NOVARTIS A G

CUSIP: 66987v109 Class: COM

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

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

Q3 2015
Shares 13,231 Value ($000) $1,216 Avg Close — Range —
Q2 2015
Shares 13,231 Value ($000) $1,301 Avg Close — Range —
Q1 2015
Shares 13,231 Value ($000) $1,305 Avg Close — Range —
Q4 2014
Shares 13,523 Value ($000) $1,253 Avg Close — Range —
Q3 2014
Shares 13,495 Value ($000) $1,270 Avg Close — Range —
Q2 2014
Shares 13,587 Value ($000) $1,230 Avg Close — Range —
Q1 2014
Shares 13,437 Value ($000) $1,142 Avg Close — Range —
Q4 2013
Shares 13,437 Value ($000) $1,080 Avg Close — Range —
Q3 2013
Shares 13,537 Value ($000) $1,038 Avg Close — Range —
Q2 2013
Shares 12,937 Value ($000) $915 Avg Close — Range —