13F-HR filed by SHEPHERD KAPLAN KROCHUK, LLC
SHEPHERD KAPLAN KROCHUK, LLC filed this 13F-HR for the quarter ended 2020-06-30, filed 2020-08-14, with 180 holding rows worth $223,592,000.
- Accession
- 0000919574-20-005360
- Filer
- CIK 1218583
- Filed
- 2020-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2020
A holdings report, 180 entries on the cover page, a total value of $223,592,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $223,592,000 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 managerPeak Capital Management LLC028-18093
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 |
|---|---|---|---|---|---|---|
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 478,921 | $22,466,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 53,100 | $16,374,000 | thousands by filing date | put |
| Proshares Short S&P | 74347B425 | COM | 378,915 | $8,473,000 | thousands by filing date | |
| iShares MSCI USA Momentum Factor ETF | 46432F396 | SHS | 61,632 | $8,074,000 | thousands by filing date | |
| J P MORGAN EXCHANGE TRADED F | 46641Q761 | US QUALTY FCTR | 263,466 | $8,017,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E354 | S&P500 LOW VOL | 150,225 | $7,463,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F437 | COM | 244,051 | $7,004,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C771 | SHS | 128,356 | $6,979,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524409 | US LCAP VA ETF | 130,965 | $6,563,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 16,665 | $6,079,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 31,916 | $5,697,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 336917109 | SHS | 207,472 | $5,262,000 | thousands by filing date | |
| Schwab U.S. Small-Cap ETF | 808524607 | SHS | 74,662 | $4,878,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 61,447 | $4,825,000 | thousands by filing date | |
| XTRACKERS MSCI EAFE HIGH DIVIDEND YIELD EQUITY ETF | 233051630 | ETF | 220,380 | $4,491,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430107 | ACTIVEBETA INT | 132,980 | $3,536,000 | thousands by filing date | |
| GOLDMAN SACHS ETF TR | 381430206 | ACTIVEBETA EME | 114,717 | $3,475,000 | thousands by filing date | |
| COPART INC COM | 217204106 | Stock | 41,000 | $3,414,000 | thousands by filing date | |
| PIMCO Investment Grade Co | 72201R817 | INV GRD CRP BD | 29,128 | $3,329,000 | thousands by filing date | |
| CROWDSTRIKE HLDGS INC | 22788C105 | COM | 32,480 | $3,257,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 427,911 | $3,047,000 | thousands by filing date | |
| DAVITA INC COM | 23918K108 | Stock | 33,500 | $2,651,000 | thousands by filing date | |
| S&P Global,Inc. | 78409V104 | COM | 7,690 | $2,534,000 | thousands by filing date | |
| THE CAMPBELLS COMPANY COM | 134429109 | Stock | 44,450 | $2,206,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 10,000 | $2,035,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E511 | PFD ETF | 111,041 | $1,568,000 | thousands by filing date | |
| MAG SILVER CORP | 55903Q104 | COMMON STOCK-FO | 100,000 | $1,410,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 830 | $1,173,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 10,537 | $1,172,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 19,871 | $1,169,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 14,000 | $1,157,000 | thousands by filing date | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 6,019 | $1,147,000 | thousands by filing date | |
| Qualcomm Incorporated | 747525103 | COM | 12,523 | $1,142,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 10,833 | $1,064,000 | thousands by filing date | |
| PARSLEY ENERGY INC | 701877102 | CL A | 96,920 | $1,035,000 | thousands by filing date | |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 2,800 | $1,015,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 4,808 | $998,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 93,750 | $956,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 3,334 | $945,000 | thousands by filing date | |
| GLAXOSMITHKLINE PLC-ADR | 37733W105 | SPONSORED ADR | 22,903 | $934,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 7,000 | $926,000 | thousands by filing date | |
| ABB LTD-ADR | 000375204 | SPONSORED ADR | 39,462 | $890,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 189,700 | $886,000 | thousands by filing date | call |
| UnitedHealth Group Inc | 91324P102 | COM | 3,000 | $885,000 | thousands by filing date | |
| PAYPALHLDGSINC | 70450Y103 | STOK | 4,800 | $836,000 | thousands by filing date | |
| NEWMONT CORP | 651639106 | COM | 13,076 | $807,000 | thousands by filing date | |
| PPL CORP COM | 69351T106 | Stock | 30,841 | $797,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 18,000 | $793,000 | thousands by filing date | |
| Netflix, Inc | 64110L106 | COM | 1,735 | $789,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 8,000 | $762,000 | thousands by filing date | |
| NOBLE ENERGY INC | 655044105 | COM | 84,460 | $757,000 | thousands by filing date | |
| PRETIUM RESOURCES INC | 74139C102 | COMMON STOCK-FO | 89,500 | $752,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B103 | COM | 117,368 | $749,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 4,000 | $735,000 | thousands by filing date | |
