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. COM 013817101 192 22180 SH SOLE 22180
ALERIAN MLP ETF COM 00162Q866 194 11700 SH SOLE 11700
ALEXANDER & BALDWIN COM 014482103 234 5725 SH SOLE 5725
ALEXION PHARMACEUTICAL INC COM 015351109 801 11200 SH SOLE 11200
AMAZON.COM INC COM 023135106 389 2245 SH SOLE 2245
AMERICAN ELECTRIC POWER COM 025537101 735 17800 SH SOLE 17800
AMERICAN EXPRESS COM 025816109 1133 24011 SH SOLE 24011
AMERICAN TOWER REIT COM 03027X100 1080 18000 SH SOLE 18000
AMGEN COM 031162100 2723 42400 SH SOLE 42400
ANADARKO PETR. COM 032511107 802 10512 SH SOLE 10512
ANWORTH MORTGAGE ASSET CORP COM 037347101 88 13935 SH SOLE 13935
APACHE CORP COM 037411105 1136 12543 SH SOLE 12543
APOLLO INVESTMENT CORPORATION COM 03761u106 280 43450 SH SOLE 43450
APPLE COMPUTER COM 037833100 3257 8041 SH SOLE 8041
AQUA AMERICA COM 03836W103 660 29947 SH SOLE 29947
ARCHER DANIELS MIDLAND COM 039483102 329 11500 SH SOLE 11500
ARCOS DORADOS HOLDINGS INC COM G0457F107 442 21550 SH SOLE 21550
ASHFORD HOSPITALITY COM 044103109 150 18800 SH SOLE 18800
ASTEX PHARMACEUTICALS INC COM 04635B103 24 12645 SH SOLE 12645
AT&T INC. COM 00206R102 4883 161490 SH SOLE 15000 146490
B&G FOODS INC. COM 05508r106 1102 45775 SH SOLE 45775
BANK OF AMERICA CORP COM 060505104 388 69850 SH SOLE 69850
BAXTER INT'L COM 071813109 1138 23000 SH SOLE 23000
BECTON DICKINSON COM 075887109 1250 16725 SH SOLE 7000 9725
BED BATH & BEYOND COM 075896100 296 5100 SH SOLE 5100
BERKSHIRE HATHAWAY 'A' COM 084670108 230 2 SH SOLE 2
BERKSHIRE HATHAWAY INC. CLASS COM 084670702 1260 16515 SH SOLE 16515
BHP BILLITON LIMITED ADR COM 088606108 249 3525 SH SOLE 3525
BIOGEN COM 09062X103 660 6000 SH SOLE 6000
BOEING CO COM 097023105 638 8700 SH SOLE 8700
BP PLC ADR COM 055622104 1244 29109 SH SOLE 29109
BRISTOL MYERS SQUIBB COM 110122108 3315 94072 SH SOLE 10000 84072
BROADRIDGE FINANCIAL SOLUTIONS COM 11133T103 282 12503 SH SOLE 12503
BRUNSWICK CORP COM 117043109 1969 109000 SH SOLE 109000
BUFFALO WILD WINGS INC COM 119848109 695 10300 SH SOLE 10300
CABELAS COM 126804301 1413 55600 SH SOLE 55600
CALCOL INC COM 128699105 2 20000 SH SOLE 20000
CANADIAN NATURAL RESOURCES COM 136385101 364 9750 SH SOLE 9750
CAPITALSOURCE COM 14055x102 136 20350 SH SOLE 20350
CAPSTEAD MORTGAGE CORP COM 14067E506 1241 99742 SH SOLE 99742
CATERPILLAR COM 149123101 952 10510 SH SOLE 10510
CELGENE COM 151020104 1859 27500 SH SOLE 27500
CENOVUS ENERGY INC COM 15135U109 682 20550 SH SOLE 15000 5550
CENTURYLINK INC COM 156700106 678 18238 SH SOLE 18238
CHEVRON CORP. COM 166764100 2547 23937 SH SOLE 23937
CHICAGO BRIDGE & IRON COM 167250109 1777 47000 SH SOLE 47000
CHINA MOBILE LTD COM 16941M109 242 5000 SH SOLE 5000
CISCO SYSTEMS COM 17275R102 195 10808 SH SOLE 10808
CLOROX CO COM 189054109 1032 15500 SH SOLE 15500
