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. 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