Wellington Shields & Co., LLC Diversified Active

CIK: 0001506073 · Show all filings

Period: Q4 2013 (← Previous) (Next →)

Filing Date: Feb 28, 2014

Total Value ($000): $147,944 (100.0% shares, 0.0% debt)

Holdings (116)

SPECTRANETICS 12.8%
Value ($000) $18,913 Shares 756,514 Est. Cost $18.68 Unrealized
ILMN ILLUMINA INC. 12.1%
Value ($000) $17,870 Shares 161,584 Est. Cost $64.01 Unrealized +43.1%
UEIC UNIVERSAL ELECTRONICS 8.9%
Value ($000) $13,112 Shares 344,061 Est. Cost $24.88 Unrealized +49.8%
EXPRESS SCRIPTS HOLDING CO 5.8%
Value ($000) $8,578 Shares 122,130 Est. Cost $61.74 Unrealized
IBM INT'L BUS MACHINES 3.3%
Value ($000) $4,848 Shares 25,847 Est. Cost $118.12 Unrealized -9.9%
XOM EXXON MOBIL CORP 3.2%
Value ($000) $4,807 Shares 47,501 Est. Cost $53.80 Unrealized +4.0%
F X ENERGY 3.1%
Value ($000) $4,636 Shares 1,266,655 Est. Cost $3.21 Unrealized
T AT&T INC. 2.3%
Value ($000) $3,446 Shares 98,009 Est. Cost $11.38 Unrealized -1.8%
FLO FLOWERS FOODS INC. 2.1%
Value ($000) $3,160 Shares 147,188 Est. Cost $13.92 Unrealized +4.0%
BMY BRISTOL MYERS SQUIBB 2.0%
Value ($000) $2,973 Shares 55,932 Est. Cost $28.67 Unrealized +19.2%
MSFT MICROSOFT 1.9%
Value ($000) $2,746 Shares 73,400 Est. Cost $27.37 Unrealized +9.6%
GENERAL ELECTRIC 1.7%
Value ($000) $2,478 Shares 88,399 Est. Cost $23.43 Unrealized
CHICAGO BRIDGE & IRON 1.6%
Value ($000) $2,403 Shares 28,903 Est. Cost $59.67 Unrealized
HON HONEYWELL INTERNATIONAL 1.4%
Value ($000) $2,085 Shares 22,823 Est. Cost $53.13 Unrealized +14.5%
DIS DISNEY, WALT 1.3%
Value ($000) $1,913 Shares 25,042 Est. Cost $56.18 Unrealized +9.8%
VZ VERIZON COMM 1.2%
Value ($000) $1,815 Shares 36,941 Est. Cost $26.95 Unrealized -1.2%
PM PHILIP MORRIS INTERNATIONAL IN 1.2%
Value ($000) $1,730 Shares 19,853 Est. Cost $49.85 Unrealized -4.0%
VLO VALERO ENERGY 1.1%
Value ($000) $1,603 Shares 31,800 Est. Cost $22.41 Unrealized +19.8%
PFE PFIZER 0.9%
Value ($000) $1,368 Shares 44,670 Est. Cost $16.42 Unrealized +7.3%
UMBF UMB FINANCIAL CORP 0.9%
Value ($000) $1,286 Shares 20,000 Est. Cost $50.96 Unrealized +19.2%
UNP UNION PACIFIC 0.9%
Value ($000) $1,270 Shares 7,560 Est. Cost $57.06 Unrealized +6.1%
BP BP PLC ADR 0.8%
Value ($000) $1,178 Shares 24,232 Est. Cost $41.93 Unrealized
JPM JP MORGAN CHASE 0.8%
Value ($000) $1,136 Shares 19,419 Est. Cost $36.53 Unrealized +8.5%
PEP PEPSICO 0.8%
Value ($000) $1,119 Shares 13,490 Est. Cost $56.09 Unrealized +3.0%
PNC PNC FINANCIAL CORP 0.8%
Value ($000) $1,113 Shares 14,346 Est. Cost $47.34 Unrealized +9.6%
WPC W.P. CAREY INC. 0.7%
Value ($000) $1,051 Shares 17,126 Est. Cost $65.93 Unrealized
