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) 548

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

Sector Weighting

Basic Materials 4.22%
Capital Goods 3.77%
Conglomerates
Consumer Cyclical 3.2%
Consumer/Non-Cyclical 33.64%
Energy 10.15%
Financial 8.23%
Healthcare 7.97%
Services 14.54%
Technology 11.06%
Transportation 1.53%
Utilities 1.46%

111 INCREASED Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
NESTLE S A SPONSORED ADR 948 348 57.91 12,475
PHILIP MORRIS INTL INC COM 944 1 .12 11,299
COMCAST CORP NEW CL A 927 152 19.68 18,244
AMAZON COM INC COM 920 920 New 2,795
WENDYS CO COM 917 207 29.12 107,300
CORNING INC COM 917 657 252.45 43,210
NORDSTROM INC COM 903 903 New 14,850
APACHE CORP COM 897 34 3.89 10,405
CAMPBELL SOUP CO COM 875 875 New 19,560
SLM CORP COM 874 75 9.37 33,850
LILLY ELI & CO COM 872 1 .15 14,524
FREEPORT-MCMORAN COPPER & GOLD COM 852 57 7.12 25,580
IAC INTERACTIVECORP COM PAR $.001 847 847 New 12,200
EDUCATION RLTY TR INC COM 847 847 New 81,800
PHILLIPS 66 COM 806 20 2.61 9,830
INTERNATIONAL GAME TECHNOLOGY COM 784 784 New 55,730
ALLSTATE CORP COM 783 3 .36 13,970
DUNKIN BRANDS GROUP INC COM 770 142 22.66 15,700
YANDEX N V SHS CLASS A 750 750 New 25,820
EBAY INC COM 738 94 14.66 13,300