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Shepherd Kaplan Krochuk, LLC

Q3 2014 Holdings

Filed 2014-11-13 | 785 holdings | $19.6M | 13F-HR | View on SEC ↗ · Holdings Table ↗

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IssuerClassCUSIPValue ↑Shares% Portfolio
Innodata Inc(INOD)COM NEW457642205$8728,4430.0%
Telecommunication SYS IncCL A87929J103$9233,1280.0%
Oxigene IncCOM PAR$.001691828404$9443,6000.0%
Trio Tech Intl(TRT)COM NEW896712205$9524,5320.0%
Plug Power Inc(PLUG)PutCOM NEW72919P202$9620,9000.0%
Versar IncCOM925297103$9629,8000.0%
Golden Star RES LTD CDACOM38119T104$97236,3900.0%
Celsion CorporationCOM PAR $0.0115117N404$9833,2000.0%
Opexa Therapeutics IncCOM NEW68372T202$9999,8000.0%
GSE SYS IncCOM36227K106$10064,2280.0%
Englobal CorpCOM293306106$10147,0920.0%
Diana Containerships IncCOMY2069P101$10245,2490.0%
Alpine Global Premier PptysCOM SBI02083A103$10615,4380.0%
Cafepress IncCOM12769A103$10734,2000.0%
Biodel IncCOM NEW09064M204$10965,2250.0%
Sypris Solutions Inc(SYPR)COM871655106$11735,5750.0%
Ares Coml Real Estate Corp(ACRE)COM04013V108$11710,0000.0%
TSR IncCOM NEW872885207$11736,7960.0%
Eltek LTDORDM40184109$12278,3640.0%
Transcat Inc(TRNS)COM893529107$12513,6490.0%
Boulder Growth & Income FD I(STEW)COM101507101$12614,2600.0%
Town Sports Intl Hldgs IncCOM89214A102$12919,3000.0%
Jabil Circuit Inc(JBL)PutCOM466313103$1316,5000.0%
Wabash Natl CorpNOTE 3.375% 5/0929566AH0$132$100,0000.0%
Advent Clay Conv SEC Inc FDCOM007639107$13319,6300.0%
Cytrx CorpCOM PAR $.001232828509$13352,5090.0%
Nuveen Equity Prem Income FD(XBXMX)COM6706ER101$13410,4900.0%
Advent Claymore ENH GRW & inCOM00765E104$13514,2000.0%
Euroseas LTD(ESEA)COM NEWY23592200$135120,7190.0%
Jetblue Airways Corp(JBLU)PutCOM477143101$13813,0000.0%
Swift Energy CoCOM870738101$13914,5000.0%
Essex Rent CorpCOM297187106$14166,9500.0%
ARI Network Svcs IncCOM NEW001930205$14144,0040.0%
Silver STD RES IncCOM82823L106$14223,3490.0%
Crystal Rock Hldgs IncCOM22940F103$143201,7170.0%
Otelco Inc(OTEL)CL A NEW688823301$14528,2470.0%
Luna Innovations(LUNA)COM550351100$146104,7680.0%
Alphatec Holdings IncCOM02081G102$14786,7000.0%
TGC Inds IncCOM NEW872417308$14938,5780.0%
RF Microdevices IncPutCOM749941100$15013,0000.0%
Graftech Intl LTDCOM384313102$15133,0000.0%
Rosetta Genomics LTDSHS NEW NIS 0.6M82183126$15143,0000.0%
Japan Smaller Captlztn FD in(JOF)COM47109U104$16016,5100.0%
Regis Corp MinnCOM758932107$16010,0000.0%
Emulex CorpCOM NEW292475209$16332,9280.0%
First Acceptance Corp(FACO)COM318457108$16465,9480.0%
Yamana Gold IncCOM98462Y100$16727,8380.0%
Ocean BIO Chem IncCOM674631106$16840,9900.0%
Morgan Stanley Emer Mkts DEB(MSD)COM61744H105$17017,5700.0%
Immucell Corp(ICCC)COM PAR $0.10452525306$17134,4670.0%
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