0001506071-18-000004.txt : 20180802 0001506071-18-000004.hdr.sgml : 20180802 20180802152500 ACCESSION NUMBER: 0001506071-18-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180802 DATE AS OF CHANGE: 20180802 EFFECTIVENESS DATE: 20180802 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: 18988015 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 06-30-2018 06-30-2018 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 08-02-2018 0 161 192929 false INFORMATION TABLE 2 2nd18.xml 3M CO COM 88579Y101 1077 5472 SH SOLE 0 0 5472 ABB LIMITED SPONS ADR COM 000375204 867 39840 SH SOLE 0 0 39840 ABBOTT LABORATORIES COM 002824100 1388 22755 SH SOLE 0 0 22755 ABBVIE INC. COM 00287Y109 1784 19258 SH SOLE 0 0 19258 ACTIVISION BLIZZARD INC. COM 00507V109 343 4500 SH SOLE 0 0 4500 AES CORP COM 00130H105 5265 392600 SH SOLE 0 0 392600 AFLAC INC. COM 001055102 398 9256 SH SOLE 0 0 9256 ALERIAN MLP ETF COM 00162Q866 492 48671 SH SOLE 0 0 48671 ALPHABET INC (A) COM 02079K305 865 766 SH SOLE 0 0 766 ALPHABET INC-CL C COM 02079K107 524 470 SH SOLE 0 0 470 ALTRIA GROUP INC COM 02209S103 2083 36672 SH SOLE 0 0 36672 AMAZON.COM INC COM 023135106 680 400 SH SOLE 0 0 400 AMERICAN AIRLINES GROUP INC COM 02376R102 456 12000 SH SOLE 0 0 12000 AMERICAN EXPRESS CO COM 025816109 715 7300 SH SOLE 0 0 7300 ANNALY CAPITAL MANAGEMENT COM 035710409 107 10400 SH SOLE 0 0 10400 APPLE INC COM 037833100 2914 15742 SH SOLE 0 0 15742 AQUAVENTURE HOLDINGS LTD COM G0443N107 1313 84300 SH SOLE 0 0 84300 ARMADA HOFFLER PROPERTIES INC COM 04208T108 149 10000 SH SOLE 0 0 10000 AT&T INC COM 00206R102 2782 86636 SH SOLE 0 0 86636 B&G FOODS INC COM 05508R106 724 24230 SH SOLE 0 0 24230 BAXTER INTERNATIONAL INC COM 071813109 650 8800 SH SOLE 0 0 8800 BECTON DICKINSON COM 075887109 496 2069 SH SOLE 0 0 2069 BELMOND LTD COM G1154H107 1173 105200 SH SOLE 0 0 105200 BERKSHIRE HATHAWAY INC. CLASS COM 084670702 238 1273 SH SOLE 0 0 1273 BLACKSTONE MORTGAGE TRUST INC COM 09257W100 781 24836 SH SOLE 0 0 24836 BOEING CO COM 097023105 1486 4430 SH SOLE 0 0 4430 BP PLC SPONS ADR COM 055622104 991 21696 SH SOLE 0 0 21696 BP PRUDHOE BAY ROYALTY TRUST COM 055630107 245 8200 SH SOLE 0 0 8200 BRISTOL-MYERS SQUIBB CO COM 110122108 2449 44250 SH SOLE 0 0 44250 BROADCOM LIMITED COM Y09827109 412 1700 SH SOLE 0 0 1700 CAPITAL SENIOR LIVING CORP COM 140475104 107 10000 SH SOLE 0 0 10000 CASI PHARMACEUTICALS INC COM 14757U109 7827 951064 SH SOLE 0 0 951064 CATERPILLAR COM 149123101 828 6100 SH SOLE 0 0 6100 CELANESE CORP COM 150870103 211 1900 SH SOLE 0 0 1900 CHEVRON CORPORATION COM 166764100 1083 8567 SH SOLE 0 0 8567 CISCO SYSTEMS COM 17275R102 1677 38969 SH SOLE 0 0 38969 CITIGROUP INC COM 172967424 606 9050 SH SOLE 0 0 9050 CLOROX CO COM 189054109 216 1600 SH SOLE 0 0 1600 COCA COLA COM 191216100 365 8325 SH SOLE 0 0 8325 COMCAST CORP COM 20030N101 423 12892 SH SOLE 0 0 12892 COMPASS DIVERSIFIED HOLDINGS COM 20451Q104 857 49510 SH SOLE 0 0 49510 CONAGRA BRANDS INC COM 205887102 244 6825 SH SOLE 0 0 6825 CONNECTICUT WATER SVC INC COM 207797101 