Wellington Shields & Co., LLC Diversified Active

CIK: 0001506073 · Show all filings

Period: Q3 2014 (← Previous) (Next →)

Filing Date: Nov 14, 2014

Total Value ($000): $158,785 (100.0% shares, 0.0% debt)

Holdings (118)

ILMN ILLUMINA INC. 15.7%
Value ($000) $24,937 Shares 152,129 Est. Cost $64.01 Unrealized +161.2%
SPECTRANETICS 12.2%
Value ($000) $19,392 Shares 729,855 Est. Cost $18.68 Unrealized
UEIC UNIVERSAL ELECTRONICS 10.3%
Value ($000) $16,393 Shares 332,050 Est. Cost $24.88 Unrealized +107.0%
EXPRESS SCRIPTS HOLDING CO 5.2%
Value ($000) $8,324 Shares 117,851 Est. Cost $61.74 Unrealized
CHICAGO BRIDGE & IRON 3.3%
Value ($000) $5,261 Shares 90,941 Est. Cost $58.96 Unrealized
IBM INT'L BUS MACHINES 3.1%
Value ($000) $4,910 Shares 25,867 Est. Cost $118.08 Unrealized -3.2%
XOM EXXON MOBIL CORP 2.6%
Value ($000) $4,097 Shares 43,567 Est. Cost $53.80 Unrealized +14.3%
F X ENERGY 2.5%
Value ($000) $3,997 Shares 1,314,907 Est. Cost $3.23 Unrealized
MSFT MICROSOFT 2.2%
Value ($000) $3,454 Shares 74,502 Est. Cost $27.49 Unrealized +37.0%
T AT&T INC. 2.0%
Value ($000) $3,234 Shares 91,762 Est. Cost $11.38 Unrealized +4.6%
BMY BRISTOL MYERS SQUIBB 1.8%
Value ($000) $2,817 Shares 55,044 Est. Cost $28.73 Unrealized +19.1%
GENERAL ELECTRIC 1.5%
Value ($000) $2,441 Shares 95,260 Est. Cost $23.60 Unrealized
FLO FLOWERS FOODS INC. 1.5%
Value ($000) $2,373 Shares 129,247 Est. Cost $13.92 Unrealized -8.6%
HON HONEYWELL INTERNATIONAL 1.3%
Value ($000) $2,125 Shares 22,823 Est. Cost $53.13 Unrealized +26.3%
DIS DISNEY, WALT 1.3%
Value ($000) $2,092 Shares 23,499 Est. Cost $56.51 Unrealized +40.4%
VZ VERIZON COMM 1.3%
Value ($000) $2,076 Shares 41,534 Est. Cost $26.94 Unrealized +3.2%
UNP UNION PACIFIC 1.0%
Value ($000) $1,639 Shares 15,120 Est. Cost $65.92 Unrealized +21.8%
PM PHILIP MORRIS INTERNATIONAL IN 1.0%
Value ($000) $1,593 Shares 19,100 Est. Cost $49.85 Unrealized -3.9%
PFE PFIZER 0.8%
Value ($000) $1,324 Shares 44,770 Est. Cost $16.44 Unrealized +6.1%
WPC W.P. CAREY INC. 0.8%
Value ($000) $1,320 Shares 20,706 Est. Cost $65.59 Unrealized
PEP PEPSICO 0.8%
Value ($000) $1,230 Shares 13,215 Est. Cost $56.09 Unrealized +15.7%
JPM JP MORGAN CHASE 0.8%
Value ($000) $1,206 Shares 20,017 Est. Cost $36.69 Unrealized +17.6%
MO ALTRIA GROUP INC. 0.7%
Value ($000) $1,183 Shares 25,750 Est. Cost $16.40 Unrealized +26.1%
PG PROCTER & GAMBLE 0.7%
Value ($000) $1,118 Shares 13,355 Est. Cost $55.29 Unrealized +8.0%
PNC PNC FINANCIAL CORP 0.7%
Value ($000) $1,116 Shares 13,046 Est. Cost $47.34 Unrealized +26.4%
UMBF UMB FINANCIAL CORP 0.7%
Value ($000) $1,091 Shares 20,000 Est. Cost $50.96 Unrealized +13.3%
BP BP PLC ADR 0.7%
Value ($000) $1,077 Shares 24,496 Est. Cost $42.04 Unrealized
