Wellington Shields & Co., LLC Diversified Active

CIK: 0001506073 · Show all filings

Period: Q4 2018 (← Previous) (Next →)

Filing Date: Feb 11, 2019

Total Value ($000): $174,709 (100.0% shares, 0.0% debt)

Holdings (151)

ILMN ILLUMINA INC 12.6%
Value ($000) $22,060 Shares 73,549 Est. Cost $70.17 Unrealized +341.5%
MSFT MICROSOFT CORPORATION 4.8%
Value ($000) $8,374 Shares 82,447 Est. Cost $33.67 Unrealized +197.0%
JPM JP MORGAN CHASE & CO 2.9%
Value ($000) $5,034 Shares 51,564 Est. Cost $62.18 Unrealized +40.8%
AES AES CORP 2.8%
Value ($000) $4,928 Shares 340,786 Est. Cost $8.15 Unrealized +43.0%
CASI PHARMACEUTICALS INC 2.5%
Value ($000) $4,344 Shares 1,080,650 Est. Cost $4.37 Unrealized
BELMOND LTD 2.1%
Value ($000) $3,659 Shares 146,200 Est. Cost $16.81 Unrealized
XOM EXXON MOBIL CORP 2.0%
Value ($000) $3,533 Shares 51,815 Est. Cost $54.68 Unrealized +3.1%
GM GENERAL MOTORS CO 1.9%
Value ($000) $3,320 Shares 99,252 Est. Cost $32.50 Unrealized -3.6%
PFE PFIZER INC 1.9%
Value ($000) $3,241 Shares 74,259 Est. Cost $20.74 Unrealized +44.8%
IBM INTERNATIONAL BUSINESS MACHINE 1.8%
Value ($000) $3,171 Shares 27,899 Est. Cost $108.84 Unrealized -19.2%
VZ VERIZON COMMUNICATIONS INC 1.7%
Value ($000) $2,889 Shares 51,386 Est. Cost $29.89 Unrealized +29.2%
T AT&T INC 1.6%
Value ($000) $2,841 Shares 99,538 Est. Cost $11.96 Unrealized +17.3%
DIS WALT DISNEY CO/THE 1.6%
Value ($000) $2,760 Shares 25,171 Est. Cost $65.15 Unrealized +67.5%
HON HONEYWELL INTERNATIONAL 1.5%
Value ($000) $2,663 Shares 20,159 Est. Cost $53.58 Unrealized +119.7%
AAPL APPLE INC 1.5%
Value ($000) $2,615 Shares 16,580 Est. Cost $24.11 Unrealized +90.8%
UNP UNION PACIFIC 1.4%
Value ($000) $2,491 Shares 18,020 Est. Cost $69.69 Unrealized +81.4%
BMY BRISTOL-MYERS SQUIBB CO 1.4%
Value ($000) $2,474 Shares 47,600 Est. Cost $30.81 Unrealized +33.0%
UEIC UNIVERSAL ELECTRONICS 1.4%
Value ($000) $2,406 Shares 95,187 Est. Cost $32.92 Unrealized -1.7%
PG PROCTER & GAMBLE COMPANY 1.2%
Value ($000) $2,059 Shares 22,396 Est. Cost $65.91 Unrealized +13.4%
LLY LILLY ELI & CO 1.2%
Value ($000) $2,012 Shares 17,391 Est. Cost $90.55 Unrealized +11.9%
JNJ JOHNSON & JOHNSON 1.1%
Value ($000) $1,997 Shares 15,478 Est. Cost $88.97 Unrealized +28.3%
DOWDUPONT INC. 1.1%
Value ($000) $1,952 Shares 36,504 Est. Cost $60.34 Unrealized
FSLR FIRST SOLAR INC COM 1.1%
Value ($000) $1,914 Shares 45,075 Est. Cost $39.09 Unrealized +12.3%
KLX ENERGY SERVICES HOLDINGS I 1.1%
Value ($000) $1,876 Shares 80,000 Est. Cost $23.45 Unrealized
SPGI S&P GLOBAL INC 1.0%
Value ($000) $1,801 Shares 10,600 Est. Cost $126.47 Unrealized +33.2%
ABBV ABBVIE INC. 1.0%
Value ($000) $1,751 Shares 18,993 Est. Cost $30.54 Unrealized +112.2%
INTC INTEL CORP 1.0%
Value ($000) $1,722 Shares 36,690 Est. Cost $28.87 Unrealized +39.2%
BA BOEING CO 1.0%
