0001506071-17-000004.txt : 20171106
0001506071-17-000004.hdr.sgml : 20171106
20171106155240
ACCESSION NUMBER: 0001506071-17-000004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171106
DATE AS OF CHANGE: 20171106
EFFECTIVENESS DATE: 20171106
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: 171179455
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
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0001506071
XXXXXXXX
09-30-2017
09-30-2017
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
11-06-2017
0
321
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COM
56035L104
2373
59700
SH
SOLE
0
0
59700
MASTERCARD INC
COM
57636Q104
5875
41605
SH
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0
0
41605
MCDONALDS CORP
COM
580135101
589
3759
SH
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0
0
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MCKESSON CORP
COM
58155Q103
298
1940
SH
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0
0
1940
MEDTRONIC PLC
COM
G5960L103
299
3850
SH
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0
0
3850
MERCK & CO
COM
58933Y105
2213
34569
SH
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0
0
34569
METLIFE INC
COM
59156R108
2070
39852
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0
0
39852
MGM RESORTS INTERNATIONAL
COM
552953101
1738
53321
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0
0
53321
MICROCHIP TECH
COM
595017104
406
4526
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0
0
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MICROSEMI CORP
COM
595137100
556
10810
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0
0
10810
MICROSOFT CORPORATION
COM
594918104
11193
150261
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0
0
150261
MOMENTA PHARMACEUTICALS INC
COM
60877T100
372
20100
SH
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0
0
20100
MYLAN NV
COM
N59465109
620
19750
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0
0
19750
NATIONAL FUEL GAS CO
COM
636180101
340
6000
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SOLE
0
0
6000
NCR CORP
COM
62886E108
432
11514
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0
0
11514
NESTLE SA SPON ADR REPSTG REG
COM
641069406
951
11322
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SOLE
0
0
11322
NEW RESIDENTIAL INVESTMENT COR
COM
64828T201
253
15150
SH
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0
0
15150
NEWELL BRANDS INC
COM
651229106
2316
54272
SH
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0
0
54272
NEXTERA ENERGY INC
COM
65339F101
709
4835
SH
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0
0
4835
NIKE
COM
654106103
2173
41906
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0
0
41906
NORTHROP GRUMMAN CORP
COM
666807102
4923
17110
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0
17110
NOVARTIS AG-ADR
COM
66987V109
200
2334
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0
2334
ONEMAIN HOLDINGS INC
COM
68268W103
328
11640
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0
11640
ONEOK INC
COM
682680103
1658
29925
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0
29925
OWENS CORNING INC.
COM
690742101
793
10250
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0
10250
PALO ALTO NETWORKS INC
COM
697435105
893
6200
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0
6200
PAYCHEX INC
COM
704326107
576
9600
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0
9600
PAYPAL HOLDINGS INC
COM
70450Y103
583
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0
9100
PENTAIR PLC
COM
G7S00T104
225
3316
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0
3316
PEPSICO INC
COM
713448108
8860
79513
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0
79513
PERKINELMER INC
COM
714046109
359
5200
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0
5200
PFIZER INC
COM
717081103
3994
111878
SH
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15000
0
96878
PHILIP MORRIS INTERNAT
COM
718172109
963
8677
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0
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PHILLIPS 66
COM
718546104
605
6605
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0
6605
PINNACLE FOODS INC
COM
72348P104
577
10100
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0
10100
PIONEER NATURAL RESOURCES
COM
723787107
317
2150
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0
0
2150
POLYONE CORP
COM
73179P106
454
11346
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0
11346
PORTLAND GENERAL ELECTRIC CO
COM
736508847
621
13600
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0
0
13600
POWERSHARES QQQ TRUST
COM
73935A104
1767
12150
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SOLE
0
0
12150
POWERSHARES SENIOR ETF
COM
73936Q769
334
14416
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0
0
14416
PROCTER & GAMBLE COMPANY
COM
742718109
5111
56175
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0
56175
PUREFUNDS ISE CYBER SECURITY E
COM
26924G201
257
8525
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0
8525
QUALCOMM INC
COM
747525103
249
4800
SH
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0
4800
QUANTA SERVICES
COM
74762E102
846
22650
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0
22650
QUINTILES IMS HOLDINGS INC
COM
74876Y101
261
2746
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SOLE
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0
2746
RANGE RESOURCES CORP.
COM
75281A109
1718
87805
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0
87805
RAYTHEON CO
COM
755111507
3156
16915
SH
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0
16915
REGAL ENTERTAINMENT GROUP
COM
758766109
320
20000
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0
20000
REPUBLIC SVCS INC
COM
760759100
228
3455
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0
3455
RITCHIE BROS AUCTIONEERS INC
COM
767744105
996
31500
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0
0
31500
RITE AID CORP
COM
767754104
65
33010
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0
33010
ROCHE
COM
771195104
256
8000
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8000
ROCKWELL AUTOMATION INC
COM
773903109
891
5000
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SOLE
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0
5000
ROCKWELL COLLINS
COM
774341101
654
5000
SH
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0
5000
ROYAL DUTCH SHELL PLC ADR B
COM
780259107
872
13936
SH
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0
13936
ROYAL DUTCH SHELL PLC CL A
COM
780259206
2873
47425
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0
47425
RPM INTERNATIONAL INC.