PG PROCTER & GAMBLE 0.7%
Value ($000) $1,038 Shares 12,755 Est. Cost $55.00 Unrealized +5.5%
MO ALTRIA GROUP INC. 0.7%
Value ($000) $1,019 Shares 26,550 Est. Cost $16.28 Unrealized +5.3%
PUKPF PRUDENTIAL 0.7%
Value ($000) $1,002 Shares 45,159 Est. Cost $16.76 Unrealized +21.5%
LEUCADIA NATIONAL CORP 0.7%
Value ($000) $986 Shares 34,800 Est. Cost $26.21 Unrealized
ABBV ABBVIE INC 0.7%
Value ($000) $974 Shares 18,450 Est. Cost $26.66 Unrealized +14.0%
NEW YORK COMMUNITY BANCORP INC 0.6%
Value ($000) $949 Shares 56,350 Est. Cost $14.04 Unrealized
BAX BAXTER INT'L 0.6%
Value ($000) $946 Shares 13,604 Est. Cost $30.40 Unrealized -3.9%
EFX EQUIFAX 0.6%
Value ($000) $926 Shares 13,399 Est. Cost $53.06 Unrealized +8.6%
ENTREMED INC NEW 0.6%
Value ($000) $892 Shares 534,073 Est. Cost $2.02 Unrealized
COASTAL ENERGY COMPANY 0.6%
Value ($000) $883 Shares 49,764 Est. Cost $12.94 Unrealized
JNJ JOHNSON & JOHNSON 0.6%
Value ($000) $845 Shares 9,230 Est. Cost $59.83 Unrealized +9.9%
BONTQ BON TON STORES INC 0.6%
Value ($000) $820 Shares 50,500 Est. Cost $16.14 Unrealized -18.5%
KO COCA COLA 0.5%
Value ($000) $801 Shares 19,395 Est. Cost $27.83 Unrealized -3.2%
AXP AMERICAN EXPRESS 0.5%
Value ($000) $789 Shares 8,700 Est. Cost $59.62 Unrealized +16.2%
FCX FREEPORT MCMORAN COPPER & GOLD 0.5%
Value ($000) $756 Shares 20,038 Est. Cost $24.45 Unrealized +23.0%
ENERGY TRANSFER PARTNERS LP 0.5%
Value ($000) $751 Shares 13,118 Est. Cost $50.62 Unrealized
CSCO CISCO SYSTEMS 0.5%
Value ($000) $728 Shares 32,474 Est. Cost $15.47 Unrealized -1.7%
CVX CHEVRON CORP. 0.5%
Value ($000) $724 Shares 5,795 Est. Cost $71.33 Unrealized +1.6%
LIDCO GROUP 0.5%
Value ($000) $717 Shares 2,706,959 Est. Cost $0.20 Unrealized
ABT ABBOTT LABS 0.5%
Value ($000) $707 Shares 18,450 Est. Cost $28.63 Unrealized +2.1%
GEO GROUP INC 0.5%
Value ($000) $670 Shares 20,800 Est. Cost $33.03 Unrealized
FIS FIDELITY NATIONAL INFORMATION 0.4%
Value ($000) $655 Shares 12,198 Est. Cost $34.36 Unrealized +16.6%
HEWLETT PACKARD 0.4%
Value ($000) $616 Shares 22,000 Est. Cost $24.80 Unrealized
B&G FOODS INC. 0.4%
Value ($000) $610 Shares 18,000 Est. Cost $34.02 Unrealized
HAL HALLIBURTON CO 0.4%
Value ($000) $609 Shares 12,000 Est. Cost $33.21 Unrealized +24.3%
PLUM CREEK TIMBER 0.4%
Value ($000) $606 Shares 13,025 Est. Cost $46.70 Unrealized
MMM 3M COMPANY 0.4%
Value ($000) $589 Shares 4,200 Est. Cost $62.16 Unrealized +16.9%
WM WASTE MGT. 0.4%
Value ($000) $578 Shares 12,883 Est. Cost $30.75 Unrealized +10.2%
WY WEYERHAEUSER 0.4%
Value ($000) $559 Shares 17,700 Est. Cost $18.60 Unrealized +1.2%
AAPL APPLE COMPUTER 0.4%
