Wellington Shields & Co., LLC Diversified Active

Location: New York, NY

CIK: 0001506073 · Show all filings

Period: Q4 2019 (← Previous) (Next →)

Filing Date: Feb 11, 2020

Total Value: $226M (100.0% shares, 0.0% debt)

Holdings (178)

ILMN ILLUMINA INC 10.3%
Value $23.24M Shares 70,064 Est. Cost $303.09 Unrealized 0.0%
MSFT MICROSOFT CORPORATION 5.8%
Value $13.04M Shares 82,695 Est. Cost $113.38 Unrealized +22.8%
AES AES CORP 3.0%
Value $6.766M Shares 339,986 Est. Cost $14.35 Unrealized 0.0%
JPM JP MORGAN CHASE & CO 3.0%
Value $6.677M Shares 47,897 Est. Cost $98.89 Unrealized +9.9%
AAPL APPLE INC 2.5%
Value $5.582M Shares 19,007 Est. Cost $48.15 Unrealized +28.8%
PSNL PERSONALIS, INC 2.2%
Value $5.075M Shares 465,618 Est. Cost $10.41 Unrealized 0.0%
IBM INTERNATIONAL BUSINESS MACHINE 1.9%
Value $4.225M Shares 31,519 Est. Cost $99.90 Unrealized 0.0%
T AT&T INC 1.9%
Value $4.201M Shares 107,494 Est. Cost $16.89 Unrealized +11.7%
CASI PHARMACEUTICALS INC 1.7%
Value $3.947M Shares 1,277,322 Est. Cost $3.09 Unrealized
DIS WALT DISNEY CO/THE 1.6%
Value $3.618M Shares 25,013 Est. Cost $102.33 Unrealized +32.6%
GM GENERAL MOTORS CO 1.6%
Value $3.596M Shares 98,250 Est. Cost $34.37 Unrealized 0.0%
HON HONEYWELL INTERNATIONAL 1.6%
Value $3.577M Shares 20,209 Est. Cost $143.91 Unrealized 0.0%
CVS CVS HEALTH CORPORATION 1.6%
Value $3.534M Shares 47,575 Est. Cost $53.33 Unrealized +8.3%
HAIN HAIN CELESTIAL GROUP 1.5%
Value $3.451M Shares 132,966 Est. Cost $23.89 Unrealized 0.0%
BMY BRISTOL-MYERS SQUIBB CO 1.5%
Value $3.326M Shares 51,810 Est. Cost $45.19 Unrealized 0.0%
UNP UNION PACIFIC 1.4%
Value $3.258M Shares 18,020 Est. Cost $140.51 Unrealized +6.3%
VZ VERIZON COMMUNICATIONS INC 1.4%
Value $3.249M Shares 52,923 Est. Cost $36.84 Unrealized +16.1%
PSN PARSONS CORP 1.4%
Value $3.084M Shares 74,700 Est. Cost $37.33 Unrealized 0.0%
XOM EXXON MOBIL CORP 1.3%
Value $2.922M Shares 41,871 Est. Cost $52.52 Unrealized -0.9%
PFE PFIZER INC 1.3%
Value $2.892M Shares 73,804 Est. Cost $25.19 Unrealized +6.0%
KMI KINDER MORGAN INC 1.1%
Value $2.518M Shares 118,932 Est. Cost $13.06 Unrealized +7.6%
SPGI S&P GLOBAL INC 1.1%
Value $2.43M Shares 8,900 Est. Cost $246.86 Unrealized 0.0%
LLY LILLY ELI & CO 1.0%
Value $2.314M Shares 17,609 Est. Cost $107.55 Unrealized 0.0%
INTC INTEL CORP 1.0%
Value $2.278M Shares 38,068 Est. Cost $49.26 Unrealized 0.0%
ABBV ABBVIE INC. 1.0%
Value $2.237M Shares 25,265 Est. Cost $64.63 Unrealized 0.0%
JNJ JOHNSON & JOHNSON 1.0%
Value $2.229M Shares 15,280 Est. Cost $111.38 Unrealized +2.4%
FSLR FIRST SOLAR INC COM 1.0%
