0001506073-11-000004.txt : 20111115
0001506073-11-000004.hdr.sgml : 20111115
20111115101455
ACCESSION NUMBER: 0001506073-11-000004
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111115
DATE AS OF CHANGE: 20111115
EFFECTIVENESS DATE: 20111115
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: 111205873
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
wscsep2011comb.txt
WSC 13F SEP 30 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: September 30,2011
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, November 14, 2011
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: 94
Form 13F Information Table Value Total: 161765
(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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
HARTFORD MONEY MARKET FUND INC 416645745 13 13358.080SH SOLE 13358.080
AES TRUST III CV 6.75% PRD 00808N202 815 16600.00 SH SOLE 16600.00
DDR CORP 7.375% PERP CUM PFR PRD 23317H508 336 14300.00 SH SOLE 14300.00
HSBC HOLDINGS PLC PRD 404280802 763 30000.00 SH SOLE 30000.00
3M COMPANY COM 88579Y101 208 2900 SH SOLE 2900
ABBOTT LABS COM 002824100 823 16100 SH SOLE 16100
ACACIA RESEARCH COM 003881307 1440 40000 SH SOLE 40000
AFLAC INC. COM 001055102 215 6156 SH SOLE 6156
ALTRIA GROUP INC. COM 02209S103 730 27225 SH SOLE 27225
AMERICAN EXPRESS COM 025816109 391 8700 SH SOLE 8700
AMERICAN SUPERCONDUCTOR COM 030111108 42 10700 SH SOLE 10700
AT&T INC. COM 00206R102 2316 81212 SH SOLE 400 80812
B2GOLD CORP COM 11777Q209 46 12500 SH SOLE 12500
BAXTER INT'L COM 071813109 789 14054 SH SOLE 14054
BHP BILLITON LTD COM Q1498M100 413 12330 SH SOLE 12330
BOEING CO COM 097023105 209 3450 SH SOLE 3450
BP COM G12793108 63 10480 SH SOLE 10480
BP PLC ADR COM 055622104 555 15392 SH SOLE 15392
BRISTOL MYERS SQUIBB COM 110122108 1803 57465 SH SOLE 57465
CATERPILLAR COM 149123101 295 4000 SH SOLE 4000
CHEVRON CORP. COM 166764100 522 5633 SH SOLE 5633
CHICAGO BRIDGE & IRON COM 167250109 614 21450 SH SOLE 21450
CISCO SYSTEMS COM 17275R102 432 27900 SH SOLE 27900
COCA COLA COM 191216100 697 10319 SH SOLE 300 10019
COMPASS DIVERSIFIED HOLDINGS COM 20451Q104 402 33000 SH SOLE 33000
CONAGRA COM 205887102 225 9302 SH SOLE 9302
CONSOLIDATED EDISON COM 209115104 215 3776 SH SOLE 3776
DIAGEO COM G42089113 295 15375 SH SOLE 15375
DISNEY, WALT COM 254687106 484 16036 SH SOLE 16036
DU PONT (EI) DE NEMOURS COM 263534109 371 9275 SH SOLE 9275
DUKE ENERGY CORP COM 26441C105 256 12800 SH SOLE 12800
ENTREMED INC NEW COM 29382F202 702 461819 SH SOLE 461819
EQUIFAX COM 294429105 759 24700 SH SOLE 24700
EXPRESS SCRIPTS - A COM 302182100 3438 92730 SH SOLE 92730
EXXON MOBIL CORP COM 30231G102 2535 34909 SH SOLE 500 34409
F X ENERGY COM 302695101 4421 1070564 SH SOLE 1070564
FERRO CORP COM 315405100 61 10000 SH SOLE 10000
FIDELITY NATIONAL INFORMATION COM 31620M106 297 12200 SH SOLE 12200
FLOWERS FOODS INC. COM 343498101 86636 4452002 SH SOLE 4452002
FLUOR CORP COM 343412102 216 4650 SH SOLE 4650
FORD MOTOR COM 345370860 127 13100 SH SOLE 13100
GENERAL ELECTRIC COM 369604103 1081 71005 SH SOLE 600 70405
