0001506073-12-000002.txt : 20120213 0001506073-12-000002.hdr.sgml : 20120213 20120213131752 ACCESSION NUMBER: 0001506073-12-000002 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 & Co., LLC CENTRAL INDEX KEY: 0001506073 IRS NUMBER: 263489406 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14518 FILM NUMBER: 12597400 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 wscdec2011.txt WSC 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 & Co., LLC 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: 88 Form 13F Information Table Value Total: 78080 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABBOTT LABS COM 002824100 905 16100 SH SOLE 16100 ACACIA RESEARCH COM 003881307 1460 40000 SH SOLE 40000 AFLAC INC. COM 001055102 266 6156 SH SOLE 6156 ALTRIA GROUP INC. COM 02209S103 593 20000 SH SOLE 20000 AMERICAN EXPRESS COM 025816109 410 8700 SH SOLE 8700 AMERICAN SUPERCONDUCTOR COM 030111108 37 10100 SH SOLE 10100 AT&T INC. COM 00206R102 2259 74712 SH SOLE 400 74312 B2GOLD CORP COM 11777Q209 39 12500 SH SOLE 12500 BAXTER INT'L COM 071813109 646 13054 SH SOLE 13054 BHP BILLITON LTD COM Q1498M100 433 12330 SH SOLE 12330 BOEING CO COM 097023105 242 3300 SH SOLE 3300 BP COM G12793108 74 10480 SH SOLE 10480 BP PLC ADR COM 055622104 572 13392 SH SOLE 13392 BRISTOL MYERS SQUIBB COM 110122108 1787 50700 SH SOLE 50700 CHEVRON CORP. COM 166764100 357 3354 SH SOLE 3354 CHICAGO BRIDGE & IRON COM 167250109 811 21450 SH SOLE 21450 CISCO SYSTEMS COM 17275R102 541 29900 SH SOLE 29900 COCA COLA COM 191216100 743 10619 SH SOLE 300 10319 COMPASS DIVERSIFIED HOLDINGS COM 20451Q104 409 33000 SH SOLE 33000 CONAGRA COM 205887102 246 9302 SH SOLE 9302 DALECO RESOURCES CORP. COM 23437P208 5 30000 SH SOLE 30000 DEVON ENERGY COM 25179M103 298 4800 SH SOLE 4800 DIAGEO COM G42089113 333 15375 SH SOLE 15375 DISNEY, WALT COM 254687106 581 15486 SH SOLE 15486 DU PONT (EI) DE NEMOURS COM 263534109 334 7300 SH SOLE 7300 ENTREMED INC NEW COM 29382F202 439 461819 SH SOLE 461819 EQUIFAX COM 294429105 957 24700 SH SOLE 24700 EXPRESS SCRIPTS - A COM 302182100 5092 113930 SH SOLE 113930 EXXON MOBIL CORP COM 30231G102 2691 31745 SH SOLE 500 31245 F X ENERGY COM 302695101 5139 1070564 SH SOLE 1070564 FERRO CORP COM 315405100 49 10000 SH SOLE 10000 FIDELITY NATIONAL INFORMATION COM 31620M106 324 12200 SH SOLE 12200 FLOWERS FOODS INC. COM 343498101 385 20281 SH SOLE 20281 FLUOR CORP COM 343412102 209 4150 SH SOLE 4150 FORD MOTOR COM 345370860 141 13100 SH SOLE 13100 GENERAL ELECTRIC COM 369604103 1191 66496 SH SOLE 600 65896 GOODRICH B.F. CO. COM 382388106 1559 12600 SH SOLE 12600 GREAT BASIN GOLD LTD COM 390124105 18 20000 SH SOLE 20000 GREIF INC CL B COM 397624206 298 6600 SH SOLE 6600 HALLIBURTON CO