13F-HR/A filed by Wellington Shields & Co., LLC
Wellington Shields & Co., LLC filed this 13F-HR/A for the quarter ended 2013-12-31, filed 2014-02-28, with 116 holding rows worth $147,949,000.
- Accession
- 0001506073-14-000002
- Filer
- CIK 1506073
- Filed
- 2014-02-28
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, amendment of type restatement, 116 entries on the cover page, a total value of $147,949,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $147,944,000 with VALUE read as thousands by filing date, 13F file number 028-14518. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SPECTRANETICS CORP | 84760C107 | COM | 756,514 | $18,913,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 161,584 | $17,870,000 | thousands by filing date | |
| UNIVERSAL ELECTRS INC | 913483103 | COM | 344,061 | $13,112,000 | thousands by filing date | |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 122,130 | $8,578,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 25,847 | $4,848,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 47,501 | $4,807,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 1,266,655 | $4,636,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 98,009 | $3,446,000 | thousands by filing date | |
| FLOWERS FOODS INC COM | 343498101 | Stock | 147,188 | $3,160,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 55,932 | $2,973,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 73,400 | $2,746,000 | thousands by filing date | |
| GENERAL ELEC CO | 369604103 | COM | 88,399 | $2,478,000 | thousands by filing date | |
| CHICAGO BRIDGE & IRON CO NV | 167250109 | N Y REGISTRY SH | 28,903 | $2,403,000 | thousands by filing date | |
| Honeywell Technologies | 438516106 | COM | 22,823 | $2,085,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 25,042 | $1,913,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 36,941 | $1,815,000 | thousands by filing date | |
| Philip Morris International Inc. | 718172109 | COM | 19,853 | $1,730,000 | thousands by filing date | |
| VALERO ENERGY CORP COM | 91913Y100 | Stock | 31,800 | $1,603,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 44,670 | $1,368,000 | thousands by filing date | |
| UMB FINL CORP | 902788108 | COM | 20,000 | $1,286,000 | thousands by filing date | |
| Union Pacific Corporation | 907818108 | COM | 7,560 | $1,270,000 | thousands by filing date | |
| BP PLC SPONSORED ADR | 055622104 | ADR | 24,232 | $1,178,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 19,419 | $1,136,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 13,490 | $1,119,000 | thousands by filing date | |
| PNC FINL SVCS GROUP INC COM | 693475105 | Stock | 14,346 | $1,113,000 | thousands by filing date | |
| WP CAREY INC COM | 92936U109 | REIT | 17,126 | $1,051,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 12,755 | $1,038,000 | thousands by filing date | |
| Altria Group Inc | 02209S103 | COM | 26,550 | $1,019,000 | thousands by filing date | |
| PRUDENTIAL | G72899100 | COM | 45,159 | $1,002,000 | thousands by filing date | |
| LEUCADIA NATL CORP | 527288104 | COM | 34,800 | $986,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 18,450 | $974,000 | thousands by filing date | |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 56,350 | $949,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 13,604 | $946,000 | thousands by filing date | |
| EQUIFAX INC COM | 294429105 | Stock | 13,399 | $926,000 | thousands by filing date | |
| ENTREMED INC | 29382F202 | COM | 534,073 | $892,000 | thousands by filing date | |
| COASTAL ENERGY COMPANY | G22404118 | COM | 49,764 | $883,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 9,230 | $845,000 | thousands by filing date | |
| BON-TON STORES INC | 09776J101 | COM | 50,500 | $820,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 19,395 | $801,000 | thousands by filing date | |
| American Express Company | 025816109 | COM | 8,700 | $789,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 20,038 | $756,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 13,118 | $751,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 32,474 | $728,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 5,795 | $724,000 | thousands by filing date | |
| LIDCO GROUP | G5478T101 | COM | 2,706,959 | $717,000 | thousands by filing date | |
| Abbott Laboratories | 002824100 | COM | 18,450 | $707,000 | thousands by filing date | |
| GEO GROUP INC | 36159R103 | COMMON STOCK | 20,800 | $670,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 12,198 | $655,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 22,000 | $616,000 | thousands by filing date | |
| B & G FOODS INC | 05508R106 | COM | 18,000 | $610,000 | thousands by filing date | |
| HALLIBURTON CO COM | 406216101 | Stock | 12,000 | $609,000 | thousands by filing date | |
| PLUM CREEK TIMBER CO INC | 729251108 | COM | 13,025 | $606,000 | thousands by filing date | |
| 3M CO COM | 88579Y101 | Stock | 4,200 | $589,000 | thousands by filing date | |
| Waste Management, Inc. | 94106L109 | COM | 12,883 | $578,000 | thousands by filing date | |
| WEYERHAEUSER CO COM NEW | 962166104 | REIT | 17,700 | $559,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 927 | $520,000 | thousands by filing date | |
