UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31,2013
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, May 15, 2013
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: 118
Form 13F Information Table Value Total: 106470
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
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
COLUMBIA FUNDS INTERMEDIATE BO 19765N740 132 10632.520SH SOLE 10632.520
HARTFORD MONEY MARKET FUND INC 416645745 13 13358.080SH SOLE 13358.080
NUVEEN INS NY TAX FREE ADV MUN 670656107 521 36109.000SH SOLE 36109.000
AES TRUST III CV 6.75% PRD 00808N202 372 7400.00 SH SOLE 7400.00
DDR CORP 7.375% PERP CUM PFR PRD 23317H508 325 12900.00 SH SOLE 12900.00
3M COMPANY COM 88579Y101 361 3400 SH SOLE 3400
ABBOTT LABS COM 002824100 533 15100 SH SOLE 15100
ABBVIE INC COM 00287Y109 616 15100 SH SOLE 15100
ACACIA RESEARCH COM 003881307 1072 35542 SH SOLE 35542
AFLAC INC. COM 001055102 281 5406 SH SOLE 5406
ALERIAN MLP ETF COM 00162Q866 299 16864 SH SOLE 16864
ALTRIA GROUP INC. COM 02209S103 912 26532 SH SOLE 26532
AMERICAN EXPRESS COM 025816109 587 8700 SH SOLE 8700
AMERICAN SUPERCONDUCTOR COM 030111108 54 20100 SH SOLE 20100
AT&T INC. COM 00206R102 3293 89762 SH SOLE 89762
B&G FOODS INC. COM 05508r106 537 17600 SH SOLE 17600
B2GOLD CORP COM 11777Q209 47 15500 SH SOLE 15500
BAXTER INT'L COM 071813109 970 13354 SH SOLE 13354
BEST BUY INC COM 086516101 664 30000 SH SOLE 30000
BHP BILLITON LTD COM Q1498M100 422 12330 SH SOLE 12330
BON TON STORES INC COM 09776J101 669 51500 SH SOLE 51500
BP COM G12793108 73 10480 SH SOLE 10480
BP PLC ADR COM 055622104 668 15774 SH SOLE 15774
BRISTOL MYERS SQUIBB COM 110122108 2375 57670 SH SOLE 57670
CATERPILLAR COM 149123101 357 4103 SH SOLE 4103
CHEVRON CORP. COM 166764100 672 5655 SH SOLE 5655
CHICAGO BRIDGE & IRON COM 167250109 1439 23180 SH SOLE 23180
CISCO SYSTEMS COM 17275R102 587 28077 SH SOLE 28077
CLOROX CO COM 189054109 223 2524 SH SOLE 2524
COASTAL ENERGY COMPANY COM G22404118 946 49764 SH SOLE 49764
COCA COLA COM 191216100 870 21523 SH SOLE 21523
COMPASS DIVERSIFIED HOLDINGS COM 20451Q104 217 13650 SH SOLE 13650
CONAGRA COM 205887102 244 6800 SH SOLE 6800
CONSOLIDATED EDISON COM 209115104 218 3576 SH SOLE 3576
CORNING INC COM 219350105 264 19800 SH SOLE 19800
D T E ENERGY CO COM 233331107 239 3500 SH SOLE 3500
DALECO RESOURCES CORP COM 23437P208 15 138000 SH SOLE 138000
DIAGEO COM G42089113 484 15375 SH SOLE 15375
DISNEY, WALT COM 254687106 1292 22742 SH SOLE 22742
DU PONT (EI) DE NEMOURS COM 263534109 295 6000 SH SOLE 6000
DUKE ENERGY CORP COM 26441C204 471 6491 SH SOLE 6491
EASTMAN CHEMICAL COM 277432100 409 5850 SH SOLE 5850
EMERSON ELECTRIC COM 291011104 214 3834 SH SOLE 3834
ENERGY TRANSFER PARTNERS LP COM 29273r109 500 9868 SH SOLE 9868
ENTREMED INC NEW COM 29382F202 750 369346 SH SOLE 369346
EQUIFAX COM 294429105 772 13400 SH SOLE 13400
EXPRESS SCRIPTS HOLDING CO COM 30219G108 5244 91017 SH SOLE 91017
EXXON MOBIL CORP COM 30231G102 3507 38914 SH SOLE 38914
F X ENERGY COM 302695101 2842 845847 SH SOLE 845847
FIDELITY NATIONAL INFORMATION COM 31620M106 483 12200 SH SOLE 12200
FLOWERS FOODS INC. COM 343498101 3224 97904 SH SOLE 97904
FLUOR CORP COM 343412102 204 3080 SH SOLE 3080
FORD MOTOR COM 345370860 172 13100 SH SOLE 13100
FREEPORT MCMORAN COPPER & GOLD COM 35671D857 232 7004 SH SOLE 7004
FRONTIER COMMUNICATIONS CORP COM 35906a108 46 11446 SH SOLE 11446
GENERAL ELECTRIC COM 369604103 1683 72798 SH SOLE 72798
