Wellington Shields & Co., LLC Diversified Active

CIK: 0001506073 · Show all filings

Period: Q4 2016 (← Previous) (Next →)

Filing Date: Feb 2, 2017

Total Value ($000): $191,031 (100.0% shares, 0.0% debt)

Holdings (131)

UEIC UNIVERSAL ELECTRONICS 12.1%
Value ($000) $23,203 Shares 359,455 Est. Cost $32.71 Unrealized +107.7%
SPECTRANETICS CORP 11.3%
Value ($000) $21,522 Shares 878,451 Est. Cost $19.45 Unrealized
ILMN ILLUMINA INC 10.2%
Value ($000) $19,422 Shares 151,688 Est. Cost $65.93 Unrealized +104.4%
EXPRESS SCRIPTS HOLDING CO 4.4%
Value ($000) $8,479 Shares 123,266 Est. Cost $63.43 Unrealized
MSFT MICROSOFT CORPORATION 2.6%
Value ($000) $5,053 Shares 81,317 Est. Cost $30.66 Unrealized +75.9%
IBM INTERNATIONAL BUSINESS MACHINE 2.5%
Value ($000) $4,837 Shares 29,140 Est. Cost $111.15 Unrealized -7.3%
JNJ JOHNSON & JOHNSON 2.5%
Value ($000) $4,735 Shares 41,102 Est. Cost $86.33 Unrealized +3.9%
GENERAL ELECTRIC CO 2.4%
Value ($000) $4,596 Shares 145,429 Est. Cost $26.05 Unrealized
XOM EXXON MOBIL CORP 2.4%
Value ($000) $4,490 Shares 49,742 Est. Cost $54.39 Unrealized +7.0%
T AT&T INC 2.1%
Value ($000) $4,074 Shares 95,784 Est. Cost $11.61 Unrealized +33.1%
MDLZ MONDELEZ INTERNATIONAL 1.9%
Value ($000) $3,622 Shares 81,706 Est. Cost $33.73 Unrealized +3.0%
PM PHILIP MORRIS INTERNAT 1.6%
Value ($000) $3,047 Shares 33,300 Est. Cost $57.00 Unrealized +2.2%
AAL AMERICAN AIRLINES GROUP INC 1.5%
Value ($000) $2,923 Shares 62,600 Est. Cost $38.86 Unrealized +8.2%
MO ALTRIA GROUP INC 1.5%
Value ($000) $2,824 Shares 41,769 Est. Cost $26.34 Unrealized +29.0%
FLO FLOWERS FOODS INC 1.5%
Value ($000) $2,791 Shares 139,775 Est. Cost $14.88 Unrealized -22.8%
BMY BRISTOL-MYERS SQUIBB CO 1.4%
Value ($000) $2,766 Shares 47,328 Est. Cost $29.34 Unrealized +34.7%
DIS WALT DISNEY CO/THE 1.3%
Value ($000) $2,562 Shares 24,582 Est. Cost $60.53 Unrealized +49.9%
HON HONEYWELL INTERNATIONAL 1.3%
Value ($000) $2,525 Shares 21,799 Est. Cost $53.58 Unrealized +57.1%
VZ VERIZON COMMUNICATIONS INC 1.3%
Value ($000) $2,483 Shares 46,507 Est. Cost $27.53 Unrealized +12.5%
KHC THE KRAFT HEINZ COMPANY 1.3%
Value ($000) $2,414 Shares 27,650 Est. Cost $56.34 Unrealized +0.2%
JPM JP MORGAN CHASE & CO 1.3%
Value ($000) $2,398 Shares 27,793 Est. Cost $39.49 Unrealized +51.7%
WPC W.P. CAREY INC. 1.2%
Value ($000) $2,218 Shares 37,532 Est. Cost $65.50 Unrealized
UNP UNION PACIFIC 1.1%
Value ($000) $2,148 Shares 20,720 Est. Cost $69.69 Unrealized +15.2%
