0001506071-12-000002.txt : 20120213 0001506071-12-000002.hdr.sgml : 20120213 20120213130831 ACCESSION NUMBER: 0001506071-12-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120213 DATE AS OF CHANGE: 20120213 EFFECTIVENESS DATE: 20120213 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: 12597349 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 wscmdec2011comb.txt WSCM 13F DEC 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31,2011 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, February 13, 2012 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: 257 Form 13F Information Table Value Total: 367369 (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 1319 91600 SH SOLE 91600 3M COMPANY COM 88579Y101 1733 21210 SH SOLE 21210 ABBOTT LABS COM 002824100 2077 36941 SH SOLE 36941 ACCENTURE LTD COM g1151c101 740 13900 SH SOLE 13900 ACE LTD. COM H0023r105 484 6900 SH SOLE 6900 AK STEEL HOLDING CORP COM 001547108 303 36700 SH SOLE 36700 ALBEMARLE CORP COM 012653101 469 9100 SH SOLE 9100 ALCOA INC. 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