Wellington Shields & Co., LLC Diversified Active

CIK: 0001506073 · Show all filings

Period: Q3 2016 (← Previous) (Next →)

Filing Date: Nov 1, 2016

Total Value ($000): $197,044 (100.0% shares, 0.0% debt)

Holdings (123)

ILMN ILLUMINA INC 14.0%
Value ($000) $27,648 Shares 152,198 Est. Cost $65.93 Unrealized +142.7%
UEIC UNIVERSAL ELECTRONICS 13.6%
Value ($000) $26,765 Shares 359,455 Est. Cost $32.71 Unrealized +130.0%
SPECTRANETICS CORP 11.2%
Value ($000) $22,040 Shares 878,451 Est. Cost $19.45 Unrealized
EXPRESS SCRIPTS HOLDING CO 4.4%
Value ($000) $8,715 Shares 123,566 Est. Cost $63.43 Unrealized
MSFT MICROSOFT CORPORATION 2.4%
Value ($000) $4,682 Shares 81,279 Est. Cost $30.66 Unrealized +64.0%
IBM INTERNATIONAL BUSINESS MACHINE 2.4%
Value ($000) $4,677 Shares 29,440 Est. Cost $111.15 Unrealized -8.4%
JNJ JOHNSON & JOHNSON 2.4%
Value ($000) $4,636 Shares 39,245 Est. Cost $86.17 Unrealized +8.6%
XOM EXXON MOBIL CORP 2.3%
Value ($000) $4,551 Shares 52,142 Est. Cost $54.39 Unrealized +7.6%
PM PHILIP MORRIS INTERNAT 2.2%
Value ($000) $4,273 Shares 43,951 Est. Cost $57.00 Unrealized +9.2%
GENERAL ELECTRIC CO 2.1%
Value ($000) $4,160 Shares 140,442 Est. Cost $25.85 Unrealized
T AT&T INC 2.0%
Value ($000) $3,980 Shares 97,994 Est. Cost $11.61 Unrealized +40.3%
MDLZ MONDELEZ INTERNATIONAL 1.8%
Value ($000) $3,609 Shares 82,206 Est. Cost $33.73 Unrealized +4.4%
MO ALTRIA GROUP INC 1.7%
Value ($000) $3,272 Shares 51,755 Est. Cost $26.34 Unrealized +31.9%
AAL AMERICAN AIRLINES GROUP INC 1.5%
Value ($000) $2,987 Shares 81,600 Est. Cost $38.86 Unrealized -12.5%
BMY BRISTOL-MYERS SQUIBB CO 1.4%
Value ($000) $2,716 Shares 50,369 Est. Cost $29.34 Unrealized +57.2%
VZ VERIZON COMMUNICATIONS INC 1.4%
Value ($000) $2,686 Shares 51,666 Est. Cost $27.53 Unrealized +19.5%
HON HONEYWELL INTERNATIONAL 1.3%
Value ($000) $2,620 Shares 22,473 Est. Cost $53.58 Unrealized +60.6%
KHC THE KRAFT HEINZ COMPANY 1.3%
Value ($000) $2,475 Shares 27,650 Est. Cost $56.34 Unrealized +3.0%
WPC W.P. CAREY INC. 1.2%
Value ($000) $2,327 Shares 36,065 Est. Cost $65.76 Unrealized
DIS WALT DISNEY CO/THE 1.2%
Value ($000) $2,294 Shares 24,701 Est. Cost $60.53 Unrealized +46.8%
FLO FLOWERS FOODS INC 1.1%
Value ($000) $2,113 Shares 139,751 Est. Cost $14.88 Unrealized -23.1%
PFE PFIZER INC 1.0%
Value ($000) $1,987 Shares 58,678 Est. Cost $17.22 Unrealized +29.3%
JPM JP MORGAN CHASE & CO 0.9%
Value ($000) $1,847 Shares 27,737 Est. Cost $39.49 Unrealized +28.8%
EFX EQUIFAX INC 0.9%
Value ($000) $1,803 Shares 13,399 Est. Cost $53.06 Unrealized +129.0%
WY WEYERHAEUSER CO 0.9%
Value ($000) $1,702 Shares 53,287 Est. Cost $19.09 Unrealized +14.9%
PEP PEPSICO INC 0.8%
Value ($000) $1,606 Shares 14,765 Est. Cost $58.08 Unrealized +39.6%
UNP UNION PACIFIC 0.8%
Value ($000) $1,494 Shares 15,320 Est. Cost $65.95 Unrealized +15.2%
M MACY'S 0.7%
