0001506071-17-000001.txt : 20170202
0001506071-17-000001.hdr.sgml : 20170202
20170202110914
ACCESSION NUMBER: 0001506071-17-000001
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170202
DATE AS OF CHANGE: 20170202
EFFECTIVENESS DATE: 20170202
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: 17567244
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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0001506071
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12-31-2016
12-31-2016
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
02-02-2017
0
318
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37319
SH
SOLE
0
0
37319
METLIFE INC
COM
59156R108
1536
28500
SH
SOLE
0
0
28500
MGM RESORTS INTERNATIONAL
COM
552953101
1910
66250
SH
SOLE
0
0
66250
MICROSEMI CORP
COM
595137100
653
12100
SH
SOLE
0
0
12100
MICROSOFT CORPORATION
COM
594918104
8808
141749
SH
SOLE
0
0
141749
MOMENTA PHARMACEUTICALS INC
COM
60877T100
212
14100
SH
SOLE
0
0
14100
MYLAN NV
COM
N59465109
1183
31000
SH
SOLE
0
0
31000
NATIONAL FUEL GAS CO
COM
636180101
340
6000
SH
SOLE
0
0
6000
NESTLE SA SPON ADR REPSTG REG
COM
641069406
852
11872
SH
SOLE
0
0
11872
NETFLIX INC
COM
64110L106
297
2400
SH
SOLE
0
0
2400
NEW JERSEY RES CORP
COM
646025106
877
24697
SH
SOLE
0
0
24697
NEWELL BRANDS INC
COM
651229106
3624
81154
SH
SOLE
0
0
81154
NEXTERA ENERGY INC
COM
65339F101
704
5895
SH
SOLE
0
0
5895
NIELSEN HOLDINGS PLC
COM
G6518L108
884
21070
SH
SOLE
0
0
21070
NIKE
COM
654106103
2186
43014
SH
SOLE
0
0
43014
NORDSTROM INC COM
COM
655664100
959
20000
SH
SOLE
0
0
20000
NORTHROP GRUMMAN CORP
COM
666807102
3979
17110
SH
SOLE
0
0
17110
NOVARTIS AG-ADR
COM
66987V109
262
3597
SH
SOLE
0
0
3597
O'REILLY AUTOMOTIVE INC
COM
67103H107
557
2000
SH
SOLE
0
0
2000
ONEMAIN HOLDINGS INC
COM
68268W103
941
42520
SH
SOLE
0
0
42520
OUTFRONT MEDIA INC
COM
69007J106
755
30376
SH
SOLE
0
0
30376
OWENS CORNING INC.
COM
690742101
415
8050
SH
SOLE
0
0
8050
PALO ALTO NETWORKS INC
COM
697435105
1185
9475
SH
SOLE
0
0
9475
PAYCHEX INC
COM
704326107
701
11510
SH
SOLE
0
0
11510
PAYPAL HOLDINGS INC
COM
70450Y103
647
16400
SH
SOLE
0
0
16400
PEPSICO INC
COM
713448108
11314
108136
SH
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0
0
108136
PERKINELMER INC
COM
714046109
271
5200
SH
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0
0
5200
PFIZER INC
COM
717081103
5009
154231
SH
SOLE
15000
0
139231
PHILIP MORRIS INTERNAT
COM
718172109
895
9778
SH
SOLE
0
0
9778
PHILLIPS 66
COM
718546104
631
7302
SH
SOLE
0
0
7302
PINNACLE FOODS INC
COM
72348P104
278
5200
SH
SOLE
0
0
5200
PIONEER NATURAL RESOURCES
COM
723787107
387
2150
SH
SOLE
0
0
2150
POLYONE CORP
COM
73179p106
364
11346
SH
SOLE
0
0
11346
PORTLAND GENERAL ELECTRIC CO
COM
736508847
589
13600
SH
SOLE
0
0
13600
POWERSHARES QQQ TRUST
COM
73935A104
1717
14490
SH
SOLE
0
0
14490
PROCTER & GAMBLE COMPANY
COM
742718109
5763
68538
SH
SOLE
0
0
68538
PROSHARES ULTRAPRO S&P500 NEW
COM
74348A442
239
11700
SH
SOLE
0
0
11700
PUREFUNDS ISE CYBER SECURITY E
COM
26924G201
245
9275
SH
SOLE
0
0
9275
QEP RES INC
COM
74733V100
199
10800
SH
SOLE
0
0
10800
QUALCOMM INC
COM
747525103
403
6180
SH
SOLE
0
0
6180
QUANTA SERVICES
COM
74762E102
270
7750
SH
SOLE
0
0
7750
QUINTILES IMS HOLDINGS INC
COM
74876Y101
209
2746
SH
SOLE
0
0
2746
RAYTHEON CO
COM
755111507
2595
18275
SH
SOLE
0
0
18275
REGAL ENTERTAINMENT GROUP
COM
758766109
412
20000
SH
SOLE
0
0
20000
RITE AID CORP
COM
767754104
265
32160
SH
SOLE
0
0
32160
ROCHE
COM
771195104
257
9000
SH
SOLE
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0
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ROCKWELL AUTOMATION INC
COM
773903109
672
5000
SH
SOLE
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0
5000
ROCKWELL COLLINS
COM
774341101
464
5000
SH
SOLE
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0
5000
ROSS STORES
COM
778296103
1486
22650
SH
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0
22650
ROYAL DUTCH SHELL PLC ADR B
COM
780259107
692
11936
SH
SOLE
0
0
11936
ROYAL DUTCH SHELL PLC CL A
COM
780259206
2666
49025
SH
SOLE
0
0
49025
RPM INTERNATIONAL INC.
