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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
+0.7%
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
$272M
AUM Growth
-$8.26M
Cap. Flow
-$7.6M
Cap. Flow %
-2.79%
Top 10 Hldgs %
43.7%
Holding
205
New
13
Increased
33
Reduced
78
Closed
8

Top Buys

Rank Stock Value
1
SPTL icon
State Street SPDR Portfolio Long Term Treasury ETF
SPTL
+$5.41M
2
SMM
Salient Midstream & MLP Fund
SMM
+$349K
3
ATIP
ATI Physical Therapy, Inc.
ATIP
+$341K
4
SRV
NXG Cushing Midstream Energy Fund
SRV
+$331K
5
CRC icon
California Resources
CRC
+$327K

Top Sells

Rank Stock Value
1
SPLV icon
Invesco S&P 500 Low Volatility ETF
SPLV
+$4.63M
2
GSIE icon
Goldman Sachs ActiveBeta International Equity ETF
GSIE
+$1.33M
3
JQUA icon
JPMorgan US Quality Factor ETF
JQUA
+$1.32M
4
SCHV
Schwab US Large-Cap Value ETF
SCHV
+$736K
5
PXD
Pioneer Natural Resource Co.
PXD
+$648K

Sector Composition

Rank Sector Weight
1 Energy 19.93%
2 Financials 5.61%
3 Technology 5.45%
4 Healthcare 3.53%
5 Materials 2.48%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
FEI
176
DELISTED
FIRST TRUST MLP AND ENERGY INCOME FUND
FEI
$146K 0.05%
20,300
-4,890
-19% -$36K
IVC
177
DELISTED
Invacare Corporation
IVC
$139K 0.05%
+29,125
New +$213K
NEM icon
178
CALL
Newmont
NEM
$96.3B
$130K 0.05%
2,400
– –
AGI icon
179
Alamos Gold
AGI
$12B
$122K 0.04%
17,000
+5,000
+42% +$38.5K
FREE
180
DELISTED
Whole Earth Brands, Inc. Class A Common Stock
FREE
$116K 0.04%
10,000
-1,500
-13% -$18.8K
SDACU
181
DELISTED
Sustainable Development Acquisition I Corp. Unit
SDACU
$111K 0.04%
11,000
– –
RMGCU
182
DELISTED
RMG Acquisition Corp. III Unit
RMGCU
$109K 0.04%
11,000
– –
COP icon
183
CALL
ConocoPhillips
COP
$144B
$102K 0.04%
+1,500
New +$86.6K
BACK
184
DELISTED
IMAC Holdings, Inc. Common Stock
BACK
$101K 0.04%
2,267
+1,863
+461% +$87.7K
KGC icon
185
Kinross Gold
KGC
$27.7B
$88K 0.03%
16,500
+500
+3% +$2.99K
ASC icon
186
CALL
Ardmore Shipping
ASC
$683M
$55K 0.02%
13,200
-6,000
-31% -$21.3K
ASC icon
187
Ardmore Shipping
ASC
$683M
$50K 0.02%
+12,000
New +$42.5K
GALT icon
188
Galectin Therapeutics
GALT
$229M
$47K 0.02%
12,000
– –
GORO icon
189
Goldgroup Mining Inc.
GORO
$154M
$47K 0.02%
+30,000
New +$57K
RIG icon
190
Transocean
RIG
$5.49B
$45K 0.02%
12,000
– –
RIG icon
191
CALL
Transocean
RIG
$5.49B
$42K 0.02%
11,100
– –
AGTC
192
DELISTED
Applied Genetic Technologies Corporation
AGTC
$30K 0.01%
10,000
– –
FRO icon
193
CALL
Frontline
FRO
$8.72B
$22K 0.01%
+2,400
New +$19K
NGD
194
DELISTED
New Gold Inc
NGD
$16K 0.01%
+15,000
New +$20.6K
TGB
195
CALL
Trekor Metals
TGB
$2.45B
$6K ﹤0.01%
3,300
-15,500
-82% -$27.9K
AWF
196
AllianceBernstein Global High Income Fund
AWF
$869M
– –
-25,070
Closed -$314K
BGR icon
197
BlackRock Energy and Resources Trust
BGR
$410M
– –
-40,970
Closed -$402K
BOE icon
198
BlackRock Enhanced Global Dividend Trust
BOE
$658M
– –
-22,510
Closed -$283K
EEM icon
199
iShares MSCI Emerging Markets ETF
EEM
$27.5B
– –
-3,940
Closed -$217K
IGA
200
Voya Global Advantage and Premium Opportunity Fund
IGA
$156M
– –
-30,452
Closed -$299K
5 6 7
8
9

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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 2021 Portfolio in Review

As of Q3 2021, Shepherd Kaplan Krochuk held 205 positions worth $272M, down 2.9% from $281M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Shepherd Kaplan Krochuk's Q3 2021 filing shows 13 new, 33 increased, 78 reduced and 8 closed positions. Its largest new stake was Salient Midstream & MLP Fund: 60,300 shares worth $383K. The largest sale was Invesco S&P 500 Low Volatility ETF, an estimated $4.63M.

By sector, the portfolio is most concentrated in Energy at 20% of assets, up from 19% a quarter earlier, followed by Financials and Technology.

  • Shepherd Kaplan Krochuk's largest Q3 2021 buy was Salient Midstream & MLP Fund: 60,300 shares worth $383K.
  • Shepherd Kaplan Krochuk added most to State Street SPDR Portfolio Long Term Treasury ETF in Q3 2021, an estimated $5.41M increase.
  • Shepherd Kaplan Krochuk's biggest Q3 2021 reduction was Invesco S&P 500 Low Volatility ETF, cutting an estimated $4.63M.
  • Shepherd Kaplan Krochuk fully exited BlackRock Energy and Resources Trust in Q3 2021, selling an estimated $402K.
  • Shepherd Kaplan Krochuk's ten largest holdings make up 44% of its $272M portfolio in Q3 2021.
  • Shepherd Kaplan Krochuk opened 13 new positions and closed 8 in Q3 2021.
  • Shepherd Kaplan Krochuk's portfolio value fell 2.9% quarter-over-quarter to $272M.

Based on Shepherd Kaplan Krochuk's 13F filing for Q3 2021, filed 12 Nov 2021.