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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
+72.82%
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
$481M
AUM Growth
+$78.2M
Cap. Flow
-$17.9M
Cap. Flow %
-3.72%
Top 10 Hldgs %
44.13%
Holding
441
New
91
Increased
68
Reduced
104
Closed
73

Top Buys

Rank Stock Value
1
CRC
California Resources Corporation
CRC
+$5.6M
2
WLL
Whiting Petroleum Corporation
WLL
+$4.17M
3
CNR
Cornerstone Building Brands, Inc.
CNR
+$1.49M
4
APA icon
APA Corp
APA
+$818K
5
ACP
abrdn Income Credit Strategies Fund
ACP
+$700K

Top Sells

Rank Stock Value
1
CWEI
Clayton Williams Energy, Inc.
CWEI
+$7.59M
2
CIVI
Civitas Resources
CIVI
+$3.48M
3
XEC
CIMAREX ENERGY CO
XEC
+$3.04M
4
CPE
Callon Petroleum Company
CPE
+$2.36M
5
PXD
Pioneer Natural Resource Co.
PXD
+$2.18M

Sector Composition

Rank Sector Weight
1 Energy 45.16%
2 Healthcare 6.1%
3 Financials 4.68%
4 Industrials 3.86%
5 Real Estate 3%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DRA
101
DELISTED
Diversified Real Asset Income Fd
DRA
$627K 0.13%
36,380
+23,931
+192% +$411K
NFJ
102
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.4B
$620K 0.13%
49,060
+10,700
+28% +$136K
OBCI
103
DELISTED
Ocean Bio-Chem Inc
OBCI
$613K 0.13%
217,516
+19,500
+10% +$48.2K
MD icon
104
Pediatrix Medical
MD
$2.18B
$612K 0.13%
9,245
-507
-5% -$34.7K
USA icon
105
Liberty All-Star Equity Fund
USA
$1.79B
$610K 0.13%
117,820
– –
CVS icon
106
CVS Health
CVS
$137B
$608K 0.13%
6,836
– –
WMT icon
107
Walmart Inc
WMT
$907B
$601K 0.13%
25,011
-21
-0.1% -$509
PDLI
108
DELISTED
PDL BioPharma, Inc.
PDLI
$595K 0.12%
+177,533
New +$564K
PSX icon
109
Phillips 66
PSX
$83.6B
$593K 0.12%
7,358
+2,800
+61% +$218K
EFA icon
110
iShares MSCI EAFE ETF
EFA
$76.5B
$584K 0.12%
9,880
+3,050
+45% +$177K
AEM icon
111
Agnico Eagle Mines
AEM
$71.2B
$583K 0.12%
10,760
-352
-3% -$19.4K
PRGO icon
112
Perrigo
PRGO
$1.42B
$582K 0.12%
+6,300
New +$581K
AVTA
113
DELISTED
Avantax, Inc. Common Stock
AVTA
$576K 0.12%
51,425
+39,381
+327% +$437K
AZTA icon
114
Azenta
AZTA
$1.3B
$575K 0.12%
+42,233
New +$531K
GAM
115
General American Investors Company
GAM
$1.53B
$570K 0.12%
17,450
– –
ASRT
116
DELISTED
Assertio
ASRT
$566K 0.12%
378
– –
IGR
117
CBRE Global Real Estate Income Fund
IGR
$716M
$565K 0.12%
67,250
+16,850
+33% +$142K
KRA
118
DELISTED
Kraton Corporation
KRA
$563K 0.12%
16,060
– –
BOE icon
119
BlackRock Enhanced Global Dividend Trust
BOE
$660M
$553K 0.12%
45,180
– –
PG icon
120
Procter & Gamble
PG
$338B
$546K 0.11%
6,084
-532
-8% -$46.2K
RCKT icon
121
Rocket Pharmaceuticals
RCKT
$335M
$544K 0.11%
14,336
– –
FBP icon
122
First Bancorp
FBP
$4.46B
$541K 0.11%
104,118
+71,955
+224% +$333K
SFE
123
DELISTED
Safeguard Scientifics, Inc.
SFE
$541K 0.11%
41,716
-1,571
-4% -$20.8K
ESRX
124
DELISTED
Express Scripts Holding Company
ESRX
$538K 0.11%
7,632
– –
MS icon
125
Morgan Stanley
MS
$324B
$534K 0.11%
+16,656
New +$497K
3 4
5
6 7

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CA
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VA
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TCM
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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 Q3 2016 Portfolio in Review

As of Q3 2016, Shepherd Kaplan Krochuk held 441 positions worth $481M, up 19% from $402M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Shepherd Kaplan Krochuk withdrew a net $17.9M in Q3 2016, closing 73 positions and reducing 104 holdings. Its most notable exit was Civitas Resources, an estimated $3.48M position sold in full.

By sector, the portfolio is most concentrated in Energy at 45% of assets, down from 46% a quarter earlier, followed by Healthcare and Financials.

Against the trend, Shepherd Kaplan Krochuk opened a new position in APA Corp worth $955K.

  • Shepherd Kaplan Krochuk's largest Q3 2016 buy was APA Corp: 14,959 shares worth $955K.
  • Shepherd Kaplan Krochuk added most to California Resources Corporation in Q3 2016, an estimated $5.6M increase.
  • Shepherd Kaplan Krochuk's biggest Q3 2016 reduction was Clayton Williams Energy, Inc., cutting an estimated $7.59M.
  • Shepherd Kaplan Krochuk fully exited Civitas Resources in Q3 2016, selling an estimated $3.48M.
  • Shepherd Kaplan Krochuk's ten largest holdings make up 44% of its $481M portfolio in Q3 2016.
  • Shepherd Kaplan Krochuk opened 91 new positions and closed 73 in Q3 2016.
  • Shepherd Kaplan Krochuk's portfolio value rose 19% quarter-over-quarter to $481M.

Based on Shepherd Kaplan Krochuk's 13F filing for Q3 2016, filed 14 Nov 2016.