Value ($000) $1,703 Shares 5,280 Est. Cost $191.88 Unrealized +74.6%
ABT ABBOTT LABORATORIES 1.0%
Value ($000) $1,680 Shares 23,222 Est. Cost $31.79 Unrealized +95.5%
CVX CHEVRON CORPORATION 0.9%
Value ($000) $1,651 Shares 15,178 Est. Cost $75.62 Unrealized +12.1%
AQUAVENTURE HOLDINGS LTD 0.9%
Value ($000) $1,592 Shares 84,300 Est. Cost $15.52 Unrealized
CSCO CISCO SYSTEMS 0.9%
Value ($000) $1,583 Shares 36,538 Est. Cost $17.96 Unrealized +105.6%
CIGNA CORP 0.9%
Value ($000) $1,504 Shares 7,917 Est. Cost $189.97 Unrealized
ABBNY ABB LIMITED SPONS ADR 0.9%
Value ($000) $1,487 Shares 78,240 Est. Cost $23.24 Unrealized
KMI KINDER MORGAN INC 0.8%
Value ($000) $1,442 Shares 93,760 Est. Cost $11.26 Unrealized -0.6%
PEP PEPSICO INC 0.8%
Value ($000) $1,372 Shares 12,415 Est. Cost $58.08 Unrealized +56.1%
LMT LOCKHEED MARTIN 0.7%
Value ($000) $1,283 Shares 4,900 Est. Cost $232.10 Unrealized +7.7%
FIS FIDELITY NATIONAL INFORMATION 0.7%
Value ($000) $1,251 Shares 12,198 Est. Cost $34.36 Unrealized +165.1%
WPC W.P. CAREY INC. 0.7%
Value ($000) $1,228 Shares 18,795 Est. Cost $65.50 Unrealized
MRK MERCK & CO 0.7%
Value ($000) $1,208 Shares 15,810 Est. Cost $43.43 Unrealized +30.1%
INTREXON CORP 0.6%
Value ($000) $1,124 Shares 171,800 Est. Cost $15.21 Unrealized
PM PHILIP MORRIS INTERNAT 0.6%
Value ($000) $1,095 Shares 16,400 Est. Cost $57.75 Unrealized -0.8%
MMM 3M CO 0.6%
Value ($000) $1,091 Shares 5,727 Est. Cost $71.72 Unrealized +78.8%
EFX EQUIFAX INC 0.6%
Value ($000) $1,090 Shares 11,699 Est. Cost $53.06 Unrealized +88.9%
OKE ONEOK INC 0.6%
Value ($000) $1,030 Shares 19,093 Est. Cost $31.72 Unrealized +23.9%
SPROTT INC 0.6%
Value ($000) $1,026 Shares 546,000 Est. Cost $2.25 Unrealized
CMCSA COMCAST CORP 0.6%
Value ($000) $1,008 Shares 29,592 Est. Cost $28.57 Unrealized +6.5%
KO COCA COLA 0.6%
Value ($000) $1,001 Shares 21,137 Est. Cost $33.27 Unrealized +15.4%
BP BP PLC SPONS ADR 0.6%
Value ($000) $982 Shares 25,896 Est. Cost $41.16 Unrealized
SMG SCOTTS MIRACLE-GRO 0.6%
Value ($000) $971 Shares 15,800 Est. Cost $63.80 Unrealized -13.8%
MO ALTRIA GROUP INC 0.5%
Value ($000) $955 Shares 19,339 Est. Cost $26.34 Unrealized +25.7%
AXP AMERICAN EXPRESS CO 0.5%
Value ($000) $948 Shares 9,950 Est. Cost $70.11 Unrealized +35.5%
WM WASTE MGT. 0.5%
Value ($000) $942 Shares 10,583 Est. Cost $33.49 Unrealized +137.9%
WY WEYERHAEUSER CO 0.5%
Value ($000) $917 Shares 41,927 Est. Cost $19.09 Unrealized +5.4%
WMT WAL-MART STORES 0.5%
Value ($000) $917 Shares 9,841 Est. Cost $24.75 Unrealized +16.2%
PNC PNC FINANCIAL CORP 0.5%
Value ($000) $891 Shares 7,623 Est. Cost $62.10 Unrealized +59.4%
QCOM QUALCOMM INC 0.5%
Value ($000) $882 Shares 15,500 Est. Cost $51.53 Unrealized -1.3%
ANADARKO PETR. 0.5%
Value ($000) $881 Shares 20,100 Est. Cost $43.83 Unrealized
ENB ENBRIDGE INC 0.5%
