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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
GLD icon
126
SPDR Gold Trust
GLD
$147B
$268K 0.2%
1,877
-180
-9% -$25.2K
JOF
127
Japan Smaller Capitalization Fund
JOF
$356M
$268K 0.2%
30,000
+17,500
+140% +$159K
TT icon
128
PUT
Trane Technologies
TT
$97.4B
$266K 0.2%
+2,000
New +$253K
DIG icon
129
ProShares Ultra Energy
DIG
$90.6M
$247K 0.19%
+7,722
New +$227K
DWSN icon
130
Dawson Geophysical
DWSN
$104M
$247K 0.19%
103,000
+26,000
+34% +$60.6K
CLB icon
131
Core Laboratories
CLB
$574M
$240K 0.18%
6,358
– –
DEX
132
DELISTED
DELAWARE ENHANCED GLOBAL DIVIDEND & INCOME FUND
DEX
$230K 0.17%
22,077
– –
BLFS icon
133
BioLife Solutions
BLFS
$1.71B
$227K 0.17%
14,000
– –
EXP icon
134
Eagle Materials
EXP
$5.68B
$227K 0.17%
2,500
-400
-14% -$36.6K
MXF
135
Mexico Fund
MXF
$307M
$226K 0.17%
16,460
– –
IBB icon
136
iShares Biotechnology ETF
IBB
$10.2B
$224K 0.17%
+1,856
New +$207K
FSD
137
DELISTED
FIRST TRUST HIGH INCOME LONG/SHORT FUND
FSD
$219K 0.17%
13,880
-22,310
-62% -$343K
OR icon
138
OR Royalties Inc
OR
$6.75B
$201K 0.15%
20,750
+4,750
+30% +$43.4K
BGT icon
139
BlackRock Floating Rate Income Trust
BGT
$328M
$180K 0.14%
13,970
– –
NOG icon
140
CALL
Northern Oil and Gas
NOG
$2.83B
$166K 0.13%
7,100
– –
PVG
141
CALL
DELISTED
PRETIUM RESOURCES INC.
PVG
$156K 0.12%
14,000
– –
CVE icon
142
Cenovus Energy
CVE
$61.1B
$152K 0.11%
15,000
+1,000
+7% +$9.07K
PHD
143
DELISTED
Pioneer Floating Rate Fund
PHD
$147K 0.11%
+13,360
New +$141K
AEF
144
abrdn Emerging Markets Equity Income Fund
AEF
$403M
$144K 0.11%
+18,960
New +$137K
MCN
145
Madison Covered Call & Equity Strategy Fund
MCN
$118M
$144K 0.11%
+21,760
New +$141K
NFJ
146
Virtus Dividend, Interest & Premium Strategy Fund
NFJ
$1.46B
$144K 0.11%
11,110
-32,750
-75% -$414K
GGZ
147
Gabelli Global Small and Mid-Cap Value Trust
GGZ
$123M
$142K 0.11%
12,030
– –
NXE icon
148
NexGen Energy
NXE
$6.6B
$137K 0.1%
107,000
– –
STEW
149
SRH Total Return Fund
STEW
$1.77B
$137K 0.1%
11,600
– –
TEN
150
CALL
Tsakos Energy Navigation Ltd
TEN
$1.44B
$131K 0.1%
+6,000
New +$110K
4 5
6
7 8

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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.