0001446114-16-000035.txt : 20161114
0001446114-16-000035.hdr.sgml : 20161111
20161114164542
ACCESSION NUMBER: 0001446114-16-000035
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161114
DATE AS OF CHANGE: 20161114
EFFECTIVENESS DATE: 20161114
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: 161995571
BUSINESS ADDRESS:
STREET 1: 6060 PARKLAND BOULEVARD, SUITE 200
CITY: CLEVELAND
STATE: OH
ZIP: 44124
BUSINESS PHONE: 2168254000
MAIL ADDRESS:
STREET 1: 6060 PARKLAND BOULEVARD, SUITE 200
CITY: CLEVELAND
STATE: OH
ZIP: 44124
13F-HR
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Ancora Advisors, LLC
6060 Parkland Boulevard, Suite 200
Cleveland
OH
44124
13F COMBINATION REPORT
028-13214
0000721204
028-01190
RUSSELL FRANK CO/
N
Joseph Spidalieri
CCO
2165935007
Joseph Spidalieri
cleveland
OH
11-14-2016
0
525
988087
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INTL FCSTONE INC COM
COM
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0
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COM
46123d205
134
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0
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0
ITERIS INC
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COM
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COM
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0
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0
JOY GLOBAL INC
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0
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KLA-TENCOR CORP
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87
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LIBERTY ALL STAR EQUITY FD
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LIBERTY GLOBAL PLC
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LIBERTY INTERACTIVE CORP
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LIBERTY INTERACTIVE CORP LBT V
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LIBERTY MEDIA CORP DELAWARE
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LIBERTY MEDIA CORP DELAWARE
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LIBERTY MEDIA CORP DELAWARE
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LINCOLN EDL SVCS CORP
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LINEAR TECHNOLOGY CORP
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350
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COM
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MFRI INC
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MGIC INVT CORP WIS
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COM
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PROGRESSIVE CORP OHIO
