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Institutional Investment Manager
SHEPHERD KAPLAN KROCHUK, LLC
SHEPHERD KAPLAN KROCHUK, LLC (CIK: 0001218583) incorporated in Delaware, located at 53 State Street, Boston, MA. Institutional holdings reported to the SEC.

Institutional Holdings (2016Q3)
Portfolio Summary: 367 holdings with a total value of $480,543,000.
#
Name
Shares
Value ($)
%
Options
Notes
351 GLOBAL EAGLE ENTMT INC 8,000 66,000 0.01% Call
352 SPAR GROUP INC 64,300 65,000 0.01%
353 ProFire Energy 49,200 61,000 0.01%
354 TRANS WORLD ENTMT CORP 17,245 59,000 0.01%
355 CRYSTAL ROCK HLDGS INC 58,394 53,000 0.01%
356 MANITOWOC INC COM 10,000 48,000 0.01%
357 CHAMPIONS ONCOLOGY INC 28,000 47,000 0.01%
358 VIKING THERAPEUTICS INC 33,000 46,000 0.01%
359 TOP IMAGE SYSTEMS LTD 19,150 43,000 0.01%
360 DIANA CONTAINERSHIPS INC 13,000 43,000 0.01%
361 LUNA INNOVATIONS 28,000 39,000 0.01%
362 CAFEPRESS INCORPORATED 12,259 39,000 0.01%
363 PERION NETWORK LTD 1:3 R/S 8/27/18 M78673114 29,848 36,000 0.01%
364 MEI PHARMA INC 20,000 34,000 0.01%
365 APTEVO THERAPEUTICS INC 10,686 27,000 0.01%
366 TENGASCO INC 22,063 26,000 0.01%
367 Corrections Cp Amer Ne 1,000 14,000 0.00%
Page 8 of 8

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0000919574-16-016372, filed 2016.11.14).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.