WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC
140 BROADWAY, NEW YORK, New York, 10005, (212) 320-3000
Report Date: 03/31/2013
Position Statistics:
| Total Positions | 357 |
| New Positions | 42 |
| Increased Positions | 150 |
| Decreased Positions | 123 |
| Positions with Activity | 273 |
| Sold Out Positions | 35 |
| Total Mkt Value (in $ millions) |
571 |
Sector Weighting
| Basic Materials | 2.84% |
| Capital Goods | 3.51% |
| Conglomerates | |
| Consumer Cyclical | 2.69% |
| Consumer/Non-Cyclical | 35.63% |
| Energy | 12.01% |
| Financial | 7.11% |
| Healthcare | 5.88% |
| Services | 11.53% |
| Technology | 7.62% |
| Transportation | 1.04% |
| Utilities | 4.83% |
Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.
357 Positions as of 03/31/2013
| Company | Class | Value of Shares ($1,000s) |
Change in Value ($1,000s) | Change (%) | Shares Held |
|---|---|---|---|---|---|
| LOCKHEED MARTIN CORP | COM | 1,415 | New | 13,000 | |
| ENTREMED INC | COM NEW | 1,402 | 264 | 23.18 | 697,667 |
| POWERSHARES QQQ TRUST | UNIT SER 1 | 1,379 | -22 | (1.58) | 18,735 |
| MCCORMICK & CO INC | COM NON VTG | 1,359 | .01 | 18,519 | |
| AMERICAN EXPRESS CO | COM | 1,350 | -37 | (2.7) | 18,000 |
| B & G FOODS INC NEW | COM | 1,341 | 34 | 2.58 | 39,761 |
| CENTURYLINK INC | COM | 1,338 | 210 | 18.60 | 36,930 |
| ETHAN ALLEN INTERIORS INC | COM | 1,315 | New | 42,000 | |
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 1,307 | -6 | (0.44) | 11,345 |
| WILLIAMS COS INC DEL | COM | 1,303 | 96 | 7.99 | 39,196 |
| SONY CORP | ADR NEW | 1,290 | -261 | (16.83) | 60,300 |
| BLACKSTONE GROUP L P | COM UNIT LTD | 1,289 | 1,041 | 419.13 | 59,700 |
| DUKE ENERGY CORP NEW | COM NEW | 1,287 | -45 | (3.41) | 18,869 |
| CNH GLOBAL N V | SHS NEW | 1,273 | 322 | 33.78 | 29,345 |
| WESTERN GAS PARTNERS LP | COM UNIT LP IN | 1,266 | -63 | (4.76) | 20,015 |
| UNION PAC CORP | COM | 1,223 | 126 | 11.53 | 7,740 |
| COMMVAULT SYSTEMS INC | COM | 1,221 | 12 | .98 | 15,500 |
| SEAGATE TECHNOLOGY PLC | SHS | 1,215 | 31 | 2.66 | 27,000 |
| BIOGEN IDEC INC | COM | 1,206 | New | 5,719 | |
| BP PLC | SPONSORED ADR | 1,196 | -139 | (10.38) | 27,619 |
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