0001162044-12-000443.txt : 20120508 0001162044-12-000443.hdr.sgml : 20120508 20120508101123 ACCESSION NUMBER: 0001162044-12-000443 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120508 DATE AS OF CHANGE: 20120508 EFFECTIVENESS DATE: 20120508 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ancora Advisors, LLC CENTRAL INDEX KEY: 0001446114 IRS NUMBER: 331033773 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13214 FILM NUMBER: 12819985 BUSINESS ADDRESS: STREET 1: 2000 AUBURN DRIVE, SUITE 300 CITY: CLEVELAND STATE: X1 ZIP: 44122 BUSINESS PHONE: 2168254000 MAIL ADDRESS: STREET 1: 2000 AUBURN DRIVE, SUITE 300 CITY: CLEVELAND STATE: X1 ZIP: 44122 13F-HR 1 ancora13fhr201205.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 3/31/2012 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: Ancora Advisors LLC Address: 2000 Auburn Drive, Suite 300, Cleveland, OH 44122 13F File Number: 028-13214 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: Joseph Spidalieri Title: Chief Compliance Officer Phone: (216) 825-4007 Signature, Place, and Date of Signing: Cleveland, Ohio - May 7, 2012 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 347 Form13F Information Table Value Total: $ 362,468 List of Other Included Managers: None List of Other Managers Reporting for this Manager: None Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filled, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE
Item 1 Item 2 Item 3 Item 4 Item 5 Item 6 Item 7 Item 8 Name of Issuer Class CUSIP No. Market Quantity Investment Other Voting Value Discretion Managers Authority 3M CO COM COM 88579Y101 $ 2,563.00 28,732 Sole None Sole BOSTON PRIVT FINL HLDG COM COM 101119105 $ 257.00 25,900 Sole None Sole BRISTOL-MYERS SQUIBB CO COM COM 110122108 $ 2,273.00 67,358 Sole None Sole BROWN FORMAN CORP CL A COM 115637100 $ 3,399.00 41,619 Sole None Sole CBS CORP NEW CL B COM 124857202 $ 1,651.00 48,700 Sole None Sole CSX CORP COM COM 126408103 $ 431.00 20,016 Sole None Sole CALLAWAY GOLF CO COM 131193104 $ 991.00 146,565 Sole None Sole CARLISLE COS INC COM COM 142339100 $ 479.00 9,600 Sole None Sole CARNIVAL CORP COM COM 143658300 $ 633.00 19,740 Sole None Sole CATERPILLAR INC COM 149123101 $ 478.00 4,492 Sole None Sole CELGENE CORP COM COM 151020104 $ 783.00 10,100 Sole None Sole CENTRAL GOLDTRUST TR UNIT COM 153546106 $ 1,542.00 24,200 Sole None Sole CHESAPEAKE ENERGY CORP COM COM 165167107 $ 280.00 12,100 Sole None Sole CHEVRONTEXACO CORP COM 166764100 $ 459.00 4,278 Sole None Sole CHROMCRAFT REVINGTON COM COM 171117104 $ 16.00 13,031 Sole None Sole CINCINNATI FINL CORP COM COM 172062101 $ 3,677.00 106,537 Sole None Sole COBRA ELECTRS CORP COM COM 191042100 $ 352.00 88,000 Sole None Sole COCA COLA CO COM COM 191216100 $ 3,530.00 47,694 Sole None Sole COGNIZANT TECH SOLUTNS CL A COM 192446102 $ 269.00 3,500 Sole None Sole CONAGRA FOODS INC COM COM 205887102 $ 1,333.00 50,754 Sole None Sole CONNS INC COM COM 208242107 $ 178.00 11,580 Sole None Sole CONSOLIDATED EDISON COM COM 209115104 $ 421.00 7,200 Sole None Sole CONTINENTAL MATLS CORP COM PAR COM 211615307 $ 183.00 11,000 Sole None Sole CORNING INC COM 219350105 $ 1,666.00 118,359 Sole None Sole COURIER CORP COM COM 222660102 $ 464.00 40,015 Sole None Sole CROSS A T CO CL A COM 227478104 $ 122.00 10,164 Sole None Sole CRYOLIFE INC COM COM 228903100 $ 365.00 69,347 Sole None Sole DESWELL INDS INC COM COM 250639101 $ 134.00 55,123 Sole None Sole DIGIRAD CORP COM COM 253827109 $ 148.00 70,500 Sole None Sole WALT DISNEY CO COM COM 254687106 $ 1,424.00 32,526 Sole None Sole DOLE FOOD CO INC NEW COM COM 256603101 $ 160.00 16,000 Sole None Sole DOVER MOTORSPORTS INC COM COM 260174107 $ 296.00 200,000 Sole None Sole DOW CHEMICAL CO COM COM 260543103 $ 1,307.00 37,723 Sole None Sole DU PONT E I DE NEMOURS & CO CO COM 263534109 $ 1,436.00 27,150 Sole None Sole EMC CORP-MASS COM 268648102 $ 1,189.00 39,780 Sole None Sole EXCO RES INC COM COM 269279402 $ 298.00 45,000 Sole None