Wellington Shields & Co., LLC Diversified Active

CIK: 0001506073 · Show all filings

Period: Q3 2018 (← Previous) (Next →)

Filing Date: Nov 6, 2018

Total Value ($000): $184,537 (100.0% shares, 0.0% debt)

Holdings (148)

ILMN ILLUMINA INC 14.7%
Value ($000) $27,107 Shares 73,849 Est. Cost $70.17 Unrealized +356.7%
MSFT MICROSOFT CORPORATION 5.1%
Value ($000) $9,369 Shares 81,917 Est. Cost $33.67 Unrealized +199.4%
INTREXON CORP 3.0%
Value ($000) $5,607 Shares 325,600 Est. Cost $15.21 Unrealized
AES AES CORP 2.8%
Value ($000) $5,188 Shares 370,600 Est. Cost $8.15 Unrealized +27.1%
SMG SCOTTS MIRACLE-GRO 2.3%
Value ($000) $4,244 Shares 53,900 Est. Cost $63.80 Unrealized -5.5%
CASI PHARMACEUTICALS INC 2.3%
Value ($000) $4,185 Shares 896,137 Est. Cost $4.44 Unrealized
IBM INTERNATIONAL BUSINESS MACHINE 2.1%
Value ($000) $3,834 Shares 25,355 Est. Cost $110.94 Unrealized -8.7%
XOM EXXON MOBIL CORP 2.1%
Value ($000) $3,801 Shares 44,709 Est. Cost $54.41 Unrealized +7.0%
UEIC UNIVERSAL ELECTRONICS 2.0%
Value ($000) $3,766 Shares 95,717 Est. Cost $32.92 Unrealized +18.9%
AAPL APPLE INC 1.9%
Value ($000) $3,549 Shares 15,721 Est. Cost $22.92 Unrealized +115.0%
HON HONEYWELL INTERNATIONAL 1.8%
Value ($000) $3,394 Shares 20,399 Est. Cost $53.58 Unrealized +127.0%
UNP UNION PACIFIC 1.8%
Value ($000) $3,341 Shares 20,520 Est. Cost $69.69 Unrealized +83.4%
GM GENERAL MOTORS CO 1.8%
Value ($000) $3,241 Shares 96,250 Est. Cost $32.54 Unrealized +1.7%
JPM JP MORGAN CHASE & CO 1.7%
Value ($000) $3,162 Shares 28,024 Est. Cost $40.88 Unrealized +126.6%
EXPRESS SCRIPTS HOLDING CO 1.7%
Value ($000) $3,091 Shares 32,535 Est. Cost $63.43 Unrealized
T AT&T INC 1.6%
Value ($000) $2,866 Shares 85,345 Est. Cost $11.61 Unrealized +24.7%
DIS WALT DISNEY CO/THE 1.5%
Value ($000) $2,774 Shares 23,721 Est. Cost $62.47 Unrealized +70.6%
BMY BRISTOL-MYERS SQUIBB CO 1.5%
Value ($000) $2,735 Shares 44,050 Est. Cost $29.99 Unrealized +50.0%
PFE PFIZER INC 1.3%
Value ($000) $2,444 Shares 55,468 Est. Cost $17.59 Unrealized +57.2%
VZ VERIZON COMMUNICATIONS INC 1.3%
Value ($000) $2,363 Shares 44,253 Est. Cost $28.49 Unrealized +25.1%
FSLR FIRST SOLAR INC COM 1.2%
Value ($000) $2,155 Shares 44,500 Est. Cost $39.03 Unrealized +33.0%
FLO FLOWERS FOODS INC 1.1%
Value ($000) $2,109 Shares 113,061 Est. Cost $13.93 Unrealized +7.7%
SPGI S&P GLOBAL INC 1.1%
Value ($000) $2,071 Shares 10,600 Est. Cost $126.47 Unrealized +53.1%
JNJ JOHNSON & JOHNSON 1.1%
Value ($000) $1,971 Shares 14,266 Est. Cost $86.83 Unrealized +24.4%
ABBNY ABB LIMITED SPONS ADR 1.1%
Value ($000) $1,967 Shares 83,240 Est. Cost $23.24 Unrealized
BELMOND LTD 1.0%
Value ($000) $1,920 Shares 105,200 Est. Cost $13.60 Unrealized
CSCO CISCO SYSTEMS 1.0%
Value ($000) $1,898 Shares 39,004 Est. Cost $17.96 Unrealized +100.7%