EFX EQUIFAX 0.6%
Value ($000) $1,001 Shares 13,399 Est. Cost $53.06 Unrealized +28.5%
ENERGY TRANSFER PARTNERS LP 0.6%
Value ($000) $935 Shares 14,618 Est. Cost $51.79 Unrealized
CASI PHARMACEUTICALS INC 0.6%
Value ($000) $928 Shares 518,583 Est. Cost $1.80 Unrealized
BAX BAXTER INT'L 0.6%
Value ($000) $919 Shares 12,804 Est. Cost $30.40 Unrealized +10.0%
ABBV ABBVIE INC 0.6%
Value ($000) $881 Shares 15,250 Est. Cost $26.66 Unrealized +31.9%
AES TRUST III CV 6.75% 0.5%
Value ($000) $859 Shares 16,734 Est. Cost $51.09 Unrealized
LEUCADIA NATIONAL CORP 0.5%
Value ($000) $830 Shares 34,800 Est. Cost $26.21 Unrealized
KO COCA COLA 0.5%
Value ($000) $828 Shares 19,411 Est. Cost $27.83 Unrealized +3.7%
CVX CHEVRON CORP. 0.5%
Value ($000) $827 Shares 6,929 Est. Cost $72.09 Unrealized +8.9%
CSCO CISCO SYSTEMS 0.5%
Value ($000) $815 Shares 32,374 Est. Cost $15.47 Unrealized +14.4%
AXP AMERICAN EXPRESS 0.5%
Value ($000) $805 Shares 9,200 Est. Cost $60.53 Unrealized +26.4%
HAL HALLIBURTON CO 0.5%
Value ($000) $774 Shares 12,000 Est. Cost $33.21 Unrealized +66.2%
GEO GEO GROUP INC 0.5%
Value ($000) $772 Shares 20,200 Est. Cost $12.24 Unrealized +9.9%
JNJ JOHNSON & JOHNSON 0.5%
Value ($000) $768 Shares 7,209 Est. Cost $59.83 Unrealized +26.3%
DU PONT (EI) DE NEMOURS 0.5%
Value ($000) $721 Shares 10,051 Est. Cost $57.96 Unrealized
FCX FREEPORT MCMORAN INC 0.5%
Value ($000) $715 Shares 21,900 Est. Cost $24.96 Unrealized +26.8%
AAPL APPLE COMPUTER 0.4%
Value ($000) $699 Shares 6,941 Est. Cost $18.32 Unrealized +18.1%
FIS FIDELITY NATIONAL INFORMATION 0.4%
Value ($000) $687 Shares 12,198 Est. Cost $34.36 Unrealized +35.3%
ABT ABBOTT LABS 0.4%
Value ($000) $630 Shares 15,150 Est. Cost $28.63 Unrealized +19.1%
AAL AMERICAN AIRLINES GROUP INC 0.4%
Value ($000) $621 Shares 17,500 Est. Cost $37.15 Unrealized 0.0%
WY WEYERHAEUSER 0.4%
Value ($000) $609 Shares 19,100 Est. Cost $18.65 Unrealized +12.8%
MMM 3M COMPANY 0.4%
Value ($000) $595 Shares 4,200 Est. Cost $62.16 Unrealized +34.3%
LIDCO GROUP 0.4%
Value ($000) $563 Shares 2,523,670 Est. Cost $0.20 Unrealized
XEROX 0.3%
Value ($000) $533 Shares 40,316 Est. Cost $9.07 Unrealized
HEWLETT PACKARD 0.3%
Value ($000) $525 Shares 14,800 Est. Cost $25.03 Unrealized
WM WASTE MGT. 0.3%
Value ($000) $517 Shares 10,883 Est. Cost $30.75 Unrealized +18.5%
IP INTERNATIONAL PAPER 0.3%
Value ($000) $506 Shares 10,600 Est. Cost $28.63 Unrealized 0.0%
SO SOUTHERN COMPANY 0.3%
Value ($000) $486 Shares 11,140 Est. Cost $26.74 Unrealized +1.4%
INTERNATIONAL GAME TECHNOLOGY 0.3%
Value ($000) $474 Shares 28,100 Est. Cost $14.05 Unrealized
EMN EASTMAN CHEMICAL 0.3%
Value ($000) $473 Shares 5,850 Est. Cost $47.81 Unrealized +22.3%
DUK DUKE ENERGY CORP 0.3%
