WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 392
New Positions 27
Increased Positions 119
Decreased Positions 149
Positions with Activity 268
Sold Out Positions 42
Total Mkt Value (in $ millions) 630

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

Sector Weighting

Basic Materials 4.49%
Capital Goods 2.82%
Conglomerates 0.08%
Consumer Cyclical 3.15%
Consumer/Non-Cyclical 35.54%
Energy 7.57%
Financial 8.18%
Healthcare 8.61%
Services 15.48%
Technology 10.48%
Transportation 1.53%
Utilities 1.5%

119 INCREASED Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
CABLEVISION SYS CORP CL A NY CABLVS 1,209 1,002 483.50 58,350
JPMORGAN CHASE & CO COM 1,125 15 1.37 17,983
ARRIS GROUP INC NEW COM 1,073 34 3.22 35,225
NESTLE S A SPONSORED ADR 1,047 33 3.28 14,175
BIOTIME INC COM 1,032 478 86.35 273,000
JETBLUE AIRWAYS CORP COM 1,029 221 27.38 65,600
BED BATH & BEYOND INC COM 1,022 270 35.88 13,350
CASI PHARMACEUTICALS INC COM 1,005 90 9.88 851,705
NIKE INC CL B 997 10 .98 10,300
FREEPORT-MCMORAN INC CL B 996 92 10.14 42,380
ANADARKO PETE CORP COM 978 21 2.17 11,762
TRINITY INDS INC COM 960 827 621.74 33,200
UNITED TECHNOLOGIES CORP COM 956 6 .68 8,155
GOODYEAR TIRE & RUBR CO COM 947 613 183.83 33,350
MAIN STREET CAPITAL CORP COM 912 19 2.18 30,500
TWENTY FIRST CENTY FOX INC CL B 862 179 26.23 23,100
CENTURYLINK INC COM 859 .05 21,218
TARGET CORP COM 850 .03 11,329
KINDER MORGAN INC DEL COM 844 844 New 19,760
GRAINGER W W INC COM 836 836 New 3,250


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