COM 406216101 414 12000 SH SOLE 12000 HEWLETT PACKARD COM 428236103 848 32900 SH SOLE 32900 HOME SOLUTIONS HEALTH INC COM 43735N104 0 50000 SH SOLE 50000 HONEYWELL INTERNATIONAL COM 438516106 1341 24673 SH SOLE 24673 ILLUMINA INC. COM 452327109 4061 133251 SH SOLE 133251 IMPERIAL SUGAR CO COM 453096208 100 28004 SH SOLE 28004 INT'L BUS MACHINES COM 459200101 3728 20274 SH SOLE 20274 ISHARES S&P 500 VALUE INDEX FU COM 464287408 2028 35060 SH SOLE 35060 ISHARES S&P MIDCAP 400 GROWTH COM 464287606 833 8440 SH SOLE 8440 ISHARES SILVER TRUST COM 46428Q109 269 10000 SH SOLE 10000 ISHARES UNITED STATES TREASURY COM 464287176 233 2000 SH SOLE 2000 ISORAY INC COM 46489v104 10 15000 SH SOLE 15000 JOHNSON & JOHNSON COM 478160104 382 5826 SH SOLE 5826 JOHNSON CONTROLS INC. COM 478366107 531 17000 SH SOLE 17000 JP MORGAN CHASE COM 46625H100 546 16424 SH SOLE 16424 KRAFT FOODS INC. A COM 50075N104 326 8718 SH SOLE 8718 LIDCO GROUP COM G5478T101 627 2523670 SH SOLE 2523670 MAGMNUM HUNTER RESOURCES CORP COM 55973B102 54 10000 SH SOLE 10000 MARKET VECTORS GOLD MINERS ETF COM 57060U100 787 15300 SH SOLE 15300 MERCK & CO COM 58933y105 271 7177 SH SOLE 7177 MICROSOFT COM 594918104 1708 65795 SH SOLE 65795 NEW YORK COM BANCORP COM 649445103 430 34800 SH SOLE 34800 OCEANAGOLD CORP COM 675222103 36 16500 SH SOLE 16500 PEPSICO COM 713448108 663 9990 SH SOLE 9990 PFIZER COM 717081103 635 29350 SH SOLE 29350 PHILIP MORRIS INTERNATIONAL IN COM 718172109 1048 13347 SH SOLE 13347 PLC SYSTEMS INC COM 69341D104 1 10500 SH SOLE 10500 PLUM CREEK TIMBER COM 729251108 428 11700 SH SOLE 11700 PNC FINANCIAL CORP COM 693475105 781 13546 SH SOLE 13546 PROCTER & GAMBLE COM 742718109 545 8175 SH SOLE 8175 PRUDENTIAL COM G72899100 448 45160 SH SOLE 45160 RANGE RESOURCES CORP. COM 75281A109 557 9000 SH SOLE 9000 SIRIUS XM RADIO INC COM 82967n108 104 57085 SH SOLE 57085 SPECTRANETICS COM 84760C107 5485 759704 SH SOLE 759704 TALISMAN ENERGY INC COM 87425E103 2036 159700 SH SOLE 159700 THORATEC LABS CORP COM 885175307 374 11137 SH SOLE 11137 TIFFANY & CO COM 886547108 212 3200 SH SOLE 3200 TRINITY INDS INC. COM 896522109 346 11500 SH SOLE 11500 TVA GROUP INC CL B COM 165 19800 SH SOLE 19800 UNION PACIFIC COM 907818108 695 6560 SH SOLE 6560 UNIVERSAL ELECTRONICS COM 913483103 5739 340219 SH SOLE 340219 URANIUM ENERGY COM 916896103 2268 741200 SH SOLE 741200 VASOMEDICAL INC COM 922321104 3 12000 SH SOLE 12000 VATUKOULA GOLD MINES PLC COM G9323J110 15 13500 SH SOLE 13500 VERIZON COMM COM 92343V104 1177 29332 SH SOLE 500 28832 W.P. CAREY & CO LLC COM 92930Y107 717 17520 SH SOLE 17520 WASTE MGT. COM 94106L109 482 14733 SH SOLE 14733 WEYERHAEUSER COM 962166104 274 14700 SH SOLE 14700 XEROX COM 984121103 446 56066 SH SOLE 56066