0001506071-11-000009.txt : 20111115
0001506071-11-000009.hdr.sgml : 20111115
20111115100956
ACCESSION NUMBER: 0001506071-11-000009
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111115
DATE AS OF CHANGE: 20111115
EFFECTIVENESS DATE: 20111115
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Wellington Shields Capital Management, LLC
CENTRAL INDEX KEY: 0001506071
IRS NUMBER: 263489334
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14047
FILM NUMBER: 111205861
BUSINESS ADDRESS:
STREET 1: 140 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10005
BUSINESS PHONE: 212-320-3000
MAIL ADDRESS:
STREET 1: 140 BROADWAY
CITY: NEW YORK
STATE: NY
ZIP: 10005
13F-HR
1
wscmsep2011comb.txt
WSCM
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30,2011
Check here if Amendment [ ]; Amendment Number:
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Wellington Shields Capital Management
Address: 140 Broadway, 44th Floor
New York, NY 10005
13F File Number:
The institutional investment manager filing this report and the person
by whom it is signed hereby represent that the person signing the report
is authorized to submit it, that all information contained herein is true,
correct and complete, and that it is understood that all required items,
statements, schedules, lists, and tables, are considered integral parts
of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name Ralph Scarpa
Title: Co-President
Phone: 212-320-2000
Signature, Place, and Date of Signing:
Ralph Scarpa, New York, New York, November 14, 2011
Signature City, State Date
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 227
Form 13F Information Table Value Total: 295074
(thousands)
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
3-D SYSTEMS CORP COM 88554D205 406 29000 SH SOLE 29000
3M COMPANY COM 88579Y101 975 13575 SH SOLE 13575
ABBOTT LABS COM 002824100 1614 31562 SH SOLE 31562
ACCENTURE LTD COM g1151c101 764 14500 SH SOLE 14500
AK STEEL HOLDING CORP COM 001547108 295 45100 SH SOLE 45100
ALCATEL-LUCENT SPON ADR COM 013904305 222 78328 SH SOLE 78328
ALCOA INC. COM 013817101 185 19380 SH SOLE 19380
ALEXION PHARMACEUTICAL INC COM 015351109 717 11200 SH SOLE 11200
AMAZON.COM INC COM 023135106 275 1270 SH SOLE 1270
AMEDISYS INC COM 023436108 542 36550 SH SOLE 36550
AMERICAN ELECTRIC POWER COM 025537101 373 9800 SH SOLE 9800
AMERICAN EXPRESS COM 025816109 1073 23900 SH SOLE 23900
AMERICAN GREETINGS CORP COM 026375105 203 11000 SH SOLE 11000
AMERICAN SUPERCONDUCTOR COM 030111108 40 10100 SH SOLE 10100
AMERICAN TOWER CORP COM 029912201 979 18200 SH SOLE 18200
AMGEN COM 031162100 1891 34400 SH SOLE 34400
ANADARKO PETR. COM 032511107 701 11112 SH SOLE 11112
ANWORTH MORTGAGE ASSET CORP COM 037347101 108 15818 SH SOLE 15818
APACHE CORP COM 037411105 1087 13543 SH SOLE 13543
APOLLO INVESTMENT CORPORATION COM 03761u106 216 28700 SH SOLE 28700