Value $2.192M Shares 39,175 Est. Cost $54.92 Unrealized 0.0%
UEIC UNIVERSAL ELECTRONICS 0.9%
Value $2.035M Shares 38,942 Est. Cost $53.59 Unrealized 0.0%
ABT ABBOTT LABORATORIES 0.9%
Value $2.028M Shares 23,350 Est. Cost $75.30 Unrealized 0.0%
LMT LOCKHEED MARTIN 0.8%
Value $1.882M Shares 4,834 Est. Cost $324.81 Unrealized 0.0%
SHOP SHOPIFY INC 0.8%
Value $1.869M Shares 4,700 Est. Cost $25.75 Unrealized +31.3%
BX BLACKSTONE GROUP INC. 0.8%
Value $1.801M Shares 32,189 Est. Cost $39.51 Unrealized +6.5%
FIS FIDELITY NATIONAL INFORMATION 0.8%
Value $1.752M Shares 12,597 Est. Cost $93.13 Unrealized +27.3%
CSCO CISCO SYSTEMS 0.8%
Value $1.739M Shares 36,264 Est. Cost $34.86 Unrealized +10.6%
WPC W.P. CAREY INC. 0.8%
Value $1.702M Shares 21,265 Est. Cost $80.04 Unrealized
CVX CHEVRON CORPORATION 0.7%
Value $1.63M Shares 13,526 Est. Cost $89.68 Unrealized 0.0%
CMCSA COMCAST CORP 0.7%
Value $1.621M Shares 36,036 Est. Cost $32.03 Unrealized +18.2%
CI CIGNA CORP 0.7%
Value $1.618M Shares 7,914 Est. Cost $167.70 Unrealized 0.0%
SPROTT INC 0.7%
Value $1.617M Shares 700,000 Est. Cost $2.31 Unrealized
EFX EQUIFAX INC 0.7%
Value $1.59M Shares 11,349 Est. Cost $132.13 Unrealized 0.0%
MRK MERCK & CO 0.7%
Value $1.521M Shares 16,720 Est. Cost $59.40 Unrealized +13.7%
OKE ONEOK INC 0.6%
Value $1.445M Shares 19,093 Est. Cost $47.69 Unrealized 0.0%
AMZN AMAZON.COM INC 0.6%
Value $1.417M Shares 767 Est. Cost $78.74 Unrealized +12.4%
PG PROCTER & GAMBLE COMPANY 0.6%
Value $1.367M Shares 10,949 Est. Cost $83.69 Unrealized +25.8%
V VISA INC 0.6%
Value $1.366M Shares 7,269 Est. Cost $172.55 Unrealized 0.0%
WM WASTE MGT. 0.6%
Value $1.36M Shares 11,933 Est. Cost $102.09 Unrealized 0.0%
C CITIGROUP INC 0.6%
Value $1.335M Shares 16,710 Est. Cost $59.26 Unrealized 0.0%
WY WEYERHAEUSER CO 0.6%
Value $1.305M Shares 43,212 Est. Cost $20.50 Unrealized +12.7%
DOW DOW INC 0.6%
Value $1.255M Shares 22,936 Est. Cost $36.70 Unrealized 0.0%
BA BOEING CO 0.5%
Value $1.223M Shares 3,755 Est. Cost $351.04 Unrealized 0.0%
AXP AMERICAN EXPRESS CO 0.5%
Value $1.214M Shares 9,750 Est. Cost $110.13 Unrealized 0.0%
PEP PEPSICO INC 0.5%
Value $1.205M Shares 8,815 Est. Cost $112.78 Unrealized 0.0%
ENB ENBRIDGE INC 0.5%
Value $1.199M Shares 30,148 Est. Cost $24.85 Unrealized 0.0%
CFG CITIZENS FINANCIAL GROUP INC 0.5%
Value $1.186M Shares 29,200 Est. Cost $28.48 Unrealized 0.0%
SSYS STRATASYS LTD 0.5%
Value $1.183M Shares 58,500 Est. Cost $19.92 Unrealized 0.0%
SO SOUTHERN CO 0.5%
Value $1.169M Shares 18,355 Est. Cost $48.90 Unrealized 0.0%
ABBNY ABB LIMITED SPONS ADR 0.5%