Sole EATON CORP COM COM 278058102 $ 522.00 10,476 Sole None Sole EBAY INC COM COM 278642103 $ 450.00 12,200 Sole None Sole EMERSON ELECTRIC CO COM 291011104 $ 933.00 17,876 Sole None Sole EMERSON RADIO CORP COM NEW COM 291087203 $ 255.00 126,671 Sole None Sole FERRO CORP COM COM 315405100 $ 92.00 15,525 Sole None Sole FIRST MARBLEHEAD CORP COM COM 320771108 $ 678.00 555,952 Sole None Sole FIRSTENERGY CORP COM COM 337932107 $ 789.00 17,300 Sole None Sole FREIGHTCAR AMER INC COM COM 357023100 $ 245.00 10,900 Sole None Sole FREQUENCY ELECTRS INC COM COM 358010106 $ 174.00 21,048 Sole None Sole FROZEN FOOD EXPR INDS COM COM 359360104 $ 153.00 122,467 Sole None Sole GANNETT INC COM COM 364730101 $ 373.00 24,340 Sole None Sole GENCOR INDS INC COM COM 368678108 $ 114.00 16,247 Sole None Sole GENERAL ELEC CO COM COM 369604103 $ 1,081.00 53,863 Sole None Sole GENERAL MILLS INC COM 370334104 $ 430.00 10,888 Sole None Sole GOODRICH PETE CORP COM NEW COM 382410405 $ 371.00 19,500 Sole None Sole HARRIS CORP DEL COM COM 413875105 $ 590.00 13,094 Sole None Sole HAWAIIAN HOLDINGS INC COM COM 419879101 $ 455.00 87,000 Sole None Sole HAWAIIAN TELCOM HOLDCO COM COM 420031106 $ 259.00 15,043 Sole None Sole HEICO CORP NEW CL A COM 422806208 $ 1,489.00 37,076 Sole None Sole HILLTOP HOLDINGS INC COM COM 432748101 $ 170.00 20,266 Sole None Sole HONEYWELL INTL INC COM COM 438516106 $ 1,709.00 27,998 Sole None Sole HOOKER FUNITURE CORP COM COM 439038100 $ 202.00 14,800 Sole None Sole HUBBELL INC CL A COM 443510102 $ 3,886.00 51,395 Sole None Sole IGO INC COM COM 449593102 $ 63.00 74,248 Sole None Sole INTEL CORP COM COM 458140100 $ 4,999.00 177,797 Sole None Sole INTERNATIONAL BUSINESS MACHINE COM 459200101 $ 2,553.00 12,236 Sole None Sole INTERNATIONAL GAME TECHNOLOGY COM 459902102 $ 639.00 38,033 Sole None Sole INVACARE CORP COM COM 461203101 $ 1,069.00 64,542 Sole None Sole ISHARES GOLD TRUST COM 464285105 $ 1,514.00 93,035 Sole None Sole JOHNSON & JOHNSON COM 478160104 $ 2,550.00 38,657 Sole None Sole KENT FINL SVCS INC COM NEW COM 490560208 $ 36.00 31,700 Sole None Sole KEWAUNEE SCIENTIFIC CP COM COM 492854104 $ 182.00 20,959 Sole None Sole KEYCORP NEW COM 493267108 $ 289.00 34,023 Sole None Sole KIMBALL INTL INC CL B COM 494274103 $ 633.00 91,599 Sole None Sole KIMBERLY CLARK CORP COM 494368103 $ 296.00 4,000 Sole None Sole KOPIN CORP COM COM 500600101 $ 81.00 20,000 Sole None Sole LNB BANCORP INC COM COM 502100100 $ 242.00 34,861 Sole None Sole LAKELAND INDS INC COM COM 511795106 $ 1,248.00 122,332 Sole None Sole LANDEC CORP COM COM 514766104 $ 485.00 74,245 Sole None Sole LANNET INC COM COM 516012101 $ 376.00 90,250 Sole None Sole LAWSON PRODS INC COM COM 520776105 $ 248.00 16,441 Sole None Sole LEGG MASON INC COM COM 524901105 $ 391.00 14,000 Sole None Sole LENNAR CORP CL B COM 526057302 $ 957.00 42,825 Sole None Sole LIBERTY ALL-STAR GRWTH COM COM 529900102 $ 65.00 15,000 Sole None Sole LILLY ELI & CO COM COM 532457108 $ 208.00 5,155 Sole None Sole LUBYS INC COM COM 549282101 $ 457.00 75,320 Sole None Sole LYDALL INC DEL COM COM 550819106 $ 568.00 55,700 Sole None Sole MVC CAPITAL INC COM COM 553829102 $ 295.00 22,500 Sole None Sole MARCUS CORP COM COM 566330106 $ 282.00 22,500 Sole None Sole MARTHA STEWART LIVING CL A COM 573083102 $ 84.00 22,000 Sole None Sole MATERIAL SCIENCES CORP COM COM 576674105 $ 82.00 10,000 Sole None Sole MCCORMICK & SCHMICKS COM COM 579793100 $ 1,658.00 189,230 Sole None Sole MEDTRONIC INC COM 585055106 $ 437.00 11,140 Sole None Sole MICROSOFT CORP COM COM 594918104 $ 4,100.00 127,106 Sole None Sole MINE SAFETY APPLIANCES CO COM COM 602720104 $ 351.00 8,533 Sole None Sole MOTOROLA MOBILITY HLDG COM COM 620097105 $ 1,418.00 36,125 Sole None Sole NEW FRONTIER MEDIA INC COM COM 644398109 $ 124.00 80,236 Sole None Sole NEWMONT MINING CORP HOLDING CO COM 651639106 $ 543.00 10,597 Sole None Sole ORBIT INTL CORP COM NEW COM 685559304 $ 89.00 20,200 Sole None Sole PICO HLDGS INC COM NEW COM 