Value ($000) $463 Shares 6,194 Est. Cost $41.79 Unrealized +9.2%
SLB SCHLUMBERGER LTD 0.3%
Value ($000) $458 Shares 4,500 Est. Cost $66.03 Unrealized +20.4%
B&G FOODS INC. 0.3%
Value ($000) $455 Shares 16,500 Est. Cost $34.02 Unrealized
DGEAF DIAGEO 0.3%
Value ($000) $445 Shares 15,375 Est. Cost $22.39 Unrealized +2.4%
MDLZ MONDELEZ INTERNATIONAL INC A 0.3%
Value ($000) $444 Shares 12,970 Est. Cost $23.49 Unrealized +20.6%
GLW CORNING INC 0.3%
Value ($000) $440 Shares 22,770 Est. Cost $10.66 Unrealized +45.1%
BONTQ BON TON STORES INC 0.3%
Value ($000) $422 Shares 50,500 Est. Cost $16.14 Unrealized -42.9%
TRN TRINITY INDS INC. 0.3%
Value ($000) $420 Shares 9,000 Est. Cost $15.95 Unrealized +47.8%
CODI COMPASS DIVERSIFIED HOLDINGS 0.3%
Value ($000) $414 Shares 23,650 Est. Cost $7.10 Unrealized +17.5%
PLUM CREEK TIMBER 0.2%
Value ($000) $390 Shares 10,000 Est. Cost $46.70 Unrealized
C CITIGROUP INC 0.2%
Value ($000) $386 Shares 7,440 Est. Cost $37.07 Unrealized +0.9%
COP CONOCOPHILLIPS 0.2%
Value ($000) $386 Shares 5,050 Est. Cost $46.24 Unrealized +22.6%
NSC NORFOLK SOUTHERN 0.2%
Value ($000) $385 Shares 3,450 Est. Cost $58.26 Unrealized +41.8%
ALERIAN MLP ETF 0.2%
Value ($000) $383 Shares 19,994 Est. Cost $17.87 Unrealized
BLACKSTONE GROUP LP 0.2%
Value ($000) $353 Shares 11,221 Est. Cost $32.07 Unrealized
WMB WILLIAMS CO 0.2%
Value ($000) $351 Shares 6,350 Est. Cost $17.79 Unrealized +69.9%
TIP ISHARES UNITED STATES TREASURY 0.2%
Value ($000) $336 Shares 3,000 Est. Cost $112.00 Unrealized
AFL AFLAC INC. 0.2%
Value ($000) $335 Shares 5,756 Est. Cost $20.85 Unrealized +11.5%
MARKET VECTORS GOLD MINERS ETF 0.2%
Value ($000) $325 Shares 15,200 Est. Cost $24.46 Unrealized
INTC INTEL CORP 0.2%
Value ($000) $320 Shares 9,200 Est. Cost $17.42 Unrealized +47.8%
GEF/B GREIF INC CL B 0.2%
Value ($000) $317 Shares 6,400 Est. Cost $29.45 Unrealized +4.0%
LLY ELI LILLY 0.2%
Value ($000) $311 Shares 4,800 Est. Cost $51.38 Unrealized 0.0%
TIFFANY & CO 0.2%
Value ($000) $308 Shares 3,200 Est. Cost $72.81 Unrealized
ORLY O'REILLY AUTOMOTIVE INC 0.2%
Value ($000) $301 Shares 2,000 Est. Cost $9.87 Unrealized +3.5%
THORATEC LABS CORP 0.2%
Value ($000) $279 Shares 10,454 Est. Cost $31.28 Unrealized
DTE D T E ENERGY CO 0.2%
Value ($000) $272 Shares 3,569 Est. Cost $38.40 Unrealized +15.0%
OKE ONEOK INC 0.2%
Value ($000) $262 Shares 4,000 Est. Cost $20.98 Unrealized +59.2%
DVN DEVON ENERGY 0.2%
Value ($000) $259 Shares 3,800 Est. Cost $42.09 Unrealized +19.5%
F FORD MOTOR 0.2%
Value ($000) $258 Shares 17,456 Est. Cost $7.87 Unrealized +19.2%
THVB THOMASVILLE BANCSHARES INC 0.2%
Value ($000) $258 Shares 10,000 Est. Cost $15.13 Unrealized +11.8%
BAC BANK OF AMERICA CORP 0.2%