Value $1.162M Shares 48,240 Est. Cost $24.09 Unrealized
PM PHILIP MORRIS INTERNAT 0.5%
Value $1.157M Shares 13,600 Est. Cost $60.01 Unrealized 0.0%
PNC PNC FINANCIAL CORP 0.5%
Value $1.105M Shares 6,923 Est. Cost $120.17 Unrealized 0.0%
KO COCA COLA 0.5%
Value $1.103M Shares 19,925 Est. Cost $44.51 Unrealized 0.0%
MMM 3M CO 0.5%
Value $1.061M Shares 6,015 Est. Cost $111.76 Unrealized 0.0%
GOOG ALPHABET INC-CL C 0.5%
Value $1.054M Shares 788 Est. Cost $55.87 Unrealized +14.6%
AMGN AMGEN 0.5%
Value $1.053M Shares 4,370 Est. Cost $182.69 Unrealized 0.0%
WMT WAL-MART STORES 0.5%
Value $1.038M Shares 8,732 Est. Cost $30.25 Unrealized +20.3%
BXMT BLACKSTONE MORTGAGE TRUST INC 0.5%
Value $1.029M Shares 27,633 Est. Cost $37.24 Unrealized
CAT CATERPILLAR 0.4%
Value $960K Shares 6,500 Est. Cost $123.01 Unrealized 0.0%
NEE NEXTERA ENERGY INC 0.4%
Value $944K Shares 3,900 Est. Cost $50.17 Unrealized 0.0%
ALLERGAN PLC 0.4%
Value $898K Shares 4,697 Est. Cost $191.19 Unrealized
CSX CSX CORP 0.4%
Value $897K Shares 12,400 Est. Cost $21.78 Unrealized 0.0%
GENERAL ELECTRIC CO 0.4%
Value $875K Shares 78,375 Est. Cost $14.52 Unrealized
NEM NEWMONT MINING 0.4%
Value $852K Shares 19,600 Est. Cost $32.71 Unrealized 0.0%
MO ALTRIA GROUP INC 0.4%
Value $846K Shares 16,954 Est. Cost $28.79 Unrealized 0.0%
UFI UNIFI INC 0.4%
Value $834K Shares 33,000 Est. Cost $24.14 Unrealized 0.0%
QCOM QUALCOMM INC 0.4%
Value $829K Shares 9,400 Est. Cost $72.86 Unrealized 0.0%
GOOGL ALPHABET INC (A) 0.4%
Value $825K Shares 616 Est. Cost $47.69 Unrealized +34.2%
DD DUPONT DE NEMOURS 0.4%
Value $817K Shares 12,722 Est. Cost $24.51 Unrealized 0.0%
UNITED TECH. 0.4%
Value $811K Shares 5,416 Est. Cost $149.74 Unrealized
GILD GILEAD SCIENCES INC. 0.4%
Value $809K Shares 12,450 Est. Cost $51.27 Unrealized 0.0%
COP CONOCOPHILLIPS 0.4%
Value $800K Shares 12,300 Est. Cost $47.16 Unrealized 0.0%
GIS GENERAL MILLS INC 0.4%
Value $795K Shares 14,839 Est. Cost $42.80 Unrealized 0.0%
SEIC SEI INVESTMENTS COMPANY 0.3%
Value $786K Shares 12,000 Est. Cost $57.17 Unrealized 0.0%
BRK/B BERKSHIRE HATHAWAY INC. CLASS 0.3%
Value $786K Shares 3,471 Est. Cost $217.17 Unrealized 0.0%
BP BP PLC SPONS ADR 0.3%
Value $747K Shares 19,788 Est. Cost $39.02 Unrealized
META FACEBOOK INC 0.3%
Value $731K Shares 3,560 Est. Cost $174.58 Unrealized +10.2%
WDC WESTERN DIGITAL CORP 0.3%
Value $730K Shares 11,500 Est. Cost $40.69 Unrealized 0.0%
PIONEER NATURAL RESOURCES 0.3%
Value $696K Shares 4,600 Est. Cost $151.30 Unrealized
GLW CORNING INC 0.3%
Value $676K Shares 23,210 Est. Cost $24.43 Unrealized 0.0%