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QLT INC
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QUALCOMM INC
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WELLS FARGO & CO NEW
COM
949746101
4717
106526
SH
SOLE
106526
0
0
WESTAR ENERGY INC COM
COM
95709t100
409
7200
SH
SOLE
7200
0
0
WESTPORT FUEL SYSTEMS INC
COM
960908309
496
308198
SH
SOLE
308198
0
0
WESTROCK CO COM SHS
COM
96145d105
2930
60447
SH
SOLE
60447
0
0
WEYERHAEUSER CO
COM
962166104
2658
83227
SH
SOLE
83227
0
0
WHITEWAVE FOODS CO
COM
966244105
332
6100
SH
SOLE
6100
0
0
XEROX CORP
COM
984121103
1351
133400
SH
SOLE
133400
0
0
YAHOO INC
COM
984332106
2801
65000
SH
SOLE
65000
0
0
ZAFGEN INC COM
COM
98885e103
109
33000
SH
SOLE
33000
0
0
ZAGG INC
COM
98884u108
369
45500
SH
SOLE
45500
0
0
ZOETIS INC
COM
98978v103
590
11350
SH
SOLE
11350
0
0
AIXTRON SE
ADUS
009606104
667
109839
SH
SOLE
109839
0
0
BAIDU INC
ADUS
056752108
305
1673
SH
SOLE
1673
0
0
CTRIP COM INTL LTD ADR
ADUS
22943f100
239
5136
SH
SOLE
5136
0
0
DIAGEO P L C
ADUS
25243Q205
2389
20592
SH
SOLE
20592
0
0
ENSCO PLC
ADUS
G3157S106
135
15850
SH
SOLE
15850
0
0
GLAXOSMITHKLINE PLC
ADUS
37733W105
443
10273
SH
SOLE
10273
0
0
NATUZZI S P A ADR
ADUS
63905a101
909
519683
SH
SOLE
519683
0
0
NETEASE COM INC SPONSORED ADR
ADUS
64110w102
346
1435
SH
SOLE
1435
0
0
NOVARTIS A G
ADUS
66987V109
217
2744
SH
SOLE
2744
0
0
ROYAL DUTCH SHELL PLC
ADUS
780259107
782
14800
SH
SOLE
14800
0
0
ROYAL DUTCH SHELL PLC
ADUS
780259206
757
15122
SH
SOLE
15122
0
0
ENERGY TRANSFER EQUITY L P
LP
29273V100
518
30838
SH
SOLE
30838
0
0
ENERGY TRANSFER PRTNRS L P
LP
29273R109
314
8476
SH
SOLE
8476
0
0
ENTERPRISE PRODS PARTNERS L
LP
293792107
2177
78782
SH
SOLE
78782
0
0
EQT MIDSTREAM PARTNERS L P
LP
26885b100
576
7561
SH
SOLE
7561
0
0
KINDER MORGAN INC DEL
LP
49456B101
208
8972
SH
SOLE
8972
0
0
MAGELLAN MIDSTREAM PRTNRS LP
LP
559080106
1877
26529
SH
SOLE
26529
0
0
MPLX LP COM
LP
55336v100
415
12248
SH
SOLE
12248
0
0
ROSE ROCK MIDSTREAM L P
LP
777149105
1738
64000
SH
SOLE
64000
0
0
SPECTRA ENERGY PARTNERS LP
LP
84756N109
473
10818
SH
SOLE
10818
0
0
SUNOCO LOGISTICS PT LP COM UNI
LP
86764l108
303
10665
SH
SOLE
10665
0
0
TESORO LOGISTICS LP
LP
88160T107
510
10523
SH
SOLE
10523
0
0
WESTERN GAS PARTNERS LP
LP
958254104
806
14633
SH
SOLE
14633
0
0
BANK AMER CORP
CV PFD
060505682
244
200
SH
SOLE
200
0
0
COMMUNITY HEALTH SYS INC NEW
COM
203668116
40
4461173
SH
SOLE
4461173
0
0
ABERDEEN ASIA PACIFIC INCOM
CLSD FD
003009107
1828
357000
SH
SOLE
357000
0
0
ADAMS DIVERSIFIED EQUITY FD
CLSD FD
006212104
1313
99845
SH
SOLE
99845
0
0
ASIA PAC FD INC
CLSD FD
044901106
184
17413
SH
SOLE
17413
0
0
BLACKROCK CORE BD TR
CLSD FD
