0001506071-16-000005.txt : 20160208
0001506071-16-000005.hdr.sgml : 20160208
20160208155502
ACCESSION NUMBER: 0001506071-16-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20151231
FILED AS OF DATE: 20160208
DATE AS OF CHANGE: 20160208
EFFECTIVENESS DATE: 20160208
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: 161395642
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
primary_doc.xml
13F-HR
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false
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0001506071
XXXXXXXX
12-31-2015
12-31-2015
Wellington Shields Capital Management, LLC
140 BROADWAY
NEW YORK
NY
10005
13F HOLDINGS REPORT
028-14047
N
Steve Portas
CCO
212-732-6800
Steve Portas
New York
NY
02-08-2016
0
314
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MICROSOFT CORPORATION
COM
594918104
7046
126992
SH
SOLE
0
0
126992
MIDDLEBY CORP
COM
596278101
316
2925
SH
SOLE
0
0
2925
MONDELEZ INTERNATIONAL
COM
609207105
375
8374
SH
SOLE
0
0
8374
MONSTER BEVERAGE CORP
COM
61174X109
1013
6800
SH
SOLE
0
0
6800
NATIONAL FUEL GAS CO
COM
636180101
299
7000
SH
SOLE
0
0
7000
NESTLE SA SPON ADR REPSTG REG
COM
641069406
1234
16580
SH
SOLE
0
0
16580
NEW ORIENTAL EDUCATION
COM
647581107
329
10500
SH
SOLE
0
0
10500
NEXTERA ENERGY INC
COM
65339F101
714
6875
SH
SOLE
0
0
6875
NIELSEN HOLDINGS PLC
COM
G6518l108
680
14600
SH
SOLE
0
0
14600
NIKE
COM
654106103
2131
34102
SH
SOLE
0
0
34102
NORDSTROM INC COM
COM
655664100
1021
20500
SH
SOLE
0
0
20500
NORTHROP GRUMMAN CORP
COM
666807102
3920
20760
SH
SOLE
0
0
20760
NORWEGIAN CRUISE LINE HOLDINGS
COM
G66721104
2126
36275
SH
SOLE
0
0
36275
NOVARTIS AG-ADR
COM
66987V109
634
7366
SH
SOLE
0
0
7366
OUTFRONT MEDIA INC
COM
69007J106
667
30566
SH
SOLE
0
0
30566
OWENS CORNING INC.
COM
690742101
379
8050
SH
SOLE
0
0
8050
PALO ALTO NETWORKS INC
COM
697435105
2412
13691
SH
SOLE
0
0
13691
PAYCHEX INC
COM
704326107
553
10450
SH
SOLE
0
0
10450
PAYPAL HOLDINGS INC
COM
70450Y103
1884
52055
SH
SOLE
0
0
52055
PENTAIR PLC
COM
G7S00T104
325
6566
SH
SOLE
0
0
6566
PEPSICO INC
COM
713448108
12172
121813
SH
SOLE
0
0
121813
PERKINELMER INC
COM
714046109
305
5700
SH
SOLE
0
0
5700
PFIZER INC
COM
717081103
4513
139803
SH
SOLE
15000
0
124803
PHILIP MORRIS INTERNAT
COM
718172109
958
10903
SH
SOLE
0
0
10903
PHILLIPS 66
COM
718546104
871
10644
SH
SOLE
0
0
10644
PINNACLE FOODS INC
COM
72348P104
645
15200
SH
SOLE
0
0
15200
PLUM CREEK TIMBER CO INC
COM
729251108
785
16443
SH
SOLE
0
0
16443
POLYONE CORP
COM
73179p106
583
18346
SH
SOLE
0
0
18346
PORTLAND GENERAL ELECTRIC CO
COM
736508847
495
13600
SH
SOLE
0
0
13600
POWERSHARES DYNAMIC MKT
COM
73935X823
604
24020
SH
SOLE
0
0
24020
POWERSHARES QQQ TRUST
COM
73935A104
2094
18718
SH
SOLE
0
0
18718
PROCTER & GAMBLE COMPANY
COM
742718109
5426
68323
SH
SOLE
0
0
68323
PUREFUNDS ISE CYBER SECURITY E
COM
30304R407
333
12875
SH
SOLE
0
0
12875
QEP RES INC
COM
74733V100
145
10800
SH
SOLE
0
0
10800
QUALCOMM INC
COM
747525103
367
7350
SH
SOLE
0
0
7350
QUESTAR CORP
COM
748356102
304
15600
SH
SOLE
0
0
15600
RAYTHEON CO
COM
755111507
1946
15625
SH
SOLE
0
0
15625
REGAL ENTERTAINMENT GROUP
COM
758766109
377
20000
SH
SOLE
0
0
20000
RENAISSANCE RE HOLDINGS LTD
COM
G7496G103
207
1831
SH
SOLE
0
0
1831
RITE AID CORP
COM
767754104
118
15010
SH
SOLE
0
0
15010
ROCHE
COM
771195104
310
9000
SH
SOLE
0
0
9000
ROCKET FUEL INC
COM
773111109
79
22700
SH
SOLE
0
0
22700
ROCKWELL AUTOMATION INC
COM
773903109
513
5000
SH
SOLE
0
0
5000
ROCKWELL COLLINS
COM
774341101
461
5000
SH
SOLE
0
0
5000
ROYAL DUTCH SHELL PLC CL A
COM
780259206
2032
44375
SH
SOLE
0
0
44375
RPM INTERNATIONAL INC.