693366205 $ 488.00 20,800 Sole None Sole PVF CAPITAL CORP COM COM 693654105 $ 2,496.00 1,280,102 Sole None Sole PARKER HANNIFIN CORP COM 701094104 $ 859.00 10,155 Sole None Sole PENFORD CORP COM COM 707051108 $ 390.00 57,700 Sole None Sole PEPSICO INC COM 713448108 $ 1,252.00 18,874 Sole None Sole PFIZER INC COM COM 717081103 $ 5,138.00 226,915 Sole None Sole PHILIP MORRIS INTL INC COM COM 718172109 $ 890.00 10,042 Sole None Sole PRESIDENTIAL LIFE CORP COM COM 740884101 $ 460.00 40,274 Sole None Sole PROCTER & GAMBLE CO COM COM 742718109 $ 2,223.00 33,081 Sole None Sole PROGRESS ENERGY INC COM 743263105 $ 392.00 7,375 Sole None Sole PROGRESSIVE CORP OHIO COM COM 743315103 $ 808.00 34,864 Sole None Sole QUALCOMM INC COM 747525103 $ 459.00 6,740 Sole None Sole RCM TECHNOLOGIES INC COM NEW COM 749360400 $ 114.00 20,475 Sole None Sole RAYTHEON CO COM NEW COM 755111507 $ 681.00 12,900 Sole None Sole RIMAGE CORP COM COM 766721104 $ 282.00 28,219 Sole None Sole ROUSE PPTYS INC COM COM 779287101 $ 406.00 30,000 Sole None Sole RUSH ENTERPRISES INC CL B COM 781846308 $ 5,324.00 306,173 Sole None Sole SAFEGUARD SCIENTIFICS COM COM 786449207 $ 516.00 30,000 Sole None Sole SANFILLIPPO JOHN B SON COM COM 800422107 $ 466.00 37,398 Sole None Sole SAVANNAH BANCORP INC COM COM 804748101 $ 126.00 24,330 Sole None Sole SCHLUMBERGER LTD COM 806857108 $ 645.00 9,224 Sole None Sole SPECTRA ENERGY CORP COM COM 847560109 $ 864.00 27,387 Sole None Sole STANLEY FURNITURE INC COM NEW COM 854305208 $ 426.00 88,766 Sole None Sole STATE AUTO FINL CORP COM COM 855707105 $ 519.00 35,500 Sole None Sole STRATEGIC GLOBAL INCOME COM 862719101 $ 983.00 92,000 Sole None Sole STRYKER CORP COM COM 863667101 $ 290.00 5,220 Sole None Sole SUPERVALU INC COM COM 868536103 $ 183.00 32,000 Sole None Sole SURMODICS INC COM COM 868873100 $ 169.00 11,000 Sole None Sole SYSCO CORP COM 871829107 $ 1,267.00 42,426 Sole None Sole TEXAS INSTRS INC COM COM 882508104 $ 1,256.00 37,382 Sole None Sole THERAGENICS CORP COM COM 883375107 $ 814.00 442,228 Sole None Sole TIME WARNER INC COM COM 887317303 $ 1,668.00 44,175 Sole None Sole TRIDENT MICROSYSTEMS INC COM COM 895919108 $ 56.00 170,201 Sole None Sole TRIO TECH INTL COM NEW COM 896712205 $ 50.00 23,227 Sole None Sole TRUSTCO BK CORP N Y COM COM 898349105 $ 124.00 21,800 Sole None Sole UNITED CONTL HLDGS INC COM COM 910047109 $ 215.00 10,000 Sole None Sole UNITED PARCEL SVC INC CL B COM 911312106 $ 306.00 3,796 Sole None Sole VANDA PHARMACEUTICALS COM COM 921659108 $ 122.00 25,400 Sole None Sole VICON INDS INC COM COM 925811101 $ 91.00 27,950 Sole None Sole WUXI PHARMATECH CAYMAN SPONS A COM 929352102 $ 297.00 20,600 Sole None Sole WAL-MART STORES INC COM 931142103 $ 1,240.00 20,260 Sole None Sole WALGREEN COMPANY COM 931422109 $ 512.00 15,300 Sole None Sole WELLS FARGO & CO-NEW COM 949746101 $ 1,731.00 50,715 Sole None Sole WHIRLPOOL CORP COM COM 963320106 $ 763.00 9,921 Sole None Sole XEROX CORP COM COM 984121103 $ 1,388.00 171,880 Sole None Sole ZOLL MED CORP COM COM 989922109 $ 926.00 10,000 Sole None Sole ABB LTD SPONSORED ADR COM 000375204 $ 522.00 25,600 Sole None Sole AMAG PHARMACEUTICALS COM COM 00163u106 $ 478.00 30,000 Sole None Sole AT&T INC COM COM 00206R102 $ 2,477.00 79,329 Sole None Sole AXT INC COM COM 00246w103 $ 444.00 70,000 Sole None Sole ABBOTT LABS COM COM 002824100 $ 3,385.00 55,227 Sole None Sole ACCELRYS INC COM COM 00430u103 $ 309.00 38,714 Sole None Sole ACTIVE POWER INC COM COM 00504W100 $ 82.00 105,000 Sole None Sole ADVENTX PHARM INC COM NEW COM 00764x202 $ 638.00 924,086 Sole None Sole ALBANY MOLECULAR RESEARCH INC COM 012423109 $ 1,348.00 499,300 Sole None Sole ALLIANCE BANKSHARES CP COM COM 018535104 $ 179.00 44,200 Sole None Sole ALLIANCEBERNSTEIN HOLDING LIMI COM 01881G106 $ 709.00 45,450 Sole None Sole ALLSTATE CORP COM COM 020002101 $ 691.00 20,979 Sole None Sole AMERICAN EXPRESS CO COM COM 025816109 $ 503.00 8,700 Sole None Sole AMERISOURCEBERGEN CORP COM COM 03073e105 $ 