COM
749685103
1733
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0
33750
SAFEGUARD SCIENTIFIC INC
COM
786449207
1132
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0
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SALESFORCE.COM
COM
79466L302
1387
14850
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0
0
14850
SCHLUMBERGER LTD
COM
806857108
2852
40890
SH
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10000
0
30890
SEARCHLIGHT MINERALS CORP
COM
812224202
1
15000
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0
0
15000
SECTOR SPDR CYCLICL TRNP
COM
81369Y407
288
3200
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0
3200
SECTOR SPDR ENERGY
COM
81369Y506
350
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SECTOR SPDR FINANCIAL
COM
81369Y605
422
16315
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0
16315
SENSIENT TECHNOLOGIES CORP
COM
81725t100
4732
61522
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15000
0
46522
SHERWIN WILLIAMS CO COM
COM
824348106
308
860
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0
860
SIMON PROPERTY GROUP INC REIT
COM
828806109
356
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0
2211
SNAP ON INC.
COM
833034101
3055
20500
SH
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10000
0
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SNYDERS-LANCE INC
COM
833551104
3774
98944
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30000
0
68944
SPDR BARCLAYS CONV SEC ETF
COM
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673
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SPDR GOLD TRUST
COM
78463V107
1221
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COM
78464A425
389
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SPDR S&P 500 ETF TR
COM
78462F103
463
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0
1843
SPDR S&P 500 HIGH DIVIDEND ETF
COM
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815
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22633
SPDR S&P AEROSPACE & DEFENSE E
COM
78464A631
328
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0
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SPDR S&P REGIONAL BANKING ETF
COM
78464A698
322
5675
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0
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STANLEY BLACK & DECKER INC
COM
854502101
2717
18000
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10000
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8000
STARBUCKS
COM
855244109
446
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STEPAN CO.
COM
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2501
29900
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20000
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9900
STERICYCLE INC
COM
858912108
244
3400
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0
3400
STONE & WEBSTER INC ESCROW
COM
861ESC994
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95000
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0
95000
STRYKER CORP
COM
863667101
284
2000
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0
2000
SUMMIT MATERIALS INC
COM
86614U100
477
14900
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SUNOCO
COM
86765K109
812
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0
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SUPERIOR ENERGY SERVICES INC.
COM
868157108
885
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SYSCO CORP
COM
871829107
10344
191732
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191732
TABLEAU SOFTWARE INC
COM
87336U105
225
3000
SH
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0
0
3000
TATE & LYLE PLC SPONSORED ADR
COM
876570607
315
8901
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0
0
8901
TECHNOLOGY SELECT SECTOR SPDR
COM
81369Y803
300
5075
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0
5075
TEEKAY SHIPPING CORP
COM
Y8564W103
2018
226000
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0
226000
TENCENT HOLDINGS LIMITED
COM
88032Q109
211
4800
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0
4800
TETRA TECH INC NEW
COM
88162G103
265
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TEXAS INSTRUMENTS
COM
882508104
1393
15535
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0
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THE KRAFT HEINZ COMPANY
COM
500754106
2133
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COM
89417E109
552
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THOMSON REUTERS CORP
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884903105
252
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THOR INDS INC.
COM
885160101
693
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TIME INC
COM
887228104
700
51886
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51886
TREEHOUSE FOODS INC.
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89469a104
3312
48894
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0
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TRIPADVISOR INC
COM
896945201
1175
29000
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0
29000
TWITTER INC
COM
90184L102
353
20900
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0
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UNDER ARMOUR INC CLASS A
COM
904311107
745
45235
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0
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UNILEVER PLC SPONS ADR
COM
904767704
261
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UNION PACIFIC
COM
907818108
1772
15280
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UNITED NATURAL FOODS INC
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911163103
3702
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UNITED PARCEL SERVICE
COM
911312106
308
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UNITED TECH.
COM
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1152
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UNITEDHEALTH GROUP
COM
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1049
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UNITI GROUP INC
COM
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676
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UNIVERSAL ELECTRONICS
COM
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1603
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URANIUM ENERGY CORP
COM
916896103
18
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0
13000
VALEANT PHARMACEUTICAL INTL IN
COM
91911K102
315
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0
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VANECK VECTORS GOLD MINERS ETF
COM
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246
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VANGUARD FTSE ETF
COM
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VANGUARD SHORT TERM CORPORATE
COM
92206C409
1565
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COM
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200
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0
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COM
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4469
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0
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COM
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1123
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COM
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2373
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COM
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1538
54052
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0
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957
8000
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0
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COM
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2255
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0
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911
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0
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34318
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216
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0
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0
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COM
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264
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COM
95040Q104
453
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0
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COM
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1097
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0
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2134
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0
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COM
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COM
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0
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COM
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755
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0
0
31180
WPX ENERGY INC
COM
98212B103
1382
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0
0
120172
XPO LOGISTICS INC
COM
983793100
857
12650
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0
0
12650
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COM
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0
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COM
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364
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0
0
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COM
98978V103
574
9000
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0
0
9000