Wellington Shields & Co., LLC Diversified Active

CIK: 0001506073 · Show all filings

Period: Q3 2013 (← Previous) (Next →)

Filing Date: Nov 15, 2013

Total Value ($000): $126,496 (100.0% shares, 0.0% debt)

Holdings (112)

ILMN ILLUMINA INC. 10.4%
Value ($000) $13,129 Shares 162,422 Est. Cost $64.01 Unrealized +19.5%
SPECTRANETICS 10.1%
Value ($000) $12,732 Shares 757,865 Est. Cost $18.68 Unrealized
UEIC UNIVERSAL ELECTRONICS 9.9%
Value ($000) $12,485 Shares 346,511 Est. Cost $24.88 Unrealized +26.5%
EXPRESS SCRIPTS HOLDING CO 6.0%
Value ($000) $7,547 Shares 122,117 Est. Cost $61.74 Unrealized
IBM INT'L BUS MACHINES 3.7%
Value ($000) $4,639 Shares 25,053 Est. Cost $118.49 Unrealized -5.9%
F X ENERGY 3.4%
Value ($000) $4,311 Shares 1,256,850 Est. Cost $3.21 Unrealized
XOM EXXON MOBIL CORP 3.1%
Value ($000) $3,958 Shares 46,001 Est. Cost $53.74 Unrealized +0.8%
T AT&T INC. 2.6%
Value ($000) $3,320 Shares 98,159 Est. Cost $11.38 Unrealized -3.7%
FLO FLOWERS FOODS INC. 2.4%
Value ($000) $3,088 Shares 144,057 Est. Cost $13.91 Unrealized +2.6%
BMY BRISTOL MYERS SQUIBB 2.0%
Value ($000) $2,588 Shares 55,929 Est. Cost $28.67 Unrealized +1.9%
GENERAL ELECTRIC 1.6%
Value ($000) $2,057 Shares 86,099 Est. Cost $23.31 Unrealized
CHICAGO BRIDGE & IRON 1.6%
Value ($000) $1,975 Shares 29,145 Est. Cost $59.67 Unrealized
MSFT MICROSOFT 1.5%
Value ($000) $1,954 Shares 58,700 Est. Cost $26.71 Unrealized +1.1%
HON HONEYWELL INTERNATIONAL 1.5%
Value ($000) $1,895 Shares 22,823 Est. Cost $53.13 Unrealized +8.2%
VZ VERIZON COMM 1.4%
Value ($000) $1,743 Shares 37,341 Est. Cost $26.95 Unrealized -3.0%
PM PHILIP MORRIS INTERNATIONAL IN 1.4%
Value ($000) $1,719 Shares 19,852 Est. Cost $49.85 Unrealized -5.0%
DIS DISNEY, WALT 1.3%
Value ($000) $1,609 Shares 24,942 Est. Cost $56.18 Unrealized +1.3%
PFE PFIZER 1.0%
Value ($000) $1,276 Shares 44,420 Est. Cost $16.42 Unrealized -0.4%
UNP UNION PACIFIC 0.9%
Value ($000) $1,174 Shares 7,560 Est. Cost $57.06 Unrealized +5.4%
UMBF UMB FINANCIAL CORP 0.9%
Value ($000) $1,087 Shares 20,000 Est. Cost $50.96 Unrealized +14.5%
VLO VALERO ENERGY 0.9%
Value ($000) $1,086 Shares 31,800 Est. Cost $22.41 Unrealized 0.0%
WPC W.P. CAREY INC. 0.8%
Value ($000) $1,056 Shares 16,315 Est. Cost $66.16 Unrealized
PNC PNC FINANCIAL CORP 0.8%
Value ($000) $1,054 Shares 14,546 Est. Cost $47.34 Unrealized +8.4%
PEP PEPSICO 0.8%
Value ($000) $1,017 Shares 12,790 Est. Cost $56.00 Unrealized +1.4%
BP BP PLC ADR 0.8%
Value ($000) $997 Shares 23,732 Est. Cost $41.79 Unrealized
JPM JP MORGAN CHASE 0.8%