278.00 7,000 Sole None Sole AMERISERV FINL INC COM COM 03074a102 $ 27.00 10,000 Sole None Sole AMERIPRISE FINL INC COM COM 03076c106 $ 457.00 8,000 Sole None Sole AMGEN INC COM 031162100 $ 961.00 14,140 Sole None Sole AMTECH SYS INC COM PAR $0.01N COM 032332504 $ 192.00 23,000 Sole None Sole ANADARKO PETE CORP COM COM 032511107 $ 450.00 5,750 Sole None Sole APACHE CORP COM 037411105 $ 1,009.00 10,050 Sole None Sole APPLE COMPUTER INC COM 037833100 $ 1,042.00 1,738 Sole None Sole APPLIED MATERIALS INC COM COM 038222105 $ 1,077.00 86,516 Sole None Sole ARCHER DANIELS MIDLAND COM COM 039483102 $ 608.00 19,200 Sole None Sole ASTEX PHARMACEUTICALS COM COM 04624b103 $ 46.00 25,000 Sole None Sole AUTHENTEC INC COM COM 052660107 $ 690.00 218,500 Sole None Sole AVIAT NETWORKS INC COM COM 05366y102 $ 670.00 237,748 Sole None Sole AXCELIS TECHNOLOGIES INC COM COM 054540109 $ 777.00 451,500 Sole None Sole BB&T CORP COM COM 054937107 $ 345.00 11,000 Sole None Sole BTU INTL INC COM COM 056032105 $ 282.00 91,130 Sole None Sole BANK OF AMERICA CORP COM COM 060505104 $ 210.00 21,971 Sole None Sole BANK OF NEW YORK MELLON CORP COM 064058100 $ 883.00 36,612 Sole None Sole BAXTER INTERNATIONAL INC COM 071813109 $ 509.00 8,510 Sole None Sole BEAM INC COM COM 073730103 $ 293.00 5,000 Sole None Sole BENIHANA INC COM COM 082047101 $ 202.00 15,504 Sole None Sole BERKSHIRE HATHAWAY INC CL B NE COM 084670702 $ 2,715.00 33,462 Sole None Sole CHINA KANGHUI HLDGS SPONSORED COM 16890v100 $ 199.00 10,466 Sole None Sole CISCO SYS INC COM COM 17275R102 $ 1,826.00 86,347 Sole None Sole CONMED HEALTHCARE MGMT COM COM 20741m103 $ 927.00 270,200 Sole None Sole CONOCOPHILLIPS COM COM 20825C104 $ 2,160.00 28,418 Sole None Sole CONVIO INC COM COM 21257w105 $ 464.00 30,000 Sole None Sole DIGITAL ALLY INC COM COM 25382p109 $ 133.00 173,100 Sole None Sole EXELON CORP COM COM 30161n101 $ 238.00 6,061 Sole None Sole EXXON MOBIL CORP COM 30231g102 $ 1,792.00 20,657 Sole None Sole FBR CAPITAL MKTS CORP COM COM 30247c301 $ 239.00 93,100 Sole None Sole GOOGLE INC CL A COM 38259p508 $ 1,363.00 2,125 Sole None Sole HESKA CORP COM RESTRC NEW COM 42805e306 $ 251.00 22,070 Sole None Sole IVAX DIAGNOSTICS INC COM COM 45070w109 $ 29.00 44,435 Sole None Sole IMATION CORP COM COM 45245a107 $ 693.00 111,958 Sole None Sole INSTEEL INDUSTRIES INC COM COM 45774w108 $ 134.00 11,000 Sole None Sole ITERIS INC COM COM 46564t107 $ 277.00 186,004 Sole None Sole JP MORGAN CHASE & CO COM COM 46625H100 $ 3,226.00 70,168 Sole None Sole JANUS CAP GROUP INC COM COM 47102x105 $ 579.00 65,000 Sole None Sole KRAFT FOODS INC CL A COM 50075n104 $ 1,539.00 40,500 Sole None Sole LAKES ENTMNT INC COM COM 51206p109 $ 267.00 148,590 Sole None Sole MEDICAL ACTION IND INC COM COM 58449l100 $ 416.00 72,730 Sole None Sole MERCK & CO INC COM 58933y105 $ 895.00 23,319 Sole None Sole MOSAIC CO COM COM 61945c103 $ 376.00 6,800 Sole None Sole NEUTRAL TANDEM INC INTELIQUENT COM 64128b108 $ 280.00 23,000 Sole None Sole OPNEXT INC COM COM 68375v105 $ 77.00 50,000 Sole None Sole ORCHID CELLMARK INC COM COM 68573c107 $ 1,316.00 470,000 Sole None Sole PPL CORP COM COM 69351t106 $ 554.00 19,600 Sole None Sole PENDRELL CORP COM COM 70686r104 $ 120.00 46,000 Sole None Sole PERCEPTRON INC COM 71361f100 $ 205.00 35,025 Sole None Sole PERFUMANIA HLDGS INC COM NEW COM 71376c100 $ 204.00 22,000 Sole None Sole PRO-DEX INC COLO COM NEW COM 74265m205 $ 30.00 12,200 Sole None Sole QUALSTAR CORP COM COM 74758r109 $ 28.00 14,500 Sole None Sole RTI BIOLOGICS INC COM COM 74975n105 $ 276.00 74,500 Sole None Sole RODMAN & RENSHAW CAP COM COM 77487r100 $ 113.00 108,000 Sole None Sole SILICON IMAGE INC COM COM 82705t102 $ 107.00 18,200 Sole None Sole SILICON GRAPHICS INTL COM COM 82706l108 $ 136.00 14,000 Sole None Sole SIRIUS XM RADIO INC COM 82967n108 $ 28.00 12,000 Sole None Sole SPROTT PHYSICAL GOLD UNIT COM 85207h104 $ 2,276.00 157,603 Sole None Sole TARGACEPT INC COM COM 87611r306 $ 333.00 65,000 Sole None Sole