AAPL APPLE INC 1.0%
Value ($000) $1,949 Shares 16,826 Est. Cost $22.92 Unrealized +13.8%
PFE PFIZER INC 1.0%
Value ($000) $1,893 Shares 58,277 Est. Cost $17.22 Unrealized +19.1%
WY WEYERHAEUSER CO 0.8%
Value ($000) $1,606 Shares 53,361 Est. Cost $19.09 Unrealized +13.6%
EFX EQUIFAX INC 0.8%
Value ($000) $1,584 Shares 13,399 Est. Cost $53.06 Unrealized +111.6%
PEP PEPSICO INC 0.8%
Value ($000) $1,545 Shares 14,765 Est. Cost $58.08 Unrealized +36.6%
UMBF UMB FINANCIAL CORP 0.8%
Value ($000) $1,542 Shares 20,000 Est. Cost $50.96 Unrealized +36.4%
ABBV ABBVIE INC. 0.6%
Value ($000) $1,217 Shares 19,436 Est. Cost $29.54 Unrealized +41.4%
PG PROCTER & GAMBLE COMPANY 0.6%
Value ($000) $1,125 Shares 13,375 Est. Cost $55.89 Unrealized +19.5%
CHICAGO BRIDGE & IRON 0.6%
Value ($000) $1,123 Shares 35,358 Est. Cost $52.29 Unrealized
CSCO CISCO SYSTEMS 0.6%
Value ($000) $1,081 Shares 35,787 Est. Cost $16.09 Unrealized +43.3%
CVX CHEVRON CORPORATION 0.5%
Value ($000) $1,043 Shares 8,862 Est. Cost $68.43 Unrealized +7.8%
MMM 3M CO 0.5%
Value ($000) $961 Shares 5,384 Est. Cost $68.59 Unrealized +54.8%
FIS FIDELITY NATIONAL INFORMATION 0.5%
Value ($000) $923 Shares 12,198 Est. Cost $34.36 Unrealized +89.1%
CODI COMPASS DIVERSIFIED HOLDINGS 0.5%
Value ($000) $886 Shares 49,510 Est. Cost $8.37 Unrealized +21.7%
BP BP PLC SPONS ADR 0.5%
Value ($000) $878 Shares 23,496 Est. Cost $41.79 Unrealized
ABT ABBOTT LABORATORIES 0.5%
Value ($000) $875 Shares 22,784 Est. Cost $31.04 Unrealized +8.4%
DU PONT (EI) DE NEMOURS 0.4%
Value ($000) $848 Shares 11,551 Est. Cost $60.20 Unrealized
BXMT BLACKSTONE MORTGAGE TRUST INC 0.4%
Value ($000) $828 Shares 27,535 Est. Cost $28.84 Unrealized
SO SOUTHERN CO 0.4%
Value ($000) $804 Shares 16,339 Est. Cost $27.62 Unrealized +21.5%
WM WASTE MGT. 0.4%
Value ($000) $786 Shares 11,083 Est. Cost $33.49 Unrealized +69.6%
CMCSA COMCAST CORP 0.4%
Value ($000) $783 Shares 11,346 Est. Cost $23.31 Unrealized +15.0%
GEO GEO GROUP INC 0.4%
Value ($000) $780 Shares 21,700 Est. Cost $12.33 Unrealized +4.3%
MRK MERCK & CO 0.4%
Value ($000) $761 Shares 12,930 Est. Cost $40.00 Unrealized +10.2%
PNC PNC FINANCIAL CORP 0.4%
Value ($000) $742 Shares 6,342 Est. Cost $47.34 Unrealized +62.9%
GM GENERAL MOTORS CO 0.4%
Value ($000) $732 Shares 21,000 Est. Cost $28.16 Unrealized 0.0%
TRN TRINITY INDS INC. 0.4%
Value ($000) $731 Shares 26,329 Est. Cost $15.94 Unrealized -14.5%
INTC INTEL CORP 0.4%