09249E101
199
14000
SH
SOLE
14000
0
0
BLACKROCK FLA MUN 2020 TERM
CLSD FD
09250m109
222
14500
SH
SOLE
14500
0
0
BLACKROCK MUN 2018 TERM
CLSD FD
09248c106
503
33018
SH
SOLE
33018
0
0
BOULDER GROWTH & INCOME FD I
CLSD FD
101507101
716
85432
SH
SOLE
85432
0
0
CENTRAL FD CDA LTD
CLSD FD
153501101
180
12988
SH
SOLE
12988
0
0
CLOUGH GLOBAL OPPORTUNITIES
CLSD FD
18914E106
252
26014
SH
SOLE
26014
0
0
COHEN & STEERS CLOSED END OPP
CLSD FD
19248p106
271
22010
SH
SOLE
22010
0
0
COHEN & STEERS INFRASTRUCTUR
CLSD FD
19248A109
1264
58700
SH
SOLE
58700
0
0
EAGLE CAP GROWTH FD INC
CLSD FD
269451100
665
84221
SH
SOLE
84221
0
0
EQUUS TOTAL RETURN INC
CLSD FD
294766100
126
68000
SH
SOLE
68000
0
0
FRANKLIN LTD DURATION INC TR
CLSD FD
35472T101
907
75000
SH
SOLE
75000
0
0
GABELLI DIVD & INCOME TR
CLSD FD
36242H104
471
24500
SH
SOLE
24500
0
0
GDL FUND
CLSD FD
361570104
2081
209141
SH
SOLE
209141
0
0
JPMORGAN CHINA REGION FD INC C
CLSD FD
48126t104
5256
305058
SH
SOLE
305058
0
0
MADISON STRTG SECTOR PREM FD
CLSD FD
558268108
2373
201973
SH
SOLE
201973
0
0
MFS INTER INCOME TR
CLSD FD
55273C107
2029
447975
SH
SOLE
447975
0
0
MFS MULTIMARKET INCOME TR
CLSD FD
552737108
609
100000
SH
SOLE
100000
0
0
NEUBERGER BERMAN RE COM
CLSD FD
64190a103
3045
535146
SH
SOLE
535146
0
0
NUVEEN OHIO QUALITY INCOME M
CLSD FD
670980101
198
11990
SH
SOLE
11990
0
0
PUTNAM PREMIER INCOME TR
CLSD FD
746853100
154
31476
SH
SOLE
31476
0
0
ROYCE VALUE TR INC
CLSD FD
780910105
1393
110000
SH
SOLE
110000
0
0
SPECIAL OPPORTUNITIES FD INC
CLSD FD
84741T104
5032
337472
SH
SOLE
337472
0
0
SWISS HELVETIA FD INC
CLSD FD
870875101
189
17723
SH
SOLE
17723
0
0
TRI CONTL CORP
CLSD FD
895436103
1329
62147
SH
SOLE
62147
0
0
VIRTUS GLOBAL DIVID & INCOME F
CLSD FD
92835w107
2046
169959
SH
SOLE
169959
0
0
WESTERN ASSET CLYM INFL OPP
CLSD FD
95766R104
1468
131208
SH
SOLE
131208
0
0
WESTERN ASSET CLYM INFL SEC
CLSD FD
95766Q106
114
10000
SH
SOLE
10000
0
0
ZWEIG FD
CLSD FD
989834205
881
68000
SH
SOLE
68000
0
0
ADVISORSHARES TR
INDX FD
00768Y818
1121
19238
SH
SOLE
19238
0
0
ALPINE TOTAL DYNAMIC DIVID F
INDX FD
021060207
1137
149000
SH
SOLE
149000
0
0
ALPS ETF TR SECTOR DIVIDEND DO
INDX FD
00162q858
891
21426
SH
SOLE
21426
0
0
CAMBRIA ETF TR
INDX FD
132061201
313
10425
SH
SOLE
10425
0
0
CLAYMORE ETF GUGGENHEIM BULLET
INDX FD
18383m548
227
10000
SH
SOLE
10000
0
0
CLAYMORE EXCHANGE-TRADED FD
INDX FD
18383m522
214
10000
SH
SOLE
10000
0
0
CLAYMORE EXCHANGE TRADED FD
INDX FD
18383m654
364
7250
SH
SOLE
7250
0
0
DIREXION SHS ETF TR ALL CAP IN
INDX FD
25459y769
430
5787
SH
SOLE
5787
0
0
FIRST TR EXCHANGE TRADED FD
INDX FD
33733E203
2120
21259
SH
SOLE
21259
0
0
FIRST TR US IPO INDEX FD