APPLE COMPUTER COM 037833100 3120 8181 SH SOLE 8181
AQUA AMERICA COM 03836W103 625 28959 SH SOLE 28959
ARCOS DORADOS HOLDINGS INC COM G0457F107 686 29600 SH SOLE 29600
ASHFORD HOSPITALITY COM 044103109 239 34000 SH SOLE 34000
ASTEX PHARMACEUTICALS INC COM 04635B103 20 10645 SH SOLE 10645
AT&T INC. COM 00206R102 3223 112994 SH SOLE 15000 97994
B&G FOODS INC. COM 05508r106 372 22275 SH SOLE 22275
BANK OF AMERICA CORP COM 060505104 324 53000 SH SOLE 53000
BANKRATE INC COM 06646v108 224 14700 SH SOLE 14700
BAXTER INT'L COM 071813109 1665 29650 SH SOLE 29650
BECTON DICKINSON COM 075887109 1959 26725 SH SOLE 7000 19725
BED BATH & BEYOND COM 075896100 271 4725 SH SOLE 4725
BERKSHIRE HATHAWAY 'A' COM 084670108 214 2 SH SOLE 2
BERKSHIRE HATHAWAY INC. CLASS COM 084670702 1315 18515 SH SOLE 18515
BHP BILLITON LIMITED ADR COM 088606108 231 3475 SH SOLE 3475
BIOGEN COM 09062X103 559 6000 SH SOLE 6000
BP PLC ADR COM 055622104 567 15709 SH SOLE 15709
BRISTOL MYERS SQUIBB COM 110122108 2379 75801 SH SOLE 10000 65801
BROADRIDGE FINANCIAL SOLUTIONS COM 11133T103 299 14853 SH SOLE 14853
BUFFALO WILD WINGS INC COM 119848109 616 10300 SH SOLE 10300
CANADIAN NATURAL RESOURCES COM 136385101 285 9750 SH SOLE 9750
CAPITALSOURCE COM 14055x102 127 20742 SH SOLE 20742
CAPSTEAD MORTGAGE CORP COM 14067E506 713 61822 SH SOLE 61822
CELGENE COM 151020104 1155 18650 SH SOLE 18650
CENOVUS ENERGY INC COM 15135U109 660 21500 SH SOLE 15000 6500
CERNER CORP COM 156782104 1040 15180 SH SOLE 15180
CHEVRON CORP. COM 166764100 1346 14541 SH SOLE 14541
CHINA MOBILE LTD COM 16941M109 244 5000 SH SOLE 5000
CLOROX CO COM 189054109 929 14000 SH SOLE 14000
CNH GLOBAL NV NEW COM N20935206 667 25405 SH SOLE 25405
COCA COLA COM 191216100 2327 34439 SH SOLE 34439
COINSTAR INC COM 19259P300 307 7675 SH SOLE 7675
COLGATE PALMOLIVE COM 194162103 924 10420 SH SOLE 10420
COMCAST CORP COM 20030N101 296 14131 SH SOLE 14131
COMPANHIA DE BEBIDAS DAS AMERI COM 20441w203 406 13250 SH SOLE 13250
CONOCOPHILLIPS COM 20825C104 610 9633 SH SOLE 9633
CORN PRODUCTS COM 219023108 627 15966 SH SOLE 15966
CORNING INC COM 219350105 171 13800 SH SOLE 13800
CSX CORP COM 126408103 258 13806 SH SOLE 13806
CVS CORP COM 126650100 744 22140 SH SOLE 22140
DALECO RESOURCES CORP. COM 23437P208 92 708250 SH SOLE 708250
DARLING INTL INC COM 237266101 438 34775 SH SOLE 34775
DEERE & CO. COM 244199105 1031 15960 SH SOLE 15960
DEPOMED INC COM 249908104 62 11500 SH SOLE 11500
DEVON ENERGY COM 25179M103 286 5150 SH SOLE 5150
DISNEY, WALT COM 254687106 791 26233 SH SOLE 26233
DR PEPPER/ SNAPPLE GROUP COM 26138E109 582 15000 SH SOLE 15000
DU PONT (EI) DE NEMOURS COM 263534109 1478 36966 SH SOLE 36966
DUKE ENERGY CORP COM 26441C105 572 28598 SH SOLE 28598
EDUCATION REALTY TRUST INC COM 28140h104 160 18600 SH SOLE 18600
ELI LILLY COM 532457108 521 14082 SH SOLE 14082
EMC CORP COM 268648102 1483 70653 SH SOLE 70653
EMERSON ELECTRIC COM 291011104 1260 30506 SH SOLE 15000 15506