327 5000 SH SOLE 0 0 5000 CONOCOPHILLIPS COM 20825C104 324 4650 SH SOLE 0 0 4650 CONTROL4 CORPORATION COM 21240D107 1167 48000 SH SOLE 0 0 48000 CORNING INC COM 219350105 608 22110 SH SOLE 0 0 22110 CSX CORP COM 126408103 1193 18700 SH SOLE 0 0 18700 CVS HEALTH CORPORATION COM 126650100 367 5700 SH SOLE 0 0 5700 D T E ENERGY CO COM 233331107 370 3569 SH SOLE 0 0 3569 DIAGEO COM G42089113 551 15375 SH SOLE 0 0 15375 DOWDUPONT INC. COM 26078J100 1029 15607 SH SOLE 0 0 15607 DUKE ENERGY CORP COM 26441C204 492 6215 SH SOLE 0 0 6215 EASTMAN CHEM CO COM 277432100 585 5850 SH SOLE 0 0 5850 EQUIFAX INC COM 294429105 1529 12224 SH SOLE 0 0 12224 EXPRESS SCRIPTS HOLDING CO COM 30219G108 3178 41161 SH SOLE 0 0 41161 EXXON MOBIL CORP COM 30231G102 3699 44707 SH SOLE 0 0 44707 FACEBOOK INC COM 30303M102 325 1675 SH SOLE 0 0 1675 FEDEX CORP COM 31428X106 307 1350 SH SOLE 0 0 1350 FIDELITY NATIONAL INFORMATION COM 31620M106 1293 12198 SH SOLE 0 0 12198 FIRST SOLAR INC COM COM 336433107 2343 44500 SH SOLE 0 0 44500 FLOWERS FOODS INC COM 343498101 3129 150231 SH SOLE 0 0 150231 FORD MOTOR COMPANY NEW COM 345370860 127 11450 SH SOLE 0 0 11450 FREEPORT MCMORAN INC COM 35671D857 212 12300 SH SOLE 0 0 12300 GENERAL ELECTRIC CO COM 369604103 1355 99533 SH SOLE 0 0 99533 GENERAL MILLS INC COM 370334104 750 16948 SH SOLE 0 0 16948 GENERAL MOTORS CO COM 37045V100 4490 113950 SH SOLE 0 0 113950 GEO GROUP INC COM 36162J106 607 22050 SH SOLE 0 0 22050 GLAXO SMITHKLINE PLC SPONS ADR COM 37733W105 538 13350 SH SOLE 0 0 13350 GREIF INC CL B COM 397624206 202 3500 SH SOLE 0 0 3500 GRUBHUB INC COM 400110102 215 2050 SH SOLE 0 0 2050 H P INC COM 40434L105 300 13200 SH SOLE 0 0 13200 H&E EQUIPMENT SERVICES INC COM 404030108 242 6433 SH SOLE 0 0 6433 HEWLETT PACKARD ENTERPRIS COM 42824C109 196 13400 SH SOLE 0 0 13400 HOME DEPOT INC COM 437076102 218 1116 SH SOLE 0 0 1116 HOME SOLUTIONS HEALTH INC COM 43735N104 0 50000 SH SOLE 0 0 50000 HONEYWELL INTERNATIONAL COM 438516106 2938 20399 SH SOLE 0 0 20399 ILLINOIS TOOL WORKS COM 452308109 342 2470 SH SOLE 0 0 2470 ILLUMINA INC COM 452327109 22915 82049 SH SOLE 0 0 82049 INTEL CORP COM 458140100 1410 28356 SH SOLE 0 0 28356 INTERNATIONAL BUSINESS MACHINE COM 459200101 3905 27955 SH SOLE 0 0 27955 INTERNATIONAL PAPER COM 460146103 365 7000 SH SOLE 0 0 7000 INTREXON CORP COM 46122T102 4678 335600 SH SOLE 0 0 335600 ISHARES NASDAQ BIOTECH COM 464287556 314 2860 SH SOLE 0 0 2860 ISHARES TIPS BOND ETF COM 464287176 339 3000 SH SOLE 0 0 3000 JEFFERIES FINANCIAL GROUP COM 47233W109 750 33000 SH SOLE 0 0 33000 JOHNSON & JOHNSON COM 478160104 5109 42104 SH SOLE 0 0 42104 JP MORGAN CHASE & CO COM 46625H100 2965 28459 SH SOLE 0 0 28459 KIMBERLY CLARK CORP COM 494368103 284 2700 SH SOLE 0 0 2700 LILLY ELI & CO COM 532457108 329 3860 SH SOLE 0 0 3860 LOCKHEED MARTIN COM 539830109 635 2150 SH SOLE 0 0 2150 M&T BANK CORP COM 55261F104 293 1723 SH SOLE 0 0 1723 MCDERMOTT INTL INC NEW COM 580037703 212 10776 SH SOLE 0 0 10776 MCDONALDS CORP COM 580135101 242 1547 SH SOLE 0 0 1547 MERCK & CO