Value ($000) $1,408 Shares 38,000 Est. Cost $35.93 Unrealized +0.9%
PG PROCTER & GAMBLE COMPANY 0.6%
Value ($000) $1,272 Shares 14,175 Est. Cost $55.89 Unrealized +20.8%
AAPL APPLE INC 0.6%
Value ($000) $1,254 Shares 11,092 Est. Cost $21.28 Unrealized +13.9%
ABBV ABBVIE INC. 0.6%
Value ($000) $1,224 Shares 19,411 Est. Cost $29.54 Unrealized +48.7%
UMBF UMB FINANCIAL CORP 0.6%
Value ($000) $1,189 Shares 20,000 Est. Cost $50.96 Unrealized +12.4%
CSCO CISCO SYSTEMS 0.6%
Value ($000) $1,135 Shares 35,774 Est. Cost $16.09 Unrealized +43.3%
CHICAGO BRIDGE & IRON 0.5%
Value ($000) $1,005 Shares 35,858 Est. Cost $52.29 Unrealized
ABT ABBOTT LABORATORIES 0.5%
Value ($000) $962 Shares 22,756 Est. Cost $31.04 Unrealized +16.4%
MMM 3M CO 0.5%
Value ($000) $948 Shares 5,378 Est. Cost $68.59 Unrealized +59.2%
CVX CHEVRON CORPORATION 0.5%
Value ($000) $946 Shares 9,192 Est. Cost $68.43 Unrealized +0.1%
FIS FIDELITY NATIONAL INFORMATION 0.5%
Value ($000) $940 Shares 12,198 Est. Cost $34.36 Unrealized +93.1%
DU PONT (EI) DE NEMOURS 0.5%
Value ($000) $928 Shares 13,851 Est. Cost $60.20 Unrealized
CODI COMPASS DIVERSIFIED HOLDINGS 0.4%
Value ($000) $860 Shares 49,510 Est. Cost $8.37 Unrealized +11.7%
SO SOUTHERN CO 0.4%
Value ($000) $835 Shares 16,286 Est. Cost $27.62 Unrealized +28.9%
BXMT BLACKSTONE MORTGAGE TRUST INC 0.4%
Value ($000) $813 Shares 27,614 Est. Cost $28.84 Unrealized
MRK MERCK & CO 0.4%
Value ($000) $807 Shares 12,930 Est. Cost $40.00 Unrealized +9.3%
BP BP PLC SPONS ADR 0.4%
Value ($000) $791 Shares 22,496 Est. Cost $41.99 Unrealized
INTC INTEL CORP 0.4%
Value ($000) $717 Shares 19,000 Est. Cost $21.02 Unrealized +36.2%
WM WASTE MGT. 0.4%
Value ($000) $707 Shares 11,083 Est. Cost $33.49 Unrealized +64.7%
BGS B&G FOODS INC. 0.3%
Value ($000) $678 Shares 13,780 Est. Cost $18.87 Unrealized +19.0%
TRN TRINITY INDS INC. 0.3%
Value ($000) $673 Shares 27,824 Est. Cost $15.94 Unrealized -23.9%
DUK DUKE ENERGY CORP 0.3%
Value ($000) $617 Shares 7,714 Est. Cost $43.77 Unrealized +28.8%
KO COCA COLA 0.3%
Value ($000) $616 Shares 14,563 Est. Cost $27.96 Unrealized +16.4%
RITM NEW RESIDENTIAL INVESTMENT COR 0.3%
Value ($000) $594 Shares 43,000 Est. Cost $13.83 Unrealized
CAT CATERPILLAR 0.3%
Value ($000) $588 Shares 6,622 Est. Cost $62.53 Unrealized +5.6%
CMCSA COMCAST CORP 0.3%
Value ($000) $574 Shares 8,646 Est. Cost $22.22 Unrealized +19.8%
PNC PNC FINANCIAL CORP 0.3%
Value ($000) $571 Shares 6,342 Est. Cost $47.34 Unrealized +33.7%
CASI PHARMACEUTICALS INC 0.3%
Value ($000) $561 Shares 505,474 Est. Cost $1.78 Unrealized
AXP AMERICAN EXPRESS CO 0.3%
Value ($000) $544 Shares 8,500 Est. Cost $61.07 Unrealized -7.8%
GEO GEO GROUP INC 0.3%
Value ($000) $516 Shares 21,700 Est. Cost $12.33 Unrealized -1.7%
GIS GENERAL MILLS INC 0.3%
Value ($000) $512 Shares 8,013 Est. Cost $40.46 Unrealized +23.6%
VOD VODAFONE GROUP PLC 0.3%
Value ($000) $494 Shares 16,956 Est. Cost $31.64 Unrealized
