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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
+19.94%
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
$620M
AUM Growth
+$113M
Cap. Flow
+$33.9M
Cap. Flow %
5.48%
Top 10 Hldgs %
28.11%
Holding
732
New
131
Increased
102
Reduced
153
Closed
156

Top Buys

Rank Stock Value
1
VLO icon
Valero Energy
VLO
+$9.57M
2
SN
Sanchez Energy Corporation
SN
+$6.53M
3
GPOR
Gulfport Energy Corp.
GPOR
+$5.21M
4
GDP
GOODRICH PETROLEUM CORP(NEW)
GDP
+$4.74M
5
WLT
WALTER ENERGY INC COM STK (DE)
WLT
+$4.57M

Top Sells

Rank Stock Value
1
CIVI
Civitas Resources
CIVI
+$7.27M
2
MTDR icon
Matador Resources
MTDR
+$5.99M
3
ROSE
ROSETTA RESOURCES INC
ROSE
+$5.24M
4
PXD
Pioneer Natural Resource Co.
PXD
+$4.4M
5
GDI
GARDNER DENVER,INC
GDI
+$3.73M

Sector Composition

Rank Sector Weight
1 Energy 36.39%
2 Healthcare 7.26%
3 Materials 6.93%
4 Industrials 6.79%
5 Real Estate 6.09%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AHL
676
DELISTED
ASPEN Insurance Holding Limited
AHL
– –
-6,102
Closed -$227K
OCLR
677
DELISTED
Oclaro Inc.
OCLR
– –
-62,000
Closed -$73K
XRM
678
DELISTED
Xerium Technologies Inc (new)
XRM
– –
-24,646
Closed -$251K
SIGM
679
CALL
DELISTED
Sigma Designs Inc
SIGM
– –
-12,000
Closed -$61K
RPXC
680
DELISTED
RPX Corporation
RPXC
– –
-16,657
Closed -$280K
TAO
681
DELISTED
Invesco China Real Estate ETF
TAO
– –
-16,254
Closed -$331K
AGU
682
CALL
DELISTED
Agrium
AGU
– –
-1,000
Closed -$87K
TESO
683
DELISTED
Tesco Corp
TESO
– –
-23,000
Closed -$305K
LMOS
684
DELISTED
Lumos Networks Corp
LMOS
– –
-15,375
Closed -$262K
BRCD
685
DELISTED
Brocade Communications Systems, Inc. NEW
BRCD
– –
-38,000
Closed -$219K
BAA
686
DELISTED
Banro Corporation Common Stock
BAA
– –
-1,500
Closed -$11K
HW
687
DELISTED
Headwaters Inc
HW
– –
-50,928
Closed -$450K
ENH
688
DELISTED
Endurance Specialty Holdings Ltd
ENH
– –
-4,864
Closed -$251K
ESI
689
DELISTED
ITT EDUCATIONAL SERVICES INC
ESI
– –
-12,991
Closed -$317K
ACG
690
DELISTED
AllianceBernstein Income Fund Inc
ACG
– –
-54,370
Closed -$406K
LSG
691
DELISTED
LAKE SHORE GOLD CORP
LSG
– –
-256,000
Closed -$79K
ALU
692
DELISTED
Alcatel-Lucent
ALU
– –
-62,400
Closed -$109K
THTI
693
DELISTED
THT HEAT TRANSFER TECHNOLOGY, INC. COMMON STOCK
THTI
– –
-15,000
Closed -$17K
SFY
694
DELISTED
SWIFT ENERGY CO (HOLDING COMPANY)
SFY
– –
-65,620
Closed -$787K
FSL
695
DELISTED
FREESCALE SEMICONDUCTOR LTD
FSL
– –
-16,240
Closed -$220K
ZAZA
696
DELISTED
ZAZA ENERGY CORP COM NEW
ZAZA
– –
-7,660
Closed -$92K
STRI
697
DELISTED
STR HLDGS INC COM STK NEW (DE)
STRI
– –
-9,258
Closed -$63K
CRV
698
DELISTED
COAST DISTRIBTN SYSTEM INC(THE
CRV
– –
-21,000
Closed -$74K
MRH
699
DELISTED
MONTPELIER RE HOLDINGS LTD
MRH
– –
-9,164
Closed -$229K
ROSE
700
DELISTED
ROSETTA RESOURCES INC
ROSE
– –
-123,173
Closed -$5.24M
26 27
28
29 30

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SF
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MWM
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HPM
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KL
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Shepherd Kaplan Krochuk's Q3 2013 Portfolio in Review

As of Q3 2013, Shepherd Kaplan Krochuk held 732 positions worth $620M, up 22% from $507M the previous quarter. Its ten largest holdings account for 28% of the portfolio.

Shepherd Kaplan Krochuk deployed $33.9M of net new capital in Q3 2013, opening 131 new positions and adding to 102 existing holdings. Its largest new stake was WALTER ENERGY INC COM STK (DE): 359,610 shares worth $5.04M.

By sector, the portfolio is most concentrated in Energy at 36% of assets, up from 32% a quarter earlier, followed by Healthcare and Materials.

On the sell side, the largest reduction was Pioneer Natural Resource Co., an estimated $4.4M trimmed.

  • Shepherd Kaplan Krochuk's largest Q3 2013 buy was WALTER ENERGY INC COM STK (DE): 359,610 shares worth $5.04M.
  • Shepherd Kaplan Krochuk added most to Valero Energy in Q3 2013, an estimated $9.57M increase.
  • Shepherd Kaplan Krochuk's biggest Q3 2013 reduction was Pioneer Natural Resource Co., cutting an estimated $4.4M.
  • Shepherd Kaplan Krochuk fully exited Civitas Resources in Q3 2013, selling an estimated $7.27M.
  • Shepherd Kaplan Krochuk's ten largest holdings make up 28% of its $620M portfolio in Q3 2013.
  • Shepherd Kaplan Krochuk opened 131 new positions and closed 156 in Q3 2013.
  • Shepherd Kaplan Krochuk's portfolio value rose 22% quarter-over-quarter to $620M.

Based on Shepherd Kaplan Krochuk's 13F filing for Q3 2013, filed 14 Nov 2013.