Shepherd Kaplan Krochuk, LLC Closed Holding Positions

Shepherd Kaplan Krochuk, LLC

  • $127 Million
  • Q3 2024
Stock Closed Quarter Shares Sold Price Range Trade History
CLB
Core Laboratories N V

Energy
Q1 2020 Filed on May 12, 2020
6,358
$7.99 - $41.24 $50.8K - $262K
FSD
First Trust High Income Long/Short Fund

Financial Services
Q1 2020 Filed on May 12, 2020
13,880
$9.68 - $15.97 $134K - $222K
DEX
Delaware Enhanced Global Dividend & Income Fund

Financial Services
Q1 2020 Filed on May 12, 2020
22,077
$5.85 - $10.76 $129K - $238K
PHD
Pioneer Floating Rate Fund, Inc.

Financial Services
Q1 2020 Filed on May 12, 2020
13,360
$6.68 - $11.19 $89.2K - $149K
SNA
Snap On Inc

Industrials
Q1 2020 Filed on May 12, 2020
3,112
$95.57 - $170.0 $297K - $529K
EVF
Eaton Vance Senior Income Trust

Financial Services
Q4 2019 Filed on Feb 05, 2020
44,690
$6.09 - $6.41 $272K - $286K
AVK
Advent Convertible & Income Fund

Financial Services
Q4 2019 Filed on Feb 05, 2020
11,690
$14.35 - $15.55 $168K - $182K
Celgene Corp
Q4 2019 Filed on Feb 05, 2020
9,000
N/A
IGT
International Game Technology PLC

Consumer Cyclical
Q4 2019 Filed on Feb 05, 2020
17,500
$12.9 - $15.93 $226K - $279K
IWR
Ishares Russell Mid Cap ETF

ETFs
Q4 2019 Filed on Feb 05, 2020
5,438
$54.12 - $59.69 $294K - $325K
QQQ
Invesco Qqq Trust, Series 1

ETFs
Q4 2019 Filed on Feb 05, 2020
3,200
$184.05 - $213.79 $589K - $684K
FT
Franklin Universal Trust

Financial Services
Q4 2019 Filed on Feb 05, 2020
38,700
$7.45 - $7.97 $288K - $308K
Sutter Rock Cap Corp
Q4 2019 Filed on Feb 05, 2020
11,500
N/A
TQQQ
Proshares Ultrapro Qqq

ETFs
Q4 2019 Filed on Feb 05, 2020
9,900
$14.27 - $22.02 $141K - $218K
JRI
Nuveen Real Asset Income & Growth Fund

Financial Services
Q4 2019 Filed on Feb 05, 2020
16,890
$17.3 - $18.42 $292K - $311K
TSLA
Tesla, Inc.

Consumer Cyclical
Q4 2019 Filed on Feb 05, 2020
1,000
$46.29 - $86.19 $46.3K - $86.2K
FLEX
Flex Ltd.

Technology
Q3 2019 Filed on Nov 12, 2019
34,437
$9.11 - $11.46 $314K - $395K
VBR
Vanguard Small Cap Value ETF

ETFs
Q3 2019 Filed on Nov 12, 2019
1,543
$128.22 - $131.67 $198K - $203K
Invesco Dynamic Cr Opp Fd
Q3 2019 Filed on Nov 12, 2019
23,550
N/A
Harborone Bancorp Inc
Q3 2019 Filed on Nov 12, 2019
16,948
N/A
KRE
Spdr S&P Regional Banking ETF

ETFs
Q3 2019 Filed on Nov 12, 2019
7,659
$52.26 - $54.6 $400K - $418K
ADX
Adams Diversified Equity Fund, Inc.

Financial Services
Q3 2019 Filed on Nov 12, 2019
13,590
$15.09 - $16.05 $205K - $218K
AZRE
Azure Power Global LTD

Utilities
Q3 2019 Filed on Nov 12, 2019
11,200
$10.1 - $12.0 $113K - $134K
BDJ
Black Rock Enhanced Equity Dividend Trust

Financial Services
Q3 2019 Filed on Nov 12, 2019
26,970
$8.72 - $9.22 $235K - $249K
IWD
Ishares Russell 1000 Val ETF

ETFs
Q3 2019 Filed on Nov 12, 2019
1,846
$127.92 - $130.25 $236K - $240K
THQ
Tekla Healthcare Opportunities Fund

Financial Services
Q3 2019 Filed on Nov 12, 2019
11,210
$17.02 - $18.15 $191K - $203K
KBE
Spdr S&P Bank ETF

ETFs
Q3 2019 Filed on Nov 12, 2019
5,902
$42.71 - $44.45 $252K - $262K
EAD
Allspring Income Opportunities Fund

Financial Services
Q3 2019 Filed on Nov 12, 2019
33,690
$8.04 - $8.32 $271K - $280K
CKPT
Checkpoint Therapeutics, Inc.

Healthcare
Q3 2019 Filed on Nov 12, 2019
10,000
$2.15 - $3.36 $21.5K - $33.6K
Logmein Inc
Q3 2019 Filed on Nov 12, 2019
3,000
N/A
VVR
Invesco Senior Income Trust

Financial Services
Q2 2019 Filed on Aug 12, 2019
61,780
$4.14 - $4.35 $256K - $269K
PKB
Invesco Exchange Traded Fd Tr

ETFs
Q2 2019 Filed on Aug 12, 2019
14,406
N/A
GIM
Templeton Global Income Fund

Financial Services
Q2 2019 Filed on Aug 12, 2019
10,400
$6.2 - $6.4 $64.5K - $66.6K
XLC
Select Sector Spdr Tr Communic

ETFs
Q2 2019 Filed on Aug 12, 2019
7,028
N/A
EOD
Allspring Global Dividend Opportunity Fund

Financial Services
Q2 2019 Filed on Aug 12, 2019
24,580
$5.21 - $5.66 $128K - $139K
MMM
3 M CO

Industrials
Q2 2019 Filed on Aug 12, 2019
1,000
$159.75 - $219.5 $160K - $220K
Ubs Ag Jersey Brh
Q2 2019 Filed on Aug 12, 2019
12,142
N/A
Ashford Hospitality Tr Inc
Q2 2019 Filed on Aug 12, 2019
14,000
N/A
BABA
Alibaba Group Holding LTD

Consumer Cyclical
Q2 2019 Filed on Aug 12, 2019
1,578
$149.26 - $195.21 $236K - $308K
Blue Hills Bancorp Inc
Q2 2019 Filed on Aug 12, 2019
39,123
N/A
California Res Corp
Q2 2019 Filed on Aug 12, 2019
203,417
N/A
CAT
Caterpillar Inc

Industrials
Q2 2019 Filed on Aug 12, 2019
4,000
$119.81 - $143.36 $479K - $573K
HCA
Hca Healthcare, Inc.

Healthcare
Q2 2019 Filed on Aug 12, 2019
8,513
$112.01 - $135.18 $954K - $1.15M
HACK
Etgmg Prime Cyber Security ETF

ETFs
Q2 2019 Filed on Aug 12, 2019
9,150
N/A
Micron Solutions Inc
Q1 2019 Filed on May 14, 2019
42,938
N/A
Esterline Technologies Corp
Q1 2019 Filed on May 14, 2019
16,704
N/A
EVOL
Symbolic Logic, Inc.

Technology
Q1 2019 Filed on May 14, 2019
18,557
$1.13 - $1.43 $21K - $26.5K
Arotech Corp
Q1 2019 Filed on May 14, 2019
20,500
N/A
Asv Hldgs Inc
Q1 2019 Filed on May 14, 2019
10,000
N/A
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