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SKK

Shepherd Kaplan Krochuk Portfolio holdings

AUM $119M
1-Year Est. Return 8.32%
This Fund
S&P 500
This Quarter Est. Return
+9.78%
1 Year Est. Return
+8.32%
3 Year Est. Return
+29.85%
5 Year Est. Return
+61.37%
10 Year Est. Return
+533.58%
AUM
$790M
AUM Growth
+$170M
Cap. Flow
+$126M
Cap. Flow %
16.02%
Top 10 Hldgs %
33.85%
Holding
703
New
127
Increased
121
Reduced
150
Closed
170

Top Buys

Rank Stock Value
1
CWEI
Clayton Williams Energy, Inc.
CWEI
+$14.2M
2
CTRA
Coterra Energy
CTRA
+$14.2M
3
GDP
GOODRICH PETROLEUM CORP(NEW)
GDP
+$13.1M
4
CRZO
Carrizo Oil & Gas Inc
CRZO
+$12.8M
5
PXD
Pioneer Natural Resource Co.
PXD
+$10.5M

Top Sells

Rank Stock Value
1
PDCE
PDC Energy, Inc.
PDCE
+$13.3M
2
VLO icon
Valero Energy
VLO
+$9.71M
3
PVA
PENN VIRGINIA CORP
PVA
+$1.8M
4
CRR
Carbo Ceramics Inc.
CRR
+$1.62M
5
CHRD icon
Chord Energy
CHRD
+$1.62M

Sector Composition

Rank Sector Weight
1 Energy 43.43%
2 Healthcare 6.8%
3 Materials 5.78%
4 Industrials 5.69%
5 Real Estate 5.26%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AEY
426
DELISTED
ADDvantage Technologies Group
AEY
$210K 0.03%
7,792
+1,534
+25% +$39.3K
KMB icon
427
Kimberly-Clark
KMB
$37.6B
$209K 0.03%
+2,086
New +$208K
SVT
428
DELISTED
Servotronics
SVT
$209K 0.03%
25,803
+7,500
+41% +$63.2K
VII
429
DELISTED
Vicon Industries, Inc.
VII
$209K 0.03%
67,865
+29,070
+75% +$84.3K
CRR
430
DELISTED
Carbo Ceramics Inc.
CRR
$208K 0.03%
1,784
-14,216
-89% -$1.62M
FNGN
431
DELISTED
Financial Engines, Inc.
FNGN
$208K 0.03%
+3,000
New +$185K
FLL icon
432
Full House Resorts
FLL
$83.4M
$206K 0.03%
73,500
+26,000
+55% +$72.9K
LGL icon
433
LGL Group
LGL
$44.7M
$206K 0.03%
100,930
-39,159
-28% -$81.7K
GDV icon
434
Gabelli Dividend & Income Trust
GDV
$2.59B
$203K 0.03%
+9,655
New +$192K
DJP icon
435
iPath Bloomberg Commodity Index Total Return ETN due 12 June 2036
DJP
$801M
$202K 0.03%
+5,504
New +$203K
PRMW
436
DELISTED
Primo Water Corporation
PRMW
$197K 0.03%
75,000
-9,000
-11% -$23.8K
FAC
437
DELISTED
First Acceptance Corp.
FAC
$196K 0.02%
86,448
+57,500
+199% +$101K
ARIS
438
DELISTED
ARI Network Services, Inc.
ARIS
$195K 0.02%
+59,872
New +$196K
MMT
439
Aberdeen Multi-Market Income Fund
MMT
$237M
$194K 0.02%
29,320
– –
SIGM
440
DELISTED
Sigma Designs Inc
SIGM
$194K 0.02%
41,000
-17,500
-30% -$92.3K
ERS
441
DELISTED
Empire Resources, Inc.
ERS
$189K 0.02%
+52,900
New +$186K
OCC icon
442
Optical Cable Corp
OCC
$113M
$187K 0.02%
50,950
-15,500
-23% -$59.8K
WRES
443
DELISTED
WARREN RESOURCES INC
WRES
$182K 0.02%
58,000
+17,000
+41% +$53.1K
HBP
444
DELISTED
Huttig Building Products, Inc.
HBP
$179K 0.02%
+46,398
New +$168K
ENG
445
DELISTED
ENGlobal Corp
ENG
$178K 0.02%
15,913
-687
-4% -$7.35K
RMT
446
Royce Micro-Cap Trust
RMT
$718M
$176K 0.02%
13,920
– –
LTRE
447
DELISTED
LEARNING TREE INTL INC
LTRE
$170K 0.02%
54,280
+11,000
+25% +$33.6K
SURG
448
DELISTED
SYNERGETICS USA, INC.
SURG
$169K 0.02%
46,730
+4,000
+9% +$16.4K
MSD
449
Morgan Stanley Emerging Markets Debt Fund
MSD
$146M
$168K 0.02%
17,570
– –
LUNA
450
DELISTED
Luna Innovations Incorporated
LUNA
$167K 0.02%
118,968
-25,500
-18% -$34K
16 17
18
19 20

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SF
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MWM
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HPM
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WKSWA
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KL
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Shepherd Kaplan Krochuk's Q4 2013 Portfolio in Review

As of Q4 2013, Shepherd Kaplan Krochuk held 703 positions worth $790M, up 27% from $620M the previous quarter. Its ten largest holdings account for 34% of the portfolio.

Shepherd Kaplan Krochuk deployed $126M of net new capital in Q4 2013, opening 127 new positions and adding to 121 existing holdings. Its largest new stake was Carrizo Oil & Gas Inc: 299,987 shares worth $13.4M.

By sector, the portfolio is most concentrated in Energy at 43% of assets, up from 36% a quarter earlier, followed by Healthcare and Materials.

On the sell side, the largest reduction was PDC Energy, Inc., an estimated $13.3M trimmed.

  • Shepherd Kaplan Krochuk's largest Q4 2013 buy was Carrizo Oil & Gas Inc: 299,987 shares worth $13.4M.
  • Shepherd Kaplan Krochuk added most to Clayton Williams Energy, Inc. in Q4 2013, an estimated $14.2M increase.
  • Shepherd Kaplan Krochuk's biggest Q4 2013 reduction was PDC Energy, Inc., cutting an estimated $13.3M.
  • Shepherd Kaplan Krochuk fully exited Valero Energy in Q4 2013, selling an estimated $9.71M.
  • Shepherd Kaplan Krochuk's ten largest holdings make up 34% of its $790M portfolio in Q4 2013.
  • Shepherd Kaplan Krochuk opened 127 new positions and closed 170 in Q4 2013.
  • Shepherd Kaplan Krochuk's portfolio value rose 27% quarter-over-quarter to $790M.

Based on Shepherd Kaplan Krochuk's 13F filing for Q4 2013, filed 14 Feb 2014.