WELLINGTON SHIELDS CAPITAL MANAGEMENT, LLC Information

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

Report Date: 12/31/2014

Position Statistics

Total Positions 382
New Positions 32
Increased Positions 114
Decreased Positions 160
Positions with Activity 274
Sold Out Positions 41
Total Mkt Value (in $ millions) 656

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

Sector Weighting

Basic Materials 3.89%
Capital Goods 3.13%
Conglomerates 0.03%
Consumer Cyclical 3.6%
Consumer/Non-Cyclical 36.62%
Energy 6.4%
Financial 7.66%
Healthcare 8.3%
Services 15.93%
Technology 9.68%
Transportation 1.38%
Utilities 2.22%

382 Positions as of 12/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
BROADRIDGE FINL SOLUTIONS INC COM 1,674 -53 (3.09) 31,348
ALIBABA GROUP HLDG LTD SPONSORED ADS 1,671 1,671 New 19,550
MCDONALDS CORP COM 1,669 -139 (7.68) 16,649
BAXTER INTL INC COM 1,665 New 24,050
CISCO SYS INC COM 1,632 -59 (3.47) 55,650
UNION PAC CORP COM 1,619 -93 (5.43) 13,694
AMERICAN AIRLS GROUP INC COM 1,596 1,596 New 32,600
BERKSHIRE HATHAWAY INC DEL CL B NEW 1,572 New 10,848
VALEANT PHARMACEUTICALS INTL I COM 1,524 -244 (13.79) 7,500
WALGREENS BOOTS ALLIANCE INC COM 1,511 -42 (2.67) 18,200
DUKE ENERGY CORP NEW COM NEW 1,476 New 19,153
GRAINGER W W INC COM 1,475 708 92.31 6,250
FORTUNE BRANDS HOME & SEC INC COM 1,437 New 31,000
AMAZON COM INC COM 1,437 -119 (7.63) 3,755
BP PLC SPONSORED ADR 1,436 -62 (4.16) 34,566
CELGENE CORP COM 1,435 395 37.93 12,000
ARES CAP CORP COM 1,418 -148 (9.48) 81,160
IRIDIUM COMMUNICATIONS INC COM 1,417 -327 (18.76) 148,516
WHITEWAVE FOODS CO COM 1,367 New 32,186
WENDYS CO COM 1,365 New 123,900