DGEAF DIAGEO 0.3%
Value $643K Shares 15,375 Est. Cost $35.26 Unrealized 0.0%
FCX FREEPORT MCMORAN INC 0.3%
Value $619K Shares 47,200 Est. Cost $10.23 Unrealized 0.0%
OXY OCCIDENTAL PETROLEUM 0.3%
Value $602K Shares 14,600 Est. Cost $36.00 Unrealized 0.0%
ROYAL DUTCH SHELL PLC CL A 0.3%
Value $585K Shares 9,915 Est. Cost $59.00 Unrealized
NSC NORFOLK SOUTHERN 0.2%
Value $563K Shares 2,900 Est. Cost $165.56 Unrealized 0.0%
GLAXO SMITHKLINE PLC SPONS ADR 0.2%
Value $551K Shares 11,733 Est. Cost $46.96 Unrealized
LHX L3HARRIS TECHNOLOGIES INC 0.2%
Value $534K Shares 2,700 Est. Cost $180.55 Unrealized -1.6%
HD HOME DEPOT INC 0.2%
Value $531K Shares 2,430 Est. Cost $194.99 Unrealized 0.0%
DUK DUKE ENERGY CORP 0.2%
Value $524K Shares 5,747 Est. Cost $71.81 Unrealized 0.0%
IP INTERNATIONAL PAPER 0.2%
Value $519K Shares 11,260 Est. Cost $31.89 Unrealized 0.0%
BAX BAXTER INTERNATIONAL INC 0.2%
Value $514K Shares 6,150 Est. Cost $33.13 Unrealized +121.5%
SLB SCHLUMBERGER LTD 0.2%
Value $511K Shares 12,700 Est. Cost $30.72 Unrealized 0.0%
BDX BECTON DICKINSON 0.2%
Value $488K Shares 1,793 Est. Cost $166.54 Unrealized +36.0%
MDLZ MONDELEZ INTERNATIONAL 0.2%
Value $478K Shares 8,678 Est. Cost $45.89 Unrealized 0.0%
SMG SCOTTS MIRACLE-GRO 0.2%
Value $477K Shares 4,495 Est. Cost $66.37 Unrealized +22.2%
TRV THE TRAVELERS COMPANIES INC 0.2%
Value $469K Shares 3,426 Est. Cost $119.29 Unrealized 0.0%
AFL AFLAC INC. 0.2%
Value $468K Shares 8,856 Est. Cost $45.85 Unrealized 0.0%
EMN EASTMAN CHEM CO 0.2%
Value $467K Shares 5,895 Est. Cost $61.58 Unrealized 0.0%
TIFFANY & CO 0.2%
Value $466K Shares 3,485 Est. Cost $133.72 Unrealized
THVB THOMASVILLE BANCSHARES INC 0.2%
Value $464K Shares 10,094 Est. Cost $37.36 Unrealized 0.0%
DTE D T E ENERGY CO 0.2%
Value $464K Shares 3,569 Est. Cost $87.47 Unrealized 0.0%
UPS UNITED PARCEL SERVICE 0.2%
Value $453K Shares 3,870 Est. Cost $92.83 Unrealized 0.0%
FLO FLOWERS FOODS INC 0.2%
Value $444K Shares 20,441 Est. Cost $16.86 Unrealized 0.0%
NVDA NVIDIA 0.2%
Value $435K Shares 1,850 Est. Cost $5.18 Unrealized 0.0%
TIP ISHARES TIPS BOND ETF 0.2%
Value $434K Shares 3,719 Est. Cost $116.70 Unrealized
ITW ILLINOIS TOOL WORKS 0.2%
Value $431K Shares 2,400 Est. Cost $97.49 Unrealized +50.1%
WFC WELLS FARGO & COMPANY 0.2%
Value $430K Shares 7,997 Est. Cost $44.70 Unrealized 0.0%
ALB ALBEMARLE CORP 0.2%
Value $409K Shares 5,600 Est. Cost $61.60 Unrealized 0.0%
MCD MCDONALDS CORP 0.2%
Value $393K Shares 1,986 Est. Cost $171.93 Unrealized 0.0%
RIG TRANSOCEAN LTD 0.2%
