WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC Information

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

Report Date: 03/31/2015

Position Statistics

Total Positions 381
New Positions 40
Increased Positions 132
Decreased Positions 134
Positions with Activity 266
Sold Out Positions 31
Total Mkt Value (in $ millions) 688

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

Sector Weighting

Basic Materials 3.56%
Capital Goods 3.16%
Conglomerates 0%
Consumer Cyclical 3.97%
Consumer/Non-Cyclical 37.83%
Energy 6.46%
Financial 7.6%
Healthcare 8.62%
Services 14.63%
Technology 9.26%
Transportation 1.27%
Utilities 2.51%

132 INCREASED Positions as of 03/31/2015

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
WALGREENS BOOTS ALLIANCE INC COM 1,638 52 3.30 18,800
COVANTA HLDG CORP COM 1,611 1,611 New 70,800
CELGENE CORP COM 1,545 151 10.83 13,300
ETHAN ALLEN INTERIORS INC COM 1,538 1,538 New 60,000
BP PLC SPONSORED ADR 1,483 .03 34,576
DIAMOND FOODS INC COM 1,475 1,475 New 51,120
ST JUDE MED INC COM 1,427 14 1.01 19,090
TARGA RES CORP COM 1,365 1,365 New 13,845
CRACKER BARREL OLD CTRY STORE COM 1,350 139 11.49 9,700
ARES CAP CORP COM 1,347 3 .25 81,360
NESTLE S A SPONSORED ADR 1,319 196 17.46 16,855
CAPSTEAD MTG CORP COM NO PAR 1,312 .01 110,259
CHICAGO BRIDGE & IRON CO N V COM 1,288 526 69.07 22,402
FIAT CHRYSLER AUTOMOBILES N V SHS 1,238 195 18.72 78,000
SYNTEL INC COM 1,192 179 17.62 26,700
RAYTHEON CO COM NEW 1,188 21 1.83 11,050
BLACKSTONE MTG TR INC COM CL A 1,107 148 15.40 36,410
LILLY ELI & CO COM 1,095 .01 14,748
HONEYWELL INTL INC COM 1,070 128 13.55 10,057
NORWEGIAN CRUISE LINE HLDGS LT SHS 1,055 1,055 New 19,300