TRANSCEPT PHARMACEUTIC COM COM 89354m106 $ 105.00 10,000 Sole None Sole VAALCO ENERGY INC COM NEW COM 91851c201 $ 548.00 58,000 Sole None Sole VERIZON COMMUNICATIONS INC COM COM 92343V104 $ 2,510.00 65,665 Sole None Sole WPCS INTL INC COM NEW COM 92931l203 $ 202.00 159,275 Sole None Sole XYLEM INC COM COM 98419m100 $ 207.00 7,450 Sole None Sole ZOLTEK COS INC COM COM 98975w104 $ 136.00 12,000 Sole None Sole BLUEPHOENIX SOLUTIONS LTD FGN COM m20157117 $ 47.00 29,750 Sole None Sole RADVISION LTD ORD COM m81869105 $ 179.00 15,250 Sole None Sole SYNERON MEDICAL LTD ORD SHS COM m87245102 $ 255.00 23,821 Sole None Sole EUROSEAS LTD COM NEW COM y23592200 $ 182.00 79,845 Sole None Sole STEALTHGAS INC SHS COM y81669106 $ 147.00 25,000 Sole None Sole BOULDER GROWTH & INC COM CLSD FD 101507101 $ 376.00 60,000 Sole None Sole BOULDER TOTAL RETURN COM CLSD FD 101541100 $ 641.00 37,600 Sole None Sole CENTRAL FD CDA LTD CL A CLSD FD 153501101 $ 3,121.00 142,230 Sole None Sole JAPAN EQUITY FD INC COM CLSD FD 471057109 $ 156.00 27,500 Sole None Sole MFS MULTIMARKET INCOME CLSD FD 552737108 $ 335.00 48,000 Sole None Sole MADISON CLAYMORE CVRD COM CLSD FD 556582104 $ 2,171.00 262,505 Sole None Sole NEW IRELAND FUND INC COM CLSD FD 645673104 $ 89.00 11,000 Sole None Sole NUVEEN OHIO QLTY INCM COM CLSD FD 670980101 $ 203.00 11,669 Sole None Sole PETROLEUM & RES CORP COM CLSD FD 716549100 $ 529.00 20,359 Sole None Sole PUTNAM PREMIER INCM TR SH BEN CLSD FD 746853100 $ 904.00 164,000 Sole None Sole PUTNAM MASTR INTR INCM SH BEN CLSD FD 746909100 $ 77.00 15,000 Sole None Sole SWISS HELVETIA FD INC COM CLSD FD 870875101 $ 314.00 28,027 Sole None Sole TRI CONTL CORP COM CLSD FD 895436103 $ 2,730.00 171,500 Sole None Sole ZWEIG TOTAL RETURN FD COM CLSD FD 989837109 $ 449.00 140,201 Sole None Sole ADAMS EXPRESS CO COM CLSD FD 006212104 $ 2,411.00 219,601 Sole None Sole ALLIANCEBERNSTEIN GBL COM CLSD FD 01879r106 $ 204.00 13,613 Sole None Sole ALPINE TTL DYNAMIC DVD COM SBI CLSD FD 021060108 $ 213.00 45,000 Sole None Sole ASIA PAC FD INC COM CLSD FD 044901106 $ 216.00 20,420 Sole None Sole CLOUGH GLOBAL OPPORTUNITIES FD CLSD FD 18914E106 $ 350.00 29,700 Sole None Sole EATON VANCE TAX MNG GB COM CLSD FD 27829f108 $ 356.00 40,000 Sole None Sole EATON VANCE RSK MNG DV COM CLSD FD 27829g106 $ 2,830.00 267,200 Sole None Sole GABELLI DIVD & INCM TR COM CLSD FD 36242h104 $ 521.00 31,800 Sole None Sole JOHN HANCOCK PREMIUM DIVIDEND CLSD FD 41013t105 $ 202.00 15,000 Sole None Sole MFS INTERMEDIATE INCOME CLSD FD 55273c107 $ 211.00 33,020 Sole None Sole NEUBERGER BERMAN RE COM CLSD FD 64190a103 $ 210.00 49,000 Sole None Sole NUVEEN CORE EQTY ALPHA COM CLSD FD 67090x107 $ 138.00 10,000 Sole None Sole ROYCE FOCUS TR COM CLSD FD 78080n108 $ 174.00 25,000 Sole None Sole SPECIAL OPPORTUNITIES FD INC C CLSD FD 84741t104 $ 2,486.00 154,784 Sole None Sole WESTN ASSET CLAYMOR US COM SH CLSD FD 95766q106 $ 382.00 30,000 Sole None Sole WESTERN ASSET CLAYMORE INFLATI CLSD FD 95766r104 $ 1,413.00 110,466 Sole None Sole ROYAL DUTCH SHELL PLC SPON ADR ADUS 780259107 $ 1,487.00 21,050 Sole None Sole ROYAL DUTCH SHELL PLC SPONS AD ADUS 780259206 $ 884.00 12,599 Sole None Sole BAIDU COM INC SPON ADR REP A ADUS 056752108 $ 277.00 1,900 Sole None Sole CHINA LODG GROUP LTD SPONSORED ADUS 16949N109 $ 187.00 16,000 Sole None Sole NATUZZI S P A ADR ADUS 63905a101 $ 403.00 149,272 Sole None Sole PERFECT WORLD CO LTD SPON ADR ADUS 71372u104 $ 324.00 20,000 Sole None Sole PHOENIX NEW MEDIA LTD SPONSORE ADUS 71910C103 $ 147.00 20,000 Sole None Sole VALE S A ADR ADUS 91912e105 $ 233.00 10,000 Sole None Sole VODAFONE GROUP PLC NEW SPONS A ADUS 92857w209 $ 280.00 10,124 Sole None Sole ISHARES INC MSCI CDA INDEX INDX FD 464286509 $ 419.00 14,772 Sole None Sole ISHARES INC EM MKT MIN VOL INDX FD 464286533 $ 292.00 5,160 Sole None Sole ISHARES INC MSCI SWITZERLD INDX FD 464286749 $ 249.00 9,960 Sole None Sole ISHARES TR S&P 500 INDEX INDX FD 464287200 $ 1,658.00 11,743 Sole