ABBV ABBVIE INC. 1.0%
Value ($000) $1,828 Shares 19,322 Est. Cost $30.54 Unrealized +126.5%
ABT ABBOTT LABORATORIES 0.9%
Value ($000) $1,672 Shares 22,790 Est. Cost $31.21 Unrealized +85.3%
WY WEYERHAEUSER CO 0.9%
Value ($000) $1,657 Shares 51,361 Est. Cost $19.09 Unrealized +35.8%
BA BOEING CO 0.9%
Value ($000) $1,648 Shares 4,430 Est. Cost $164.42 Unrealized +106.2%
EFX EQUIFAX INC 0.9%
Value ($000) $1,596 Shares 12,224 Est. Cost $53.06 Unrealized +130.4%
AQUAVENTURE HOLDINGS LTD 0.8%
Value ($000) $1,523 Shares 84,300 Est. Cost $15.52 Unrealized
PEP PEPSICO INC 0.8%
Value ($000) $1,444 Shares 12,915 Est. Cost $58.08 Unrealized +55.5%
CSX CSX CORP 0.8%
Value ($000) $1,385 Shares 18,700 Est. Cost $9.31 Unrealized +131.7%
PM PHILIP MORRIS INTERNAT 0.7%
Value ($000) $1,337 Shares 16,400 Est. Cost $57.75 Unrealized -3.9%
FIS FIDELITY NATIONAL INFORMATION 0.7%
Value ($000) $1,330 Shares 12,198 Est. Cost $34.36 Unrealized +173.3%
MO ALTRIA GROUP INC 0.7%
Value ($000) $1,286 Shares 21,322 Est. Cost $26.34 Unrealized +27.4%
INTC INTEL CORP 0.7%
Value ($000) $1,276 Shares 26,972 Est. Cost $24.79 Unrealized +67.5%
OKE ONEOK INC 0.7%
Value ($000) $1,227 Shares 18,093 Est. Cost $31.30 Unrealized +36.7%
WPC W.P. CAREY INC. 0.6%
Value ($000) $1,196 Shares 18,595 Est. Cost $65.50 Unrealized
MMM 3M CO 0.6%
Value ($000) $1,155 Shares 5,479 Est. Cost $69.16 Unrealized +91.1%
CVX CHEVRON CORPORATION 0.6%
Value ($000) $1,095 Shares 8,955 Est. Cost $69.28 Unrealized +26.9%
DOWDUPONT INC. 0.6%
Value ($000) $1,049 Shares 16,307 Est. Cost $68.85 Unrealized
SPROTT INC 0.6%
Value ($000) $1,047 Shares 450,000 Est. Cost $2.33 Unrealized
GENERAL ELECTRIC CO 0.5%
Value ($000) $1,005 Shares 89,005 Est. Cost $25.93 Unrealized
BP BP PLC SPONS ADR 0.5%
Value ($000) $1,000 Shares 21,696 Est. Cost $41.79 Unrealized
CAT CATERPILLAR 0.5%
Value ($000) $968 Shares 6,350 Est. Cost $64.81 Unrealized +85.9%
WM WASTE MGT. 0.5%
Value ($000) $956 Shares 10,583 Est. Cost $33.49 Unrealized +133.7%
STARTS GROUP INC 0.5%
Value ($000) $946 Shares 38,000 Est. Cost $36.29 Unrealized
GOOGL ALPHABET INC (A) 0.5%
Value ($000) $925 Shares 766 Est. Cost $43.83 Unrealized +37.1%
MRK MERCK & CO 0.5%
Value ($000) $889 Shares 12,530 Est. Cost $40.00 Unrealized +26.6%
BXMT BLACKSTONE MORTGAGE TRUST INC 0.5%
Value ($000) $878 Shares 26,194 Est. Cost $29.36 Unrealized
PG PROCTER & GAMBLE COMPANY 0.5%
Value ($000) $873 Shares 10,495 Est. Cost $55.89 Unrealized +21.3%
KO COCA COLA 0.5%
Value ($000) $858 Shares 18,575 Est. Cost $32.56 Unrealized +11.5%
AMZN AMAZON.COM INC 0.4%
Value ($000) $811 Shares 405 Est. Cost $60.06 Unrealized +56.6%
PNC PNC FINANCIAL CORP 0.4%
Value ($000) $807 Shares 5,923 Est. Cost $51.51 Unrealized +112.6%
GLW CORNING INC 0.4%
