WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 367
New Positions 45
Increased Positions 111
Decreased Positions 159
Positions with Activity 270
Sold Out Positions 44
Total Mkt Value (in $ millions) 544

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

Sector Weighting

Basic Materials 4.21%
Capital Goods 3.8%
Conglomerates
Consumer Cyclical 3.19%
Consumer/Non-Cyclical 33.76%
Energy 10.18%
Financial 8.24%
Healthcare 7.84%
Services 14.55%
Technology 11.01%
Transportation 1.54%
Utilities 1.46%

367 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
FLOWERS FOODS INC COM 146,679 -1,723 (1.16) 7,250,579
EXXON MOBIL CORP COM 20,890 -131 (0.62) 208,027
MICROSOFT CORP COM 10,688 6,506 155.55 267,139
INTERNATIONAL BUSINESS MACHS COM 9,510 -295 (3.01) 50,051
EXPRESS SCRIPTS HLDG CO COM 8,810 123 1.42 121,877
JOHNSON & JOHNSON COM 7,572 -22 (0.29) 76,514
APPLE INC COM 6,761 841 14.22 12,879
PROCTER & GAMBLE CO COM 6,639 -34 (0.52) 81,205
SCHLUMBERGER LTD COM 6,624 180 2.79 66,300
GENERAL ELECTRIC CO COM 6,569 -65 (0.98) 247,311
AT&T INC COM 6,252 59 .95 173,470
MASTERCARD INC CL A 6,105 New 82,350
SEADRILL LIMITED SHS 5,641 603 11.96 172,258
VERIZON COMMUNICATIONS INC COM 5,611 -4 (0.08) 117,886
UNITED RENTALS INC COM 5,275 New 56,440
PFIZER INC COM 4,763 178 3.88 157,452
DU PONT E I DE NEMOURS & CO COM 4,545 194 4.47 67,852
BRISTOL MYERS SQUIBB CO COM 4,390 .01 88,750
CHICAGO BRIDGE & IRON CO N V COM 4,198 -86 (2.02) 48,533
GOOGLE INC CL A 4,140 228 5.83 7,620