| DIAMONDBACK ENERGY INC COM | 25278X109 | Stock | 17,508 | $732,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 8,000 | $731,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 14,000 | $715,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 5,900 | $707,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 2,975 | $676,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 15,000 | $670,000 | thousands by filing date | |
| ULTRA CLEAN HLDGS INC COM | 90385V107 | Stock | 29,250 | $662,000 | thousands by filing date | |
| KIRKLAND LAKE GOLD LTD | 49741E100 | COM | 16,000 | $660,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 4,897 | $657,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 23,604 | $649,000 | thousands by filing date | |
| NORTHERN DYNASTY MINERALS LTD COM NEW | 66510M204 | Stock | 450,000 | $644,000 | thousands by filing date | |
| Elevance Health, Inc. | 036752103 | COM | 2,400 | $631,000 | thousands by filing date | |
| PIONEER NATURAL RESOURCES CO | 723787107 | COM | 6,404 | $626,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 12,000 | $614,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 3,802 | $601,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 3,493 | $573,000 | thousands by filing date | |
| Goldman Sachs Access Treasury 0-1 Year ETF | 381430529 | SHS | 5,590 | $562,000 | thousands by filing date | |
| iShares Short Treasury Bond ETF | 464288679 | SHS | 5,070 | $561,000 | thousands by filing date | |
| SPDR Bloomberg 1-3 Month T-Bill ETF | 78468R663 | SHS | 6,130 | $561,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 13,819 | $553,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 4,600 | $550,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 30,245 | $530,000 | thousands by filing date | |
| Concho Resources Inc. | 20605P101 | COM | 9,952 | $513,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 99,000 | $509,000 | thousands by filing date | |
| SYNTAX ETF TR | 87166N106 | STRATIFD LRG CAP | 10,831 | $495,000 | thousands by filing date | |
| WISDOMTREE FLOATING RATETREASURY FUND | 97717X628 | COM | 19,670 | $494,000 | thousands by filing date | |
| ORION S.A. | L72967109 | COM | 45,300 | $480,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 98,690 | $477,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 26,900 | $473,000 | thousands by filing date | |
| Gilead Sciences,Inc. | 375558103 | COM | 6,100 | $469,000 | thousands by filing date | |
| MOHAWK INDS INC | 608190104 | COM | 4,500 | $458,000 | thousands by filing date | |
| iShares Treasury Floating Rate Bond ETF | 46434V860 | SHS | 9,060 | $456,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 4,000 | $456,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 14,600 | $444,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 13,330 | $441,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 7,070 | $440,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 8,500 | $439,000 | thousands by filing date | |
| MERIT MED SYS INC COM | 589889104 | Stock | 9,500 | $434,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 14,076 | $426,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 3,000 | $422,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E420 | CMN | 13,700 | $420,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 2,490 | $417,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W307 | US LARGECAP DIVD | 4,413 | $410,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 30,830 | $387,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 4,462 | $386,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 2,000 | $386,000 | thousands by filing date | |
| GAIA INC NEW | 36269P104 | CL A | 46,000 | $385,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 25,326 | $384,000 | thousands by filing date | |
| KEARNY FINL CORP MD | 48716P108 | COM | 47,000 | $384,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 37,090 | $378,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 6,171 | $376,000 | thousands by filing date | |
| VOYA GLOBAL ADVANTAGE AND PREM | 92912R104 | COM | 45,660 | $374,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 14,500 | $371,000 | thousands by filing date | |
| ALTRA HOLDINGS INC | 02208R106 | COMMON STOCK | 11,500 | $366,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 17,130 | $365,000 | thousands by filing date | |
| PHILLIPS 66 COM | 718546104 | Stock | 5,000 | $360,000 | thousands by filing date | |
| MARATHON PETE CORP COM | 56585A102 | Stock | 9,500 | $355,000 | thousands by filing date | |
| SEAGATE TECHNOLOGY PLC | G7945M107 | SHS | 7,200 | $349,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 19,023 | $346,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 8,016 | $346,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 18,520 | $333,000 | thousands by filing date | |
| VTI | 922908769 | COM | 2,056 | $322,000 | thousands by filing date | |