ENTREMED INC NEW COM 29382F202 1050 691027 SH SOLE 691027
EQT CORPORATION COM 26884l109 686 12850 SH SOLE 12850
EQUIFAX COM 294429105 721 23466 SH SOLE 23466
EXPRESS SCRIPTS - A COM 302182100 4179 112740 SH SOLE 112740
EXXON MOBIL CORP COM 30231G102 11402 156986 SH SOLE 156986
F X ENERGY COM 302695101 473 114475 SH SOLE 114475
FLOWERS FOODS INC. COM 343498101 94565 4859455 SH SOLE 2428615 2430840
FLUOR CORP COM 343412102 787 16900 SH SOLE 16900
FORD MOTOR COM 345370860 771 79740 SH SOLE 79740
FOREST OIL CORPORATION COM 346091705 158 11000 SH SOLE 11000
FREEPORT MCMORAN COPPER & GOLD COM 35671D857 337 11080 SH SOLE 11080
FRONTIER COMMUNICATIONS CORP COM 35906a108 577 94516 SH SOLE 94516
FUELCELL ENEGY COM 35952H106 90 107000 SH SOLE 107000
GENERAL CABLE CORP COM 369300108 238 10200 SH SOLE 10200
GENERAL DYNAMICS COM 369550108 259 4550 SH SOLE 4550
GENERAL ELECTRIC COM 369604103 3343 219659 SH SOLE 219659
GENERAL MILLS COM 370334104 1078 28000 SH SOLE 28000
GILEAD SCIENCES INC. COM 375558103 310 8000 SH SOLE 8000
GOOGLE INC COM 38259P508 366 710 SH SOLE 710
GREEN PLAINS RENEWABLE ENERGY COM 393222104 5094 546000 SH SOLE 546000
HANSEN NATURAL CORP COM 411310105 646 7400 SH SOLE 7400
HEALTHSOUTH CORP COM 421924101 260 8650 SH SOLE 8650
HELIX ENERGY SOLUTIONS GROUP COM 42330P107 131 10000 SH SOLE 10000
HEWLETT PACKARD COM 428236103 660 29378 SH SOLE 29378
HJ HEINZ COM 423074103 846 16750 SH SOLE 16750
HOLOGIC INC COM 436440101 812 53400 SH SOLE 53400
HOME DEPOT COM 437076102 1111 33807 SH SOLE 33807
HONEYWELL INTERNATIONAL COM 438516106 588 13382 SH SOLE 13382
ILLUMINA INC. COM 452327109 1285 31400 SH SOLE 31400
IMPERIAL SUGAR CO COM 453096208 1652 256509 SH SOLE 256509
INT'L BUS MACHINES COM 459200101 9465 54125 SH SOLE 54125
INTEL CORP COM 458140100 364 17056 SH SOLE 17056
INTERNATIONAL PAPER COM 460146103 581 25000 SH SOLE 25000
INTERPUBLIC GROUP COM 460690100 122 16900 SH SOLE 16900
IPATH GS CRUDE OIL TOTAL RETUR COM 06738C786 263 13250 SH SOLE 13250
ISHARES JAPAN INC COM 464286848 131 13800 SH SOLE 13800
ISHARES UNITED STATES TREASURY COM 464287176 743 6500 SH SOLE 6500
ISHARES USD CORP BOND COM 464287242 365 3250 SH SOLE 3250
J M SMUCKER CL A COM 832696405 203 2780 SH SOLE 2780
JOHNSON & JOHNSON COM 478160104 3415 53626 SH SOLE 53626
JP MORGAN CHASE COM 46625H100 320 10640 SH SOLE 10640
KIMBERLY CLARK COM 494368103 1723 24271 SH SOLE 24271
KKR & COMPANY LP COM 48248M102 404 38875 SH SOLE 38875
KRAFT FOODS INC. A COM 50075N104 508 15128 SH SOLE 15128
LINN ENERGY LLC COM 536020100 544 15263 SH SOLE 15263
LOEWS CORP COM 540424108 467 13523 SH SOLE 13523
MACQUARIE INFRASTRUCTURE CO LT COM 55608B105 489 21800 SH SOLE 21800
MAIDENFORM BRANDS INC COM 560305104 234 10000 SH SOLE 10000
MASCO CORP COM 574599106 1542 216550 SH SOLE 216550
MASTERCARD INC COM 57636Q104 729 2300 SH SOLE 2300
MCCORMICK & CO-NON VTG SHRS COM 579780206 993 21503 SH SOLE 21503
