0 CENOVUS ENERGY INC COM 15135U109 570 30000 SH SOLE 30000 0 0 CENTERRA GOLD INC COM 152006102 90 13350 SH SOLE 13350 0 0 CENTERRA GOLD INC COM 152006102 81 12000 SH Call SOLE 12000 0 0 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 30000 SH SOLE 30000 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 574 23538 SH SOLE 0 0 23538 EQT CORP COM 26884L109 16450 478207 SH SOLE 478207 0 0 FERROGLOBE PLC SHS G33856108 18 3000 SH Call SOLE 3000 0 0 FERROGLOBE PLC SHS G33856108 125 21000 SH SOLE 21000 0 0 FIDELITY NATL INFORMATION SV COM 31620M106 357 3897 SH SOLE 3897 0 0 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 SOLE 28490 0 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 0 GAIA INC NEW CL A 36269P104 88 20700 SH SOLE 20700 0 0 GALECTIN THERAPEUTICS INC COM NEW 363225202 16 12000 SH SOLE 0 0 12000 GAMCO NAT RES GOLD & INCOME SH BEN INT 36465E101 141 30130 SH SOLE 30130 0 0 GENERAL AMERN INVS CO INC COM 368802104 577 16330 SH SOLE 16330 0 0 GENERAL DYNAMICS CORP COM 369550108 1302 5886 SH SOLE 0 0 5886 GILEAD SCIENCES INC COM 375558103 229 3700 SH SOLE 3700 0 0 GOLDMAN SACHS ETF TR ACTIVEBETA INT 381430107 2229 80284 SH SOLE 0 0 80284 GOLDMAN SACHS ETF TR ACTIVEBETA EME 381430206 2090 70267 SH SOLE 0 0 70267 GOLDMAN SACHS ETF TR ACCESS INVT GR 381430479 3526 76562 SH SOLE 0 0 76562 GOLDMAN SACHS ETF TR ACCES TREASURY 381430529 640 6410 SH SOLE 6410 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 26 2400 SH Call SOLE 2400 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 181 16860 SH SOLE 16800 0 60 GRAN TIERRA ENERGY INC COM 38500T101 226 196100 SH Call SOLE 196100 0 0 GROUP 1 AUTOMOTIVE INC COM 398905109 560 3300 SH SOLE 3300 0 0 GTY TECHNOLOGY HOLDINGS INC COM 362409104 389 62100 SH SOLE 62100 0 0 HARBORONE BANCORP INC NEW COM NEW 41165Y100 223 16200 SH SOLE 16200 0 0 IMAC HLDGS INC COM 44967K104 25 30000 SH SOLE 30000 0 0 INVACARE CORP COM 461203101 157 122469 SH SOLE 122469 0 0 INVESCO EXCH TRADED FD TR II RUSEL 1000 EQL 46138E420 445 11331 SH SOLE 0 0 11331 INVESCO EXCH TRADED FD TR II PFD ETF 46138E511 2432 197055 SH SOLE 0 0 197055 INVESCO EXCH TRADED FD TR II S&P500 LOW VOL 46138E354 10734 173133 SH SOLE 0 0 173133 ISHARES TR CORE S&P500 ETF 464287200 277 731 SH SOLE 0 0 731 ISHARES TR S&P 500 GRWT ETF 464287309 1130 18730 SH SOLE 0 0 18730 ISHARES TR 20 YR TR BD ETF 464287432 7836 68212 SH SOLE 0 0 68212 ISHARES TR S&P MC 400GR ETF 464287606 201 3158 SH SOLE 0 0 3158 ISHARES TR CORE S&P SCP ETF 464287804 4097 44333 SH SOLE 0 0 44333 ISHARES TR SHORT TREAS BD 464288679 3591 32613 SH SOLE 5670 0 26943 ISHARES TR MSCI USA MMENTM 46432F396 3958 29024 SH SOLE 0 0 29024 ISHARES TR TRS FLT RT BD 46434V860 635 12600 SH SOLE 12600 0 0 J P MORGAN EXCHANGE TRADED F US QUALTY FCTR 46641Q761 5137 137949 SH SOLE 0 0 137949 JANUS DETROIT STR TR HENDERSON MTG 47103U852 6785 141467 SH SOLE 0 0 141467 JAPAN SMALLER CAPITALIZATION COM 47109U104 421 66610 SH SOLE 66610 0 0 JOHNSON & JOHNSON COM 478160104 514 2896 SH SOLE 2400 0 496 KEARNY FINL CORP MD COM 48716P108 256 23000 SH SOLE 23000 0 0 KINDER MORGAN INC DEL COM 49456B101 649 38702 SH SOLE 7500 0 31202 LUMEN TECHNOLOGIES INC COM 550241103 330 30205 SH SOLE 0 0 30205 MAG SILVER CORP COM 55903Q104 821 67500 SH SOLE 67500 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 495 10366 SH SOLE 0 0 10366 MARATHON OIL CORP COM 565849106 330 14700 SH Call SOLE 14700 0 0 MERIT MED SYS INC COM 589889104 217 4000 SH SOLE 4000 0 0 META PLATFORMS INC CL A 30303M102 421 2611 SH SOLE 2400 0 211 METHANEX