| NUTRIEN LTD COM | 67077M108 | Stock | 10,000 | $321,000 | thousands by filing date | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 5,000 | $320,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 83,170 | $317,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 50,690 | $311,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 13,000 | $309,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 1,300 | $307,000 | thousands by filing date | |
| COMSTOCK RES INC COM | 205768302 | Stock | 69,620 | $305,000 | thousands by filing date | |
| AXALTA COATING SYS LTD COM | G0750C108 | Stock | 13,500 | $304,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 30,000 | $300,000 | thousands by filing date | |
| FMC CORP COM NEW | 302491303 | Stock | 3,000 | $299,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 7,598 | $288,000 | thousands by filing date | |
| NEW GERMANY FD INC | 644465106 | COM | 18,390 | $279,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 1,884 | $275,000 | thousands by filing date | |
| GROUP 1 AUTOMOTIVE INC COM | 398905109 | Stock | 4,129 | $272,000 | thousands by filing date | |
| BERRY GLOBAL GROUP INC | 08579W103 | COM | 6,100 | $270,000 | thousands by filing date | |
| METHANEX CORP COM | 59151K108 | Stock | 14,700 | $266,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 22,780 | $259,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 10,380 | $256,000 | thousands by filing date | |
| BWX TECHNOLOGIES INC | 05605H100 | COM | 4,500 | $255,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 1,856 | $254,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 10,800 | $252,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 26,770 | $252,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 1,113 | $249,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 22,230 | $249,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 24,760 | $249,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 17,610 | $248,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 34,270 | $247,000 | thousands by filing date | |
| VULCAN MATLS CO COM | 929160109 | Stock | 2,100 | $243,000 | thousands by filing date | |
| VERMILION ENERGY INC COM | 923725105 | Stock | 50,900 | $227,000 | thousands by filing date | |
| OPENLANE INC | 48238T109 | COM | 16,315 | $224,000 | thousands by filing date | |
| Abrdn Emerging Markets | 00301W105 | COM | 36,680 | $222,000 | thousands by filing date | |
| BIODELIVERY SCIENCES INTL IN | 09060J106 | COM | 50,400 | $220,000 | thousands by filing date | |
| BIOLIFE SOLUTIONS INC COM NEW | 09062W204 | Stock | 13,200 | $216,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 27,490 | $215,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 2,200 | $214,000 | thousands by filing date | |
| HARBORONE BANCORP INC NEW | 41165Y100 | COM NEW | 25,000 | $214,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 11,000 | $212,000 | thousands by filing date | |
| TECNOGLASS INC | G87264100 | ORD SHS | 38,000 | $207,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 4,800 | $203,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 12,000 | $191,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 31,320 | $187,000 | thousands by filing date | |
| NUVEEN S&P 500 BUY-WRITE INCOM COM | 6706ER101 | CEF | 16,850 | $185,000 | thousands by filing date | |
| INVESCO LTD SHS | G491BT108 | Stock | 17,000 | $183,000 | thousands by filing date | call |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 4,000 | $176,000 | thousands by filing date | call |
| AGNT INC | 30212W100 | COM | 10,000 | $171,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 538 | $166,000 | thousands by filing date | |
| CNX RES CORP COM | 12653C108 | Stock | 18,830 | $163,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 121,000 | $163,000 | thousands by filing date | call |
| GOODRICH PETE CORP COM PAR | 382410843 | Stock | 19,160 | $138,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 10,640 | $125,000 | thousands by filing date | |
| NEXGEN ENERGY LTD COM | 65340P106 | Stock | 90,000 | $116,000 | thousands by filing date | |
| CALLON PETE CO DEL | 13123X102 | COM | 97,109 | $112,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 15,000 | $108,000 | thousands by filing date | |
| CENOVUS ENERGY INC | 15135U109 | COM | 20,000 | $93,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 29,100 | $82,000 | thousands by filing date | |
| NORTHERN OIL & GAS INC NEV | 665531109 | COM | 71,000 | $60,000 | thousands by filing date | call |
| CENTURY CASINOS INC | 156492100 | COM | 10,500 | $44,000 | thousands by filing date | |
| JMP GROUP INC | 46629U107 | COMMON STOCK | 16,000 | $44,000 | thousands by filing date | |
| Dawson Geophysical Co Ne | 239360100 | COM | 26,600 | $38,000 | thousands by filing date | |
| GALECTIN THERAPEUTICS INC | 363225202 | COMMON STOCK | 12,000 | $37,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 12,673 | $32,000 | thousands by filing date | |
| HIGHPOINT RES CORP | 43114K108 | COM | 107,740 | $32,000 | thousands by filing date | |
| REEDS INC COM | 758338107 | Stock | 30,000 | $29,000 | thousands by filing date | |
| ANTERO RESOURCES CORP COM | 03674X106 | Stock | 7,000 | $18,000 | thousands by filing date | call |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000919574-20-005360 | this filing | 2020-08-14 | acceptance time not in the bulk data set |