Value ($000) $689 Shares 19,000 Est. Cost $21.02 Unrealized +38.7%
RITM NEW RESIDENTIAL INVESTMENT COR 0.4%
Value ($000) $676 Shares 43,000 Est. Cost $13.83 Unrealized
CSX CSX CORP 0.4%
Value ($000) $672 Shares 18,700 Est. Cost $9.31 Unrealized +6.1%
AXP AMERICAN EXPRESS CO 0.3%
Value ($000) $630 Shares 8,500 Est. Cost $61.07 Unrealized -0.1%
CAT CATERPILLAR 0.3%
Value ($000) $614 Shares 6,626 Est. Cost $62.53 Unrealized +17.9%
KO COCA COLA 0.3%
Value ($000) $604 Shares 14,563 Est. Cost $27.96 Unrealized +11.6%
BGS B&G FOODS INC. 0.3%
Value ($000) $604 Shares 13,780 Est. Cost $18.87 Unrealized +10.8%
DUK DUKE ENERGY CORP 0.3%
Value ($000) $599 Shares 7,721 Est. Cost $43.77 Unrealized +20.3%
CASI PHARMACEUTICALS INC 0.3%
Value ($000) $581 Shares 505,474 Est. Cost $1.78 Unrealized
CVS CVS HEALTH CORPORATION 0.3%
Value ($000) $568 Shares 7,200 Est. Cost $61.05 Unrealized 0.0%
CONNECTICUT WATER SVC INC 0.3%
Value ($000) $558 Shares 10,000 Est. Cost $55.80 Unrealized
BA BOEING CO 0.3%
Value ($000) $553 Shares 3,550 Est. Cost $125.03 Unrealized +8.0%
GIS GENERAL MILLS INC 0.3%
Value ($000) $498 Shares 8,063 Est. Cost $40.46 Unrealized +10.9%
COP CONOCOPHILLIPS 0.3%
Value ($000) $489 Shares 9,750 Est. Cost $34.77 Unrealized 0.0%
GOOGL ALPHABET INC (A) 0.2%
Value ($000) $476 Shares 601 Est. Cost $39.29 Unrealized +1.0%
CLX CLOROX CO 0.2%
Value ($000) $468 Shares 3,900 Est. Cost $91.84 Unrealized -1.1%
C CITIGROUP INC 0.2%
Value ($000) $466 Shares 7,840 Est. Cost $36.37 Unrealized +11.7%
GLW CORNING INC 0.2%
Value ($000) $463 Shares 19,080 Est. Cost $10.74 Unrealized +73.5%
NSC NORFOLK SOUTHERN 0.2%
Value ($000) $459 Shares 4,250 Est. Cost $70.35 Unrealized +19.4%
EMN EASTMAN CHEM CO 0.2%
Value ($000) $440 Shares 5,850 Est. Cost $47.81 Unrealized +11.6%
BDX BECTON DICKINSON 0.2%
Value ($000) $418 Shares 2,526 Est. Cost $123.45 Unrealized +17.2%
YUM YUM BRANDS 0.2%
Value ($000) $416 Shares 6,570 Est. Cost $47.63 Unrealized +11.9%
IP INTERNATIONAL PAPER 0.2%
Value ($000) $414 Shares 7,803 Est. Cost $28.45 Unrealized +9.9%
NEE NEXTERA ENERGY INC 0.2%
Value ($000) $406 Shares 3,400 Est. Cost $15.66 Unrealized +51.4%
M MACY'S 0.2%
Value ($000) $394 Shares 11,000 Est. Cost $35.93 Unrealized +8.2%
AFL AFLAC INC. 0.2%
Value ($000) $394 Shares 5,656 Est. Cost $20.85 Unrealized +36.5%
DGEAF DIAGEO 0.2%
Value ($000) $394 Shares 15,375 Est. Cost $22.39 Unrealized -5.1%
ALERIAN MLP ETF 0.2%
Value ($000) $391 Shares 31,000 Est. Cost $12.61 Unrealized