COM
749685103
667
12400
SH
SOLE
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0
12400
SABRE CORPORATION
COM
78573M104
714
28600
SH
SOLE
0
0
28600
SAFEGUARD SCIENTIFIC INC
COM
786449207
528
39228
SH
SOLE
0
0
39228
SALESFORCE.COM
COM
79466L302
1047
15300
SH
SOLE
0
0
15300
SCHLUMBERGER LTD
COM
806857108
4544
54133
SH
SOLE
10000
0
44133
SEARCHLIGHT MINERALS CORP
COM
812224202
1
15000
SH
SOLE
0
0
15000
SECTOR SPDR CYCLICL TRNP
COM
81369Y407
285
3500
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SOLE
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0
3500
SECTOR SPDR ENERGY
COM
81369Y506
482
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0
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SECTOR SPDR HEALTHCARE
COM
81369Y209
238
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SECTOR SPDR INDUSTRIAL
COM
81369Y704
210
3375
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0
0
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SENSIENT TECHNOLOGIES CORP
COM
81725t100
5227
66522
SH
SOLE
15000
0
51522
SHERWIN WILLIAMS CO COM
COM
824348106
231
860
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0
860
SIMON PROPERTY GROUP INC REIT
COM
828806109
570
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SNAP ON INC.
COM
833034101
3597
21000
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10000
0
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SNYDERS-LANCE INC
COM
833551104
3418
89157
SH
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30000
0
59157
SPDR BARCLAYS CONV SEC ETF
COM
78464A359
846
18538
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SOLE
0
0
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SPDR GOLD TRUST
COM
78463V107
1090
9940
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0
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SPDR NUVEEN BARCLAYS SH TR MUN
COM
78464A425
384
8000
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0
8000
SPDR S&P 500 ETF TR
COM
78462F103
278
1243
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0
1243
SPDR S&P 500 HIGH DIVIDEND ETF
COM
78468R788
957
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SH
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0
0
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SPDR S&P AEROSPACE & DEFENSE E
COM
78464A631
215
3399
SH
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STANLEY BLACK & DECKER INC
COM
854502101
2830
24678
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10000
0
14678
STARBUCKS
COM
855244109
2471
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STEPAN CO.
COM
858586100
2477
30400
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20000
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10400
STERICYCLE INC
COM
858912108
262
3400
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0
3400
STONE & WEBSTER INC ESCROW
COM
861ESC994
0
95000
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0
95000
STRYKER CORP
COM
863667101
294
2450
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SUNOCO
COM
86765K109
344
12800
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0
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SYNCHRONY FINANCIAL
COM
87165B103
403
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0
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SYSCO CORP
COM
871829107
10630
191982
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0
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SYSOREX GLOBAL HOLDINGS INC
COM
87184N203
6
26000
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0
26000
TARGET CORP
COM
87612E106
770
10658
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SOLE
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0
10658
TASER INTERNATIONAL INC
COM
87651B104
1116
46030
SH
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0
0
46030
TATE & LYLE PLC SPONSORED ADR
COM
876570607
337
9408
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0
0
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TECHNOLOGY SELECT SECTOR SPDR
COM
81369Y803
218
4515
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SOLE
0
0
4515
TEEKAY SHIPPING CORP
COM
Y8564W103
980
122000
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0
122000
TETRA TECH INC NEW
COM
88162G103
255
5900
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0
5900
TEXAS INSTRUMENTS
COM
882508104
1134
15535
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0
15535
THE KRAFT HEINZ COMPANY
COM
500754106
3649
41784
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0
0
41784
THE TRAVELERS COMPANIES INC
COM
89417E109
3153
25757
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10000
0
15757
THOMSON REUTERS CORP
COM
884903105
241
5500
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0
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THOR INDS INC.
