Wellington Shields Capital Management’s Novartis NVS Stock Holding History

Wellington Shields Capital Management’s Portfolio NVS Stock Details NVS Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2017 Q4	–	Sell	-2,605	Closed	-$200K	–	335
2017 Q3	$200K	Sell	2,605 -1,004	-28%	-$75.8K	0.03%	303
2017 Q2	$270K	Sell	3,609 -31	-0.9%	-$2.2K	0.04%	281
2017 Q1	$242K	Sell	3,640 -374	-9%	-$24.9K	0.04%	283
2016 Q4	$262K	Sell	4,014 -335	-8%	-$21.7K	0.04%	270
2016 Q3	$308K	Hold	4,349	–	–	0.05%	255
2016 Q2	$322K	Hold	4,349	–	–	0.05%	249
2016 Q1	$282K	Sell	4,349 -3,871	-47%	-$263K	0.05%	261
2015 Q4	$634K	Sell	8,220 -6,546	-44%	-$520K	0.11%	160
2015 Q3	$1.22M	Hold	14,766	–	–	0.21%	91
2015 Q2	$1.3M	Hold	14,766	–	–	0.2%	102
2015 Q1	$1.3M	Sell	14,766 -326	-2%	-$28.9K	0.2%	99
2014 Q4	$1.25M	Buy	15,092 +32	+0.2%	+$2.65K	0.2%	104
2014 Q3	$1.27M	Sell	15,060 -103	-0.7%	-$8.33K	0.21%	106
2014 Q2	$1.23M	Buy	15,163 +167	+1%	+$13.1K	0.19%	110
2014 Q1	$1.14M	Hold	14,996	–	–	0.2%	108
2013 Q4	$1.08M	Sell	14,996 -111	-0.7%	-$7.72K	0.19%	108
2013 Q3	$1.04M	Buy	15,107 +669	+5%	+$44.3K	0.2%	110
2013 Q2	$915K	Buy	+14,438	New	+$939K	0.16%	131

Other funds holding NVS

Dodge & Cox San Francisco, California $191B AUM 17.5% 1-Year Est. Return

Primecap Management Pasadena, California $169B AUM 114.72% 1-Year Est. Return

Franklin Resources San Mateo, California $462B AUM 39.16% 1-Year Est. Return

Parnassus Investments San Francisco, California $37.4B AUM 35.42% 1-Year Est. Return

BBHC

Brown Brothers Harriman & Co New York $22.8B AUM 25.09% 1-Year Est. Return

Wells Fargo San Francisco, California $617B AUM 30.33% 1-Year Est. Return

Loomis, Sayles & Company Boston, Massachusetts $79.8B AUM 16.05% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.55T AUM 33.47% 1-Year Est. Return

Fisher Asset Management Camas, Washington $336B AUM 34.66% 1-Year Est. Return

UBS Group Zurich, Switzerland $786B AUM 40.34% 1-Year Est. Return

Wellington Shields Capital Management's NVS Position: Q4 2017 in Review

Wellington Shields Capital Management sold out of Novartis (NVS) in Q4 2017, closing a stake of 2,605 shares — an estimated $200K sold.

Wellington Shields Capital Management first reported a position in NVS in Q2 2013 and held it in 18 quarters. The position peaked at $1.3M in Q1 2015. 1,007 funds tracked by Wall St. Rank hold NVS as of Q4 2017.

Wellington Shields Capital Management reported no remaining Novartis position as of Q4 2017 after selling out during the quarter.
Wellington Shields Capital Management sold 2,605 Novartis shares in Q4 2017, an estimated $200K.
Wellington Shields Capital Management first reported a position in Novartis in Q2 2013 and held it in 18 quarters.
Wellington Shields Capital Management's Novartis position peaked at $1.3M in Q1 2015.
1,007 funds tracked by Wall St. Rank held Novartis as of Q4 2017.

Based on Wellington Shields Capital Management's 13F filing for Q4 2017, filed 6 Feb 2018.