BAX BAXTER INTERNATIONAL INC 0.2%
Value ($000) $390 Shares 8,800 Est. Cost $30.43 Unrealized +30.6%
D DOMINION RES INC VA NEW 0.2%
Value ($000) $388 Shares 5,067 Est. Cost $46.40 Unrealized +6.5%
GLAXO SMITHKLINE PLC SPONS ADR 0.2%
Value ($000) $374 Shares 9,700 Est. Cost $40.72 Unrealized
THVB THOMASVILLE BANCSHARES INC 0.2%
Value ($000) $367 Shares 10,500 Est. Cost $15.42 Unrealized +66.5%
GEF/B GREIF INC CL B 0.2%
Value ($000) $358 Shares 5,300 Est. Cost $29.45 Unrealized +40.2%
DTE D T E ENERGY CO 0.2%
Value ($000) $352 Shares 3,569 Est. Cost $38.40 Unrealized +54.4%
TIP ISHARES TIPS BOND ETF 0.2%
Value ($000) $340 Shares 3,000 Est. Cost $112.00 Unrealized
WST WEST PHARMACEUTICALS SVCS INC 0.2%
Value ($000) $339 Shares 4,000 Est. Cost $76.11 Unrealized 0.0%
CWT CALIFORNIA WATER SEFICE GROUP 0.2%
Value ($000) $339 Shares 10,000 Est. Cost $27.62 Unrealized 0.0%
META FACEBOOK INC 0.2%
Value ($000) $326 Shares 2,835 Est. Cost $121.96 Unrealized 0.0%
XBI SPDR S&P BIOTECH 0.2%
Value ($000) $324 Shares 5,478 Est. Cost $70.12 Unrealized
UNITED TECH. 0.2%
Value ($000) $316 Shares 2,885 Est. Cost $96.22 Unrealized
ZTS ZOETIS INC 0.2%
Value ($000) $316 Shares 5,900 Est. Cost $47.37 Unrealized 0.0%
KMB KIMBERLY CLARK CORP 0.2%
Value ($000) $308 Shares 2,700 Est. Cost $78.13 Unrealized +8.2%
HPE HEWLETT PACKARD ENTERPRIS 0.2%
Value ($000) $301 Shares 13,000 Est. Cost $6.50 Unrealized +57.5%
BROADCOM LIMITED 0.2%
Value ($000) $301 Shares 1,700 Est. Cost $177.06 Unrealized
ITW ILLINOIS TOOL WORKS 0.2%
Value ($000) $294 Shares 2,400 Est. Cost $71.40 Unrealized +36.1%
LYB LYONDELLBASELL INDUSTRIES 0.2%
Value ($000) $291 Shares 3,391 Est. Cost $45.22 Unrealized +9.2%
AHRT ARMADA HOFFLER PROPERTIES INC 0.2%
Value ($000) $291 Shares 20,000 Est. Cost $14.55 Unrealized
LMT LOCKHEED MARTIN 0.1%
Value ($000) $280 Shares 1,120 Est. Cost $182.33 Unrealized +7.5%
LLY LILLY ELI & CO 0.1%
Value ($000) $279 Shares 3,800 Est. Cost $52.83 Unrealized +21.6%
XEROX 0.1%
Value ($000) $273 Shares 31,216 Est. Cost $9.07 Unrealized
MTB M&T BANK CORP 0.1%
Value ($000) $270 Shares 1,723 Est. Cost $88.17 Unrealized +18.0%
XLE SECTOR SPDR ENERGY 0.1%
Value ($000) $268 Shares 3,558 Est. Cost $70.62 Unrealized
NVDA NVIDIA 0.1%
Value ($000) $267 Shares 2,500 Est. Cost $1.45 Unrealized +41.8%
DVY ISHARES TRUST DOW JONES SELECT 0.1%
Value ($000) $266 Shares 3,000 Est. Cost $75.17 Unrealized
ROYAL DUTCH SHELL PLC CL A 0.1%