COM
749685103
1216
27600
SH
SOLE
0
0
27600
SAFEGUARD SCIENTIFIC INC
COM
786449207
638
44000
SH
SOLE
0
0
44000
SCHLUMBERGER LTD
COM
806857108
3334
47800
SH
SOLE
10000
0
37800
SEARCHLIGHT MINERALS CORP
COM
812224202
2
15000
SH
SOLE
0
0
15000
SECTOR SPDR CYCLICL TRNP
COM
81369Y407
853
10909
SH
SOLE
0
0
10909
SECTOR SPDR ENERGY
COM
81369Y506
540
8945
SH
SOLE
0
0
8945
SECTOR SPDR FINANCIAL
COM
81369Y605
467
19613
SH
SOLE
0
0
19613
SECTOR SPDR HEALTHCARE
COM
81369Y209
1135
15760
SH
SOLE
0
0
15760
SENIOR HOUSING PROPERTIES TRUS
COM
81721M109
260
17500
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SOLE
0
0
17500
SENOMYX INC
COM
81724Q107
124
33000
SH
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0
0
33000
SENSIENT TECHNOLOGIES CORP
COM
81725t100
4179
66522
SH
SOLE
15000
0
51522
SHERWIN WILLIAMS CO COM
COM
824348106
223
860
SH
SOLE
0
0
860
SIENTRA INC
COM
82621J105
108
18300
SH
SOLE
0
0
18300
SIMON PROPERTY GROUP INC REIT
COM
828806109
624
3211
SH
SOLE
0
0
3211
SIRIUX XM HOLDINGS INC
COM
82968B103
59
14500
SH
SOLE
0
0
14500
SNAP ON INC.
COM
833034101
5486
32000
SH
SOLE
20000
0
12000
SNYDERS-LANCE INC
COM
833551104
3343
97461
SH
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30000
0
67461
SONY CORP
COM
835699307
436
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0
0
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SPDR BARCLAYS CONV SEC ETF
COM
78464A359
672
15516
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SOLE
0
0
15516
SPDR GOLD TRUST
COM
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608
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0
0
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SPDR S&P 500 ETF TR
COM
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235
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0
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SPDR S&P AEROSPACE & DEFENSE E
COM
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509
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0
0
9629
SPDR S&P DIVIDEND ETF
COM
78464A763
858
11660
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0
0
11660
SPDR S&P REGIONAL BANKING ETF
COM
78464A698
527
12571
SH
SOLE
0
0
12571
SPECTRANETICS CORP
COM
84760C107
517
34300
SH
SOLE
0
0
34300
ST. JUDE MEDICAL
COM
790849103
2020
32695
SH
SOLE
0
0
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STANLEY BLACK & DECKER INC
COM
854502101
2217
20775
SH
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10000
0
10775
STARBUCKS
COM
855244109
3468
57769
SH
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0
57769
STEPAN CO.
COM
858586100
1530
30800
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20000
0
10800
STERICYCLE INC
COM
858912108
486
4030
SH
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0
0
4030
STONE & WEBSTER INC ESCROW
COM
861ESC994
0
64000
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SOLE
0
0
64000
STRYKER CORP
COM
863667101
249
2675
SH
SOLE
0
0
2675
SUNEDISON INC
COM
86732Y109
58
11400
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SOLE
0
0
11400
SYMANTEC CORP.
