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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
TRR
651
DELISTED
Trc Companies
TRR
– –
-13,000
Closed -$96K
EXAR
652
DELISTED
Exar Corporation
EXAR
– –
-20,018
Closed -$269K
TPLM
653
CALL
DELISTED
Triangle Petroleum Corporation
TPLM
– –
-5,000
Closed -$49K
LIOX
654
DELISTED
Lionbridge Technologies
LIOX
– –
-38,000
Closed -$140K
HGG
655
DELISTED
hhgregg Inc.
HGG
– –
-14,255
Closed -$255K
AVG
656
DELISTED
AVG Technologies N.V.
AVG
– –
-10,503
Closed -$251K
N
657
PUT
DELISTED
Netsuite Inc
N
– –
-2,000
Closed -$216K
RAX
658
PUT
DELISTED
Rackspace Hosting Inc
RAX
– –
-5,500
Closed -$290K
EMC
659
DELISTED
EMC CORPORATION
EMC
– –
-10,000
Closed -$256K
QLGC
660
DELISTED
QLOGIC CORP
QLGC
– –
-21,465
Closed -$235K
AFOP
661
DELISTED
Alliance Fiber Optic Prod Inc
AFOP
– –
-16,826
Closed -$345K
SYA
662
DELISTED
SYMETRA FINANCIAL CORPORATION COMMON STOCK
SYA
– –
-14,034
Closed -$251K
BDBD
663
PUT
DELISTED
BOULDER BRANDS INC
BDBD
– –
-12,000
Closed -$192K
TC
664
CALL
DELISTED
Thompson Creek Metals Company Inc. Ordinary Shares (Canada)
TC
– –
-20,000
Closed -$72K
ACI
665
CALL
DELISTED
ARCH COAL, INC.
ACI
– –
-3,600
Closed -$148K
RBY
666
DELISTED
RUBICON MENERALS CORP (F)
RBY
– –
-75,000
Closed -$94K
NECB
667
DELISTED
NORTHEAST COMMUNITY BANCORP, INC.
NECB
– –
-21,138
Closed -$143K
TEU
668
DELISTED
BOX SHIPS INCORPORATED SHS (MARSHALL ISLANDS)
TEU
– –
-18,500
Closed -$75K
OWW
669
DELISTED
ORBITZ WORLDWIDE, INC
OWW
– –
-19,733
Closed -$190K
OCR
670
DELISTED
OMNICARE INC
OCR
– –
-4,474
Closed -$249K
RVM
671
DELISTED
REVETT MINING COMPANY COMMON SHARES (DELAWARE)
RVM
– –
-25,012
Closed -$28K
ELX
672
CALL
DELISTED
EMULEX CORP
ELX
– –
-15,000
Closed -$116K
ELX
673
DELISTED
EMULEX CORP
ELX
– –
-12,000
Closed -$93K
ANV
674
CALL
DELISTED
Allied Nevada Gold Corp
ANV
– –
-5,000
Closed -$21K
ANV
675
DELISTED
Allied Nevada Gold Corp
ANV
– –
-6,900
Closed -$29K
25 26
27
28 29

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SF
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HPM
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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.