INDX FD
336920103
884
16288
SH
SOLE
16288
0
0
FIRST TR IV NORTH AMERN ENERGY
INDX FD
33738d101
7651
302177
SH
SOLE
302177
0
0
GLOBAL X FDS MLP & ENERGY INFR
INDX FD
37950e226
630
41502
SH
SOLE
41502
0
0
ISHARES GOLD TRUST
INDX FD
464285105
3714
292651
SH
SOLE
292651
0
0
ISHARES INC CORE MSCI EMERGING
INDX FD
46434g103
210
4600
SH
SOLE
4600
0
0
ISHARES
INDX FD
464286533
286
5297
SH
SOLE
5297
0
0
ISHARES SILVER TRUST
INDX FD
46428Q109
1682
92403
SH
SOLE
92403
0
0
ISHARES TR
INDX FD
464287176
285
2444
SH
SOLE
2444
0
0
ISHARES TR CORE MSCI EAFE
INDX FD
46432f842
8015
145357
SH
SOLE
145357
0
0
ISHARES TR
INDX FD
464287507
453
2929
SH
SOLE
2929
0
0
ISHARES TR
INDX FD
464287200
4565
20981
SH
SOLE
20981
0
0
ISHARES TR
INDX FD
464287226
543
4826
SH
SOLE
4826
0
0
ISHARES TR
INDX FD
464287762
293
1950
SH
SOLE
1950
0
0
ISHARES TR
INDX FD
46429B663
16122
198356
SH
SOLE
198356
0
0
ISHARES TR
INDX FD
464287465
284
4804
SH
SOLE
4804
0
0
ISHARES TR
INDX FD
464287234
225
6001
SH
SOLE
6001
0
0
ISHARES TR
INDX FD
464288273
300
5725
SH
SOLE
5725
0
0
ISHARES TR
INDX FD
464287556
344
1189
SH
SOLE
1189
0
0
ISHARES TR
INDX FD
464287622
312
2593
SH
SOLE
2593
0
0
ISHARES TR
INDX FD
464287655
279
2247
SH
SOLE
2247
0
0
ISHARES TR
INDX FD
464287689
302
2352
SH
SOLE
2352
0
0
ISHARES TR
INDX FD
464287499
453
2597
SH
SOLE
2597
0
0
ISHARES TR
INDX FD
464287614
402
3857
SH
SOLE
3857
0
0
ISHARES TR
INDX FD
464287598
852
8069
SH
SOLE
8069
0
0
ISHARES TR
INDX FD
464288687
447
11317
SH
SOLE
11317
0
0
ISHARES TR
INDX FD
46429B697
561
12348
SH
SOLE
12348
0
0
JAPAN SMALLER CAPTLZTN FD IN
INDX FD
47109U104
161
15224
SH
SOLE
15224
0
0
OPPENHEIMER REV WEIGHTED LARGE
INDX FD
68386c104
244
5851
SH
SOLE
5851
0
0
OPPENHEIMER REV WEIGHTED SMALL
INDX FD
68386c302
3042
51089
SH
SOLE
51089
0
0
PIMCO ETF TR
INDX FD
72201R833
449
4423
SH
SOLE
4423
0
0
PIMCO ETF TR LOW DURATION
INDX FD
72201r718
202
2000
SH
SOLE
2000
0
0
POWERSHARES BUYBACK ACHIEVERS
INDX FD
73935x286
1318
27781
SH
SOLE
27781
0
0
POWERSHARES ETF TR II
INDX FD
73937B779
844
20334
SH
SOLE
20334
0
0
POWERSHARES ETF TRUST
INDX FD
73935X583
11481
122662
SH
SOLE
122662
0
0
POWERSHARES INTL BUYBACK ACHIE
INDX FD
73937b621
869
30490
SH
SOLE
30490
0
0
POWERSHARES QQQ TRUST UNIT SER
INDX FD
73935a104
308
2595
SH
SOLE
2595
0
0
SELECT SECTOR SPDR TR SBI INT-
INDX FD
81369y886
228
4653
SH
SOLE
4653
0
0
SPDR GOLD TRUST
INDX FD
78463V107
8838
70342
SH
SOLE
70342
0
0
SPDR INDEX SHS FDS
INDX FD
78463X749
974
19560
SH
SOLE
19560
0
0
SPDR NUVEEN BARCLAYS SHORT TER
INDX FD
78468r739
244
5000
SH
SOLE
5000
0
0
SPDR S&P 500 ETF TR
INDX FD
78462F103
2888
13352
SH
SOLE
13352
0
0
SPDR SER TR
INDX FD
78468R408
643
23231
SH
SOLE