Value ($000) $780 Shares 22,110 Est. Cost $13.03 Unrealized +103.2%
AXP AMERICAN EXPRESS CO 0.4%
Value ($000) $777 Shares 7,300 Est. Cost $61.07 Unrealized +54.1%
UNITED TECH. 0.4%
Value ($000) $758 Shares 5,419 Est. Cost $109.26 Unrealized
ZTS ZOETIS INC 0.4%
Value ($000) $751 Shares 8,200 Est. Cost $48.41 Unrealized +72.8%
SHOP SHOPIFY INC 0.4%
Value ($000) $748 Shares 4,550 Est. Cost $14.86 Unrealized +2.5%
LMT LOCKHEED MARTIN 0.4%
Value ($000) $744 Shares 2,150 Est. Cost $209.15 Unrealized +26.3%
SEIC SEI INVESTMENTS COMPANY 0.4%
Value ($000) $733 Shares 12,000 Est. Cost $46.13 Unrealized +21.8%
JEF JEFFERIES FINANCIAL GROUP 0.4%
Value ($000) $725 Shares 33,000 Est. Cost $16.63 Unrealized -0.0%
SO SOUTHERN CO 0.4%
Value ($000) $716 Shares 16,432 Est. Cost $27.86 Unrealized +23.0%
GIS GENERAL MILLS INC 0.4%
Value ($000) $701 Shares 16,331 Est. Cost $38.83 Unrealized -10.0%
TRN TRINITY INDS INC. 0.4%
Value ($000) $660 Shares 18,000 Est. Cost $15.94 Unrealized +25.2%
BAX BAXTER INTERNATIONAL INC 0.4%
Value ($000) $659 Shares 8,550 Est. Cost $31.07 Unrealized +109.0%
WMT WAL-MART STORES 0.4%
Value ($000) $657 Shares 6,991 Est. Cost $23.11 Unrealized +18.3%
BGS B&G FOODS INC 0.4%
Value ($000) $657 Shares 23,930 Est. Cost $17.52 Unrealized -8.2%
C CITIGROUP INC 0.3%
Value ($000) $613 Shares 8,540 Est. Cost $39.03 Unrealized +40.4%
NEE NEXTERA ENERGY INC 0.3%
Value ($000) $570 Shares 3,400 Est. Cost $15.66 Unrealized +126.4%
GOOG ALPHABET INC-CL C 0.3%
Value ($000) $561 Shares 470 Est. Cost $54.73 Unrealized +8.6%
EMN EASTMAN CHEM CO 0.3%
Value ($000) $560 Shares 5,850 Est. Cost $47.81 Unrealized +59.7%
GEO GEO GROUP INC 0.3%
Value ($000) $555 Shares 22,050 Est. Cost $16.04 Unrealized +19.9%
DGEAF DIAGEO 0.3%
Value ($000) $550 Shares 15,375 Est. Cost $22.39 Unrealized +35.7%
NVDA NVIDIA 0.3%
Value ($000) $548 Shares 1,950 Est. Cost $1.45 Unrealized +343.8%
BDX BECTON DICKINSON 0.3%
Value ($000) $541 Shares 2,074 Est. Cost $123.45 Unrealized +78.5%
NSC NORFOLK SOUTHERN 0.3%
Value ($000) $534 Shares 2,960 Est. Cost $70.35 Unrealized +109.2%
ROYAL DUTCH SHELL PLC CL A 0.3%
Value ($000) $508 Shares 7,458 Est. Cost $51.49 Unrealized
CVS CVS HEALTH CORPORATION 0.3%
Value ($000) $504 Shares 6,400 Est. Cost $60.19 Unrealized -6.1%
DUK DUKE ENERGY CORP 0.3%
Value ($000) $498 Shares 6,229 Est. Cost $43.77 Unrealized +37.1%
AAL AMERICAN AIRLINES GROUP INC 0.3%
Value ($000) $496 Shares 12,000 Est. Cost $38.86 Unrealized -1.4%
WST WEST PHARMACEUTICALS SVCS INC 0.3%
Value ($000) $494 Shares 4,000 Est. Cost $76.11 Unrealized +44.1%
GLAXO SMITHKLINE PLC SPONS ADR 0.3%
Value ($000) $486 Shares 12,100 Est. Cost $40.06 Unrealized
MDLZ MONDELEZ INTERNATIONAL 0.3%
Value ($000) $486 Shares 11,304 Est. Cost $33.73 Unrealized +5.5%
CMCSA COMCAST CORP 0.2%