Value ($000) $870 Shares 27,983 Est. Cost $20.25 Unrealized 0.0%
BXMT BLACKSTONE MORTGAGE TRUST INC 0.5%
Value ($000) $841 Shares 26,402 Est. Cost $29.36 Unrealized
CAT CATERPILLAR 0.5%
Value ($000) $832 Shares 6,550 Est. Cost $66.24 Unrealized +68.3%
AMGN AMGEN 0.5%
Value ($000) $820 Shares 4,210 Est. Cost $156.83 Unrealized 0.0%
COP CONOCOPHILLIPS 0.4%
Value ($000) $767 Shares 12,300 Est. Cost $46.36 Unrealized +15.2%
SO SOUTHERN CO 0.4%
Value ($000) $756 Shares 17,214 Est. Cost $28.15 Unrealized +21.7%
C CITIGROUP INC 0.4%
Value ($000) $729 Shares 14,010 Est. Cost $43.06 Unrealized +14.6%
CSX CSX CORP 0.4%
Value ($000) $727 Shares 11,700 Est. Cost $9.31 Unrealized +124.3%
GLW CORNING INC 0.4%
Value ($000) $713 Shares 23,610 Est. Cost $13.86 Unrealized +88.8%
GIS GENERAL MILLS INC 0.4%
Value ($000) $702 Shares 18,020 Est. Cost $38.28 Unrealized -13.9%
NEE NEXTERA ENERGY INC 0.4%
Value ($000) $678 Shares 3,900 Est. Cost $18.35 Unrealized +99.7%
FMC FMC CORP 0.4%
Value ($000) $673 Shares 9,100 Est. Cost $57.42 Unrealized 0.0%
BGS B&G FOODS INC 0.4%
Value ($000) $663 Shares 22,930 Est. Cost $17.52 Unrealized -14.0%
NEM NEWMONT MINING 0.4%
Value ($000) $657 Shares 18,950 Est. Cost $26.05 Unrealized 0.0%
GENERAL ELECTRIC CO 0.4%
Value ($000) $647 Shares 85,467 Est. Cost $25.93 Unrealized
AMZN AMAZON.COM INC 0.4%
Value ($000) $646 Shares 430 Est. Cost $61.40 Unrealized +35.4%
GILD GILEAD SCIENCES INC. 0.4%
Value ($000) $644 Shares 10,300 Est. Cost $53.01 Unrealized 0.0%
UNITED TECH. 0.4%
Value ($000) $641 Shares 6,023 Est. Cost $108.97 Unrealized
BRK/B BERKSHIRE HATHAWAY INC. CLASS 0.4%
Value ($000) $628 Shares 3,078 Est. Cost $191.49 Unrealized +9.1%
V VISA INC 0.4%
Value ($000) $626 Shares 4,746 Est. Cost $131.41 Unrealized 0.0%
CVS CVS HEALTH CORPORATION 0.4%
Value ($000) $617 Shares 9,418 Est. Cost $59.93 Unrealized -0.9%
TIP ISHARES TIPS BOND ETF 0.3%
Value ($000) $602 Shares 5,500 Est. Cost $111.03 Unrealized
GOOGL ALPHABET INC (A) 0.3%
Value ($000) $591 Shares 566 Est. Cost $43.83 Unrealized +22.4%
BAX BAXTER INTERNATIONAL INC 0.3%
Value ($000) $563 Shares 8,550 Est. Cost $31.07 Unrealized +89.7%
ALLERGAN PLC 0.3%
Value ($000) $561 Shares 4,201 Est. Cost $133.54 Unrealized
DGEAF DIAGEO 0.3%
Value ($000) $557 Shares 15,375 Est. Cost $22.39 Unrealized +33.8%
SEIC SEI INVESTMENTS COMPANY 0.3%
Value ($000) $554 Shares 12,000 Est. Cost $46.13 Unrealized +3.6%
DUK DUKE ENERGY CORP 0.3%
Value ($000) $539 Shares 6,242 Est. Cost $43.77 Unrealized +46.0%
TRV THE TRAVELERS COMPANIES INC 0.3%
Value ($000) $528 Shares 4,410 Est. Cost $107.19 Unrealized 0.0%
SHOP SHOPIFY INC 0.3%
Value ($000) $526 Shares 3,800 Est. Cost $14.86 Unrealized -5.3%
ROYAL DUTCH SHELL PLC CL A 0.3%
Value ($000) $523 Shares 8,971 Est. Cost $52.64 Unrealized
GOOG ALPHABET INC-CL C 0.3%