23231
0
0
SPDR SER TR SPDR BARCLAYS SHOR
INDX FD
78464a474
308
10000
SH
SOLE
10000
0
0
SPDR SERIES TRUST
INDX FD
78464A763
204
2417
SH
SOLE
2417
0
0
SPROTT PHYSICAL GOLD TRUST
INDX FD
85207H104
1611
147116
SH
SOLE
147116
0
0
SWEDISH EXPT CR CORP
INDX FD
870297603
131
21074
SH
SOLE
21074
0
0
SWEDISH EXPT CR CORP
INDX FD
870297801
3911
782250
SH
SOLE
782250
0
0
VANECK VECTORS ETF TR AGRIBUSI
INDX FD
92189f700
2318
46388
SH
SOLE
46388
0
0
VANECK VECTORS ETF TR AMT FREE
INDX FD
92189f528
623
35281
SH
SOLE
35281
0
0
VANGUARD BD INDEX FD INC
INDX FD
921937819
338
3858
SH
SOLE
3858
0
0
VANGUARD BD INDEX FD INC
INDX FD
921937827
4276
52905
SH
SOLE
52905
0
0
VANGUARD BD INDEX FD INC
INDX FD
921937835
345
4097
SH
SOLE
4097
0
0
VANGUARD CHARLOTTE FDS TOTAL I
INDX FD
92203j407
869
15506
SH
SOLE
15506
0
0
VANGUARD INTL EQUITY INDEX F
INDX FD
922042858
9762
259411
SH
SOLE
259411
0
0
VANGUARD INTL EQUITY INDEX F
INDX FD
922042775
989
21774
SH
SOLE
21774
0
0
VANGUARD TAX MANAGED INTL FD
INDX FD
921943858
14205
379704
SH
SOLE
379704
0
0
VANGUARD INDEX FDS
INDX FD
922908652
35316
386945
SH
SOLE
386945
0
0
VANGUARD INDEX FDS
INDX FD
922908629
644
4977
SH
SOLE
4977
0
0
VANGUARD INDEX FDS
INDX FD
922908553
29378
338687
SH
SOLE
338687
0
0
VANGUARD INDEX FDS
INDX FD
922908363
21763
109531
SH
SOLE
109531
0
0
VANGUARD INDEX FDS
INDX FD
922908611
423
3820
SH
SOLE
3820
0
0
VANGUARD INDEX FDS
INDX FD
922908751
220
1799
SH
SOLE
1799
0
0
VANGUARD INDEX FDS
INDX FD
922908769
4115
36960
SH
SOLE
36960
0
0
VANGUARD INTL EQUITY INDEX F
INDX FD
922042874
368
7550
SH
SOLE
7550
0
0
VANGUARD INTL EQUITY INDEX F
INDX FD
922042718
235
2357
SH
SOLE
2357
0
0
VANGUARD INTL EQUITY INDEX F
INDX FD
922042676
2322
41333
SH
SOLE
41333
0
0
VANGUARD SCOTTSDALE FDS
INDX FD
92206C409
2197
27280
SH
SOLE
27280
0
0
VANGUARD SPECIALIZED PORTFOL
INDX FD
921908844
11500
137014
SH
SOLE
137014
0
0
VANGUARD STAR FD
INDX FD
921909768
259
5494
SH
SOLE
5494
0
0
VANGUARD WHITEHALL FDS INC
INDX FD
921946406
585
8109
SH
SOLE
8109
0
0
VANGUARD WORLD FD
INDX FD
921910873
22174
300668
SH
SOLE
300668
0
0
VANGUARD WORLD FDS
INDX FD
92204A306
6087
62313
SH
SOLE
62313
0
0
VANGUARD WORLD FDS
INDX FD
92204A801
8227
76945
SH
SOLE
76945
0
0
VANGUARD WORLD FDS
INDX FD
92204A876
337
3153
SH
SOLE
3153
0
0
WISDOMTREE EUROPE SMALLCAP DIV
INDX FD
97717w869
2208
39921
SH
SOLE
39921
0
0
WISDOMTREE TR US DIVID GROWTH
INDX FD
97717x669
1059
32791
SH
SOLE
32791
0
0
WISDOMTREE TR
INDX FD
97717W406
424
5400
SH
SOLE
5400
0
0
WISDOMTREE TR
INDX FD
97717W281
1897
45435
SH
SOLE
45435
0
0
WISDOMTREE TR
INDX FD
97717W307
567
7367
SH
SOLE
7367
0
0
WISDOMTREE TR
INDX FD
97717W505
420
4621
SH
SOLE
4621
0
0