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) 605

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

Sector Weighting

Basic Materials 4.47%
Capital Goods 2.83%
Conglomerates 0.08%
Consumer Cyclical 3.16%
Consumer/Non-Cyclical 35.3%
Energy 7.56%
Financial 8.23%
Healthcare 8.89%
Services 15.55%
Technology 10.37%
Transportation 1.53%
Utilities 1.49%

392 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
BERKSHIRE HATHAWAY INC DEL CL B NEW 1,610 New 10,848
KELLOGG CO COM 1,589 -311 (16.38) 24,502
WILLIAMS COS INC DEL COM 1,579 2 .14 36,196
DUKE ENERGY CORP NEW COM NEW 1,558 -5 (0.34) 19,153
CISCO SYS INC COM 1,546 107 7.46 57,650
CHUBB CORP COM 1,538 820 114.29 15,000
BIOGEN IDEC INC COM 1,504 New 4,519
INGREDION INC COM 1,483 New 17,926
BANK AMER CORP COM 1,472 287 24.26 85,277
BROADRIDGE FINL SOLUTIONS INC COM 1,435 -9 (0.61) 32,348
CAPSTEAD MTG CORP COM NO PAR 1,420 .01 112,245
SYNTEL INC COM 1,416 New 31,700
FLEETMATICS GROUP PLC COM 1,407 1,407 New 37,300
FORTUNE BRANDS HOME & SEC INC COM 1,396 -45 (3.13) 31,000
BP PLC SPONSORED ADR 1,359 744 120.74 36,066
WALGREEN CO COM 1,346 -50 (3.61) 18,700
ARES CAP CORP COM 1,332 815 157.64 89,660
KAPSTONE PAPER & PACKAGING CRP COM 1,314 New 45,325
HEWLETT PACKARD CO COM 1,301 -387 (22.91) 33,653
ING GROEP N V SPONSORED ADR 1,297 -10 (0.8) 99,550


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