Value ($000) $518 Shares 500 Est. Cost $54.63 Unrealized -2.8%
ZTS ZOETIS INC 0.3%
Value ($000) $488 Shares 5,700 Est. Cost $48.41 Unrealized +75.6%
BDX BECTON DICKINSON 0.3%
Value ($000) $469 Shares 2,080 Est. Cost $123.45 Unrealized +68.6%
FCX FREEPORT MCMORAN INC 0.3%
Value ($000) $464 Shares 45,000 Est. Cost $13.26 Unrealized -19.5%
CELGENE CORP 0.3%
Value ($000) $458 Shares 7,140 Est. Cost $64.15 Unrealized
GLAXO SMITHKLINE PLC SPONS ADR 0.3%
Value ($000) $456 Shares 11,933 Est. Cost $40.06 Unrealized
FLO FLOWERS FOODS INC 0.3%
Value ($000) $455 Shares 24,668 Est. Cost $13.93 Unrealized +3.1%
NSC NORFOLK SOUTHERN 0.3%
Value ($000) $443 Shares 2,960 Est. Cost $70.35 Unrealized +102.3%
EMN EASTMAN CHEM CO 0.2%
Value ($000) $428 Shares 5,850 Est. Cost $47.81 Unrealized +29.2%
MDLZ MONDELEZ INTERNATIONAL 0.2%
Value ($000) $412 Shares 10,304 Est. Cost $33.73 Unrealized +6.1%
WFC WELLS FARGO & COMPANY 0.2%
Value ($000) $410 Shares 8,897 Est. Cost $42.03 Unrealized 0.0%
GEO GEO GROUP INC 0.2%
Value ($000) $405 Shares 20,550 Est. Cost $16.04 Unrealized +8.2%
AFL AFLAC INC. 0.2%
Value ($000) $403 Shares 8,856 Est. Cost $28.82 Unrealized +30.4%
DTE D T E ENERGY CO 0.2%
Value ($000) $394 Shares 3,569 Est. Cost $39.05 Unrealized +96.7%
KMB KIMBERLY CLARK CORP 0.2%
Value ($000) $376 Shares 3,300 Est. Cost $83.01 Unrealized +4.1%
THVB THOMASVILLE BANCSHARES INC 0.2%
Value ($000) $371 Shares 9,522 Est. Cost $16.17 Unrealized +99.5%
TWITTER INC 0.2%
Value ($000) $362 Shares 12,600 Est. Cost $28.73 Unrealized
YUM YUM BRANDS 0.2%
Value ($000) $360 Shares 3,920 Est. Cost $51.41 Unrealized +52.5%
TRN TRINITY INDS INC. 0.2%
Value ($000) $356 Shares 17,300 Est. Cost $15.94 Unrealized +10.4%
MCD MCDONALDS CORP 0.2%
Value ($000) $347 Shares 1,952 Est. Cost $124.46 Unrealized +20.6%
JCI JOHNSON CONTROLS INTL PLC 0.2%
Value ($000) $347 Shares 11,712 Est. Cost $28.21 Unrealized 0.0%
KHC THE KRAFT HEINZ COMPANY 0.2%
Value ($000) $346 Shares 8,046 Est. Cost $46.98 Unrealized -22.0%
SLB SCHLUMBERGER LTD 0.2%
Value ($000) $339 Shares 9,400 Est. Cost $40.20 Unrealized 0.0%
CONNECTICUT WATER SVC INC 0.2%
Value ($000) $334 Shares 5,000 Est. Cost $55.80 Unrealized
MOS MOSAIC CORP 0.2%
Value ($000) $330 Shares 11,300 Est. Cost $29.02 Unrealized 0.0%
AWK AMERICAN WTR WKS 0.2%
Value ($000) $318 Shares 3,500 Est. Cost $79.87 Unrealized 0.0%
RIG TRANSOCEAN LTD 0.2%
Value ($000) $314 Shares 45,300 Est. Cost $10.19 Unrealized 0.0%
DXC DXC TECHNOLOGY COMPANY 0.2%
Value ($000) $312 Shares 5,877 Est. Cost $66.27 Unrealized 0.0%
VECTREN CORP 0.2%
Value ($000) $309 Shares 4,299 Est. Cost $42.10 Unrealized
MDT MEDTRONIC PLC 0.2%
Value ($000) $308 Shares 3,391 Est. Cost $77.14 Unrealized 0.0%
NVDA NVIDIA 0.2%
Value ($000) $307 Shares 2,300 Est. Cost $1.95 Unrealized +142.9%
ITW ILLINOIS TOOL WORKS 0.2%
