0001506073-17-000001.txt : 20170202 0001506073-17-000001.hdr.sgml : 20170202 20170202113327 ACCESSION NUMBER: 0001506073-17-000001 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 & 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: 17567332 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 LIVE false false false 0001506073 XXXXXXXX 12-31-2016 12-31-2016 Wellington Shields & Co., LLC

140 BROADWAY NEW YORK NY 10005

13F HOLDINGS REPORT 028-14518 N Steve Portas 212-732-6800 Steve Portas New York NY 02-02-2017 0 131 191031 false INFORMATION TABLE 2 4thQTR2016.xml 3M CO COM 88579Y101 961 5384 SH SOLE 0 0 5384 ABBOTT LABORATORIES COM 002824100 875 22784 SH SOLE 0 0 22784 ABBVIE INC. COM 00287Y109 1217 19436 SH SOLE 0 0 19436 ACTIVISION BLIZZARD INC. COM 00507V109 209 5800 SH SOLE 0 0 5800 AFLAC INC. COM 001055102 394 5656 SH SOLE 0 0 5656 ALERIAN MLP ETF COM 00162Q866 391 31000 SH SOLE 0 0 31000 ALPHABET INC (A) COM 02079K305 476 601 SH SOLE 0 0 601 ALTRIA GROUP INC COM 02209S103 2824 41769 SH SOLE 0 0 41769 AMERICAN AIRLINES GROUP INC COM 02376R102 2923 62600 SH SOLE 0 0 62600 AMERICAN EXPRESS CO COM 025816109 630 8500 SH SOLE 0 0 8500 ANADARKO PETR. COM 032511107 244 3500 SH SOLE 0 0 3500 APPLE INC COM 037833100 1949 16826 SH SOLE 0 0 16826 ARMADA HOFFLER PROPERTIES INC COM 04208T108 291 20000 SH SOLE 0 0 20000 AT&T INC COM 00206R102 4074 95784 SH SOLE 0 0 95784 B&G FOODS INC. COM 05508R106 604 13780 SH SOLE 0 0 13780 BAXTER INTERNATIONAL INC COM 071813109 390 8800 SH SOLE 0 0 8800 BECTON DICKINSON COM 075887109 418 2526 SH SOLE 0 0 2526 BERKSHIRE HATHAWAY INC. CLASS COM 084670702 224 1373 SH SOLE 0 0 1373 BLACKSTONE MORTGAGE TRUST INC COM 09257W100 828 27535 SH SOLE 0 0 27535 BOEING CO COM 097023105 553 3550 SH SOLE 0 0 3550 BP PLC SPONS ADR COM 055622104 878 23496 SH SOLE 0 0 23496 BRISTOL-MYERS SQUIBB CO COM 110122108 2766 47328 SH SOLE 0 0 47328 BROADCOM LIMITED COM Y09827109 301 1700 SH SOLE 0 0 1700 CALIFORNIA WATER SEFICE GROUP COM 130788102 339 10000 SH SOLE 0 0 10000 CAPITAL SENIOR LIVING CORP COM 140475104 160 10000 SH SOLE 0 0 10000 CASI PHARMACEUTICALS INC COM 14757U109 581 505474 SH SOLE 0 0 505474 CATERPILLAR COM 149123101 614 6626 SH SOLE 0 0 6626 CHEVRON CORPORATION COM 166764100 1043 8862 SH SOLE 0 0 8862 CHICAGO BRIDGE & IRON COM 167250109 1123 35358 SH SOLE 0 0 35358 CHINA SHUANGJI CEMENT LTD COM 16943b200 0 10000 SH SOLE 0 0 10000 CISCO SYSTEMS COM 17275R102 1081 35787 SH SOLE 0 0 35787 CITIGROUP INC COM 172967424 466 7840 SH SOLE 0 0 7840 CLOROX CO COM 189054109 468 3900 SH SOLE 0 0 3900 COCA COLA COM 191216100 604 14563 SH SOLE 0 0 14563 COMCAST CORP COM 20030N101 783 11346 SH SOLE 0 0 11346 COMPASS DIVERSIFIED HOLDINGS COM 20451Q104 886 49510 SH SOLE 0 0 49510 CONAGRA BRANDS INC COM 205887102 260 6575 SH SOLE 0 0 6575 CONNECTICUT WATER