NOVARTIS AG

Ticker: NVS CUSIP: 66987V109 Class: SPONSORED ADR

Wellington Shields Capital Management, LLC's Holding History (CIK: 0001506071)

Note: Option positions (PUT/CALL) are excluded.

Q3 2017
Shares 2,334 Value ($000) $200 Avg Close — Range —
Q2 2017
Shares 3,234 Value ($000) $270 Avg Close — Range —
Q1 2017
Shares 3,262 Value ($000) $242 Avg Close — Range —
Q4 2016
Shares 3,597 Value ($000) $262 Avg Close — Range —
Q3 2016
Shares 3,897 Value ($000) $308 Avg Close — Range —
Q2 2016
Shares 3,897 Value ($000) $322 Avg Close — Range —
Q1 2016
Shares 3,897 Value ($000) $282 Avg Close — Range —
Q4 2015
Shares 7,366 Value ($000) $634 Avg Close — Range —