WELLINGTON SHIELDS & CO., LLC Information

140 BROADWAY, NEW YORK, New York, 10005, (212) 320-3000

Report Date: 09/30/2014

Position Statistics

Total Positions 123
New Positions 6
Increased Positions 24
Decreased Positions 44
Positions with Activity 68
Sold Out Positions 4
Total Mkt Value (in $ millions) 168

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 2.67%
Capital Goods 2.54%
Conglomerates 0%
Consumer Cyclical 13.11%
Consumer/Non-Cyclical 6.38%
Energy 5.56%
Financial 6.12%
Healthcare 20.44%
Services 13.7%
Technology 25.43%
Transportation 1.26%
Utilities 1.77%

123 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ILLUMINA INC COM 29,694 -1,152 (3.73) 152,129
SPECTRANETICS CORP COM 23,874 -145 (0.6) 729,855
UNIVERSAL ELECTRS INC COM 21,165 -57 (0.27) 332,050
EXPRESS SCRIPTS HLDG CO COM 9,512 New 117,851
INTERNATIONAL BUSINESS MACHS COM 3,966 46 1.17 25,867
EXXON MOBIL CORP COM 3,809 -344 (8.28) 43,567
BRISTOL MYERS SQUIBB CO COM 3,318 -96 (2.82) 55,044
CHICAGO BRIDGE & IRON CO N V COM 3,138 2,530 415.51 90,941
AT&T INC COM 3,021 -126 (3.99) 91,762
MICROSOFT CORP COM 3,010 33 1.09 74,502
FLOWERS FOODS INC COM 2,528 -356 (12.34) 129,247
GENERAL ELECTRIC CO COM 2,276 72 3.25 95,260
HONEYWELL INTL INC COM 2,231 New 22,823
DISNEY WALT CO COM DISNEY 2,137 New 23,499
VERIZON COMMUNICATIONS INC COM 1,899 105 5.88 41,534
FX ENERGY INC COM 1,815 New 1,314,907
UNION PAC CORP COM 1,772 New 15,120
PHILIP MORRIS INTL INC COM 1,533 6 .41 19,100
W P CAREY INC COM 1,487 2 .10 20,706
PFIZER INC COM 1,399 6 .45 44,770