SVC INC COM 207797101 558 10000 SH SOLE 0 0 10000 CONOCOPHILLIPS COM 20825C104 489 9750 SH SOLE 0 0 9750 CORNING INC COM 219350105 463 19080 SH SOLE 0 0 19080 COVANTA HOLDING CORPORATION COM 22282E102 249 15945 SH SOLE 0 0 15945 CSX CORP COM 126408103 672 18700 SH SOLE 0 0 18700 CVS HEALTH CORPORATION COM 126650100 568 7200 SH SOLE 0 0 7200 D T E ENERGY CO COM 233331107 352 3569 SH SOLE 0 0 3569 DEVON ENERGY COM 25179M103 219 4800 SH SOLE 0 0 4800 DIAGEO COM G42089113 394 15375 SH SOLE 0 0 15375 DOMINION RES INC VA NEW COM 25746U109 388 5067 SH SOLE 0 0 5067 DU PONT (EI) DE NEMOURS COM 263534109 848 11551 SH SOLE 0 0 11551 DUKE ENERGY CORP COM 26441C204 599 7721 SH SOLE 0 0 7721 EASTMAN CHEM CO COM 277432100 440 5850 SH SOLE 0 0 5850 EQUIFAX INC COM 294429105 1584 13399 SH SOLE 0 0 13399 EXPRESS SCRIPTS HOLDING CO COM 30219G108 8479 123266 SH SOLE 0 0 123266 EXXON MOBIL CORP COM 30231G102 4490 49742 SH SOLE 0 0 49742 FACEBOOK INC COM 30303M102 326 2835 SH SOLE 0 0 2835 FEDEX CORP COM 31428X106 237 1275 SH SOLE 0 0 1275 FIDELITY NATIONAL INFORMATION COM 31620M106 923 12198 SH SOLE 0 0 12198 FLOWERS FOODS INC COM 343498101 2791 139775 SH SOLE 1 9775 0 0 FORD MOTOR COMPANY NEW COM 345370860 247 20400 SH SOLE 0 0 20400 FREEPORT MCMORAN INC COM 35671D857 179 13600 SH SOLE 0 0 13600 FRONTIER COMMUNICATIONS CORP COM 35906A108 43 12658 SH SOLE 0 0 12658 GENERAL ELECTRIC CO COM 369604103 4596 145429 SH SOLE 0 0 145429 GENERAL MILLS INC COM 370334104 498 8063 SH SOLE 0 0 8063 GENERAL MOTORS CO COM 37045V100 732 21000 SH SOLE 0 0 21000 GEO GROUP INC COM 36162J106 780 21700 SH SOLE 0 0 21700 GLAXO SMITHKLINE PLC SPONS ADR COM 37733W105 374 9700 SH SOLE 0 0 9700 GREIF INC CL B COM 397624206 358 5300 SH SOLE 0 0 5300 H P INC COM 40434L105 190 12800 SH SOLE 0 0 12800 HEWLETT PACKARD ENTERPRIS COM 42824C109 301 13000 SH SOLE 0 0 13000 HOME SOLUTIONS HEALTH INC COM 43735N104 0 50000 SH SOLE 0 0 50000 HONEYWELL INTERNATIONAL COM 438516106 2525 21799 SH SOLE 0 0 21799 ILLINOIS TOOL WORKS COM 452308109 294 2400 SH SOLE 0 0 2400 ILLUMINA INC COM 452327109 19422 151688 SH SOLE 0 0 151688 INTEL CORP COM 458140100 689 19000 SH SOLE 0 0 19000 INTERNATIONAL BUSINESS MACHINE COM 459200101 4837 29140 SH SOLE 0 0 29140 INTERNATIONAL PAPER COM 460146103 414 7803 SH SOLE 0 0 7803 ISHARES TIPS BOND ETF COM 464287176 340 3000 SH SOLE 0 0 3000 ISHARES TRUST DOW JONES SELECT COM 464287168 266 3000 SH SOLE 0 0 3000 JOHNSON & JOHNSON COM 478160104 4735 41102 SH SOLE 0 0 41102 JP MORGAN CHASE & CO COM 46625H100 2398 27793 SH SOLE 0 0 27793 KIMBERLY CLARK CORP COM 494368103 308 2700 SH SOLE 0 0 2700 LILLY ELI & CO COM 532457108 279 3800 SH SOLE 0 0 3800 LOCKHEED MARTIN COM 539830109 280 1120 SH SOLE 0 0 1120 LYONDELLBASELL INDUSTRIES COM N53745100 291 3391 SH SOLE 0 0 3391 M&T BANK CORP COM 55261F104 270 