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