| Duke Energy Corporation | 26441C204 | COM | 7,508 | $518,000 | thousands by filing date | |
| XEROX CORP | 984121103 | COM | 41,891 | $510,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 10,105 | $506,000 | thousands by filing date | |
| VODAFONE GP PLC | 92857W209 | ADR | 12,858 | $505,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 7,751 | $504,000 | thousands by filing date | |
| DIAGEO PLC | G42089113 | FOREIGN | 15,375 | $504,000 | thousands by filing date | |
| Southern Company | 842587107 | COM | 12,128 | $499,000 | thousands by filing date | |
| TRINITY INDS INC | 896522109 | COM | 9,000 | $491,000 | thousands by filing date | |
| TALISMAN ENERGY INC | 87425E103 | COM | 41,100 | $479,000 | thousands by filing date | |
| EASTMAN CHEM CO COM | 277432100 | Stock | 5,850 | $472,000 | thousands by filing date | |
| COMPASS DIVERSIFIED HOLDINGS | 20451Q104 | COMMON STOCK | 23,650 | $464,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 12,140 | $429,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 23,193 | $413,000 | thousands by filing date | |
| CORNING INC | 219350105 | COM | 22,710 | $405,000 | thousands by filing date | |
| AFLAC INC COM | 001055102 | Stock | 6,056 | $405,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 200,000 | $402,000 | thousands by filing date | |
| M & T BK CORP COM | 55261F104 | Stock | 3,446 | $401,000 | thousands by filing date | |
| THORATEC CORP | 885175307 | COM | 10,654 | $390,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 6,400 | $376,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 21,898 | $338,000 | thousands by filing date | |
| Caterpillar Inc. | 149123101 | COM | 3,650 | $331,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 3,000 | $330,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 15,200 | $321,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 3,450 | $320,000 | thousands by filing date | |
| TIFFANY & CO NEW | 886547108 | COM | 3,200 | $297,000 | thousands by filing date | |
| NextEra Energy,Inc. | 65339F101 | COM | 3,400 | $291,000 | thousands by filing date | |
| ConocoPhillips | 20825C104 | COM | 4,050 | $286,000 | thousands by filing date | |
| FLUOR CORP | 343412102 | COM | 3,330 | $267,000 | thousands by filing date | |
| BLACKSTONE GROUP LP | 09253U108 | COM UNIT LTD | 8,406 | $265,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 4,000 | $249,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 6,350 | $245,000 | thousands by filing date | |
| TOOTSIE ROLL INDS INC | 890516107 | COM | 7,146 | $233,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 8,952 | $232,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 3,500 | $232,000 | thousands by filing date | |
| CONAGRA FOODS INC | 205887102 | COM | 6,800 | $229,000 | thousands by filing date | |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 3,394 | $229,000 | thousands by filing date | |
| ACACIA RESEARCH CORP | 003881307 | COMMON STOCK | 15,542 | $226,000 | thousands by filing date | |
| Schlumberger Limited | 806857108 | COM | 2,500 | $225,000 | thousands by filing date | |
| 3D SYSTEMS CORP | 88554D205 | COMMON STOCK | 2,400 | $223,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 4,216 | $219,000 | thousands by filing date | |
| SPECTRA ENERGY CORP | 847560109 | COM | 6,117 | $218,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 3,958 | $213,000 | thousands by filing date | |
| SEADRILL ORD | G7945E105 | COM | 5,070 | $208,000 | thousands by filing date | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 3,300 | $204,000 | thousands by filing date | |
| LOEWS CORP COM | 540424108 | Stock | 4,200 | $203,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 2,400 | $202,000 | thousands by filing date | |
| TVA GROUP INC CL B | 872948203 | COM | 19,800 | $177,000 | thousands by filing date | |
| NEW YORK MORTGAGE TRUST INC | 649604501 | COM PAR $.02 | 13,500 | $94,000 | thousands by filing date | |
| BP PLC | G12793108 | COM | 10,479 | $84,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A108 | COM | 11,710 | $54,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 16,000 | $32,000 | thousands by filing date | |
| OCEANAGOLD CORP | 675222103 | COM | 16,500 | $26,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 12,500 | $25,000 | thousands by filing date | |
| DALECO RESOURCES CORP | 23437P208 | COM | 150,000 | $19,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 10,100 | $17,000 | thousands by filing date | |
| VASOMEDICAL INC. | 922321104 | COM | 11,000 | $4,000 | thousands by filing date | |
| VATUKOULA GOLD MINES PLC | G9323J110 | COM | 13,500 | $1,000 | thousands by filing date | |
| PLC SYSTEMS INC | 69341D104 | COM | 11,900 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| HOME SOLUTIONS HEALTH INC | 43735N104 | COM | 50,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CHINA SHUANGJI CEMENT LTD | 16943b200 | COM | 10,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001506073-14-000001 | superseded | 2014-02-11 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001506073-14-000002 | this filing | 2014-02-28 | acceptance time not in the bulk data set |