CNH GLOBAL NV NEW COM N20935206 1012 28130 SH SOLE 28130
COCA COLA COM 191216100 2878 41139 SH SOLE 41139
COINSTAR INC COM 19259P300 384 8415 SH SOLE 8415
COLGATE PALMOLIVE COM 194162103 776 8400 SH SOLE 8400
COMCAST CORP COM 20030N101 379 15976 SH SOLE 15976
COMPANHIA DE BEBIDAS DAS AMERI COM 20441w203 485 13450 SH SOLE 13450
CONOCOPHILLIPS COM 20825C104 921 12633 SH SOLE 12633
CONSOLIDATED EDISON COM 209115104 304 4902 SH SOLE 4902
CORN PRODUCTS COM 219023108 1058 20126 SH SOLE 20126
CORNING INC COM 219350105 223 17200 SH SOLE 17200
CSX CORP COM 126408103 913 43360 SH SOLE 43360
CVS CORP COM 126650100 901 22100 SH SOLE 22100
DALECO RESOURCES CORP. COM 23437P208 125 781250 SH SOLE 781250
DARLING INTL INC COM 237266101 425 32000 SH SOLE 32000
DEERE & CO. COM 244199105 1188 15360 SH SOLE 15360
DEPOMED INC COM 249908104 60 11500 SH SOLE 11500
DEVON ENERGY COM 25179M103 567 9150 SH SOLE 9150
DISNEY, WALT COM 254687106 947 25265 SH SOLE 25265
DOLLAR GEN CORP COM 256677105 617 15000 SH SOLE 15000
DOMINION RESOURCES COM 25746U109 653 12300 SH SOLE 12300
16 300 SH OTHER 300
DR PEPPER/ SNAPPLE GROUP COM 26138E109 948 24000 SH SOLE 24000
DU PONT (EI) DE NEMOURS COM 263534109 2059 44980 SH SOLE 44980
DUKE ENERGY CORP COM 26441C105 932 42384 SH SOLE 42384
11 500 SH OTHER 500
ELI LILLY COM 532457108 693 16679 SH SOLE 16679
EMC CORP COM 268648102 1471 68303 SH SOLE 68303
EMC METALS CORP COM 268665106 42 384100 SH SOLE 384100
EMERSON ELECTRIC COM 291011104 3353 71959 SH SOLE 15000 56959
ENTREMED INC NEW COM 29382F202 626 659379 SH SOLE 659379
EQT CORPORATION COM 26884l109 704 12850 SH SOLE 12850
EQUIFAX COM 294429105 909 23466 SH SOLE 23466
EXPRESS SCRIPTS - A COM 302182100 5139 114990 SH SOLE 114990
EXXON MOBIL CORP COM 30231G102 20468 241485 SH SOLE 241485
F X ENERGY COM 302695101 624 129900 SH SOLE 129900
FLOWERS FOODS INC. COM 343498101 92830 4890945 SH SOLE 2428615 2462330
FLUOR CORP COM 343412102 869 17300 SH SOLE 17300
FMC TECHNOLOGIES INC COM 30249U101 326 6250 SH SOLE 6250
FORD MOTOR COM 345370860 1093 101565 SH SOLE 101565
FOREST OIL CORPORATION COM 346091705 237 17500 SH SOLE 17500
FORTUNE BRANDS HOME & SECURITY COM 34964c106 3551 208500 SH SOLE 30000 178500
FREEPORT MCMORAN COPPER & GOLD COM 35671D857 636 17280 SH SOLE 17280
FRONTIER COMMUNICATIONS CORP COM 35906a108 327 63406 SH SOLE 63406
FUELCELL ENEGY COM 35952H106 39 45000 SH SOLE 45000
GENERAL DYNAMICS COM 369550108 302 4550 SH SOLE 4550
GENERAL ELECTRIC COM 369604103 5027 280655 SH SOLE 280655
GENERAL MILLS COM 370334104 1131 28000 SH SOLE 28000
GILEAD SCIENCES INC. COM 375558103 327 8000 SH SOLE 8000
GOODYEAR TIRE & RUBBER COM 382550101 142 10000 SH SOLE 10000
GOOGLE INC COM 38259P508 3051 4723 SH SOLE 4723
GREEN PLAINS RENEWABLE ENERGY COM 393222104 5143 526925 SH SOLE 526925
HEALTHSOUTH CORP COM 421924101 200 5950 SH SOLE 5950