Value $388K Shares 56,423 Est. Cost $5.15 Unrealized 0.0%
TRN TRINITY INDS INC. 0.2%
Value $377K Shares 17,000 Est. Cost $16.06 Unrealized 0.0%
XBI SPDR S&P BIOTECH 0.2%
Value $371K Shares 3,900 Est. Cost $95.13 Unrealized
PANW PALO ALTO NETWORKS INC 0.2%
Value $370K Shares 1,600 Est. Cost $37.82 Unrealized 0.0%
YUM YUM BRANDS 0.2%
Value $370K Shares 3,670 Est. Cost $92.35 Unrealized 0.0%
TWITTER INC 0.2%
Value $359K Shares 11,200 Est. Cost $30.96 Unrealized
BGS B&G FOODS INC 0.2%
Value $342K Shares 19,100 Est. Cost $9.63 Unrealized 0.0%
SYY SYSCO CORP 0.2%
Value $342K Shares 4,000 Est. Cost $68.51 Unrealized 0.0%
MET METLIFE INC 0.2%
Value $342K Shares 6,712 Est. Cost $39.33 Unrealized 0.0%
ZTS ZOETIS INC 0.1%
Value $334K Shares 2,527 Est. Cost $118.09 Unrealized 0.0%
KMB KIMBERLY CLARK CORP 0.1%
Value $330K Shares 2,400 Est. Cost $108.78 Unrealized 0.0%
RSP INVESCO S&P 500 EQUAL WEIGHT E 0.1%
Value $329K Shares 2,839 Est. Cost $115.89 Unrealized
GEO GEO GROUP INC 0.1%
Value $316K Shares 19,050 Est. Cost $12.82 Unrealized 0.0%
AVGO BROADCOM LIMITED 0.1%
Value $316K Shares 1,000 Est. Cost $25.89 Unrealized 0.0%
MSI MOTOROLA SOLUTIONS INC 0.1%
Value $315K Shares 1,952 Est. Cost $151.83 Unrealized 0.0%
CTVA CORTEVA 0.1%
Value $314K Shares 10,636 Est. Cost $24.50 Unrealized 0.0%
GS GOLDMAN SACHS 0.1%
Value $310K Shares 1,350 Est. Cost $187.49 Unrealized 0.0%
WST WEST PHARMACEUTICALS SVCS INC 0.1%
Value $301K Shares 2,000 Est. Cost $143.32 Unrealized 0.0%
APOLLO GLOBAL MANAGEMENT INC 0.1%
Value $299K Shares 6,275 Est. Cost $37.84 Unrealized
MTB M&T BANK CORP 0.1%
Value $292K Shares 1,723 Est. Cost $132.84 Unrealized 0.0%
CODI COMPASS DIVERSIFIED HOLDINGS 0.1%
Value $288K Shares 11,570 Est. Cost $15.84 Unrealized 0.0%
QRVO QORVO INC 0.1%
Value $279K Shares 2,400 Est. Cost $96.69 Unrealized 0.0%
FVD FIRST TRUST VALUE LINE DIV FUN 0.1%
Value $273K Shares 7,580 Est. Cost $36.02 Unrealized
TE CONNECTIVITY LTD 0.1%
Value $268K Shares 2,800 Est. Cost $95.71 Unrealized
XRX XEROX HOLDINGS CORP 0.1%
Value $260K Shares 7,059 Est. Cost $34.97 Unrealized 0.0%
CWT CALIFORNIA WATER SEFICE GROUP 0.1%
Value $258K Shares 5,000 Est. Cost $45.94 Unrealized 0.0%
HPQ H P INC 0.1%
Value $251K Shares 12,200 Est. Cost $15.31 Unrealized 0.0%
SPG SIMON PROPERTY GROUP INC REIT 0.1%
Value $249K Shares 1,670 Est. Cost $106.50 Unrealized 0.0%
AWK AMERICAN WTR WKS 0.1%
Value $246K Shares 2,000 Est. Cost $108.00 Unrealized 0.0%
VNO VORNADO REALTY TRUST 0.1%
Value $246K Shares 3,700 Est. Cost $66.49 Unrealized
CBRE CBRE GROUP INC CL A 0.1%
Value $245K Shares 4,000 Est. Cost $55.39 Unrealized 0.0%
