WELLINGTON SHIELDS & CO., LLC Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 120
New Positions 8
Increased Positions 43
Decreased Positions 33
Positions with Activity 76
Sold Out Positions 4
Total Mkt Value (in $ millions) 152

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

Sector Weighting

Basic Materials 2.71%
Capital Goods 2.87%
Conglomerates 0.67%
Consumer Cyclical 8.54%
Consumer/Non-Cyclical 7.08%
Energy 11.18%
Financial 7.16%
Healthcare 19.09%
Services 14.31%
Technology 23.3%
Transportation 1.16%
Utilities 1.92%

120 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ILLUMINA INC COM 21,887 -114 (0.52) 161,584
SPECTRANETICS CORP COM 18,330 -33 (0.18) 756,514
UNIVERSAL ELECTRS INC COM 12,397 -88 (0.71) 344,061
EXPRESS SCRIPTS HLDG CO COM 8,829 1 .01 122,130
FX ENERGY INC COM 6,017 47 .78 1,266,655
INTERNATIONAL BUSINESS MACHS COM 4,911 151 3.17 25,847
EXXON MOBIL CORP COM 4,770 151 3.26 47,501
AT&T INC COM 3,532 -5 (0.15) 98,009
FLOWERS FOODS INC COM 2,978 63 2.17 147,188
MICROSOFT CORP COM 2,937 588 25.04 73,400
BRISTOL MYERS SQUIBB CO COM 2,766 .01 55,932
CHICAGO BRIDGE & IRON CO N V COM 2,500 -21 (0.83) 28,903
GENERAL ELECTRIC CO COM 2,348 61 2.67 88,399
HONEYWELL INTL INC COM 2,125 New 22,823
DISNEY WALT CO COM DISNEY 2,003 8 .40 25,042
VERIZON COMMUNICATIONS INC COM 1,846 -19 (1.02) 38,786
VALERO ENERGY CORP NEW COM 1,781 New 31,800
PHILIP MORRIS INTL INC COM 1,651 .01 19,853
UNION PAC CORP COM 1,433 New 7,560
PFIZER INC COM 1,351 8 .56 44,670