HECKMANN CORP COM 422680108 68 10200 SH SOLE 10200
HELIX ENERGY SOLUTIONS GROUP COM 42330P107 158 10000 SH SOLE 10000
HERSHEY FOODS COM 427866108 217 3507 SH SOLE 3507
HEWLETT PACKARD COM 428236103 263 10229 SH SOLE 10229
HJ HEINZ COM 423074103 1229 22750 SH SOLE 22750
HOME DEPOT COM 437076102 1849 43986 SH SOLE 43986
HONEYWELL INTERNATIONAL COM 438516106 840 15457 SH SOLE 15457
ILLINOIS TOOL WORKS COM 452308109 406 8700 SH SOLE 8700
ILLUMINA INC. COM 452327109 898 29470 SH SOLE 29470
IMPERIAL SUGAR CO COM 453096208 519 145400 SH SOLE 145400
INT'L BUS MACHINES COM 459200101 12054 65555 SH SOLE 65555
INTEL CORP COM 458140100 654 26956 SH SOLE 26956
INTUITIVE SURGICAL INC COM 46120E602 1065 2300 SH SOLE 2300
IPATH GS CRUDE OIL TOTAL RETUR COM 06738C786 355 14125 SH SOLE 14125
ISHARES MSCI BRAZIL INDEX FUND COM 464286400 451 7865 SH SOLE 7865
ISHARES UNITED STATES TREASURY COM 464287176 758 6500 SH SOLE 6500
ISHARES USD CORP BOND COM 464287242 381 3350 SH SOLE 3350
J M SMUCKER CL A COM 832696405 217 2780 SH SOLE 2780
JOHNSON & JOHNSON COM 478160104 5033 76751 SH SOLE 76751
JOHNSON CONTROLS INC. COM 478366107 485 15500 SH SOLE 15500
JP MORGAN CHASE COM 46625H100 537 16137 SH SOLE 16137
KELLOGG CO COM 487836108 334 6600 SH SOLE 6600
KIMBERLY CLARK COM 494368103 1932 26271 SH SOLE 26271
KINDER MORGAN COM 49455P101 315 9797 SH SOLE 9797
KKR & COMPANY LP COM 48248M102 534 41625 SH SOLE 41625
KRAFT FOODS INC. A COM 50075N104 639 17093 SH SOLE 17093
LINN ENERGY LLC COM 536020100 712 18782 SH SOLE 18782
LOCKHEED MARTIN COM 539830109 1052 13000 SH SOLE 13000
LOEWS CORP COM 540424108 509 13523 SH SOLE 13523
LONE PINE RESOUCES INC COM 54222a106 75 10706 SH SOLE 10706
MACQUARIE INFRASTRUCTURE CO LT COM 55608B105 717 25650 SH SOLE 25650
MASCO CORP COM 574599106 1368 130500 SH SOLE 130500
MASTERCARD INC COM 57636Q104 2591 6950 SH SOLE 6950
MCCORMICK & CO-NON VTG SHRS COM 579780206 1110 22006 SH SOLE 22006
MCDONALDS CORP COM 580135101 2064 20575 SH SOLE 20575
MCKESSON CORP COM 58155Q103 1444 18540 SH SOLE 18540
MCMORAN EXPLORATION CO COM 582411104 984 67631 SH SOLE 67631
MDU RESOURCES GROUP INC COM 552690109 873 40700 SH SOLE 40700
MEDCO COM 58405U102 214 3832 SH SOLE 3832
MEDTRONIC COM 585055106 317 8300 SH SOLE 8300
MERCK & CO COM 58933y105 2342 62118 SH SOLE 62118
MICROSOFT COM 594918104 3612 139125 SH SOLE 139125
MONSANTO CO. COM 61166W101 244 3488 SH SOLE 3488
NATIONAL FUEL GAS CO COM 636180101 656 11803 SH SOLE 11803
NESTLE S A SPONSORED ADR COM 641069406 473 8200 SH SOLE 8200
NEW YORK COM BANCORP COM 649445103 335 27100 SH SOLE 27100
NEWELL RUBBERMAID COM 651229106 388 24015 SH SOLE 24015
NEWMONT MINING COM 651639106 864 14400 SH SOLE 14400
NEXEN INC COM 65334H102 438 27500 SH SOLE 27500
NEXTERA ENERGY INC COM 65339F101 479 7875 SH SOLE 7875
