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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
+9.98%
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
$132M
AUM Growth
-$4.35M
Cap. Flow
-$15.7M
Cap. Flow %
-11.83%
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 Financials 17.47%
2 Energy 13.59%
3 Healthcare 10.88%
4 Industrials 9.28%
5 Materials 7.5%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
REED
151
DELISTED
Reeds, Inc. Common Stock
REED
$127K 0.1%
2,800
+1,240
+79% +$48K
TACT icon
152
Transact Technologies
TACT
$50.5M
$110K 0.08%
+10,000
New +$115K
NES
153
DELISTED
Nuverra Environmental Solutions, Inc. Common Stock
NES
$91K 0.07%
31,400
-9,075
-22% -$28.9K
RRC icon
154
CALL
Range Resources
RRC
$8.94B
$87K 0.07%
18,000
+4,000
+29% +$16.1K
KGC icon
155
Kinross Gold
KGC
$28.1B
$78K 0.06%
16,500
– –
AR icon
156
Antero Resources
AR
$10.5B
$72K 0.05%
25,333
– –
AR icon
157
CALL
Antero Resources
AR
$10.5B
$60K 0.05%
21,000
– –
ERF
158
DELISTED
Enerplus Corporation
ERF
$54K 0.04%
+7,600
New +$49.6K
ERF
159
CALL
DELISTED
Enerplus Corporation
ERF
$29K 0.02%
+4,000
New +$26.1K
RRC icon
160
Range Resources
RRC
$8.94B
$9K 0.01%
+1,800
New +$7.26K
AVK
161
Advent Convertible and Income Fund
AVK
$540M
– –
-12,006
Closed -$170K
CIK
162
Credit Suisse Asset Management Income Fund
CIK
$134M
– –
-43,900
Closed -$138K
EDD
163
Morgan Stanley Emerging Markets Domestic Debt Fund
EDD
$378M
– –
-77,250
Closed -$509K
EVF
164
Eaton Vance Senior Income Trust
EVF
$89.9M
– –
-44,690
Closed -$274K
FT
165
Franklin Universal Trust
FT
$201M
– –
-38,700
Closed -$292K
BRSL
166
Brightstar Lottery PLC
BRSL
$1.92B
– –
-17,500
Closed -$249K
IJR icon
167
iShares Core S&P Small-Cap ETF
IJR
$110B
– –
-3,614
Closed -$281K
IWR icon
168
iShares Russell Mid-Cap ETF
IWR
$56.5B
– –
-5,438
Closed -$304K
JRI icon
169
Nuveen Real Asset Income & Growth Fund
JRI
$354M
– –
-16,890
Closed -$296K
MSD
170
Morgan Stanley Emerging Markets Debt Fund
MSD
$148M
– –
-29,730
Closed -$273K
QQQ icon
171
PUT
Invesco QQQ Trust
QQQ
$445B
– –
-3,200
Closed -$604K
SPY icon
172
State Street SPDR S&P 500 ETF Trust
SPY
$783B
– –
-532
Closed -$164K
NSLR
173
Neostellar Capital Corp
NSLR
$269M
– –
-13,700
Closed -$72K
TQQQ icon
174
PUT
ProShares UltraPro QQQ
TQQQ
$30.5B
– –
-79,200
Closed -$610K
TSLA icon
175
PUT
Tesla
TSLA
$1.21T
– –
-15,000
Closed -$241K
4 5 6
7
8

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HPM
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KL
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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 $15.7M 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 Financials at 17% of assets, up from 16% a quarter earlier, followed by Energy and Healthcare.

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.