GOODRICH B.F. CO. COM 382388106 2409 19965 SH SOLE 19965
GREAT BASIN GOLD LTD COM 390124105 34 20000 SH SOLE 20000
HEWLETT PACKARD COM 428236103 739 32900 SH SOLE 32900
HOME SOLUTIONS HEALTH INC COM 43735N104 0 50000 SH SOLE 50000
HONEYWELL INTERNATIONAL COM 438516106 1111 25298 SH SOLE 25298
ILLUMINA INC. COM 452327109 6802 166215 SH SOLE 166215
IMPERIAL SUGAR CO COM 453096208 206 32004 SH SOLE 32004
INT'L BUS MACHINES COM 459200101 3703 21174 SH SOLE 21174
ISHARES SILVER TRUST COM 46428Q109 289 10000 SH SOLE 10000
ISHARES UNITED STATES TREASURY COM 464287176 229 2000 SH SOLE 2000
ISORAY INC COM 46489v104 15 15000 SH SOLE 15000
JOHNSON & JOHNSON COM 478160104 382 6001 SH SOLE 6001
JOHNSON CONTROLS INC. COM 478366107 448 17000 SH SOLE 17000
JP MORGAN CHASE COM 46625H100 544 18063 SH SOLE 18063
KRAFT FOODS INC. A COM 50075N104 422 12566 SH SOLE 12566
LIDCO GROUP COM G5478T101 516 2523670 SH SOLE 2523670
MARKET VECTORS GOLD MINERS ETF COM 57060U100 844 15300 SH SOLE 15300
MASCO CORP COM 574599106 75 10500 SH SOLE 10500
MAUDORE MINERALS LTD COM 577279102 53 13200 SH SOLE 13200
MERCK & CO COM 58933y105 338 10330 SH SOLE 10330
MICROSOFT COM 594918104 1069 42945 SH SOLE 42945
MOTOROLA SOLUTIONS INC COM 620076307 201 4806 SH SOLE 4806
NEW YORK COM BANCORP COM 649445103 390 32800 SH SOLE 32800
NICOR INC COM 654086107 253 4600 SH SOLE 4600
NOVAGOLD RESOURCES INC COM 66987E206 481 74500 SH SOLE 74500
OCEANAGOLD CORP COM 675222103 38 16500 SH SOLE 16500
PARKER DRILLING COM 701081101 56 12750 SH SOLE 12750
PEPSICO COM 713448108 649 10490 SH SOLE 10490
PFIZER COM 717081103 532 30100 SH SOLE 30100
PHILIP MORRIS INTERNATIONAL IN COM 718172109 1180 18921 SH SOLE 18921
PLC SYSTEMS INC COM 69341D104 2 10500 SH SOLE 10500
PLUM CREEK TIMBER COM 729251108 456 13150 SH SOLE 13150
PNC FINANCIAL CORP COM 693475105 653 13546 SH SOLE 13546
PROCTER & GAMBLE COM 742718109 660 10447 SH SOLE 10447
PRUDENTIAL COM G72899100 392 45160 SH SOLE 45160
RANGE RESOURCES CORP. COM 75281A109 526 9000 SH SOLE 9000
SEASPAN CORP COM Y75638109 121 10600 SH SOLE 10600
SIRIUS XM RADIO INC COM 82967n108 121 80085 SH SOLE 80085
SOUTHERN COMPANY COM 842587107 263 6200 SH SOLE 6200
SPECTRANETICS COM 84760C107 5500 770304 SH SOLE 770304
SYNOVUS FINL CORP COM 87161C105 11 10600 SH SOLE 10600
TALISMAN ENERGY INC COM 87425E103 1960 159700 SH SOLE 159700
THORATEC LABS CORP COM 885175307 373 11437 SH SOLE 11437
TRANSOCEAN LTD. COM h8817h100 373 7811 SH SOLE 7811
TRINITY INDS INC. COM 896522109 332 15500 SH SOLE 15500
TVA GROUP INC CL B COM 189 19800 SH SOLE 19800
UNION PACIFIC COM 907818108 617 7560 SH SOLE 7560
UNIVERSAL ELECTRONICS COM 913483103 5576 340219 SH SOLE 340219
URANIUM ENERGY COM 916896103 1736 633700 SH SOLE 633700
VASOMEDICAL INC COM 922321104 4 12000 SH SOLE 12000
VATUKOULA GOLD MINES PLC COM G9323J110 16 13500 SH SOLE 13500
VERIZON COMM COM 92343V104 1043 28332 SH SOLE 500 27832
W.P. CAREY & CO LLC COM 92930Y107 609 16720 SH SOLE 16720
WASTE MGT. COM 94106L109 480 14733 SH SOLE 14733
WEYERHAEUSER COM 962166104 229 14700 SH SOLE 14700
XEROX COM 984121103 391 56066 SH SOLE 56066