13F-HR filed by SHEPHERD KAPLAN KROCHUK, LLC
SHEPHERD KAPLAN KROCHUK, LLC filed this 13F-HR for the quarter ended 2014-09-30, filed 2014-11-13, with 554 holding rows worth $780,285,000.
- Accession
- 0000919574-14-006255
- Filer
- CIK 1218583
- Filed
- 2014-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2014
A holdings report, 785 entries on the cover page, a total value of $780,285,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $780,285,000 with VALUE read as thousands by filing date, 13F file number 028-10361. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerGRT Value Fund, a series of Advisors Inner Circle Fund II028-14914
- included managerOrinda Asset Management LLC028-15243
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| OXIGENE INC | 691828404 | COM PAR$.001 | 43,600 | $94,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 33,128 | $92,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 28,443 | $87,000 | thousands by filing date | |
| TECHNICAL COMMUNICATIONS | 878409101 | COM | 20,232 | $86,000 | thousands by filing date | |
| LGL GROUP INC | 50186A108 | COM | 22,658 | $85,000 | thousands by filing date | |
| ALLIED HEALTHCARE PRODUCTS | 019222108 | COM | 42,770 | $85,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 25,000 | $83,000 | thousands by filing date | call |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 30,000 | $74,000 | thousands by filing date | call |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 2,000 | $72,000 | thousands by filing date | call |
| U.S. AUTO PARTS NETWORK INC | 90343C100 | COM | 25,442 | $72,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 47,978 | $71,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 13,920 | $70,000 | thousands by filing date | |
| CAS MED SYS INC | 124769209 | COM | 35,848 | $70,000 | thousands by filing date | |
| ADVANCED PHOTONIX INC | 00754E107 | CLA | 126,500 | $70,000 | thousands by filing date | |
| ORBIT INTERNATIONAL CORP | 685559304 | COM | 23,805 | $69,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 12,359 | $68,000 | thousands by filing date | |
| DLH HLDGS CORP | 23335Q100 | COM | 34,644 | $67,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 27,000 | $67,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 126,041 | $66,000 | thousands by filing date | |
| NEVSUN RES LTD | 64156L101 | COM | 17,810 | $64,000 | thousands by filing date | |
| BOX SHIPS INC | Y09675102 | CMN | 52,882 | $63,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 53,890 | $60,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 18,300 | $59,000 | thousands by filing date | |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 15,000 | $56,000 | thousands by filing date | call |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 26,300 | $55,000 | thousands by filing date | put |
| Advanced Micro Devices,Inc. | 007903107 | COM | 15,000 | $51,000 | thousands by filing date | put |
| LO JACK CORP | 539451104 | COMMON STOCK | 13,000 | $51,000 | thousands by filing date | |
| DYNASIL CORP AMER | 268102100 | COM | 32,000 | $50,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 43,000 | $48,000 | thousands by filing date | |
| THOMPSON CREEK METALS CO INC | 884768102 | COMMON STOCK | 20,000 | $44,000 | thousands by filing date | call |
| TURQUOISE HILL RESOURCES LTD | 900435108 | COMMON STOCK-FO | 11,570 | $43,000 | thousands by filing date | |
| NEW YORK & CO INC | 649295102 | COM | 14,100 | $43,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222104 | COM | 1,000 | $37,000 | thousands by filing date | put |
| DOVER DOWNS GAMING + ENTERTA | 260095104 | COM | 35,838 | $35,000 | thousands by filing date | |
| GRAN TIERRA ENERGY INC | 38500T101 | COM | 6,000 | $33,000 | thousands by filing date | call |
| ADDVANTAGE TECHNOLOGIES GRP | 006743306 | CMN | 14,216 | $33,000 | thousands by filing date | |
| SARATOGA RES INC | 803521103 | COM | 26,293 | $31,000 | thousands by filing date | |
| YAMANA GOLD INC | 98462Y100 | COM | 5,000 | $30,000 | thousands by filing date | call |
| COUNTERPATH CORP | 22228P203 | COM NEW | 29,684 | $29,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 12,332 | $29,000 | thousands by filing date | |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 19,700 | $28,000 | thousands by filing date | |
| BEBE STORES INC | 075571109 | COM | 12,000 | $28,000 | thousands by filing date | |
| PEABODY ENERGY CORP | 704549104 | COM | 2,000 | $25,000 | thousands by filing date | call |
| DARA BIOSCIENCES INC | 23703P304 | COM PAR $ | 22,799 | $25,000 | thousands by filing date | |
| BARRICK GOLD CORP | 067901108 | COM | 1,500 | $22,000 | thousands by filing date | call |
| SYNACOR INC | 871561106 | COM | 11,350 | $22,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 13,533 | $20,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 15,524 | $18,000 | thousands by filing date | |
| ALLIED NEVADA GOLD CORP | 019344100 | COM | 4,650 | $15,000 | thousands by filing date | |
| JETBLUE AWYS CORP | 477143101 | COM | 1,200 | $13,000 | thousands by filing date | |
| PENN VIRGINIA CORP | 707882106 | COMMON STOCK | 1,000 | $13,000 | thousands by filing date | call |
| NEVADA GOLD & CASINOS | 64126Q206 | COM | 10,000 | $12,000 | thousands by filing date | |
| WELLS-GARDNER ELECTRONICS | 949765101 | COM | 11,000 | $12,000 | thousands by filing date | |
| LGL GROUP INC WTS EXP 08/06/18 | 50186A116 | NOTE 1.250% 5/1 | 333,490 | $10,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000919574-14-006255 | this filing | 2014-11-13 | acceptance time not in the bulk data set |