COM
871503108
480
22850
SH
SOLE
0
0
22850
SYSCO CORP
COM
871829107
8037
196013
SH
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0
0
196013
SYSOREX GLOBAL HOLDINGS INC
COM
87184N203
15
26000
SH
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0
0
26000
TARGET CORP
COM
87612E106
896
12344
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SOLE
0
0
12344
TASER INTERNATIONAL INC
COM
87651B104
523
30250
SH
SOLE
0
0
30250
TATE & LYLE PLC SPONSORED ADR
COM
876570607
334
9408
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SOLE
0
0
9408
TECHNOLOGY SELECT SECTOR SPDR
COM
81369Y803
464
10840
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0
0
10840
TECO ENERGY INC
COM
872375100
278
10442
SH
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0
0
10442
TEGNA INC
COM
87901J105
523
20500
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SOLE
0
0
20500
TETRA TECH INC NEW
COM
88162G103
1402
53900
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0
0
53900
TEXAS INSTRUMENTS
COM
882508104
761
13880
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0
0
13880
THE KRAFT HEINZ COMPANY
COM
500754106
2800
38480
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SOLE
0
0
38480
THE TRAVELERS COMPANIES INC
COM
89417E109
2929
25950
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10000
0
15950
THOMSON REUTERS CORP
COM
884903105
208
5500
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0
0
5500
THOR INDS INC.
COM
885160101
637
11350
SH
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0
11350
TIME WARNER INC
COM
887317303
824
12746
SH
SOLE
0
0
12746
TRACTOR SUPPLY
COM
892356106
1103
12900
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SOLE
0
0
12900
TREEHOUSE FOODS INC.
COM
89469a104
5102
65030
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0
0
65030
TWITTER INC
COM
90184L102
1023
44200
SH
SOLE
0
0
44200
UNDER ARMOUR INC -CL A
COM
904311107
1089
13505
SH
SOLE
0
0
13505
UNION PACIFIC
COM
907818108
1270
16244
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SOLE
0
0
16244
UNITED NATURAL FOODS INC
COM
911163103
3531
89720
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0
0
89720
UNITED PARCEL SERVICE
COM
911312106
694
7212
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0
0
7212
UNITED TECH.
COM
913017109
1275
13273
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0
13273
UNITEDHEALTH GROUP
COM
91324P102
630
5357
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0
0
5357
UNIVERSAL ELECTRONICS
COM
913483103
359
7000
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SOLE
0
0
7000
URANIUM ENERGY CORP
COM
916896103
14
13000
SH
SOLE
0
0
13000
VANGUARD FTSE ETF
COM
922042874
1610
32277
SH
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0
0
32277
VANGUARD UTILITIES ETF
COM
92204A876
272
2900
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0
0
2900
VEOLIA ENVIRONMENT
COM
92334N103
205
8700
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0
0
8700
VERISK ANALYTICS INC
COM
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1042
13550
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0
0
13550
VERIZON COMMUNICATIONS INC
COM
92343V104
4654
100702
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0
0
100702
VISA INC
COM
92826C839
2845
36691
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0
0
36691
VODAFONE GROUP PLC
COM
92857W308
604
18723
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0
0
18723
W.P. CAREY INC.
COM
92936U109
901
15278
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SOLE
0
0
15278
WAL-MART STORES
COM
931142103
1594
26000
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0
0
26000
WALGREEN BOOTS ALLIANCE INC
COM
931427108
596
7000
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SOLE
0
0
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WALT DISNEY CO/THE
COM
254687106
4751
45216
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0
0
45216
WASTE MGT.
COM
94106L109
364
6825
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0
0
6825
WD 40 CO.
COM
929236107
1673
16960
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0
0
16960
WEC ENERGY GROUP INC
COM
92939U106
462
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0
0
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WELLS FARGO & COMPANY
COM
949746101
479
8807
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0
0
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WENDY'S COMPANY
COM
95058W100
618
57408
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0
0
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WEYERHAEUSER CO
COM
962166104
3436
114601
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0
0
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WGL HOLDINGS INC.
COM
92924F106
504
8000
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0
0
8000
WHEELER REIT
COM
963025101
110
57120
SH
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40020
0
17100
WHITEWAVE FOODS CO
COM
966244105
1291
33186
SH
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0
0
33186
WHOLE FOOD MRT
COM
966837106
201
6000
SH
SOLE
0
0
6000
WILLIAMS CO
COM
969457100
1208
46990
SH
SOLE
0
0
46990
WINDSTREAM HOLDINGS INC
COM
97382A200
426
66150
SH
SOLE
0
0
66150
XEROX
COM
984121103
601
56530
SH
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0
0
56530
XPO LOGISTICS INC
COM
983793100
440
16150
SH
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0
0
16150
YUM BRANDS
COM
988498101
928
12700
SH
SOLE
0
0
12700
ZIMMER BIOMET HOLDINGS INC
COM
98956P102
221
2150
SH
SOLE
0
0
2150