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%

111 INCREASED Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
IMAX CORP COM 951 951 New 34,000
PHILIP MORRIS INTL INC COM 940 1 .12 11,299
WENDYS CO COM 913 206 29.12 107,300
CORNING INC COM 909 651 252.45 43,210
AMAZON COM INC COM 908 908 New 2,795
NORDSTROM INC COM 903 903 New 14,850
COMCAST CORP NEW CL A 896 147 19.68 18,244
APACHE CORP COM 886 33 3.89 10,405
SLM CORP COM 878 75 9.37 33,850
LILLY ELI & CO COM 878 1 .15 14,524
CAMPBELL SOUP CO COM 871 871 New 19,560
FREEPORT-MCMORAN COPPER & GOLD COM 844 56 7.12 25,580
IAC INTERACTIVECORP COM PAR $.001 838 838 New 12,200
EDUCATION RLTY TR INC COM 826 826 New 81,800
PHILLIPS 66 COM 789 20 2.61 9,830
ALLSTATE CORP COM 779 3 .36 13,970
INTERNATIONAL GAME TECHNOLOGY COM 774 774 New 55,730
YANDEX N V SHS CLASS A 773 773 New 25,820
DUNKIN BRANDS GROUP INC COM 756 140 22.66 15,700
EBAY INC COM 731 93 14.66 13,300