Value ($000) $253 Shares 14,859 Est. Cost $12.24 Unrealized +2.7%
CAT CATERPILLAR 0.2%
Value ($000) $248 Shares 2,500 Est. Cost $61.55 Unrealized +28.8%
GILD GILEAD SCIENCES INC. 0.2%
Value ($000) $245 Shares 2,300 Est. Cost $54.08 Unrealized +25.8%
ACTG ACACIA RESEARCH 0.2%
Value ($000) $241 Shares 15,542 Est. Cost $22.79 Unrealized -30.6%
SPECTRA ENERGY 0.2%
Value ($000) $240 Shares 6,123 Est. Cost $35.64 Unrealized
KRAFT FOODS GROUP 0.2%
Value ($000) $239 Shares 4,234 Est. Cost $56.11 Unrealized
CMCSA COMCAST CORP 0.1%
Value ($000) $228 Shares 4,246 Est. Cost $19.78 Unrealized +7.0%
CAG CONAGRA FOODS 0.1%
Value ($000) $227 Shares 6,875 Est. Cost $17.67 Unrealized -5.3%
NEE NEXTERA ENERGY INC 0.1%
Value ($000) $225 Shares 2,400 Est. Cost $14.32 Unrealized +25.2%
NEW YORK COMMUNITY BANCORP INC 0.1%
Value ($000) $224 Shares 14,100 Est. Cost $14.04 Unrealized
BK BANK OF NEW YORK MELLON CORP 0.1%
Value ($000) $217 Shares 5,598 Est. Cost $29.42 Unrealized 0.0%
BP PRUDHOE BAY ROYALTY TRUST 0.1%
Value ($000) $214 Shares 2,275 Est. Cost $98.90 Unrealized
MTB M&T BANK CORP 0.1%
Value ($000) $212 Shares 1,723 Est. Cost $72.91 Unrealized +23.1%
BRK/B BERKSHIRE HATHAWAY INC. CLASS 0.1%
Value ($000) $211 Shares 1,525 Est. Cost $133.21 Unrealized 0.0%
KMB KIMBERLY CLARK 0.1%
Value ($000) $204 Shares 1,900 Est. Cost $69.39 Unrealized +2.1%
SIGMA-ALDRICH CORP 0.1%
Value ($000) $204 Shares 1,500 Est. Cost $101.54 Unrealized
ITW ILLINOIS TOOL WORKS 0.1%
Value ($000) $203 Shares 2,400 Est. Cost $65.43 Unrealized +1.2%
MERCK & CO 0.1%
Value ($000) $203 Shares 3,428 Est. Cost $46.47 Unrealized
CERNER CORP 0.1%
Value ($000) $203 Shares 3,400 Est. Cost $59.71 Unrealized
TVAGF TVA GROUP INC CL B 0.1%
Value ($000) $151 Shares 19,800 Est. Cost $8.89 Unrealized
TALISMAN ENERGY INC 0.1%
Value ($000) $148 Shares 17,107 Est. Cost $11.42 Unrealized
NEW YORK MORTGAGE TR INC NEW 0.1%
Value ($000) $116 Shares 16,000 Est. Cost $6.86 Unrealized
PENDRELL CORPORATION 0.1%
Value ($000) $99 Shares 74,000 Est. Cost $2.30 Unrealized
FRONTIER COMMUNICATIONS CORP 0.1%
Value ($000) $83 Shares 12,782 Est. Cost $4.20 Unrealized
BPAQF BP 0.0%
Value ($000) $76 Shares 10,479 Est. Cost $4.49 Unrealized +18.3%
UEC URANIUM ENERGY CORP 0.0%
Value ($000) $17 Shares 14,000 Est. Cost $1.84 Unrealized -18.2%
VASOMEDICAL INC 0.0%
Value ($000) $2 Shares 11,000 Est. Cost $0.18 Unrealized
PLC SYSTEMS INC 0.0%
Value ($000) $0 Shares 12,100 Est. Cost $0.08 Unrealized
HOME SOLUTIONS HEALTH INC 0.0%
Value ($000) $0 Shares 50,000 Est. Cost Unrealized
MAOMF MAUDORE MINERALS LTD 0.0%
Value ($000) $0 Shares 13,200 Est. Cost $0.09 Unrealized -52.2%
CHINA SHUANGJI CEMENT LTD 0.0%
Value ($000) $0 Shares 10,000 Est. Cost Unrealized