1723 SH SOLE 0 0 1723 MACY'S COM 55616P104 394 11000 SH SOLE 0 0 11000 MERCK & CO COM 58933Y105 761 12930 SH SOLE 0 0 12930 MICROSOFT CORPORATION COM 594918104 5053 81317 SH SOLE 0 0 81317 MONDELEZ INTERNATIONAL COM 609207105 3622 81706 SH SOLE 0 0 81706 NEW RESIDENTIAL INVESTMENT COR COM 64828T201 676 43000 SH SOLE 0 0 43000 NEW YORK MORTGAGE TR INC COM 649604501 158 24000 SH SOLE 0 0 24000 NEXTERA ENERGY INC COM 65339F101 406 3400 SH SOLE 0 0 3400 NORFOLK SOUTHERN COM 655844108 459 4250 SH SOLE 0 0 4250 NVIDIA COM 67066G104 267 2500 SH SOLE 0 0 2500 ONEOK INC COM 682680103 230 4000 SH SOLE 0 0 4000 PEOPLE'S UNITED FINANCIAL INC COM 712704105 227 11707 SH SOLE 0 0 11707 PEPSICO INC COM 713448108 1545 14765 SH SOLE 0 0 14765 PFIZER INC COM 717081103 1893 58277 SH SOLE 0 0 58277 PHILIP MORRIS INTERNAT COM 718172109 3047 33300 SH SOLE 0 0 33300 PNC FINANCIAL CORP COM 693475105 742 6342 SH SOLE 0 0 6342 PROCTER & GAMBLE COMPANY COM 742718109 1125 13375 SH SOLE 0 0 13375 ROYAL DUTCH SHELL PLC CL A COM 780259206 265 4866 SH SOLE 0 0 4866 SCHLUMBERGER LTD COM 806857108 218 2600 SH SOLE 0 0 2600 SECTOR SPDR ENERGY COM 81369Y506 268 3558 SH SOLE 0 0 3558 SENSIENT TECHNOLOGIES CORP COM 81725t100 236 3000 SH SOLE 0 0 3000 SOUTHERN CO COM 842587107 804 16339 SH SOLE 0 0 16339 SPDR S&P BIOTECH COM 78464A870 324 5478 SH SOLE 0 0 5478 SPECTRA ENERGY CORP COM 847560109 242 5900 SH SOLE 0 0 5900 SPECTRANETICS CORP COM 84760C107 21522 878451 SH SOLE 0 0 878451 SYSCO CORP COM 871829107 221 4000 SH SOLE 0 0 4000 THE KRAFT HEINZ COMPANY COM 500754106 2414 27650 SH SOLE 0 0 27650 THOMASVILLE BANCSHARES INC COM 884608100 367 10500 SH SOLE 0 0 10500 TIFFANY & CO COM 886547108 248 3200 SH SOLE 0 0 3200 TRINITY INDS INC. COM 896522109 731 26329 SH SOLE 0 0 26329 TVA GROUP INC CL B COM 872948203 48 19800 SH SOLE 0 0 19800 UMB FINANCIAL CORP COM 902788108 1542 20000 SH SOLE 0 0 20000 UNION PACIFIC COM 907818108 2148 20720 SH SOLE 0 0 20720 UNITED PARCEL SERVICE COM 911312106 264 2300 SH SOLE 0 0 2300 UNITED TECH. COM 913017109 316 2885 SH SOLE 0 0 2885 UNIVERSAL ELECTRONICS COM 913483103 23203 359455 SH SOLE 0 0 359455 VASO CORPORATION COM 922321104 1 11000 SH SOLE 0 0 11000 VECTREN CORP COM 92240G101 250 4798 SH SOLE 0 0 4798 VERIZON COMMUNICATIONS INC COM 92343V104 2483 46507 SH SOLE 0 0 46507 W.P. CAREY INC. COM 92936U109 2218 37532 SH SOLE 0 0 37532 WAL-MART STORES COM 931142103 252 3646 SH SOLE 0 0 3646 WALT DISNEY CO/THE COM 254687106 2562 24582 SH SOLE 0 0 24582 WASTE MGT. COM 94106L109 786 11083 SH SOLE 0 0 11083 WEST PHARMACEUTICALS SVCS INC COM 955306105 339 4000 SH SOLE 0 0 4000 WEYERHAEUSER CO COM 962166104 1606 53361 SH SOLE 0 0 53361 XEROX COM 984121103 273 31216 SH SOLE 0 0 31216 YUM BRANDS COM 988498101 416 6570 SH SOLE 0 0 6570 ZOETIS INC COM 98978V103 316 5900 SH SOLE 0 0 5900