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SKK

Shepherd Kaplan Krochuk Portfolio holdings

AUM $126M
1-Year Est. Return 15.32%
This Fund
S&P 500
This Quarter Est. Return
+9.98%
1 Year Est. Return
+15.32%
3 Year Est. Return
+38.45%
5 Year Est. Return
+60.72%
10 Year Est. Return
+449.67%
AUM
$132M
AUM Growth
-$4.35M
Cap. Flow
-$4.61M
Cap. Flow %
-3.49%
Top 10 Hldgs %
29.74%
Holding
176
New
16
Increased
33
Reduced
31
Closed
16

Top Buys

Rank Stock Value
1
BIL icon
State Street SPDR Bloomberg 1-3 Month T-Bill ETF
BIL
+$759K
2
IGD
Voya Global Equity Dividend and Premium Opportunity Fund
IGD
+$566K
3
MMSI icon
Merit Medical Systems
MMSI
+$523K
4
BMY icon
Bristol-Myers Squibb
BMY
+$515K
5
GDV icon
Gabelli Dividend & Income Trust
GDV
+$485K

Top Sells

Rank Stock Value
1
AMLP icon
Alerian MLP ETF
AMLP
+$1.85M
2
DLN icon
WisdomTree US LargeCap Dividend Fund
DLN
+$1.03M
3
CELG
Celgene Corp
CELG
+$894K
4
PEGI
Pattern Energy Group Inc. Class A
PEGI
+$693K
5
OEC icon
Orion
OEC
+$631K

Sector Composition

Rank Sector Weight
1 Miscellaneous 25.82%
2 Financials 17.47%
3 Energy 15.98%
4 Healthcare 10.88%
5 Industrials 9.88%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
AMLP icon
101
Alerian MLP ETF
AMLP
$13.6B
$466K 0.35%
10,962
-44,053
-80% -$1.85M
TFLO icon
102
iShares Treasury Floating Rate Bond ETF
TFLO
$6.67B
$455K 0.34%
9,060
+500
+6% +$25.1K
PENN icon
103
PENN Entertainment
PENN
$2.39B
$447K 0.34%
17,500
– –
KL
104
DELISTED
Kirkland Lake Gold Ltd Ordinary
KL
$419K 0.32%
9,500
– –
GPI icon
105
Group 1 Automotive
GPI
$3.32B
$413K 0.31%
4,129
– –
VTI icon
106
Vanguard Morningstar Total Stock Market ETF
VTI
$687B
$413K 0.31%
2,526
+10
+0.4% +$1.57K
IGR
107
CBRE Global Real Estate Income Fund
IGR
$639M
$399K 0.3%
16,593
-4,677
-22% -$111K
JGH icon
108
Nuveen Global High Income Fund
JGH
$343M
$398K 0.3%
24,280
+6,670
+38% +$105K
HPR
109
DELISTED
HighPoint Resources Corporation
HPR
$364K 0.28%
4,306
– –
CNQ icon
110
Canadian Natural Resources
CNQ
$103B
$356K 0.27%
22,462
– –
IAA
111
DELISTED
IAA, Inc. Common Stock
IAA
$341K 0.26%
7,254
– –
BRK.A icon
112
Berkshire Hathaway Class A
BRK.A
$1.09T
$340K 0.26%
1
-1
-50% -$326K
HONE
113
DELISTED
HarborOne Bancorp
HONE
$334K 0.25%
30,428
– –
VB icon
114
Vanguard Morningstar Small-Cap ETF
VB
$79.2B
$318K 0.24%
1,919
+73
+4% +$11.6K
TGLS icon
115
Tecnoglass Holdings
TGLS
$1.7B
$314K 0.24%
38,000
– –
RGT
116
Royce Global Value Trust
RGT
$95.9M
$303K 0.23%
25,940
+12,530
+93% +$135K
RMT
117
Royce Micro-Cap Trust
RMT
$728M
$293K 0.22%
34,270
– –
IJK icon
118
iShares S&P Mid-Cap 400 Growth ETF
IJK
$10.6B
$292K 0.22%
4,904
+20
+0.4% +$1.15K
HQL
119
abrdn Life Sciences Investors
HQL
$601M
$291K 0.22%
16,670
+4,150
+33% +$68.1K
LGI
120
Lazard Global Total Return & Income Fund
LGI
$228M
$291K 0.22%
+17,610
New +$277K
EVV
121
Eaton Vance Limited Duration Income Fund
EVV
$1.03B
$288K 0.22%
21,770
– –
GAM
122
General American Investors Company
GAM
$1.57B
$285K 0.22%
7,540
– –
GRX
123
Gabelli Healthcare & Wellness Trust
GRX
$141M
$285K 0.22%
24,760
– –
VEA icon
124
Vanguard FTSE Developed Markets ETF
VEA
$237B
$282K 0.21%
6,397
+53
+0.8% +$2.26K
ARCH
125
DELISTED
Arch Resources, Inc.
ARCH
$280K 0.21%
3,900
-300
-7% -$23K
3 4
5
6 7

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CAM
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SPWM
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HPM
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MPIA
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MIA
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KC
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Shepherd Kaplan Krochuk's Q4 2019 Portfolio in Review

As of Q4 2019, Shepherd Kaplan Krochuk held 176 positions worth $132M, down 3.2% from $137M the previous quarter. Its ten largest holdings account for 30% of the portfolio.

Shepherd Kaplan Krochuk withdrew a net $4.61M in Q4 2019, closing 16 positions and reducing 31 holdings. Its most notable exit was Celgene Corp, an estimated $894K position sold in full.

By sector, the portfolio is most concentrated in Miscellaneous at 26% of assets, down from 33% a quarter earlier, followed by Financials and Energy.

Against the trend, Shepherd Kaplan Krochuk opened a new position in Voya Global Equity Dividend and Premium Opportunity Fund worth $575K.

  • Shepherd Kaplan Krochuk's largest Q4 2019 buy was Voya Global Equity Dividend and Premium Opportunity Fund: 92,860 shares worth $575K.
  • Shepherd Kaplan Krochuk added most to State Street SPDR Bloomberg 1-3 Month T-Bill ETF in Q4 2019, an estimated $759K increase.
  • Shepherd Kaplan Krochuk's biggest Q4 2019 reduction was Alerian MLP ETF, cutting an estimated $1.85M.
  • Shepherd Kaplan Krochuk fully exited Celgene Corp in Q4 2019, selling an estimated $894K.
  • Shepherd Kaplan Krochuk's ten largest holdings make up 30% of its $132M portfolio in Q4 2019.
  • Shepherd Kaplan Krochuk opened 16 new positions and closed 16 in Q4 2019.
  • Shepherd Kaplan Krochuk's portfolio value fell 3.2% quarter-over-quarter to $132M.

Based on Shepherd Kaplan Krochuk's 13F filing for Q4 2019, filed 5 Feb 2020.