Value ($000) $457 Shares 12,892 Est. Cost $26.17 Unrealized +12.1%
TIP ISHARES TIPS BOND ETF 0.2%
Value ($000) $442 Shares 4,000 Est. Cost $111.63 Unrealized
AVGO BROADCOM LIMITED 0.2%
Value ($000) $419 Shares 1,700 Est. Cost $18.27 Unrealized 0.0%
AFL AFLAC INC. 0.2%
Value ($000) $417 Shares 8,856 Est. Cost $28.82 Unrealized +33.5%
LLY LILLY ELI & CO 0.2%
Value ($000) $416 Shares 3,876 Est. Cost $52.83 Unrealized +70.9%
TIFFANY & CO 0.2%
Value ($000) $413 Shares 3,200 Est. Cost $72.50 Unrealized
VLO VALERO ENERGY 0.2%
Value ($000) $404 Shares 3,551 Est. Cost $51.37 Unrealized +64.0%
THVB THOMASVILLE BANCSHARES INC 0.2%
Value ($000) $390 Shares 9,522 Est. Cost $16.17 Unrealized +105.3%
DTE D T E ENERGY CO 0.2%
Value ($000) $389 Shares 3,569 Est. Cost $39.05 Unrealized +86.3%
XBI SPDR S&P BIOTECH 0.2%
Value ($000) $374 Shares 3,900 Est. Cost $73.66 Unrealized
ACTIVISION BLIZZARD INC. 0.2%
Value ($000) $374 Shares 4,500 Est. Cost $39.23 Unrealized
COP CONOCOPHILLIPS 0.2%
Value ($000) $360 Shares 4,650 Est. Cost $34.77 Unrealized +62.1%
YUM YUM BRANDS 0.2%
Value ($000) $356 Shares 3,920 Est. Cost $51.41 Unrealized +41.8%
NXPI NXP SEMICONDUCTORS NV 0.2%
Value ($000) $351 Shares 4,100 Est. Cost $85.25 Unrealized 0.0%
IBB ISHARES NASDAQ BIOTECH 0.2%
Value ($000) $349 Shares 2,861 Est. Cost $109.79 Unrealized
CONNECTICUT WATER SVC INC 0.2%
Value ($000) $347 Shares 5,000 Est. Cost $55.80 Unrealized
IP INTERNATIONAL PAPER 0.2%
Value ($000) $344 Shares 7,000 Est. Cost $29.30 Unrealized +21.6%
ITW ILLINOIS TOOL WORKS 0.2%
Value ($000) $339 Shares 2,400 Est. Cost $73.09 Unrealized +60.7%
HPQ H P INC 0.2%
Value ($000) $322 Shares 12,500 Est. Cost $9.61 Unrealized +95.5%
KMB KIMBERLY CLARK CORP 0.2%
Value ($000) $307 Shares 2,700 Est. Cost $82.26 Unrealized +5.2%
VECTREN CORP 0.2%
Value ($000) $307 Shares 4,299 Est. Cost $42.10 Unrealized
SPG SIMON PROPERTY GROUP INC REIT 0.2%
Value ($000) $295 Shares 1,670 Est. Cost $102.67 Unrealized +15.3%
SYY SYSCO CORP 0.2%
Value ($000) $293 Shares 4,000 Est. Cost $40.96 Unrealized +44.7%
FDX FEDEX CORP 0.2%
Value ($000) $289 Shares 1,200 Est. Cost $159.81 Unrealized +32.8%
MTB M&T BANK CORP 0.2%
Value ($000) $284 Shares 1,723 Est. Cost $88.17 Unrealized +56.1%
GRUBHUB INC 0.2%
Value ($000) $284 Shares 2,050 Est. Cost $101.28 Unrealized
UPS UNITED PARCEL SERVICE 0.2%
Value ($000) $280 Shares 2,400 Est. Cost $85.46 Unrealized +3.5%
INOVIO PHARMACEUTICALS INC 0.1%
Value ($000) $267 Shares 48,000 Est. Cost $5.56 Unrealized
MCD MCDONALDS CORP 0.1%
Value ($000) $260 Shares 1,555 Est. Cost $117.92 Unrealized +14.3%
H&E EQUIPMENT SERVICES INC 0.1%
Value ($000) $244 Shares 6,460 Est. Cost $29.24 Unrealized
CLX CLOROX CO 0.1%
Value ($000) $241 Shares 1,600 Est. Cost $91.84 Unrealized +24.8%