KMB KIMBERLY CLARK CORP 0.2%
Value ($000) $480 Shares 3,805 Est. Cost $78.13 Unrealized +19.7%
BDX BECTON DICKINSON 0.2%
Value ($000) $452 Shares 2,517 Est. Cost $123.45 Unrealized +20.3%
GLW CORNING INC 0.2%
Value ($000) $451 Shares 19,080 Est. Cost $10.74 Unrealized +61.7%
LLY LILLY ELI & CO 0.2%
Value ($000) $449 Shares 5,600 Est. Cost $52.83 Unrealized +29.8%
DGEAF DIAGEO 0.2%
Value ($000) $438 Shares 15,375 Est. Cost $22.39 Unrealized +2.2%
BAX BAXTER INTERNATIONAL INC 0.2%
Value ($000) $419 Shares 8,800 Est. Cost $30.43 Unrealized +32.8%
GLAXO SMITHKLINE PLC SPONS ADR 0.2%
Value ($000) $418 Shares 9,700 Est. Cost $40.72 Unrealized
NEE NEXTERA ENERGY INC 0.2%
Value ($000) $416 Shares 3,400 Est. Cost $15.66 Unrealized +58.5%
NSC NORFOLK SOUTHERN 0.2%
Value ($000) $413 Shares 4,250 Est. Cost $70.35 Unrealized +6.8%
AFL AFLAC INC. 0.2%
Value ($000) $406 Shares 5,656 Est. Cost $20.85 Unrealized +40.2%
EMN EASTMAN CHEM CO 0.2%
Value ($000) $396 Shares 5,850 Est. Cost $47.81 Unrealized +2.9%
IP INTERNATIONAL PAPER 0.2%
Value ($000) $389 Shares 8,113 Est. Cost $28.45 Unrealized +3.7%
EMR EMERSON ELECTRIC COMPANY 0.2%
Value ($000) $382 Shares 7,000 Est. Cost $41.54 Unrealized +1.8%
C CITIGROUP INC 0.2%
Value ($000) $370 Shares 7,840 Est. Cost $36.37 Unrealized -6.1%
XBI SPDR S&P BIOTECH 0.2%
Value ($000) $363 Shares 5,478 Est. Cost $70.12 Unrealized
YUM YUM BRANDS 0.2%
Value ($000) $356 Shares 3,920 Est. Cost $43.79 Unrealized +23.0%
TIP ISHARES TIPS BOND ETF 0.2%
Value ($000) $349 Shares 3,000 Est. Cost $112.00 Unrealized
THVB THOMASVILLE BANCSHARES INC 0.2%
Value ($000) $337 Shares 10,500 Est. Cost $15.42 Unrealized +57.0%
DTE D T E ENERGY CO 0.2%
Value ($000) $334 Shares 3,569 Est. Cost $38.40 Unrealized +55.2%
GEF/B GREIF INC CL B 0.2%
Value ($000) $321 Shares 5,300 Est. Cost $29.45 Unrealized +17.5%
XEROX 0.2%
Value ($000) $316 Shares 31,216 Est. Cost $9.07 Unrealized
CAG CONAGRA FOODS 0.2%
Value ($000) $310 Shares 6,575 Est. Cost $17.67 Unrealized +45.2%
HPE HEWLETT PACKARD ENTERPRIS 0.2%
Value ($000) $296 Shares 13,000 Est. Cost $6.50 Unrealized +45.2%
UNITED TECH. 0.1%
Value ($000) $290 Shares 2,850 Est. Cost $96.05 Unrealized
ITW ILLINOIS TOOL WORKS 0.1%
Value ($000) $288 Shares 2,400 Est. Cost $71.40 Unrealized +30.1%
BA BOEING CO 0.1%
Value ($000) $283 Shares 2,150 Est. Cost $118.53 Unrealized +1.9%
LMT LOCKHEED MARTIN 0.1%
Value ($000) $268 Shares 1,120 Est. Cost $182.33 Unrealized +6.9%
LYB LYONDELLBASELL INDUSTRIES 0.1%
Value ($000) $265 Shares 3,280 Est. Cost $45.08 Unrealized 0.0%
WMT WAL-MART STORES 0.1%
Value ($000) $263 Shares 3,646 Est. Cost $18.31 Unrealized +12.5%
F FORD MOTOR COMPANY NEW 0.1%
Value ($000) $263 Shares 21,800 Est. Cost $7.72 Unrealized -0.5%
DVY ISHARES TRUST DOW JONES SELECT 0.1%
Value ($000) $257 Shares 3,000 Est. Cost $75.17 Unrealized
SPECTRA ENERGY CORP 0.1%