NORDIC AMERICAN TANKER SHIPPIN COM G65773106 222 18500 SH SOLE 18500
NORFOLK SOUTHERN COM 655844108 284 3900 SH SOLE 3900
NOVARTIS AG ADR COM 66987v109 1060 18540 SH SOLE 18540
NUSTAR GROUP HOLDINGS LLC COM 67059l102 483 14528 SH SOLE 14528
NV ENERGY INC COM 67073Y106 245 15000 SH SOLE 15000
ONEOK INC COM 682680103 620 7148 SH SOLE 7148
ORACLE SYSTEMS COM 68389X105 347 13545 SH SOLE 13545
OVERSEAS SHIPHOLDING COM 690368105 1148 105050 SH SOLE 105050
OWENS CORNING INC. COM 690742101 388 13500 SH SOLE 13500
PAYCHEX INC COM 704326107 337 11200 SH SOLE 11200
PEARSON PLC COM 705015105 237 12550 SH SOLE 12550
PEPSICO COM 713448108 3047 45925 SH SOLE 45925
PERKINELMER COM 714046109 1144 57200 SH SOLE 57200
PERPETUAL ENERGY TRUST COM 714270105 14 12000 SH SOLE 12000
PETROQUEST ENERGY INC COM 716748108 98 14800 SH SOLE 14800
PFIZER COM 717081103 1384 63958 SH SOLE 63958
PHILIP MORRIS INTERNATIONAL IN COM 718172109 782 9969 SH SOLE 9969
PLUM CREEK TIMBER COM 729251108 824 22543 SH SOLE 22543
POLO RALPH LAUREN CORP COM 731572103 414 3000 SH SOLE 3000
POLYONE CORP COM 73179p106 546 47250 SH SOLE 47250
PRICESMART INC COM 741511109 501 7200 SH SOLE 7200
PROCTER & GAMBLE COM 742718109 6492 97315 SH SOLE 97315
PROGRESS ENERGY COM 743263105 891 15900 SH SOLE 15900
PROSHARES ULTRA DOW 30 ETF COM 74347r305 283 4725 SH SOLE 4725
PROSHARES ULTRAPRO ETF COM 74347x831 563 8275 SH SOLE 8275
QEP RES INC COM 74733V100 577 19700 SH SOLE 19700
QUALCOMM INC COM 747525103 714 13050 SH SOLE 13050
QUANTA SERVICES COM 74762E102 224 10400 SH SOLE 10400
QUESTAR CORP COM 748356102 393 19800 SH SOLE 19800
REGAL ENTERTAINMENT GROUP COM 758766109 569 47667 SH SOLE 47667
RENEWAL FUELS INC COM 75971p101 0 500000 SH SOLE 500000
RIVERBED TECHNOLOGY COM 768573107 216 9200 SH SOLE 9200
ROCKWELL AUTOMATION INC COM 773903109 367 5000 SH SOLE 5000
ROCKWELL COLLINS COM 774341101 277 5000 SH SOLE 5000
ROFIN SINAR TECH INC. COM 775043102 366 16000 SH SOLE 16000
ROWAN COMPANIES COM 779382100 291 9600 SH SOLE 9600
ROYAL DUTCH SHELL PLC CL A COM 780259206 3707 50725 SH SOLE 50725
RPM INTERNATIONAL INC. COM 749685103 2538 103400 SH SOLE 103400
SANDISK CORPORATION COM 80004C101 787 16000 SH SOLE 16000
SARA LEE CORP COM 803111103 1080 57100 SH SOLE 20000 37100
SCANA CORP COM 80589M102 221 4900 SH SOLE 4900
SCHLUMBERGER LTD COM 806857108 4728 69219 SH SOLE 10000 59219
SEADRILL LTD COM G7945E105 2593 78150 SH SOLE 78150
SENSIENT TECHNOLOGIES CORP COM 81725t100 1004 26500 SH SOLE 15000 11500
SIMON PROPERTY GRP COM 828806109 285 2211 SH SOLE 2211
SIRIUS XM RADIO INC COM 82967n108 36 20000 SH SOLE 20000
SNAP ON INC. COM 833034101 1544 30500 SH SOLE 20000 10500
SNYDERS-LANCE INC COM 833551104 4681 208050 SH SOLE 30000 178050
SOUTHERN COMPANY COM 842587107 310 6700 SH SOLE 6700
SPDR GOLD TRUST COM 78463v107 342 2250 SH SOLE 2250