VLO VALERO ENERGY 0.1%
Value $244K Shares 2,606 Est. Cost $73.62 Unrealized 0.0%
XLF SECTOR SPDR FINANCIAL 0.1%
Value $242K Shares 7,858 Est. Cost $30.80 Unrealized
STE STERIS CORP 0.1%
Value $236K Shares 1,550 Est. Cost $138.78 Unrealized 0.0%
MOS MOSAIC CORP 0.1%
Value $232K Shares 10,700 Est. Cost $17.61 Unrealized 0.0%
ENCANA CORP 0.1%
Value $232K Shares 49,374 Est. Cost $4.70 Unrealized
LAZARD LTD 0.1%
Value $230K Shares 5,750 Est. Cost $40.00 Unrealized
CERNER CORP 0.1%
Value $228K Shares 3,100 Est. Cost $73.55 Unrealized
CLX CLOROX CO 0.1%
Value $222K Shares 1,443 Est. Cost $124.55 Unrealized 0.0%
D DOMINION RES INC VA NEW 0.1%
Value $221K Shares 2,668 Est. Cost $62.41 Unrealized 0.0%
NUE NUCOR CORP 0.1%
Value $219K Shares 3,900 Est. Cost $48.21 Unrealized 0.0%
CAG CONAGRA BRANDS INC 0.1%
Value $215K Shares 6,265 Est. Cost $22.47 Unrealized 0.0%
AMAT APPLIED MATERIALS 0.1%
Value $214K Shares 3,500 Est. Cost $53.00 Unrealized 0.0%
ED CONSOLIDATED EDISON 0.1%
Value $210K Shares 2,326 Est. Cost $71.77 Unrealized 0.0%
ACA ARCOSA INC 0.1%
Value $207K Shares 4,657 Est. Cost $37.69 Unrealized 0.0%
AEP AMERICAN ELECTRIC POWER INC 0.1%
Value $207K Shares 2,194 Est. Cost $74.24 Unrealized 0.0%
PSX PHILLIPS 66 0.1%
Value $204K Shares 1,832 Est. Cost $87.36 Unrealized 0.0%
ROK ROCKWELL AUTOMATION INC 0.1%
Value $203K Shares 1,000 Est. Cost $166.41 Unrealized 0.0%
HPE HEWLETT PACKARD ENTERPRIS 0.1%
Value $198K Shares 12,500 Est. Cost $13.11 Unrealized 0.0%
AHRT ARMADA HOFFLER PROPERTIES INC 0.1%
Value $183K Shares 10,000 Est. Cost $18.30 Unrealized
PEOPLE'S UNITED FINANCIAL INC 0.1%
Value $181K Shares 10,707 Est. Cost $16.90 Unrealized
INTREXON CORP 0.1%
Value $140K Shares 25,600 Est. Cost $5.47 Unrealized
ALERIAN MLP ETF 0.1%
Value $123K Shares 14,497 Est. Cost $8.48 Unrealized
F FORD MOTOR COMPANY NEW 0.1%
Value $116K Shares 12,450 Est. Cost $6.68 Unrealized 0.0%
MITK MITEK SYSTEMS INC 0.0%
Value $94,000 Shares 12,330 Est. Cost $8.43 Unrealized 0.0%
CAPITAL SENIOR LIVING CORP 0.0%
Value $31,000 Shares 10,000 Est. Cost $3.10 Unrealized
AQUA METALS, INC 0.0%
Value $24,000 Shares 32,060 Est. Cost $0.75 Unrealized
TVAGF TVA GROUP INC CL B 0.0%
Value $23,000 Shares 19,800 Est. Cost $1.34 Unrealized 0.0%
BIOLASE INC 0.0%
Value $6,000 Shares 10,000 Est. Cost $0.60 Unrealized
COASTAL CAR OIL & MINERALS 0.0%
Value $0 Shares 32,150 Est. Cost Unrealized
ISLET SCIENCES 0.0%
Value $0 Shares 30,000 Est. Cost Unrealized
HSHL HOME SOLUTIONS HEALTH INC 0.0%
Value $0 Shares 50,000 Est. Cost $0.00 Unrealized 0.0%