13F-HR filed by SHEPHERD KAPLAN KROCHUK, LLC
SHEPHERD KAPLAN KROCHUK, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-12, with 160 holding rows worth $136,729,000.
- Accession
- 0000919574-19-006815
- Filer
- CIK 1218583
- Filed
- 2019-11-12
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 160 entries on the cover page, a total value of $136,729,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $136,729,000 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.
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 |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 56,600 | $16,797,000 | thousands by filing date | put |
| Berkshire Hathaway Inc | 084670702 | COM | 45,563 | $9,478,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 55,348 | $4,446,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 53,000 | $3,025,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 275,073 | $2,514,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 18,940 | $2,240,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 44,450 | $2,086,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 35,200 | $2,028,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 187,267 | $1,983,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 21,967 | $1,975,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 8,003 | $1,961,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 84,410 | $1,896,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 31,100 | $1,889,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 5,731 | $1,669,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 98,300 | $1,643,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 96,920 | $1,628,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 12,802 | $1,610,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 149,488 | $1,586,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 30,754 | $1,474,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 14,842 | $1,470,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 8,153 | $1,468,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 10,309 | $1,433,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 19,736 | $1,363,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 5,993 | $1,302,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 23,500 | $1,300,000 | thousands by filing date | |
| PATTERN ENERGY GROUP INC | 70338P100 | CL A | 48,000 | $1,293,000 | thousands by filing date | |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 47,419 | $1,279,000 | thousands by filing date | |
| BWX TECHNOLOGIES INC | 05605H100 | COM | 21,387 | $1,224,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 10,639 | $1,089,000 | thousands by filing date | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 12,029 | $1,063,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 91,000 | $1,047,000 | thousands by filing date | |
| AVIS BUDGET GROUP INC | 053774105 | COM | 35,900 | $1,015,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 830 | $1,012,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 18,173 | $1,012,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 7,082 | $971,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 3,930 | $944,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 7,094 | $942,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 3,428 | $934,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 25,860 | $917,000 | thousands by filing date | |
| Vanguard Total World Stock ETF | 922042742 | SHS | 12,238 | $916,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 16,781 | $914,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 9,000 | $894,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 61,000 | $893,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 14,031 | $889,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 5,855 | $871,000 | thousands by filing date | |
| CONSOL ENERGY INC NEW | 20854L108 | COM | 53,800 | $841,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 16,428 | $819,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 125,100 | $818,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 184,269 | $800,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 9,509 | $796,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 4,667 | $782,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 6,300 | $782,000 | thousands by filing date | |
| Whiting Petroleum Corpora | 966387409 | COM NEW | 96,347 | $774,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 58,000 | $756,000 | thousands by filing date | |
| AXALTA COATING SYS LTD COM | G0750C108 | Stock | 23,900 | $721,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 12,547 | $694,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 9,029 | $674,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 5,598 | $664,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 24,600 | $646,000 | thousands by filing date | call |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 15,000 | $641,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 23,000 | $637,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 2 | $624,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 15,243 | $623,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 66,200 | $621,000 | thousands by filing date | call |
| PAYPALHLDGSINC | 70450Y103 | STOK | 5,969 | $618,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 4,935 | $614,000 | thousands by filing date | |
| PROSHARES TR | 74347X831 | ULTRAPRO QQQ | 9,900 | $610,000 | thousands by filing date | put |
| INVESCO QQQ TR | 46090E103 | COM | 3,200 | $604,000 | thousands by filing date | put |
| BANK OF NY MELLON CORP COM | 064058100 | Stock | 12,701 | $574,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 3,175 | $565,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 15,150 | $553,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 3,512 | $550,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 36,190 | $549,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 45,520 | $544,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 3,802 | $537,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 39,040 | $537,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 43,860 | $536,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 9,957 | $536,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 20,000 | $525,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 123,520 | $518,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 3,000 | $516,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 14,600 | $512,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 16,750 | $510,000 | thousands by filing date | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 77,250 | $509,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 63,810 | $505,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 31,230 | $494,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 64,660 | $484,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 4,340 | $480,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 2,476 | $479,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 5,100 | $467,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E420 | CMN | 14,417 | $462,000 | thousands by filing date | |
| PCSB FINL CORP COM | 69324R104 | Stock | 23,100 | $462,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 15,616 | $456,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 5,202 | $456,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 6,712 | $456,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 42,610 | $444,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 4,290 | $431,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 8,560 | $430,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 17,180 | $430,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 9,500 | $426,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 3,258 | $422,000 | thousands by filing date | |
| SUNCOR ENERGY INC NEW COM | 867224107 | Stock | 13,300 | $420,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 32,560 | $411,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 7,648 | $410,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 10,149 | $399,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 4,129 | $381,000 | thousands by filing date | |
| VTI | 922908769 | COM | 2,516 | $380,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 215,300 | $342,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 17,500 | $326,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 2,250 | $321,000 | thousands by filing date | |
| ARCH COAL INC | 039380407 | COMMON STOCK | 4,200 | $312,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 38,000 | $309,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 30,428 | $306,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 5,438 | $304,000 | thousands by filing date | |
| IAA INC | 449253103 | COM | 7,254 | $303,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 16,890 | $296,000 | thousands by filing date | |
| CORE LABORATORIES N V | N22717107 | COM | 6,358 | $296,000 | thousands by filing date | |
| CANADIAN NAT RES LTD MED TERM COM | 136385101 | Stock | 11,000 | $293,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 38,700 | $292,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 2,057 | $286,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 1,846 | $284,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 3,614 | $281,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 34,270 | $276,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 7,540 | $274,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 44,690 | $274,000 | thousands by filing date | |
| NUVEEN GLOBAL HIGH INCOME FD | 67075G103 | SHS | 17,610 | $274,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 1,221 | $273,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS DEB | 61744H105 | COM | 29,730 | $273,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 21,770 | $272,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 6,344 | $261,000 | thousands by filing date | |
| EAGLE MATLS INC COM | 26969P108 | Stock | 2,900 | $261,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 24,760 | $258,000 | thousands by filing date | |
| INTERNATIONAL GAME TECHNOLOG | G4863A108 | SHS USD | 17,500 | $249,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 1,000 | $241,000 | thousands by filing date | put |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 14,000 | $233,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 22,077 | $218,000 | thousands by filing date | |
| Mexico Fund Inc/The | 592835102 | COM | 16,460 | $215,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 35,950 | $195,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 12,520 | $189,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 13,970 | $171,000 | thousands by filing date | |
| NUVERRA ENVIRONMENTAL SOLUTI | 67091K302 | CMN | 40,475 | $171,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 11,690 | $170,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 77,000 | $165,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 14,000 | $161,000 | thousands by filing date | call |
| SPY | 78462F103 | SHS | 532 | $158,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 16,000 | $149,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 107,000 | $139,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 71,000 | $139,000 | thousands by filing date | call |
| CREDIT SUISSE ASSET MGMT INC | 224916106 | COM | 43,900 | $138,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 13,410 | $136,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 12,030 | $134,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 14,000 | $131,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 11,600 | $130,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 12,500 | $110,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 78,000 | $101,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 25,333 | $77,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 16,500 | $76,000 | thousands by filing date | |
| SUTTER ROCK CAP CORP | 86944Q100 | COM | 11,500 | $72,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 21,000 | $63,000 | thousands by filing date | call |
| RANGE RES CORP COM | 75281A109 | Stock | 14,000 | $53,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000919574-19-006815 | this filing | 2019-11-12 | acceptance time not in the bulk data set |