COM 58933Y105 785 12930 SH SOLE 0 0 12930 MICROSOFT CORPORATION COM 594918104 8072 81858 SH SOLE 0 0 81858 MONDELEZ INTERNATIONAL COM 609207105 3301 80506 SH SOLE 0 0 80506 NEW RESIDENTIAL INVESTMENT COR COM 64828T201 359 20500 SH SOLE 0 0 20500 NEXTERA ENERGY INC COM 65339F101 568 3400 SH SOLE 0 0 3400 NORFOLK SOUTHERN COM 655844108 475 3150 SH SOLE 0 0 3150 NVIDIA COM 67066G104 462 1950 SH SOLE 0 0 1950 ONEOK INC COM 682680103 1263 18093 SH SOLE 0 0 18093 PEOPLE'S UNITED FINANCIAL INC COM 712704105 194 10707 SH SOLE 0 0 10707 PEPSICO INC COM 713448108 1439 13215 SH SOLE 0 0 13215 PFIZER INC COM 717081103 1951 53767 SH SOLE 0 0 53767 PHILIP MORRIS INTERNAT COM 718172109 2535 31400 SH SOLE 0 0 31400 PHILLIPS 66 COM 718546104 206 1832 SH SOLE 0 0 1832 PNC FINANCIAL CORP COM 693475105 844 6246 SH SOLE 0 0 6246 PROCTER & GAMBLE COMPANY COM 742718109 825 10570 SH SOLE 0 0 10570 ROYAL DUTCH SHELL PLC CL A COM 780259206 440 6353 SH SOLE 0 0 6353 S&P GLOBAL INC COM 78409V104 2161 10600 SH SOLE 0 0 10600 SCOTTS MIRACLE-GRO COM 810186106 4825 58025 SH SOLE 0 0 58025 SEI INVESTMENTS COMPANY COM 784117103 750 12000 SH SOLE 0 0 12000 SENSIENT TECHNOLOGIES CORP COM 81725t100 215 3000 SH SOLE 0 0 3000 SHOPIFY INC COM 82509L107 226 1550 SH SOLE 0 0 1550 SIMON PROPERTY GROUP INC REIT COM 828806109 284 1670 SH SOLE 0 0 1670 SOUTHERN CO COM 842587107 777 16777 SH SOLE 0 0 16777 SPDR S&P BIOTECH COM 78464A870 371 3900 SH SOLE 0 0 3900 STARTS GROUP INC COM 85570W100 1379 38000 SH SOLE 0 0 38000 SYSCO CORP COM 871829107 273 4000 SH SOLE 0 0 4000 TECK COMINCO LTD CL B COM 878742204 299 11750 SH SOLE 0 0 11750 THE KRAFT HEINZ COMPANY COM 500754106 1714 27285 SH SOLE 0 0 27285 THOMASVILLE BANCSHARES INC COM 884608100 456 11000 SH SOLE 0 0 11000 TIFFANY & CO COM 886547108 421 3200 SH SOLE 0 0 3200 TRACTOR SUPPLY COM 892356106 2471 32300 SH SOLE 0 0 32300 TRINITY INDS INC. COM 896522109 617 18000 SH SOLE 0 0 18000 TRIPADVISOR INC COM 896945201 474 8500 SH SOLE 0 0 8500 TVA GROUP INC CL B COM 872948203 53 19800 SH SOLE 0 0 19800 UNION PACIFIC COM 907818108 2907 20520 SH SOLE 0 0 20520 UNITED PARCEL SERVICE COM 911312106 436 4100 SH SOLE 0 0 4100 UNITED TECH. COM 913017109 677 5416 SH SOLE 0 0 5416 UNIVERSAL ELECTRONICS COM 913483103 6264 189517 SH SOLE 0 0 189517 VALERO ENERGY COM 91913Y100 349 3150 SH SOLE 0 0 3150 VANGUARD SHORT TERM CORPORATE COM 92206C409 254 3250 SH SOLE 0 0 3250 VECTREN CORP COM 92240G101 307 4299 SH SOLE 0 0 4299 VERIZON COMMUNICATIONS INC COM 92343V104 2526 50218 SH SOLE 0 0 50218 VODAFONE GROUP PLC COM 92857W308 235 9654 SH SOLE 0 0 9654 W.P. CAREY INC. COM 92936U109 1864 28095 SH SOLE 0 0 28095 WAL-MART STORES COM 931142103 511 5965 SH SOLE 0 0 5965 WALT DISNEY CO/THE COM 254687106 2381 22721 SH SOLE 0 0 22721 WASTE MGT. COM 94106L109 877 10783 SH SOLE 0 0 10783 WEST PHARMACEUTICALS SVCS INC COM 955306105 397 4000 SH SOLE 0 0 4000 WEYERHAEUSER CO COM 962166104 1869 51249 SH SOLE 0 0 51249 YUM BRANDS COM 988498101 307 3920 SH SOLE 0 0 3920 ZOETIS INC COM 98978V103 699 8200 SH SOLE 0 0 8200