COM
885160101
560
5600
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SOLE
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0
5600
TIME INC
COM
887228104
1030
57686
SH
SOLE
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0
57686
TIME WARNER INC
COM
887317303
222
2296
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SOLE
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0
2296
TREEHOUSE FOODS INC.
COM
89469a104
4622
64030
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0
0
64030
TWITTER INC
COM
90184L102
368
22600
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SOLE
0
0
22600
UNDER ARMOUR INC CLASS A
COM
904311107
419
14440
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SOLE
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0
14440
UNILEVER PLC SPONS ADR
COM
904767704
1040
25550
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0
25550
UNION PACIFIC
COM
907818108
1629
15710
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0
15710
UNITED NATURAL FOODS INC
COM
911163103
4248
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UNITED PARCEL SERVICE
COM
911312106
351
3062
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UNITED TECH.
COM
913017109
1183
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UNITEDHEALTH GROUP
COM
91324P102
857
5357
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0
5357
UNIVERSAL ELECTRONICS
COM
913483103
462
7150
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0
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URANIUM ENERGY CORP
COM
916896103
15
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0
0
13000
VANECK VECTORS GOLD MINERS ETF
COM
92189F106
224
10700
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SOLE
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0
10700
VANGUARD INDEX FDS
COM
922908363
242
1181
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1181
VANGUARD SHORT TERM CORPORATE
COM
92206C409
1409
17750
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VERISK ANALYTICS INC
COM
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532
6550
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0
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VERIZON COMMUNICATIONS INC
COM
92343V104
6619
123998
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VIACOM INC CL B
COM
92553P201
327
9325
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0
9325
VISA INC
COM
92826C839
1537
19704
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0
19704
VODAFONE GROUP PLC
COM
92857W308
451
18452
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0
18452
VULCAN MATERIALS CO.
COM
929160109
1866
14911
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0
14911
W.P. CAREY INC.
COM
92936U109
1955
33080
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SOLE
0
0
33080
WAL-MART STORES
COM
931142103
2502
36200
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0
0
36200
WALGREEN BOOTS ALLIANCE INC
COM
931427108
1018
12300
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0
0
12300
WALT DISNEY CO/THE
COM
254687106
4110
39440
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0
0
39440
WASTE MGT.
COM
94106L109
453
6390
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0
0
6390
WD 40 CO.
COM
929236107
1790
15310
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SOLE
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0
15310
WEC ENERGY GROUP INC
COM
92939U106
577
9845
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0
0
9845
WELLS FARGO & COMPANY
COM
949746101
394
7142
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0
0
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WESTROCK COMPANY
COM
96145D105
205
4028
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0
4028
WEYERHAEUSER CO
COM
962166104
2037
67693
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0
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WGL HOLDINGS INC.
COM
92924F106
610
8000
SH
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0
8000
WHEELER REIT
COM
963025101
97
57120
SH
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40020
0
17100
WHITEWAVE FOODS CO
COM
966244105
1456
26186
SH
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0
0
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WHOLE FOOD MRT
COM
966837106
295
9600
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0
0
9600
WILLIAMS CO
COM
969457100
2134
68536
SH
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0
0
68536
WINDSTREAM HOLDINGS INC
COM
97382A200
493
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0
0
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WISDOMTREE JAPAN HEDGED FIN ET
COM
97717W463
446
18600
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0
0
18600
XPO LOGISTICS INC
COM
983793100
302
7000
SH
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0
0
7000
YUM BRANDS
COM
988498101
918
14500
SH
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0
0
14500
YUM CHINA HOLDINGS INC
COM
98850P109
379
14500
SH
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0
0
14500
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COM
98956P102
1659
16080
SH
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0
0
16080
ZOETIS INC
COM
98978V103
364
6800
SH
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0
0
6800