Value ($000) $304 Shares 2,400 Est. Cost $73.09 Unrealized +51.2%
TIFFANY & CO 0.2%
Value ($000) $281 Shares 3,485 Est. Cost $73.16 Unrealized
SPG SIMON PROPERTY GROUP INC REIT 0.2%
Value ($000) $281 Shares 1,670 Est. Cost $102.67 Unrealized +17.8%
XBI SPDR S&P BIOTECH 0.2%
Value ($000) $280 Shares 3,900 Est. Cost $73.66 Unrealized
MET METLIFE INC 0.2%
Value ($000) $276 Shares 6,712 Est. Cost $33.67 Unrealized 0.0%
VLO VALERO ENERGY 0.2%
Value ($000) $267 Shares 3,556 Est. Cost $51.37 Unrealized +27.6%
SPY SPDR S&P 500 ETF TR 0.1%
Value ($000) $262 Shares 1,050 Est. Cost $249.52 Unrealized
AVGO BROADCOM LIMITED 0.1%
Value ($000) $254 Shares 1,000 Est. Cost $18.27 Unrealized +6.1%
HPQ H P INC 0.1%
Value ($000) $254 Shares 12,400 Est. Cost $9.61 Unrealized +89.8%
CLX CLOROX CO 0.1%
Value ($000) $253 Shares 1,643 Est. Cost $92.74 Unrealized +36.4%
SYY SYSCO CORP 0.1%
Value ($000) $251 Shares 4,000 Est. Cost $40.96 Unrealized +36.1%
MTB M&T BANK CORP 0.1%
Value ($000) $247 Shares 1,723 Est. Cost $88.17 Unrealized +44.7%
IBB ISHARES NASDAQ BIOTECH 0.1%
Value ($000) $247 Shares 2,561 Est. Cost $109.79 Unrealized
IP INTERNATIONAL PAPER 0.1%
Value ($000) $238 Shares 5,900 Est. Cost $29.30 Unrealized +4.0%
CWT CALIFORNIA WATER SEFICE GROUP 0.1%
Value ($000) $238 Shares 5,000 Est. Cost $35.44 Unrealized +8.2%
MSI MOTOROLA SOLUTIONS INC 0.1%
Value ($000) $225 Shares 1,952 Est. Cost $112.01 Unrealized +0.6%
TE CONNECTIVITY LTD 0.1%
Value ($000) $212 Shares 2,800 Est. Cost $75.71 Unrealized
NUE NUCOR CORP 0.1%
Value ($000) $207 Shares 4,000 Est. Cost $50.72 Unrealized 0.0%
NEWFIELD EXPLORATION COMPANY 0.1%
Value ($000) $191 Shares 13,000 Est. Cost $14.69 Unrealized
ALERIAN MLP ETF 0.1%
Value ($000) $169 Shares 19,364 Est. Cost $12.57 Unrealized
HPE HEWLETT PACKARD ENTERPRIS 0.1%
Value ($000) $166 Shares 12,600 Est. Cost $6.77 Unrealized +76.1%
PEOPLE'S UNITED FINANCIAL INC 0.1%
Value ($000) $155 Shares 10,707 Est. Cost $18.68 Unrealized
AHRT ARMADA HOFFLER PROPERTIES INC 0.1%
Value ($000) $141 Shares 10,000 Est. Cost $14.55 Unrealized
CODI COMPASS DIVERSIFIED HOLDINGS 0.1%
Value ($000) $138 Shares 11,070 Est. Cost $8.80 Unrealized +15.6%
F FORD MOTOR COMPANY NEW 0.1%
Value ($000) $88 Shares 11,450 Est. Cost $8.01 Unrealized -22.5%
CAPITAL SENIOR LIVING CORP 0.0%
Value ($000) $68 Shares 10,000 Est. Cost $18.50 Unrealized
TVAGF TVA GROUP INC CL B 0.0%
Value ($000) $23 Shares 19,800 Est. Cost $8.89 Unrealized -70.0%
WEATHERFORD INTERNATIONAL PLC 0.0%
Value ($000) $11 Shares 20,000 Est. Cost $0.55 Unrealized
COASTAL CAR OIL & MINERALS 0.0%
Value ($000) $0 Shares 32,150 Est. Cost Unrealized
HSHL HOME SOLUTIONS HEALTH INC 0.0%
Value ($000) $0 Shares 50,000 Est. Cost $0.00 Unrealized -90.0%
ISLET SCIENCES 0.0%
Value ($000) $0 Shares 30,000 Est. Cost Unrealized