None Sole ISHARES TR MSCI EMERG MKT INDX FD 464287234 $ 480.00 11,177 Sole None Sole ISHARES TR 1-3 YR TRS BD INDX FD 464287457 $ 253.00 3,000 Sole None Sole ISHARES TR MSCI EAFE IDX INDX FD 464287465 $ 2,238.00 40,777 Sole None Sole ISHARES TR RUSSELL MIDCAP INDX FD 464287499 $ 257.00 2,320 Sole None Sole ISHARES TR S&P MIDCAP 400 INDX FD 464287507 $ 6,577.00 66,282 Sole None Sole ISHARES TR NASDQ BIO INDX INDX FD 464287556 $ 224.00 1,815 Sole None Sole ISHARES RUSSELL 1000 VALUE IND INDX FD 464287598 $ 726.00 10,354 Sole None Sole ISHARES TR RUSSELL1000GRW INDX FD 464287614 $ 432.00 6,532 Sole None Sole ISHARES TR RUSSELL 2000 INDX FD 464287655 $ 206.00 2,482 Sole None Sole ISHARES TR HIGH YLD CORP INDX FD 464288513 $ 299.00 3,297 Sole None Sole ISHARES TR US PFD STK IDX INDX FD 464288687 $ 250.00 6,394 Sole None Sole MORGAN STANLEY CHINA A SHRS FD INDX FD 617468103 $ 196.00 10,000 Sole None Sole REVENUESHARES ETF TR SMALL CAP INDX FD 761396308 $ 2,727.00 75,039 Sole None Sole SWEDISH EXPT CR CORP ROG ARGI INDX FD 870297603 $ 354.00 38,775 Sole None Sole ROGERS INTL COMMODITY INDEX ET INDX FD 870297801 $ 4,219.00 471,585 Sole None Sole UNITED STS COMM IDX FD COMM ID INDX FD 911717106 $ 876.00 14,284 Sole None Sole VANGUARD SPECIALIZED DIV APP E INDX FD 921908844 $ 4,504.00 76,918 Sole None Sole VANGUARD WORLD FD MEGA CAP IND INDX FD 921910873 $ 5,848.00 121,203 Sole None Sole VANGUARD BD INDEX FD INTERMED INDX FD 921937819 $ 224.00 2,580 Sole None Sole VANGUARD BD INDEX FD SHORT TRM INDX FD 921937827 $ 5,813.00 71,823 Sole None Sole VANGUARD INTL EQTY IDX GLB EX INDX FD 922042676 $ 277.00 5,892 Sole None Sole VANGUARD INTL EQTY IDX FTSE SM INDX FD 922042718 $ 1,638.00 18,409 Sole None Sole VANGUARD INTL EQTY IDX ALLWRLD INDX FD 922042775 $ 10,863.00 245,667 Sole None Sole VANGUARD INTL EQTY IDX EMR MKT INDX FD 922042858 $ 13,978.00 321,554 Sole None Sole VANGUARD INDEX FDS S&P 500 ETF INDX FD 922908413 $ 6,742.00 104,742 Sole None Sole VANGUARD INDEX FDS MCAP VL IDX INDX FD 922908512 $ 5,246.00 91,305 Sole None Sole VANGUARD INDEX FDS MCAP GR IDX INDX FD 922908538 $ 213.00 3,087 Sole None Sole VANGUARD INDEX FDS REIT ETF INDX FD 922908553 $ 8,217.00 129,096 Sole None Sole VANGUARD INDEX FDS SM CP VAL E INDX FD 922908611 $ 5,205.00 73,949 Sole None Sole VANGUARD INDEX FDS EXTEND MKT INDX FD 922908652 $ 3,360.00 56,630 Sole None Sole VANGUARD INDEX FDS SMALL CP ET INDX FD 922908751 $ 2,506.00 31,838 Sole None Sole ALPS ETF TR ALERIAN MLP INDX FD 00162q866 $ 511.00 30,729 Sole None Sole BLDRS INDEX FDS TR DEV MK 100 INDX FD 09348r201 $ 312.00 15,316 Sole None Sole BLDRS INDEX FDS TR EMER MK 50 INDX FD 09348r300 $ 4,132.00 97,858 Sole None Sole GUGGENHEIM MULTI ASSET INCOME INDX FD 18383m506 $ 5,671.00 259,521 Sole None Sole CLAYMORE EXCHANGE GUG INTL MLT INDX FD 18383q804 $ 324.00 18,351 Sole None Sole CREDIT SUISSE NASSAU B ETN LKD INDX FD 22542d852 $ 1,298.00 52,660 Sole None Sole FIRST TR EXCH TRD FD AMEX BIOT INDX FD 33733e203 $ 1,034.00 24,465 Sole None Sole INDEXIQ ETF TR IQ ARB GLB RES INDX FD 45409b883 $ 2,136.00 73,394 Sole None Sole ISHARES SILVER TRUST ISHARES INDX FD 46428q109 $ 655.00 20,860 Sole None Sole ISHARES TR EAFE MIN VOLAT INDX FD 46429b689 $ 388.00 7,391 Sole None Sole JPMORGAN CHASE & CO ALERIAN ML INDX FD 46625h365 $ 1,070.00 27,330 Sole None Sole JAPAN SMALLER CAPTLZTN COM INDX FD 47109u104 $ 313.00 40,024 Sole None Sole MARKET VECTORS ETF TR AGRIBUS INDX FD 57060u605 $ 1,948.00 36,873 Sole None Sole MARKET VECTORS ETF TR RVE HARD INDX FD 57060u795 $ 854.00 23,407 Sole None Sole DB COMMODITY INDX FUND UNIT BE INDX FD 73935s105 $ 240.00 8,338 Sole None Sole POWERSHARES EXCHANGE TRADED FD INDX FD 73935x104 $ 1,231.00 26,391 Sole None Sole POWERSHARES ETF TRUST HI YLD E INDX FD 73935x302 $ 282.00 29,947 Sole None Sole POWERSHARES ETF TRUST FTSE RAF INDX FD 73935x583 $ 4,782.00 79,035 Sole None Sole POWERSHARES ETF TR II SENIOR L INDX FD 73936q769 $ 457.00 18,610 Sole None Sole