SPECTRANETICS COM 84760C107 180 25000 SH SOLE 25000
SPRINT NEXTEL CORP COM 852061100 278 118750 SH SOLE 118750
STANLEY BLACK & DECKER INC COM 854502101 2188 32364 SH SOLE 32364
STARBUCKS COM 855244109 492 10700 SH SOLE 10700
STEEL DYNAMICS COM 858119100 183 13925 SH SOLE 13925
STEPAN CO. COM 858586100 3102 38700 SH SOLE 10000 28700
STERICYCLE INC COM 858912108 1226 15740 SH SOLE 15740
STRYKER CORP COM 863667101 298 6000 SH SOLE 6000
SUNCOR ENERGY INC. COM 867224107 612 21225 SH SOLE 21225
SUPERIOR ENERGY SERVICES INC. COM 868157108 359 12610 SH SOLE 12610
SWISHER HYGIENE INC COM 870808102 41 11050 SH SOLE 11050
SYNGENTA COM 87160A100 613 10400 SH SOLE 10400
TALISMAN ENERGY INC COM 87425E103 204 16000 SH SOLE 16000
TARGET CORP. COM 87612E106 1346 26277 SH SOLE 26277
TATE & LYLE COM 876570607 714 16158 SH SOLE 16158
TECO ENERGY COM 872375100 1187 62027 SH SOLE 62027
TELEFONICA DE ESPANA ADS COM 879382208 719 41810 SH SOLE 41810
TEVA PHARM INDUS.-ADR COM 881624209 806 19968 SH SOLE 19968
TEXAS INSTRUMENTS COM 882508104 608 20880 SH SOLE 20880
TEXTAINER GROUP HOLDINGS LTD COM G8766E109 233 8000 SH SOLE 8000
THE BLACKSTONE GROUP LP COM 09253U108 1016 72500 SH SOLE 72500
THE TRAVELERS COMPANIES INC COM 89417E109 1594 26938 SH SOLE 10000 16938
TIME WARNER CABLE INC COM 88732j207 259 4074 SH SOLE 4074
TOOTSIE ROLL COM 890516107 818 34565 SH SOLE 11938 22627
TUPPERWARE CORP. COM 899896104 1931 34500 SH SOLE 34500
UIL HOLDINGS CORP COM 902748102 849 24000 SH SOLE 24000
UNION PACIFIC COM 907818108 668 6305 SH SOLE 6305
UNITED HEALTHGROUP COM 91324P102 286 5634 SH SOLE 5634
UNITED PARCEL SERVICE COM 911312106 433 5912 SH SOLE 5912
UNITED STATIONERS INC COM 913004107 326 10000 SH SOLE 10000
UNITED TECH. COM 913017109 987 13500 SH SOLE 13500
UNIVERSAL ELECTRONICS COM 913483103 388 23000 SH SOLE 23000
URANIUM ENERGY COM 916896103 54 17500 SH SOLE 17500
VALUECLICK INC COM 92046N102 466 28580 SH SOLE 28580
VERIZON COMM COM 92343V104 3227 80434 SH SOLE 80434
VISA INC COM 92826c839 558 5500 SH SOLE 5500
VODAFONE PLC COM 92857W209 744 26529 SH SOLE 26529
W.P. CAREY & CO LLC COM 92930Y107 404 9880 SH SOLE 9880
WAL-MART STORES COM 931142103 1822 30490 SH SOLE 30490
WALGREEN CO COM 931422109 964 29150 SH SOLE 29150
WASTE MGT. COM 94106L109 272 8325 SH SOLE 8325
WATERS CORP COM 941848103 315 4250 SH SOLE 4250
WD 40 CO. COM 929236107 1277 31600 SH SOLE 31600
WEATHERFORD INTNL COM h27013103 244 16700 SH SOLE 16700
WESTERN DIGITAL CORP COM 958102105 231 7475 SH SOLE 7475
WEYERHAEUSER COM 962166104 325 17400 SH SOLE 17400
WGL HOLDINGS INC. COM 92924F106 354 8000 SH SOLE 8000
WILLIAMS CO COM 969457100 903 27346 SH SOLE 27346
XEROX COM 984121103 159 19974 SH SOLE 19974
YAHOO COM 984332106 318 19730 SH SOLE 19730
YUM BRANDS COM 895953107 997 16900 SH SOLE 16900