Value ($000) $520 Shares 927 Est. Cost $14.85 Unrealized +10.3%
DUK DUKE ENERGY CORP 0.4%
Value ($000) $518 Shares 7,508 Est. Cost $41.79 Unrealized +1.3%
XEROX 0.3%
Value ($000) $510 Shares 41,891 Est. Cost $9.07 Unrealized
MERCK & CO 0.3%
Value ($000) $506 Shares 10,105 Est. Cost $46.47 Unrealized
VODAFONE PLC 0.3%
Value ($000) $505 Shares 12,858 Est. Cost $28.74 Unrealized
DU PONT (EI) DE NEMOURS 0.3%
Value ($000) $504 Shares 7,751 Est. Cost $53.87 Unrealized
DGEAF DIAGEO 0.3%
Value ($000) $504 Shares 15,375 Est. Cost $22.39 Unrealized +5.8%
SO SOUTHERN COMPANY 0.3%
Value ($000) $499 Shares 12,128 Est. Cost $26.74 Unrealized -8.1%
TRN TRINITY INDS INC. 0.3%
Value ($000) $491 Shares 9,000 Est. Cost $10.24 Unrealized +25.1%
TALISMAN ENERGY INC 0.3%
Value ($000) $479 Shares 41,100 Est. Cost $11.42 Unrealized
EMN EASTMAN CHEMICAL 0.3%
Value ($000) $472 Shares 5,850 Est. Cost $47.81 Unrealized +12.3%
CODI COMPASS DIVERSIFIED HOLDINGS 0.3%
Value ($000) $464 Shares 23,650 Est. Cost $7.10 Unrealized +14.4%
MDLZ MONDELEZ INTERNATIONAL INC A 0.3%
Value ($000) $429 Shares 12,140 Est. Cost $23.16 Unrealized +10.2%
ALERIAN MLP ETF 0.3%
Value ($000) $413 Shares 23,193 Est. Cost $17.87 Unrealized
GLW CORNING INC 0.3%
Value ($000) $405 Shares 22,710 Est. Cost $10.55 Unrealized +14.2%
AFL AFLAC INC. 0.3%
Value ($000) $405 Shares 6,056 Est. Cost $20.85 Unrealized +18.0%
PENRELL CORPORATION 0.3%
Value ($000) $402 Shares 200,000 Est. Cost $2.36 Unrealized
MTB M&T BANK CORP 0.3%
Value ($000) $401 Shares 3,446 Est. Cost $72.91 Unrealized +11.7%
THORATEC LABS CORP 0.3%
Value ($000) $390 Shares 10,654 Est. Cost $31.28 Unrealized
GEF/B GREIF INC CL B 0.3%
Value ($000) $376 Shares 6,400 Est. Cost $29.17 Unrealized +5.9%
F FORD MOTOR 0.2%
Value ($000) $338 Shares 21,898 Est. Cost $7.78 Unrealized +15.7%
CAT CATERPILLAR 0.2%
Value ($000) $331 Shares 3,650 Est. Cost $61.55 Unrealized +1.8%
TIP ISHARES UNITED STATES TREASURY 0.2%
Value ($000) $330 Shares 3,000 Est. Cost $112.00 Unrealized
MARKET VECTORS GOLD MINERS ETF 0.2%
Value ($000) $321 Shares 15,200 Est. Cost $24.46 Unrealized
NSC NORFOLK SOUTHERN 0.2%
Value ($000) $320 Shares 3,450 Est. Cost $58.26 Unrealized +12.8%
TIFFANY & CO 0.2%
Value ($000) $297 Shares 3,200 Est. Cost $72.81 Unrealized
NEE NEXTERA ENERGY INC 0.2%
Value ($000) $291 Shares 3,400 Est. Cost $14.32 Unrealized +6.8%
COP CONOCOPHILLIPS 0.2%
Value ($000) $286 Shares 4,050 Est. Cost $44.49 Unrealized +8.8%
FLR FLUOR CORP 0.2%
Value ($000) $267 Shares 3,330 Est. Cost $58.07 Unrealized +16.5%
BLACKSTONE GROUP LP 0.2%
Value ($000) $265 Shares 8,406 Est. Cost $31.53 Unrealized
OKE ONEOK INC 0.2%