POWERSHARES ETF TR II INTL COR INDX FD 73936q835 $ 524.00 18,809 Sole None Sole POWERSHS GBL ETF TRUST EX US S INDX FD 73936t771 $ 477.00 21,193 Sole None Sole POWERSHS GBL ETF TRUST DEV MKT INDX FD 73936t789 $ 2,406.00 67,162 Sole None Sole POWERSHARES ETF TR II S&P500 L INDX FD 73937b779 $ 592.00 22,101 Sole None Sole PROSHARES TR SHORT RUSS2000 INDX FD 74347r826 $ 430.00 16,500 Sole None Sole PROSHARES TR SHRT 20+YR TRE INDX FD 74347x849 $ 445.00 13,400 Sole None Sole STANDARD & POORS DEPOSITARY RE INDX FD 78462f103 $ 2,345.00 16,652 Sole None Sole STREETTRACKS GOLD TR GOLD SHS INDX FD 78463v107 $ 2,974.00 18,347 Sole None Sole SPDR INDEX SHS FDS DJ GLB RL E INDX FD 78463x749 $ 5,238.00 133,831 Sole None Sole SELECT SECTOR SPDR TR SBI MATE INDX FD 81369y100 $ 282.00 7,628 Sole None Sole SELECT SECTOR SPDR TR SBI CONS INDX FD 81369y308 $ 377.00 11,052 Sole None Sole VANGUARD WORLD FDS ENERGY ETF INDX FD 92204a306 $ 4,167.00 39,622 Sole None Sole VANGUARD WORLD FDS MATERIALS E INDX FD 92204a801 $ 5,228.00 63,592 Sole None Sole VANGUARD WORLD FDS UTILITIES E INDX FD 92204a876 $ 203.00 2,715 Sole None Sole VANGUARD SCOTTSDALE FD SHRT-TE INDX FD 92206c409 $ 847.00 10,712 Sole None Sole WISDOMTREE TRUST EMG MKTS SMCA INDX FD 97717w281 $ 1,472.00 30,594 Sole None Sole WISDOMTREE TRUST LARGECAP DIVI INDX FD 97717w307 $ 426.00 8,036 Sole None Sole WISDOMTREE TRUST EMRG MKT HGHY INDX FD 97717w315 $ 673.00 11,679 Sole None Sole WISDOMTREE TRUST DIV EX-FINL F INDX FD 97717w406 $ 296.00 5,400 Sole None Sole WISDOMTREE TRUST MIDCAP DIVI F INDX FD 97717w505 $ 499.00 8,868 Sole None Sole WISDOMTREE TRUST DEFA FD INDX FD 97717w703 $ 240.00 5,354 Sole None Sole WISDOMTREE TRUST DEFA EQT INC INDX FD 97717w802 $ 215.00 5,524 Sole None Sole WISDOMTREE TR EM LCL DEBT FD INDX FD 97717x867 $ 931.00 17,938 Sole None Sole CHESAPEAKE ENERGY CORP PFD D 4 CV PFD 165167842 $ 276.00 3,000 Sole None Sole ENTERPRISE PRODS PARTN COM LP 293792107 $ 802.00 15,892 Sole None Sole KINDER MORGAN ENERGY PARTNERS LP 494550106 $ 939.00 11,350 Sole None Sole ENERGY TRANSFER EQUITY COM UT LP 29273v100 $ 202.00 5,022 Sole None Sole CELGENE CORP CONTIN VAL RT RT 151020112 $ 37.00 19,200 Sole None Sole SANOFI CONTGNT VAL RT RT 80105n113 $ 81.00 60,014 Sole None Sole GUGGENHEIM MULTI ASSET INCOME INDX FD 18383m506 $ 4,688.00 229,255 Sole None Sole INDEXIQ ETF TR IQ ARB GLB RES INDX FD 45409b883 $ 2,063.00 73,617 Sole None Sole ISHARES INC MSCI CDA INDEX INDX FD 464286509 $ 395.00 14,839 Sole None Sole ISHARES INC MSCI SWITZERLD INDX FD 464286749 $ 228.00 10,070 Sole None Sole ISHARES RUSSELL 1000 VALUE IND INDX FD 464287598 $ 685.00 10,790 Sole None Sole ISHARES SILVER TRUST ISHARES INDX FD 46428q109 $ 544.00 20,198 Sole None Sole ISHARES TR 1-3 YR TRS BD INDX FD 464287457 $ 253.00 3,000 Sole None Sole ISHARES TR EAFE MIN VOLAT INDX FD 46429b689 $ 325.00 6,467 Sole None Sole ISHARES TR HIGH YLD CORP INDX FD 464288513 $ 271.00 3,029 Sole None Sole ISHARES TR MSCI EAFE IDX INDX FD 464287465 $ 2,020.00 40,777 Sole None Sole ISHARES TR MSCI EMERG MKT INDX FD 464287234 $ 444.00 11,690 Sole None Sole ISHARES TR RUSSELL MIDCAP INDX FD 464287499 $ 228.00 2,320 Sole None Sole ISHARES TR RUSSELL1000GRW INDX FD 464287614 $ 405.00 7,002 Sole None Sole ISHARES TR S&P 500 INDEX INDX FD 464287200 $ 1,442.00 11,445 Sole None Sole ISHARES TR S&P MIDCAP 400 INDX FD 464287507 $ 4,566.00 52,120 Sole None Sole ISHARES TR US PFD STK IDX INDX FD 464288687 $ 205.00 5,752 Sole None Sole JAPAN SMALLER CAPTLZTN COM INDX FD 47109u104 $ 287.00 40,024 Sole None Sole JPMORGAN CHASE & CO ALERIAN ML INDX FD 46625h365 $ 658.00 16,876 Sole None Sole MARKET VECTORS ETF TR AGRIBUS INDX FD 57060u605 $ 1,167.00 24,744 Sole None Sole MARKET VECTORS ETF TR RVE HARD INDX FD 57060u795 $ 796.00 23,607 Sole None Sole MORGAN STANLEY CHINA A SHRS FD INDX FD 617468103 $ 193.00 10,000 Sole None Sole POWERSHARES ETF TR II INTL COR INDX FD 73936q835 $ 487.00 18,409 Sole None Sole POWERSHARES ETF