UNITED STATES STEEL CORP 0.1%
Value ($000) $236 Shares 7,750 Est. Cost $30.45 Unrealized
KHC THE KRAFT HEINZ COMPANY 0.1%
Value ($000) $232 Shares 4,218 Est. Cost $56.38 Unrealized -25.9%
HD HOME DEPOT INC 0.1%
Value ($000) $231 Shares 1,116 Est. Cost $155.00 Unrealized +8.4%
SENSIENT TECHNOLOGIES CORP 0.1%
Value ($000) $230 Shares 3,000 Est. Cost $71.00 Unrealized
NOC NORTHROP GRUMMAN CORP 0.1%
Value ($000) $227 Shares 715 Est. Cost $269.78 Unrealized 0.0%
CAG CONAGRA BRANDS INC 0.1%
Value ($000) $223 Shares 6,575 Est. Cost $17.93 Unrealized +52.4%
CE CELANESE CORP 0.1%
Value ($000) $217 Shares 1,900 Est. Cost $95.32 Unrealized +4.4%
AMD ADVANCED MICRO DEVICES 0.1%
Value ($000) $216 Shares 7,000 Est. Cost $22.57 Unrealized 0.0%
KMI KINDER MORGAN INC 0.1%
Value ($000) $216 Shares 12,200 Est. Cost $11.69 Unrealized 0.0%
CWT CALIFORNIA WATER SEFICE GROUP 0.1%
Value ($000) $214 Shares 5,000 Est. Cost $35.44 Unrealized 0.0%
VOD VODAFONE GROUP PLC 0.1%
Value ($000) $214 Shares 9,884 Est. Cost $28.57 Unrealized
KKR KKR & CO INC 0.1%
Value ($000) $213 Shares 7,800 Est. Cost $24.47 Unrealized 0.0%
BRK/B BERKSHIRE HATHAWAY INC. CLASS 0.1%
Value ($000) $213 Shares 993 Est. Cost $154.99 Unrealized +32.4%
MSI MOTOROLA SOLUTIONS INC 0.1%
Value ($000) $208 Shares 1,595 Est. Cost $111.85 Unrealized 0.0%
PSX PHILLIPS 66 0.1%
Value ($000) $207 Shares 1,832 Est. Cost $83.14 Unrealized +3.5%
HPE HEWLETT PACKARD ENTERPRIS 0.1%
Value ($000) $207 Shares 12,700 Est. Cost $6.77 Unrealized +87.1%
XEROX 0.1%
Value ($000) $204 Shares 7,559 Est. Cost $26.99 Unrealized
ALERIAN MLP ETF 0.1%
Value ($000) $203 Shares 19,004 Est. Cost $12.64 Unrealized
QCOM QUALCOMM INC 0.1%
Value ($000) $202 Shares 2,800 Est. Cost $54.64 Unrealized 0.0%
GEF/B GREIF INC CL B 0.1%
Value ($000) $202 Shares 3,500 Est. Cost $29.45 Unrealized +36.1%
WMB WILLIAMS CO 0.1%
Value ($000) $201 Shares 7,377 Est. Cost $19.23 Unrealized 0.0%
CODI COMPASS DIVERSIFIED HOLDINGS 0.1%
Value ($000) $201 Shares 11,070 Est. Cost $8.80 Unrealized +30.4%
PEOPLE'S UNITED FINANCIAL INC 0.1%
Value ($000) $183 Shares 10,707 Est. Cost $18.68 Unrealized
AHRT ARMADA HOFFLER PROPERTIES INC 0.1%
Value ($000) $151 Shares 10,000 Est. Cost $14.55 Unrealized
FCX FREEPORT MCMORAN INC 0.1%
Value ($000) $143 Shares 10,300 Est. Cost $21.99 Unrealized -37.3%
F FORD MOTOR COMPANY NEW 0.1%
Value ($000) $106 Shares 11,450 Est. Cost $8.01 Unrealized -14.5%
ANNALY CAPITAL MANAGEMENT 0.1%
Value ($000) $106 Shares 10,400 Est. Cost $12.18 Unrealized
CAPITAL SENIOR LIVING CORP 0.1%
Value ($000) $94 Shares 10,000 Est. Cost $18.50 Unrealized
TVAGF TVA GROUP INC CL B 0.0%
Value ($000) $34 Shares 19,800 Est. Cost $8.89 Unrealized -70.0%
HSHL HOME SOLUTIONS HEALTH INC 0.0%
Value ($000) $0 Shares 50,000 Est. Cost $0.00 Unrealized 0.0%