Value ($000) $249 Shares 4,000 Est. Cost $20.98 Unrealized +16.3%
WMB WILLIAMS CO 0.2%
Value ($000) $245 Shares 6,350 Est. Cost $17.79 Unrealized +3.3%
TR TOOTSIE ROLL 0.2%
Value ($000) $233 Shares 7,146 Est. Cost $23.22 Unrealized +2.2%
INTC INTEL CORP 0.2%
Value ($000) $232 Shares 8,952 Est. Cost $16.93 Unrealized +5.9%
DTE D T E ENERGY CO 0.2%
Value ($000) $232 Shares 3,500 Est. Cost $38.29 Unrealized -0.7%
CAG CONAGRA 0.2%
Value ($000) $229 Shares 6,800 Est. Cost $17.69 Unrealized -6.3%
MSI MOTOROLA SOLUTIONS INC 0.2%
Value ($000) $229 Shares 3,394 Est. Cost $47.42 Unrealized +9.9%
ACTG ACACIA RESEARCH 0.2%
Value ($000) $226 Shares 15,542 Est. Cost $22.79 Unrealized -36.4%
SLB SCHLUMBERGER LTD 0.2%
Value ($000) $225 Shares 2,500 Est. Cost $58.98 Unrealized +10.3%
DDD 3-D SYSTEMS CORP 0.2%
Value ($000) $223 Shares 2,400 Est. Cost $70.11 Unrealized 0.0%
CMCSA COMCAST CORP 0.1%
Value ($000) $219 Shares 4,216 Est. Cost $18.38 Unrealized 0.0%
SPECTRA ENERGY 0.1%
Value ($000) $218 Shares 6,117 Est. Cost $35.64 Unrealized
KRAFT FOODS GROUP 0.1%
Value ($000) $213 Shares 3,958 Est. Cost $55.84 Unrealized
SEADRILL LTD 0.1%
Value ($000) $208 Shares 5,070 Est. Cost $45.14 Unrealized
DVN DEVON ENERGY 0.1%
Value ($000) $204 Shares 3,300 Est. Cost $41.04 Unrealized 0.0%
L LOEWS CORP 0.1%
Value ($000) $203 Shares 4,200 Est. Cost $45.01 Unrealized 0.0%
ITW ILLINOIS TOOL WORKS 0.1%
Value ($000) $202 Shares 2,400 Est. Cost $59.45 Unrealized 0.0%
TVAGF TVA GROUP INC CL B 0.1%
Value ($000) $177 Shares 19,800 Est. Cost $8.89 Unrealized
NEW YORK MORTGAGE TR INC NEW 0.1%
Value ($000) $94 Shares 13,500 Est. Cost $6.68 Unrealized
BPAQF BP 0.1%
Value ($000) $84 Shares 10,479 Est. Cost $4.49 Unrealized +7.3%
FRONTIER COMMUNICATIONS CORP 0.0%
Value ($000) $54 Shares 11,710 Est. Cost $4.03 Unrealized
UEC URANIUM ENERGY 0.0%
Value ($000) $32 Shares 16,000 Est. Cost $1.84 Unrealized +2.1%
OCEANAGOLD CORP 0.0%
Value ($000) $26 Shares 16,500 Est. Cost $1.21 Unrealized
BTG B2GOLD CORP 0.0%
Value ($000) $25 Shares 12,500 Est. Cost $1.91 Unrealized -6.6%
DALECO RESOURCES CORP 0.0%
Value ($000) $19 Shares 150,000 Est. Cost $0.20 Unrealized
AMERICAN SUPERCONDUCTOR 0.0%
Value ($000) $17 Shares 10,100 Est. Cost $2.64 Unrealized
VASOMEDICAL INC 0.0%
Value ($000) $4 Shares 11,000 Est. Cost $0.18 Unrealized
VATUKOULA GOLD MINES PLC 0.0%
Value ($000) $1 Shares 13,500 Est. Cost $0.07 Unrealized
CHINA SHUANGJI CEMENT LTD 0.0%
Value ($000) $0 Shares 10,000 Est. Cost Unrealized
PLC SYSTEMS INC 0.0%
Value ($000) $0 Shares 11,900 Est. Cost $0.08 Unrealized
HOME SOLUTIONS HEALTH INC 0.0%
Value ($000) $0 Shares 50,000 Est. Cost Unrealized