CORP COM 59151K108 218 5700 SH SOLE 5700 0 0 MEXICO FD INC COM 592835102 479 33210 SH SOLE 33210 0 0 MICROSOFT CORP COM 594918104 1508 5873 SH SOLE 5100 0 773 MONDELEZ INTL INC CL A 609207105 559 9000 SH SOLE 9000 0 0 MORGAN STANLEY EMERGING MKTS COM 617477104 464 103450 SH SOLE 103450 0 0 MORGAN STANLEY EMKT DBT FD I COM 61744H105 175 26450 SH SOLE 26450 0 0 MORGAN STANLEY INDIA INVT FD COM 61745C105 299 13360 SH SOLE 13360 0 0 NABORS INDUSTRIES LTD SHS G6359F137 3803 28400 SH SOLE 28400 0 0 NETFLIX INC COM 64110L106 303 1735 SH SOLE 0 0 1735 NEUBERGER BERMAN MLP & ENERG COM 64129H104 603 100510 SH SOLE 100510 0 0 NEW GERMANY FD INC COM 644465106 140 16580 SH SOLE 16580 0 0 NEW GOLD INC CDA COM 644535106 39 36000 SH SOLE 36000 0 0 NEW GOLD INC CDA COM 644535106 61 57200 SH Call SOLE 57200 0 0 NEWMONT CORP COM 651639106 681 11411 SH SOLE 0 0 11411 NEXGEN ENERGY LTD COM 65340P106 162 45000 SH SOLE 45000 0 0 NORTHERN DYNASTY MINERALS LT COM NEW 66510M204 102 390000 SH SOLE 390000 0 0 NUTRIEN LTD COM 67077M108 287 3600 SH SOLE 3600 0 0 NUVEEN MUN VALUE FD INC COM 670928100 614 68793 SH SOLE 0 0 68793 OCCIDENTAL PETE CORP *W EXP 08/03/202 674599162 410 11100 SH SOLE 11100 0 0 OSISKO GOLD ROYALTIES LTD COM 68827L101 237 23500 SH SOLE 23500 0 0 PAYPAL HLDGS INC COM 70450Y103 293 4200 SH SOLE 4200 0 0 PEPSICO INC COM 713448108 850 5100 SH SOLE 5100 0 0 PHILLIPS 66 COM 718546104 496 6050 SH SOLE 5700 0 350 PIMCO ENERGY & TACTICAL CR O COM SHS BEN INT 69346N107 567 44120 SH SOLE 44120 0 0 PIONEER NAT RES CO COM 723787107 3052 13680 SH SOLE 13680 0 0 PPL CORP COM 69351T106 1318 48581 SH SOLE 0 0 48581 PROCTER AND GAMBLE CO COM 742718109 524 3644 SH SOLE 3600 0 44 PROSHARES TR SHRT 20+YR TRE 74347X849 2334 116433 SH SOLE 0 0 116433 PRUDENTIAL FINL INC COM 744320102 1232 12877 SH SOLE 0 0 12877 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 159 41860 SH SOLE 41860 0 0 RIMINI STR INC DEL COM 76674Q107 864 143800 SH SOLE 143800 0 0 RMG ACQUISITION CORP III UNIT 02/08/2026 G76088114 109 11000 SH SOLE 11000 0 0 ROYCE MICRO-CAP TR INC COM 780915104 473 56530 SH SOLE 56530 0 0 S&P GLOBAL INC COM 78409V104 1547 4590 SH SOLE 4590 0 0 SALIENT MIDSTREAM & MLP FD SH BEN INT 79471V105 181 23850 SH SOLE 23850 0 0 SCHWAB STRATEGIC TR US DIVIDEND EQ 808524797 4724 65946 SH SOLE 0 0 65946 SCHWAB STRATEGIC TR US LCAP VA ETF 808524409 6680 107022 SH SOLE 0 0 107022 SCORPIO TANKERS INC SHS Y7542C130 1398 40500 SH SOLE 40500 0 0 SEAGATE TECHNOLOGY HLDNGS PL ORD SHS G7997R103 393 5500 SH SOLE 5500 0 0 SILVERCREST METALS INC COM 828363101 739 121000 SH SOLE 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 SUNCOR ENERGY INC NEW COM 867224107 284 8100 SH SOLE 8100 0 0 SURO CAPITAL CORP COM NEW 86887Q109 100 15550 SH SOLE 15550 0 0 SUSTAINABLE DEVELP ACQU I CO UNIT 02/04/2026 86934L202 108 11000 SH SOLE 11000 0 0 SWISS HELVETIA FD INC COM 870875101 262 33380 SH SOLE 33380 0 0 SYNTAX ETF TR STRATIFIED US TT 87166N502 589 15625 SH SOLE 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 SOLE 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 SOLE 9000 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 28900 SH SOLE 28900 0 0 TRUIST FINL CORP COM 89832Q109 1026 21637 SH SOLE 0 0 21637 TURQUOISE HILL RES LTD COM 900435207 2409 89953 SH SOLE 0 0 89953 ULTRA CLEAN HLDGS INC COM 90385V107 732 24600 SH SOLE 24600 0 0 UNITEDHEALTH GROUP INC COM 91324P102 831 1617 SH SOLE 1600 0 17 VALERO ENERGY CORP COM 91913Y100 735 6913 SH SOLE 0 0 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