GREAT BASIN GOLD LTD COM 390124105 0 20000 SH SOLE 20000
GREIF INC CL B COM 397624206 426 7600 SH SOLE 7600
HALLIBURTON CO COM 406216101 485 12000 SH SOLE 12000
HEWLETT PACKARD COM 428236103 527 22100 SH SOLE 22100
HJ HEINZ COM 423074103 506 7000 SH SOLE 7000
HOME SOLUTIONS HEALTH INC COM 43735N104 0 50000 SH SOLE 50000
HONEYWELL INTERNATIONAL COM 438516106 1720 22823 SH SOLE 22823
HSBC HOLDINGS PLC COM 404998353 317 30000 SH SOLE 30000
ILLUMINA INC. COM 452327109 4849 89828 SH SOLE 89828
INT'L BUS MACHINES COM 459200101 3944 18493 SH SOLE 18493
ISHARES UNITED STATES TREASURY COM 464287176 412 3400 SH SOLE 3400
JOHNSON & JOHNSON COM 478160104 755 9265 SH SOLE 9265
JP MORGAN CHASE COM 46625H100 812 17119 SH SOLE 17119
KRAFT FOODS GROUP COM 50076Q106 204 3958 SH SOLE 3958
LIDCO GROUP COM G5478T101 474 2471670 SH SOLE 2471670
M&T BANK CORP COM 55261F104 355 3446 SH SOLE 3446
MARKET VECTORS GOLD MINERS ETF COM 57060U100 594 15700 SH SOLE 15700
MAUDORE MINERALS LTD COM 577279102 13 13200 SH SOLE 13200
MERCK & CO COM 58933y105 457 10330 SH SOLE 10330
MICROSOFT COM 594918104 1743 60938 SH SOLE 60938
MONDELEZ INTERNATIONAL INC A COM 609207105 372 12140 SH SOLE 12140
MOTOROLA SOLUTIONS INC COM 620076307 208 3251 SH SOLE 3251
NEW YORK COMMUNITY BANCORP INC COM 649445103 828 57700 SH SOLE 57700
NORFOLK SOUTHERN COM 655844108 247 3200 SH SOLE 3200
OCEANAGOLD CORP COM 675222103 47 16500 SH SOLE 16500
PEPSICO COM 713448108 1012 12790 SH SOLE 12790
PFIZER COM 717081103 847 29350 SH SOLE 29350
PHILIP MORRIS INTERNATIONAL IN COM 718172109 1840 19852 SH SOLE 19852
PLC SYSTEMS INC COM 69341D104 2 11900 SH SOLE 11900
PLUM CREEK TIMBER COM 729251108 679 13016 SH SOLE 13016
PNC FINANCIAL CORP COM 693475105 934 14046 SH SOLE 14046
PROCTER & GAMBLE COM 742718109 983 12755 SH SOLE 12755
PRUDENTIAL COM G72899100 730 45160 SH SOLE 45160
SOUTHERN COMPANY COM 842587107 439 9349 SH SOLE 9349
SPECTRA ENERGY COM 847560109 257 8361 SH SOLE 8361
SPECTRANETICS COM 84760C107 10623 573296 SH SOLE 573296
TALISMAN ENERGY INC COM 87425E103 503 41100 SH SOLE 41100
THORATEC LABS CORP COM 885175307 414 11029 SH SOLE 11029
TIFFANY & CO COM 886547108 223 3200 SH SOLE 3200
TITAN MEDICAL INC COM 88830X108 8 11000 SH SOLE 11000
TOOTSIE ROLL COM 890516107 208 6949 SH SOLE 6949
TRINITY INDS INC. COM 896522109 431 9500 SH SOLE 9500
TVA GROUP INC CL B COM 192 19800 SH SOLE 19800
UMB FINANCIAL CORP COM 902788108 1472 30000 SH SOLE 30000
UNION PACIFIC COM 907818108 1077 7560 SH SOLE 7560
UNIVERSAL ELECTRONICS COM 913483103 6718 288944 SH SOLE 288944
URANIUM ENERGY COM 916896103 1071 487000 SH SOLE 487000
VASOMEDICAL INC COM 922321104 2 11000 SH SOLE 11000
VATUKOULA GOLD MINES PLC COM G9323J110 3 13500 SH SOLE 13500
VERIZON COMM COM 92343V104 1649 33541 SH SOLE 33541
VODAFONE PLC COM 92857W209 260 9157 SH SOLE 9157
W.P. CAREY INC. COM 92936U109 1364 20230 SH SOLE 20230
WASTE MGT. COM 94106L109 511 13033 SH SOLE 13033
WEYERHAEUSER COM 962166104 493 15700 SH SOLE 15700
XEROX COM 984121103 370 42991 SH SOLE 42991
BUCKEYE PARTNERS 118230101 661 10800 SH SOLE 10800
ENBRIDGE ENERGY PARTNERS 29250R106 2025 67200 SH SOLE 67200
ENERGY TRANSFER EQUITY L.P. 29273V100 313 5350 SH SOLE 5350
ENTERPRISE PRODUCTS PARTNERS, 293792107 361 5980 SH SOLE 5980
NORTH EUROPEAN OIL ROYALTY 659310106 1534 63275 SH SOLE 63275
ONEOK PARTNERS LP 68268N103 310 5400 SH SOLE 5400
PVR PARTNERS LP 693665101 741 30726 SH SOLE 30726