MCDONALDS CORP COM 580135101 1473 16775 SH SOLE 16775
MCKESSON CORP COM 58155Q103 1365 18770 SH SOLE 18770
MCMORAN EXPLORATION CO COM 582411104 576 57981 SH SOLE 57981
MDU RESOURCES GROUP INC COM 552690109 781 40700 SH SOLE 40700
MEMC ELECTRONIC MATERIALS COM 552715104 64 12300 SH SOLE 12300
MERCK & CO COM 58933y105 2133 65233 SH SOLE 65233
MICROSOFT COM 594918104 2856 114750 SH SOLE 114750
MONSANTO CO. COM 61166W101 209 3488 SH SOLE 3488
MUELLER WATER PRODUCTS INC COM 624758108 40 16000 SH SOLE 16000
NAUTILUS MATERIALS INC COM 639097104 62 26500 SH SOLE 26500
NESTLE S A SPONSORED ADR COM 641069406 430 7800 SH SOLE 7800
NEWELL RUBBERMAID COM 651229106 404 34010 SH SOLE 34010
NEWMONT MINING COM 651639106 315 5000 SH SOLE 5000
NEXEN INC COM 65334H102 349 22500 SH SOLE 22500
NORDIC AMERICAN TANKER SHIPPIN COM G65773106 378 26800 SH SOLE 26800
NORFOLK SOUTHERN COM 655844108 238 3900 SH SOLE 3900
NOVARTIS AG ADR COM 66987v109 3394 60863 SH SOLE 60863
NUSTAR GROUP HOLDINGS LLC COM 67059l102 445 14528 SH SOLE 14528
NUTRISYSTEM INC COM 67069D108 388 32000 SH SOLE 32000
OIL SERVICE HOLDERS TRUST COM 678002106 237 2300 SH SOLE 2300
ONEOK INC COM 682680103 469 7101 SH SOLE 7101
ORACLE SYSTEMS COM 68389X105 216 7500 SH SOLE 7500
OVERSEAS SHIPHOLDING COM 690368105 1697 123500 SH SOLE 123500
OWENS CORNING INC. COM 690742101 293 13500 SH SOLE 13500
PEARSON PLC COM 705015105 214 12200 SH SOLE 12200
PEPSICO COM 713448108 1922 31043 SH SOLE 31043
PERKINELMER COM 714046109 2211 115100 SH SOLE 115100
PERPETUAL ENERGY TRUST COM 714270105 30 16000 SH SOLE 16000
PETROQUEST ENERGY INC COM 716748108 147 26800 SH SOLE 26800
PFIZER COM 717081103 970 54887 SH SOLE 54887
PHILIP MORRIS INTERNATIONAL IN COM 718172109 646 10358 SH SOLE 10358
PLUM CREEK TIMBER COM 729251108 767 22093 SH SOLE 22093
POLYONE CORP COM 73179p106 506 47250 SH SOLE 47250
PROCTER & GAMBLE COM 742718109 4519 71527 SH SOLE 71527
PROGRESS ENERGY COM 743263105 776 15000 SH SOLE 15000
PROSHARES ULTRAPRO ETF COM 74347x831 539 9100 SH SOLE 9100
PROSHARES ULTRAPRO S&P 500 COM 74347X864 247 5375 SH SOLE 5375
QEP RES INC COM 74733V100 566 20900 SH SOLE 20900
QUALCOMM INC COM 747525103 535 11000 SH SOLE 11000
QUANTA SERVICES COM 74762E102 245 13050 SH SOLE 13050
QUESTAR CORP COM 748356102 372 21000 SH SOLE 21000
REGAL ENTERTAINMENT GROUP COM 758766109 489 41667 SH SOLE 41667
RENEWAL FUELS INC COM 75971p101 0 500000 SH SOLE 500000
ROCKWELL AUTOMATION INC COM 773903109 280 5000 SH SOLE 5000
ROCKWELL COLLINS COM 774341101 264 5000 SH SOLE 5000
ROYAL DUTCH SHELL PLC CL A COM 780259206 1699 27625 SH SOLE 27625
RPM INTERNATIONAL INC. COM 749685103 1834 98050 SH SOLE 98050
SANDISK CORPORATION COM 80004C101 847 21000 SH SOLE 21000
SARA LEE CORP COM 803111103 1432 87600 SH SOLE 20000 67600
SCHLUMBERGER LTD COM 806857108 3374 56491 SH SOLE 10000 46491
SEADRILL LTD COM G7945E105 2621 95200 SH SOLE 95200