Value ($000) $265 Shares 4,866 Est. Cost $45.97 Unrealized
UPS UNITED PARCEL SERVICE 0.1%
Value ($000) $264 Shares 2,300 Est. Cost $73.08 Unrealized +9.9%
CAG CONAGRA BRANDS INC 0.1%
Value ($000) $260 Shares 6,575 Est. Cost $17.67 Unrealized +52.0%
WMT WAL-MART STORES 0.1%
Value ($000) $252 Shares 3,646 Est. Cost $18.31 Unrealized +8.8%
VECTREN CORP 0.1%
Value ($000) $250 Shares 4,798 Est. Cost $42.10 Unrealized
COVANTA HOLDING CORPORATION 0.1%
Value ($000) $249 Shares 15,945 Est. Cost $15.47 Unrealized
TIFFANY & CO 0.1%
Value ($000) $248 Shares 3,200 Est. Cost $72.50 Unrealized
F FORD MOTOR COMPANY NEW 0.1%
Value ($000) $247 Shares 20,400 Est. Cost $7.72 Unrealized -3.2%
ANADARKO PETR. 0.1%
Value ($000) $244 Shares 3,500 Est. Cost $69.71 Unrealized
SPECTRA ENERGY CORP 0.1%
Value ($000) $242 Shares 5,900 Est. Cost $30.64 Unrealized
FDX FEDEX CORP 0.1%
Value ($000) $237 Shares 1,275 Est. Cost $158.34 Unrealized 0.0%
SENSIENT TECHNOLOGIES CORP 0.1%
Value ($000) $236 Shares 3,000 Est. Cost $71.00 Unrealized
OKE ONEOK INC 0.1%
Value ($000) $230 Shares 4,000 Est. Cost $26.73 Unrealized +12.4%
PEOPLE'S UNITED FINANCIAL INC 0.1%
Value ($000) $227 Shares 11,707 Est. Cost $15.73 Unrealized
BRK/B BERKSHIRE HATHAWAY INC. CLASS 0.1%
Value ($000) $224 Shares 1,373 Est. Cost $153.96 Unrealized 0.0%
SYY SYSCO CORP 0.1%
Value ($000) $221 Shares 4,000 Est. Cost $40.96 Unrealized 0.0%
DVN DEVON ENERGY 0.1%
Value ($000) $219 Shares 4,800 Est. Cost $28.58 Unrealized +8.9%
SLB SCHLUMBERGER LTD 0.1%
Value ($000) $218 Shares 2,600 Est. Cost $58.24 Unrealized +8.2%
ACTIVISION BLIZZARD INC. 0.1%
Value ($000) $209 Shares 5,800 Est. Cost $36.03 Unrealized
HPQ H P INC 0.1%
Value ($000) $190 Shares 12,800 Est. Cost $9.18 Unrealized +22.2%
FCX FREEPORT MCMORAN INC 0.1%
Value ($000) $179 Shares 13,600 Est. Cost $24.38 Unrealized -52.4%
CAPITAL SENIOR LIVING CORP 0.1%
Value ($000) $160 Shares 10,000 Est. Cost $18.50 Unrealized
NEW YORK MORTGAGE TR INC 0.1%
Value ($000) $158 Shares 24,000 Est. Cost $6.54 Unrealized
TVAGF TVA GROUP INC CL B 0.0%
Value ($000) $48 Shares 19,800 Est. Cost $8.89 Unrealized
FRONTIER COMMUNICATIONS CORP 0.0%
Value ($000) $43 Shares 12,658 Est. Cost $4.65 Unrealized
VASO CORPORATION 0.0%
Value ($000) $1 Shares 11,000 Est. Cost $0.18 Unrealized
HOME SOLUTIONS HEALTH INC 0.0%
Value ($000) $0 Shares 50,000 Est. Cost Unrealized
CHINA SHUANGJI CEMENT LTD 0.0%
Value ($000) $0 Shares 10,000 Est. Cost Unrealized