Value ($000) $988 Shares 19,119 Est. Cost $36.48 Unrealized +5.6%
PG PROCTER & GAMBLE 0.8%
Value ($000) $964 Shares 12,755 Est. Cost $55.00 Unrealized +2.2%
ENTREMED INC NEW 0.8%
Value ($000) $961 Shares 534,073 Est. Cost $2.02 Unrealized
LEUCADIA NATIONAL CORP 0.7%
Value ($000) $948 Shares 34,800 Est. Cost $26.21 Unrealized
MO ALTRIA GROUP INC. 0.7%
Value ($000) $946 Shares 27,532 Est. Cost $16.28 Unrealized -0.7%
COASTAL ENERGY COMPANY 0.7%
Value ($000) $915 Shares 49,764 Est. Cost $12.94 Unrealized
AES TRUST III CV 6.75% 0.7%
Value ($000) $877 Shares 17,400 Est. Cost $50.52 Unrealized
BAX BAXTER INT'L 0.7%
Value ($000) $877 Shares 13,354 Est. Cost $30.42 Unrealized +2.1%
PUKPF PRUDENTIAL 0.7%
Value ($000) $842 Shares 45,160 Est. Cost $16.76 Unrealized +5.7%
NEW YORK COMMUNITY BANCORP INC 0.7%
Value ($000) $842 Shares 55,700 Est. Cost $14.00 Unrealized
ABBV ABBVIE INC 0.7%
Value ($000) $830 Shares 18,550 Est. Cost $26.66 Unrealized +1.9%
ACTG ACACIA RESEARCH 0.6%
Value ($000) $820 Shares 35,542 Est. Cost $22.79 Unrealized -8.5%
EFX EQUIFAX 0.6%
Value ($000) $802 Shares 13,400 Est. Cost $53.06 Unrealized +2.3%
JNJ JOHNSON & JOHNSON 0.6%
Value ($000) $778 Shares 8,975 Est. Cost $59.66 Unrealized +6.5%
CSCO CISCO SYSTEMS 0.6%
Value ($000) $763 Shares 32,574 Est. Cost $15.47 Unrealized +9.5%
ENERGY TRANSFER PARTNERS LP 0.6%
Value ($000) $722 Shares 13,868 Est. Cost $50.62 Unrealized
KO COCA COLA 0.6%
Value ($000) $717 Shares 18,929 Est. Cost $27.85 Unrealized -3.9%
CVX CHEVRON CORP. 0.5%
Value ($000) $687 Shares 5,658 Est. Cost $71.30 Unrealized +2.5%
FCX FREEPORT MCMORAN COPPER & GOLD 0.5%
Value ($000) $666 Shares 20,133 Est. Cost $24.45 Unrealized +5.0%
AXP AMERICAN EXPRESS 0.5%
Value ($000) $657 Shares 8,700 Est. Cost $59.62 Unrealized +6.1%
LIDCO GROUP 0.5%
Value ($000) $640 Shares 2,654,959 Est. Cost $0.20 Unrealized
ABT ABBOTT LABS 0.5%
Value ($000) $616 Shares 18,550 Est. Cost $28.63 Unrealized -3.2%
PLUM CREEK TIMBER 0.5%
Value ($000) $610 Shares 13,022 Est. Cost $46.70 Unrealized
HAL HALLIBURTON CO 0.5%
Value ($000) $578 Shares 12,000 Est. Cost $33.21 Unrealized +12.4%
B&G FOODS INC. 0.5%
Value ($000) $574 Shares 16,600 Est. Cost $34.04 Unrealized
FIS FIDELITY NATIONAL INFORMATION 0.4%
Value ($000) $567 Shares 12,200 Est. Cost $34.36 Unrealized +6.6%
WM WASTE MGT. 0.4%
Value ($000) $540 Shares 13,083 Est. Cost $30.75 Unrealized +4.1%
BONTQ BON TON STORES INC 0.4%
Value ($000) $533 Shares 50,500 Est. Cost $16.14 Unrealized -10.3%
SO SOUTHERN COMPANY 0.4%