SENSIENT TECHNOLOGIES CORP COM 81725t100 863 26500 SH SOLE 15000 11500
SIMON PROPERTY GRP COM 828806109 353 3211 SH SOLE 3211
SIRIUS XM RADIO INC COM 82967n108 30 20000 SH SOLE 20000
SNAP ON INC. COM 833034101 1354 30500 SH SOLE 20000 10500
SNYDERS-LANCE INC COM 833551104 3533 169450 SH SOLE 20000 149450
SPDR GOLD TRUST COM 78463v107 237 1500 SH SOLE 1500
SPDR S&P BANK COM 78464a797 175 10000 SH SOLE 10000
SPECTRANETICS COM 84760C107 178 25000 SH SOLE 25000
SPRINT NEXTEL CORP COM 852061100 327 107450 SH SOLE 107450
STANLEY BLACK & DECKER INC COM 854502101 1393 28364 SH SOLE 28364
STARBUCKS COM 855244109 399 10700 SH SOLE 10700
STEEL DYNAMICS COM 858119100 120 12125 SH SOLE 12125
STEPAN CO. COM 858586100 1928 28700 SH SOLE 10000 18700
STERICYCLE INC COM 858912108 1271 15740 SH SOLE 15740
STERIS CORP COM 859152100 253 8650 SH SOLE 8650
STRYKER CORP COM 863667101 698 14800 SH SOLE 14800
SUNCOR ENERGY INC. COM 867224107 451 17725 SH SOLE 17725
SUPERIOR ENERGY SERVICES INC. COM 868157108 303 11560 SH SOLE 11560
SWISHER HYGIENE INC COM 870808102 121 29950 SH SOLE 29950
SYNGENTA COM 87160A100 545 10500 SH SOLE 10500
TALISMAN ENERGY INC COM 87425E103 196 16000 SH SOLE 16000
TARGET CORP. COM 87612E106 1270 25900 SH SOLE 25900
TATE & LYLE COM 876570607 606 15651 SH SOLE 15651
TECO ENERGY COM 872375100 604 35268 SH SOLE 35268
TELEFONICA DE ESPANA ADS COM 879382208 1082 56600 SH SOLE 56600
TEVA PHARM INDUS.-ADR COM 881624209 571 15350 SH SOLE 15350
TEXAS INSTRUMENTS COM 882508104 558 20930 SH SOLE 20930
THE BLACKSTONE GROUP LP COM 09253U108 1495 124775 SH SOLE 124775
THE TRAVELERS COMPANIES INC COM 89417E109 1108 22738 SH SOLE 10000 12738
TIME WARNER CABLE INC COM 88732j207 237 3774 SH SOLE 3774
TOOTSIE ROLL COM 890516107 888 36817 SH SOLE 11938 24879
TUPPERWARE CORP. COM 899896104 1972 36700 SH SOLE 36700
UBS AG JERSEY BRANCH ETN INFRA COM 902664200 464 14819 SH SOLE 14819
UIL HOLDINGS CORP COM 902748102 461 14000 SH SOLE 14000
UNION PACIFIC COM 907818108 270 3305 SH SOLE 3305
UNITED TECH. COM 913017109 464 6600 SH SOLE 6600
UNIVERSAL ELECTRONICS COM 913483103 377 23000 SH SOLE 23000
URANIUM ENERGY COM 916896103 48 17500 SH SOLE 17500
VERIZON COMM COM 92343V104 1974 53653 SH SOLE 53653
VISA INC COM 92826c839 471 5500 SH SOLE 5500
VONAGE HOLDINGS CORP. COM 92886T201 55 21175 SH SOLE 21175
W.P. CAREY & CO LLC COM 92930Y107 331 9080 SH SOLE 9080
WAL-MART STORES COM 931142103 1582 30490 SH SOLE 30490
WALGREEN CO COM 931422109 235 7150 SH SOLE 7150
WASTE MGT. COM 94106L109 222 6825 SH SOLE 6825
WATERS CORP COM 941848103 336 4450 SH SOLE 4450
WD 40 CO. COM 929236107 1255 31500 SH SOLE 31500
WEATHERFORD INTNL COM h27013103 216 17720 SH SOLE 17720
WEYERHAEUSER COM 962166104 588 37825 SH SOLE 37825
WILLIAMS CO COM 969457100 537 22046 SH SOLE 22046
XEROX COM 984121103 124 17774 SH SOLE 17774
YUM BRANDS COM 895953107 835 16900 SH SOLE 16900