13F-HR filed by SHEPHERD KAPLAN KROCHUK, LLC
SHEPHERD KAPLAN KROCHUK, LLC filed this 13F-HR for the quarter ended 2014-03-31, filed 2014-05-15, with 578 holding rows worth $866,431,000.
- Accession
- 0000919574-14-003374
- Filer
- CIK 1218583
- Filed
- 2014-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2014
A holdings report, 805 entries on the cover page, a total value of $866,431,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $866,431,000 with VALUE read as thousands by filing date, 13F file number 028-10361. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerGRT Value Fund, a series of Advisors Inner Circle Fund II028-14914
- included managerOrinda Asset Management LLC028-15243
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 15,700 | $140,000 | thousands by filing date | put |
| WABASH NATL CORP | 929566AH0 | CNV | 100,000 | $140,000 | thousands by filing date | principal |
| SIGMA DESIGNS INC | 826565103 | COM | 29,000 | $138,000 | thousands by filing date | |
| INSIGNIA SYSTEMS INC | 45765Y105 | COM | 45,837 | $138,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 83,800 | $137,000 | thousands by filing date | |
| Boston Scientific Corporation | 101137107 | COM | 10,000 | $135,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 99,000 | $134,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 10,490 | $133,000 | thousands by filing date | |
| SWIFT ENERGY CO | 870738101 | COM | 12,000 | $129,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 13,020 | $129,000 | thousands by filing date | |
| TSR INC | 872885207 | COM | 38,296 | $129,000 | thousands by filing date | |
| INTEST CORP | 461147100 | COMMON STOCK | 30,491 | $122,000 | thousands by filing date | |
| AMERN STRATEGIC INCOME PTFL | 030099105 | COM | 14,610 | $121,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 16,100 | $119,000 | thousands by filing date | call |
| JABIL INC COM | 466313103 | Stock | 6,500 | $117,000 | thousands by filing date | put |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 51,028 | $117,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 14,260 | $116,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 15,800 | $112,000 | thousands by filing date | |
| NATUZZI S P A | 63905A101 | ADR | 38,887 | $110,000 | thousands by filing date | |
| VASCO DATA SEC INTL INC | 92230Y104 | COM | 14,500 | $109,000 | thousands by filing date | |
| RICHARDSON ELEC LTD | 763165107 | COMMON STOCK | 10,000 | $108,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 15,335 | $108,000 | thousands by filing date | |
| SWIFT ENERGY CO | 870738101 | COM | 10,000 | $108,000 | thousands by filing date | call |
| GSE SYS INC | 36227k106 | COM | 61,133 | $106,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 3,000 | $105,000 | thousands by filing date | call |
| SYNACOR INC | 871561106 | COM | 42,200 | $104,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 15,482 | $103,000 | thousands by filing date | |
| GOLDEN STAR RES LTD CDA | 38119T104 | COM | 166,200 | $100,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 74,100 | $99,000 | thousands by filing date | |
| ONCOTHYREON INC | 682324108 | COM | 33,000 | $99,000 | thousands by filing date | |
| ORIENT PAPER INC | 68619F205 | COM NEW | 41,000 | $99,000 | thousands by filing date | |
| TRANSCEPT PHARMACEUTICALS IN | 89354M106 | COM | 31,000 | $95,000 | thousands by filing date | |
| OTELCO INC | 688823301 | CL A NEW | 18,547 | $94,000 | thousands by filing date | |
| RMG Networks Hldgs | 74966K102 | COM | 16,650 | $94,000 | thousands by filing date | |
| Zagg, Inc. | 98884U108 | COM | 20,000 | $92,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 165,000 | $91,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 18,700 | $90,000 | thousands by filing date | |
| ANTHERA PHARMACEUTCLS INC | 03674U201 | Common equity shares | 26,000 | $87,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 22,000 | $86,000 | thousands by filing date | |
| INTERSECTIONS INC | 460981301 | COM | 14,600 | $86,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 57,000 | $85,000 | thousands by filing date | |
| TRIO TECH INTL | 896712205 | COM NEW | 23,432 | $75,000 | thousands by filing date | |
| SPANISH BROADCASTING SYS INC | 846425833 | CL A NEW | 12,614 | $74,000 | thousands by filing date | |
| ASURE SOFTWARE INC | 04649U102 | COMMON STOCK | 11,000 | $73,000 | thousands by filing date | |
| FREESEAS INC | Y26496300 | SHS PAR 0.001NEW | 44,500 | $73,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 13,920 | $72,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 4,100 | $72,000 | thousands by filing date | call |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 47,338 | $72,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 33,128 | $72,000 | thousands by filing date | |
| ADVANCED PHOTONIX INC | 00754E107 | CLA | 114,500 | $72,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 37,000 | $71,000 | thousands by filing date | |
| ORBIT INTERNATIONAL CORP | 685559304 | COM | 23,605 | $69,000 | thousands by filing date | |
| NEUROMETRIX INC | 641255302 | COM PAR $0.0001 | 29,000 | $68,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 4,000 | $65,000 | thousands by filing date | call |
| INTEGRATED ELECTRICAL SERVIC | 45811E301 | COM | 10,403 | $65,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 1,000 | $63,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 27,600 | $60,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 21,599 | $60,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 36,000 | $57,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 30,000 | $57,000 | thousands by filing date | call |
| DYNASIL CORP AMER | 268102100 | COM | 32,000 | $56,000 | thousands by filing date | |
| GORDMANS STORES INC | 38269P100 | COM | 10,000 | $55,000 | thousands by filing date | call |
| NEVSUN RES LTD | 64156L101 | COM | 15,000 | $51,000 | thousands by filing date | |
| FORWARD INDUSTRIES INC COM NEW | 349862300 | Stock | 24,000 | $47,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 18,011 | $46,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 20,000 | $44,000 | thousands by filing date | call |
| YAMANA GOLD INC | 98462Y100 | COM | 5,000 | $44,000 | thousands by filing date | call |
| EDUCATIONAL DEV CORP | 281479105 | COM | 11,500 | $42,000 | thousands by filing date | |
| COBRA ELECTRONICS CORP | 191042100 | COM | 10,827 | $36,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 10,000 | $33,000 | thousands by filing date | call |
| TOWERSTREAM CORP | 892000100 | COM | 13,533 | $32,000 | thousands by filing date | |
| WPCS INTERNATIONAL INC | 92931L302 | COM | 18,898 | $29,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 12,000 | $29,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 1,500 | $27,000 | thousands by filing date | call |
| ALLIED HEALTHCARE PRODUCTS | 019222108 | COM | 11,715 | $27,000 | thousands by filing date | |
| LGL GROUP INC WTS EXP 08/06/18 | 50186A116 | NOTE 1.250% 5/1 | 333,490 | $20,000 | thousands by filing date | |
| KODIAK OIL & GAS CORP | 50015Q100 | COM | 1,500 | $18,000 | thousands by filing date | call |
| CUI GLOBAL INC | 126576206 | COMMON STOCK | 1,000 | $11,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000919574-14-003374 | this filing | 2014-05-15 | acceptance time not in the bulk data set |