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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 (2016Q4)
Original 13F HR (0000919574-17-001124) filed in 2017.02.10
#
Name
Shares
Value ($)
%
Options
Notes
1 MODUSLINK GLOBAL SOLUTIONS I 10,000 15 0.00%
2 PERFUMANIA HLDGS INC 10,648 16 0.00%
3 KELSO TECHNOLOGIES INC 20,000 19 0.01%
4 KOSS CORP 10,000 23 0.01%
5 TENGASCO INC 34,789 24 0.01%
6 LANTRONIX INC 16,748 28 0.01%
7 FIVE STAR SENIOR LIVING INC 10,376 28 0.01%
8 SPARK NETWORKS INC 34,108 29 0.01%
9 NAVIOS MARITIME ACQUIS CORP SHS 19,734 34 0.01%
10 VERASTEM INC 33,905 38 0.01%
11 ARRHYTHMIA RESEARCH TECHNOLOGY ORD 10,459 40 0.01%
12 ProFire Energy 29,405 41 0.01%
13 CALIFORNIA RES CORP 2,000 43 0.01% Call
14 RETRACTABLE TECHNOLOGIES INC 47,000 44 0.01%
15 JASON INDS INC 25,944 47 0.01%
16 RAND LOGISTICS INC 57,000 47 0.01%
17 DYNASIL CORP AMER 40,885 52 0.01%
18 PERFORMANT FINL CORP 21,971 52 0.01%
19 INFUSYSTEM HLDGS INC 21,343 54 0.02%
20 Teekay Tankers LTD 24,535 55 0.02%
21 SUPERVALU INC 12,976 61 0.02%
22 APPLIANCE RECYCLING CTRS AME 54,500 61 0.02%
23 CVS HEALTH CORP 782 62 0.02%
24 TANDEM DIABETES CARE INC COM 28,872 62 0.02%
25 DIXIE GROUP INC CL A 17,500 63 0.02%
26 SILVER WHEATON CORP 3,400 66 0.02% Call
27 FUEL TECH INC 57,016 66 0.02%
28 W T OFFSHORE INC 25,139 70 0.02%
29 KINROSS GOLD CORP 22,400 70 0.02% Call
30 INDUSTRIAL SVCS AMER INC FLA 39,558 71 0.02%
31 COMMAND SEC CORP 26,125 72 0.02%
32 MEI PHARMA INC 50,000 72 0.02%
33 BEASLEY BROADCAST GROUP INC 11,833 73 0.02%
34 DYNAVAX TECHNOLOGIES CORP 18,975 75 0.02%
35 POINTS INTL LTD 10,500 80 0.02%
36 DAWSON GEOPHYSICAL CO NEW 10,407 84 0.02%
37 TECHNICAL COMMUNICATIONS COR 35,640 87 0.02%
38 ADVENT CLAY CONV SEC INCORPORATED FD II 14,800 87 0.02%
39 NORTH AMERN ENERGY PARTNERS COM 22,631 87 0.02%
40 AVALON HOLDINGS CORP-A 29,625 87 0.02%
41 RIGHTSIDE GROUP LTD 10,500 87 0.02%
42 Global Ship Lease Inc 58,892 88 0.02%
43 RMG NETWORKS HLDG CORP 125,000 89 0.03%
44 IMAGE SENSING SYS INC 25,850 96 0.03%
45 OFFICE DEPOT INC 21,500 97 0.03%
46 HELIX ENERGY SOLUTIONS GRP INC SR GLBL CV NT 32 100,000 98 0.03%
47 GALMED PHARMACEUTICALS LTD 28,679 101 0.03%
48 ALPINE GLOBAL PREMIER PPTYS FD COM SBI 19,800 102 0.03%
49 BOULDER GROWTH & INCOME FUND COM 11,600 104 0.03%
50 HARVARD BIOSCIENCE INC 34,250 104 0.03%
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