TR II S&P500 L INDX FD 73937b779 $ 549.00 21,177 Sole None Sole POWERSHARES ETF TR II SENIOR L INDX FD 73936q769 $ 279.00 11,703 Sole None Sole POWERSHARES ETF TRUST FTSE RAF INDX FD 73935x583 $ 2,812.00 51,520 Sole None Sole POWERSHARES ETF TRUST HI YLD E INDX FD 73935x302 $ 277.00 29,947 Sole None Sole POWERSHARES EXCHANGE TRADED FD INDX FD 73935x104 $ 1,083.00 26,391 Sole None Sole POWERSHS GBL ETF TRUST DEV MKT INDX FD 73936t789 $ 1,182.00 36,752 Sole None Sole POWERSHS GBL ETF TRUST EX US S INDX FD 73936t771 $ 436.00 21,193 Sole None Sole PROSHARES TR PSHS SH MSCI EAF INDX FD 74347r370 $ 592.00 11,500 Sole None Sole PROSHARES TR SHRT 20+YR TRE INDX FD 74347x849 $ 324.00 10,400 Sole None Sole REVENUESHARES ETF TR SMALL CAP INDX FD 761396308 $ 2,125.00 66,262 Sole None Sole ROGERS INTL COMMODITY INDEX ET INDX FD 870297801 $ 2,203.00 258,839 Sole None Sole SELECT SECTOR SPDR TR SBI CONS INDX FD 81369y308 $ 359.00 11,052 Sole None Sole SELECT SECTOR SPDR TR SBI MATE INDX FD 81369y100 $ 256.00 7,628 Sole None Sole SPDR INDEX SHS FDS DJ GLB RL E INDX FD 78463x749 $ 3,128.00 89,644 Sole None Sole STANDARD & POORS DEPOSITARY RE INDX FD 78462f103 $ 3,282.00 26,152 Sole None Sole STREETTRACKS GOLD TR GOLD SHS INDX FD 78463v107 $ 2,894.00 19,038 Sole None Sole SWEDISH EXPT CR CORP ROG ARGI INDX FD 870297603 $ 347.00 38,775 Sole None Sole UNITED STS COMM IDX FD COMM ID INDX FD 911717106 $ 869.00 14,883 Sole None Sole VANGUARD BD INDEX FD INTERMED INDX FD 921937819 $ 224.00 2,580 Sole None Sole VANGUARD BD INDEX FD SHORT TRM INDX FD 921937827 $ 3,800.00 47,006 Sole None Sole VANGUARD INDEX FDS EXTEND MKT INDX FD 922908652 $ 1,836.00 35,423 Sole None Sole VANGUARD INDEX FDS MCAP VL IDX INDX FD 922908512 $ 4,727.00 91,493 Sole None Sole VANGUARD INDEX FDS REIT ETF INDX FD 922908553 $ 7,057.00 121,668 Sole None Sole VANGUARD INDEX FDS S&P 500 ETF INDX FD 922908413 $ 3,739.00 65,076 Sole None Sole VANGUARD INDEX FDS SM CP VAL E INDX FD 922908611 $ 4,471.00 71,349 Sole None Sole VANGUARD INDEX FDS SMALL CP ET INDX FD 922908751 $ 1,636.00 23,476 Sole None Sole VANGUARD INTL EQTY IDX ALLWRLD INDX FD 922042775 $ 7,952.00 200,559 Sole None Sole VANGUARD INTL EQTY IDX EMR MKT INDX FD 922042858 $ 11,312.00 296,053 Sole None Sole VANGUARD INTL EQTY IDX FTSE SM INDX FD 922042718 $ 825.00 10,640 Sole None Sole VANGUARD INTL EQTY IDX GLB EX INDX FD 922042676 $ 232.00 5,692 Sole None Sole VANGUARD SCOTTSDALE FD SHRT-TE INDX FD 92206c409 $ 927.00 11,912 Sole None Sole VANGUARD SPECIALIZED DIV APP E INDX FD 921908844 $ 4,204.00 76,918 Sole None Sole VANGUARD WORLD FD MEGA CAP IND INDX FD 921910873 $ 5,185.00 120,565 Sole None Sole VANGUARD WORLD FDS ENERGY ETF INDX FD 92204a306 $ 3,008.00 29,841 Sole None Sole VANGUARD WORLD FDS MATERIALS E INDX FD 92204a801 $ 3,743.00 51,183 Sole None Sole VANGUARD WORLD FDS UTILITIES E INDX FD 92204a876 $ 201.00 2,615 Sole None Sole WISDOMTREE TR EM LCL DEBT FD INDX FD 97717x867 $ 867.00 17,818 Sole None Sole WISDOMTREE TRUST DEFA EQT INC INDX FD 97717w802 $ 202.00 5,524 Sole None Sole WISDOMTREE TRUST DEFA FD INDX FD 97717w703 $ 215.00 5,254 Sole None Sole WISDOMTREE TRUST DIV EX-FINL F INDX FD 97717w406 $ 281.00 5,400 Sole None Sole WISDOMTREE TRUST EMG MKTS SMCA INDX FD 97717w281 $ 856.00 20,718 Sole None Sole WISDOMTREE TRUST EMRG MKT HGHY INDX FD 97717w315 $ 516.00 10,069 Sole None Sole WISDOMTREE TRUST FUTRE STRAT F INDX FD 97717w125 $ 668.00 14,778 Sole None Sole WISDOMTREE TRUST LARGECAP DIVI INDX FD 97717w307 $ 394.00 8,036 Sole None Sole WISDOMTREE TRUST MIDCAP DIVI F INDX FD 97717w505 $ 310.00 5,963 Sole None Sole ENTERPRISE PRODS PARTN COM LP 293792107 $ 947.00 20,411 Sole None Sole KINDER MORGAN ENERGY PARTNERS LP 494550106 $ 1,111.00 13,075 Sole None Sole CHESAPEAKE ENERGY CORP PFD D 4 CV PFD 165167842 $ 280.00 3,000 Sole None Sole CELGENE CORP CONTIN VAL RT RT 151020112 $ 27.00 19,200 Sole None Sole SANOFI CONTGNT VAL RT RT 80105N113 $ 81.00 60,014 Sole None Sole $ 362,468.00