Value ($000) $521 Shares 12,656 Est. Cost $26.74 Unrealized -5.3%
WY WEYERHAEUSER 0.4%
Value ($000) $507 Shares 17,700 Est. Cost $18.60 Unrealized -5.2%
MMM 3M COMPANY 0.4%
Value ($000) $502 Shares 4,200 Est. Cost $62.16 Unrealized +6.1%
MERCK & CO 0.4%
Value ($000) $492 Shares 10,330 Est. Cost $46.47 Unrealized
DGEAF DIAGEO 0.4%
Value ($000) $484 Shares 15,375 Est. Cost $22.39 Unrealized +3.5%
TALISMAN ENERGY INC 0.4%
Value ($000) $473 Shares 41,100 Est. Cost $11.42 Unrealized
DUK DUKE ENERGY CORP 0.4%
Value ($000) $468 Shares 7,001 Est. Cost $41.75 Unrealized -2.2%
HEWLETT PACKARD 0.4%
Value ($000) $462 Shares 22,000 Est. Cost $24.80 Unrealized
EMN EASTMAN CHEMICAL 0.4%
Value ($000) $456 Shares 5,850 Est. Cost $47.81 Unrealized +11.0%
DU PONT (EI) DE NEMOURS 0.4%
Value ($000) $454 Shares 7,751 Est. Cost $53.87 Unrealized
VODAFONE PLC 0.4%
Value ($000) $452 Shares 12,858 Est. Cost $28.74 Unrealized
XEROX 0.3%
Value ($000) $431 Shares 41,891 Est. Cost $9.07 Unrealized
TRN TRINITY INDS INC. 0.3%
Value ($000) $431 Shares 9,500 Est. Cost $10.24 Unrealized +1.5%
CODI COMPASS DIVERSIFIED HOLDINGS 0.3%
Value ($000) $421 Shares 23,650 Est. Cost $7.10 Unrealized +6.9%
THORATEC LABS CORP 0.3%
Value ($000) $411 Shares 11,029 Est. Cost $31.28 Unrealized
ALERIAN MLP ETF 0.3%
Value ($000) $403 Shares 22,912 Est. Cost $17.87 Unrealized
MARKET VECTORS GOLD MINERS ETF 0.3%
Value ($000) $393 Shares 15,700 Est. Cost $24.46 Unrealized
PENRELL CORPORATION 0.3%
Value ($000) $388 Shares 200,000 Est. Cost $2.36 Unrealized
MTB M&T BANK CORP 0.3%
Value ($000) $386 Shares 3,446 Est. Cost $72.91 Unrealized +13.0%
MDLZ MONDELEZ INTERNATIONAL INC A 0.3%
Value ($000) $381 Shares 12,140 Est. Cost $23.16 Unrealized +2.4%
GEF/B GREIF INC CL B 0.3%
Value ($000) $341 Shares 6,400 Est. Cost $29.17 Unrealized +3.9%
GEO GROUP INC 0.3%
Value ($000) $339 Shares 10,200 Est. Cost $33.89 Unrealized
TIP ISHARES UNITED STATES TREASURY 0.3%
Value ($000) $338 Shares 3,000 Est. Cost $112.00 Unrealized
GLW CORNING INC 0.3%
Value ($000) $331 Shares 22,710 Est. Cost $10.55 Unrealized +1.8%
F FORD MOTOR 0.3%
Value ($000) $323 Shares 19,124 Est. Cost $7.61 Unrealized +18.6%
AAPL APPLE COMPUTER 0.3%
Value ($000) $322 Shares 675 Est. Cost $14.28 Unrealized 0.0%
AFL AFLAC INC. 0.2%
Value ($000) $313 Shares 5,056 Est. Cost $20.11 Unrealized +11.7%
CAT CATERPILLAR 0.2%
Value ($000) $304 Shares 3,650 Est. Cost $61.55 Unrealized +0.1%
COP CONOCOPHILLIPS 0.2%
Value ($000) $282 Shares 4,050 Est. Cost $44.49 Unrealized 0.0%
NSC NORFOLK SOUTHERN 0.2%