Value ($000) $252 Shares 5,900 Est. Cost $30.64 Unrealized
UPS UNITED PARCEL SERVICE 0.1%
Value ($000) $252 Shares 2,300 Est. Cost $73.08 Unrealized +5.7%
ROYAL DUTCH SHELL PLC CL A 0.1%
Value ($000) $251 Shares 5,007 Est. Cost $45.97 Unrealized
AMZN AMAZON.COM INC 0.1%
Value ($000) $251 Shares 300 Est. Cost $33.82 Unrealized +13.2%
XLE SECTOR SPDR ENERGY 0.1%
Value ($000) $251 Shares 3,554 Est. Cost $70.62 Unrealized
COVANTA HOLDING CORPORATION 0.1%
Value ($000) $244 Shares 15,846 Est. Cost $15.47 Unrealized
VECTREN CORP 0.1%
Value ($000) $241 Shares 4,798 Est. Cost $42.10 Unrealized
D DOMINION RES INC VA NEW 0.1%
Value ($000) $235 Shares 3,167 Est. Cost $44.59 Unrealized +13.5%
TIFFANY & CO 0.1%
Value ($000) $232 Shares 3,200 Est. Cost $72.50 Unrealized
SENSIENT TECHNOLOGIES CORP 0.1%
Value ($000) $227 Shares 3,000 Est. Cost $71.00 Unrealized
GOOGL ALPHABET INC (A) 0.1%
Value ($000) $222 Shares 276 Est. Cost $38.82 Unrealized 0.0%
HD HOME DEPOT INC 0.1%
Value ($000) $219 Shares 1,698 Est. Cost $98.37 Unrealized +8.1%
DVN DEVON ENERGY 0.1%
Value ($000) $212 Shares 4,800 Est. Cost $28.58 Unrealized 0.0%
NVDA NVIDIA 0.1%
Value ($000) $206 Shares 3,000 Est. Cost $1.45 Unrealized 0.0%
OKE ONEOK INC 0.1%
Value ($000) $206 Shares 4,000 Est. Cost $26.73 Unrealized 0.0%
SLB SCHLUMBERGER LTD 0.1%
Value ($000) $204 Shares 2,600 Est. Cost $58.24 Unrealized +4.2%
CSX CSX CORP 0.1%
Value ($000) $204 Shares 6,700 Est. Cost $8.29 Unrealized 0.0%
BK BANK OF NEW YORK MELLON CORP 0.1%
Value ($000) $203 Shares 5,098 Est. Cost $31.29 Unrealized 0.0%
SPGI S&P GLOBAL INC 0.1%
Value ($000) $202 Shares 1,600 Est. Cost $110.19 Unrealized 0.0%
CLX CLOROX CO 0.1%
Value ($000) $200 Shares 1,600 Est. Cost $93.27 Unrealized +7.5%
MTB M&T BANK CORP 0.1%
Value ($000) $200 Shares 1,723 Est. Cost $88.17 Unrealized +0.7%
HPQ H P INC 0.1%
Value ($000) $199 Shares 12,800 Est. Cost $9.18 Unrealized +14.1%
CENTRAL FUND OF CANADA 0.1%
Value ($000) $191 Shares 13,800 Est. Cost $10.00 Unrealized
PEOPLE'S UNITED FINANCIAL INC 0.1%
Value ($000) $185 Shares 11,707 Est. Cost $15.73 Unrealized
GOLDCORP INC NEW 0.1%
Value ($000) $180 Shares 10,875 Est. Cost $11.87 Unrealized
CAPITAL SENIOR LIVING CORP 0.1%
Value ($000) $168 Shares 10,000 Est. Cost $18.50 Unrealized
FCX FREEPORT MCMORAN INC 0.1%
Value ($000) $164 Shares 15,100 Est. Cost $24.38 Unrealized -57.2%
NEW YORK MORTGAGE TR INC 0.1%
Value ($000) $144 Shares 24,000 Est. Cost $6.54 Unrealized
FRONTIER COMMUNICATIONS CORP 0.0%
Value ($000) $61 Shares 14,658 Est. Cost $4.65 Unrealized
TVAGF TVA GROUP INC CL B 0.0%
Value ($000) $54 Shares 19,800 Est. Cost $8.89 Unrealized
VASOMEDICAL INC 0.0%
Value ($000) $2 Shares 11,000 Est. Cost $0.18 Unrealized
CHINA SHUANGJI CEMENT LTD 0.0%
Value ($000) $0 Shares 10,000 Est. Cost Unrealized
HOME SOLUTIONS HEALTH INC 0.0%
Value ($000) $0 Shares 50,000 Est. Cost Unrealized