Value ($000) $248 Shares 3,200 Est. Cost $57.67 Unrealized -1.2%
TIFFANY & CO 0.2%
Value ($000) $245 Shares 3,200 Est. Cost $72.81 Unrealized
SEADRILL LTD 0.2%
Value ($000) $239 Shares 5,295 Est. Cost $45.14 Unrealized
NEE NEXTERA ENERGY INC 0.2%
Value ($000) $232 Shares 2,900 Est. Cost $14.15 Unrealized +4.9%
DTE D T E ENERGY CO 0.2%
Value ($000) $231 Shares 3,500 Est. Cost $38.29 Unrealized -0.6%
SLB SCHLUMBERGER LTD 0.2%
Value ($000) $221 Shares 2,500 Est. Cost $58.98 Unrealized 0.0%
TR TOOTSIE ROLL 0.2%
Value ($000) $220 Shares 7,146 Est. Cost $23.22 Unrealized +4.6%
FLR FLUOR CORP 0.2%
Value ($000) $219 Shares 3,080 Est. Cost $57.29 Unrealized 0.0%
OKE ONEOK INC 0.2%
Value ($000) $213 Shares 4,000 Est. Cost $20.98 Unrealized 0.0%
KRAFT FOODS GROUP 0.2%
Value ($000) $208 Shares 3,958 Est. Cost $55.84 Unrealized
MSI MOTOROLA SOLUTIONS INC 0.2%
Value ($000) $207 Shares 3,494 Est. Cost $47.42 Unrealized -1.4%
WMB WILLIAMS CO 0.2%
Value ($000) $207 Shares 5,700 Est. Cost $17.72 Unrealized 0.0%
CAG CONAGRA 0.2%
Value ($000) $206 Shares 6,800 Est. Cost $17.69 Unrealized +0.4%
INTC INTEL CORP 0.2%
Value ($000) $201 Shares 8,752 Est. Cost $16.91 Unrealized 0.0%
CITIGROUP CAP X 6.1% 0.2%
Value ($000) $200 Shares 8,000 Est. Cost $25.00 Unrealized
TVAGF TVA GROUP INC CL B 0.1%
Value ($000) $154 Shares 19,800 Est. Cost $8.89 Unrealized
UEC URANIUM ENERGY 0.1%
Value ($000) $137 Shares 61,000 Est. Cost $1.84 Unrealized +24.4%
NEW YORK MORTGAGE TR INC NEW 0.1%
Value ($000) $81 Shares 13,000 Est. Cost $6.67 Unrealized
BPAQF BP 0.1%
Value ($000) $74 Shares 10,480 Est. Cost $4.49 Unrealized -1.3%
FRONTIER COMMUNICATIONS CORP 0.0%
Value ($000) $52 Shares 12,358 Est. Cost $4.03 Unrealized
AMERICAN SUPERCONDUCTOR 0.0%
Value ($000) $47 Shares 20,100 Est. Cost $2.64 Unrealized
BTG B2GOLD CORP 0.0%
Value ($000) $31 Shares 12,500 Est. Cost $1.91 Unrealized +13.2%
OCEANAGOLD CORP 0.0%
Value ($000) $25 Shares 16,500 Est. Cost $1.21 Unrealized
DALECO RESOURCES CORP 0.0%
Value ($000) $24 Shares 150,000 Est. Cost $0.20 Unrealized
MAOMF MAUDORE MINERALS LTD 0.0%
Value ($000) $3 Shares 13,200 Est. Cost $0.70 Unrealized -49.6%
VASOMEDICAL INC 0.0%
Value ($000) $3 Shares 11,000 Est. Cost $0.18 Unrealized
VATUKOULA GOLD MINES PLC 0.0%
Value ($000) $2 Shares 13,500 Est. Cost $0.07 Unrealized
PLC SYSTEMS INC 0.0%
Value ($000) $1 Shares 11,900 Est. Cost $0.08 Unrealized
HOME SOLUTIONS HEALTH INC 0.0%
Value ($000) $0 Shares 50,000 Est. Cost Unrealized
GREAT BASIN GOLD LTD 0.0%
Value ($000) $0 Shares 20,000 Est. Cost Unrealized