0001446114-19-000014.txt : 20190215 0001446114-19-000014.hdr.sgml : 20190215 20190214180706 ACCESSION NUMBER: 0001446114-19-000014 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190215 DATE AS OF CHANGE: 20190214 EFFECTIVENESS DATE: 20190215 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: 19608928 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 1 primary_doc.xml 13F-HR LIVE false false false 0001446114 XXXXXXXX 12-31-2018 12-31-2018 false Ancora Advisors, LLC
6060 Parkland Boulevard, Suite 200 Cleveland OH 44124
13F COMBINATION REPORT 028-13214 0000721204 028-01190 RUSSELL FRANK CO/ N
Jason Geers CCO 216-593-5020 Jason Geers Cleveland OH 02-14-2019 1 1090 2079728 1 0001657660 028-17014 ANCORA FAMILY WEALTH ADVISORS, LLC
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358318 SH SOLE 358318 0 0 MICROCHIP TECHNOLOGY INC COM 595017104 1406 19544 SH SOLE 1 19544 0 0 MICROCHIP TECHNOLOGY INC COM 595017104 13 175 SH SOLE 1 0 0 175 MICROSOFT CORP COM 594918104 9741 95909 SH SOLE 95909 0 0 MICROSOFT CORP COM 594918104 14393 141704 SH SOLE 1 141704 0 65 MICROSOFT CORP COM 594918104 172 1689 SH SOLE 1 0 0 1689 MIDDLEFIELD BANC CORP COM 596304204 3055 71990 SH SOLE 71990 0 0 MIDDLEFIELD BANC CORP COM 596304204 1380 32521 SH SOLE 1 32521 0 0 MIDLAND STS BANCORP INC ILL COM 597742105 92 4119 SH SOLE 4119 0 0 MIDLAND STS BANCORP INC ILL COM 597742105 460 20594 SH SOLE 1 20594 0 0 MIDSOUTH BANCORP INC COM 598039105 591 55797 SH SOLE 55797 0 0 MIDSTATES PETE CO COM 59804t407 4630 616521 SH SOLE 616521 0 0 MIDSTATES PETE CO COM 59804t407 20 2729 SH SOLE 1 2729 0 0 MILLER HERMAN INC COM 600544100 4969 164250 SH SOLE 1 164250 0 0 MITCHAM INDS INC COM 606501104 401 156635 SH SOLE 156635 0 0 MONDELEZ INTL INC COM 609207105 226 5639 SH SOLE 1 5639 0 0 MOTOROLA SOLUTIONS INC COM 620076307 1260 10952 SH SOLE 1 10952 0 0 MOTOROLA SOLUTIONS INC COM 620076307 49 425 SH SOLE 1 0 0 425 MOVADO GROUP INC COM 624580106 407 12873 SH SOLE 12873 0 0 MSA SAFETY INC COM 553498106 283 3000 SH SOLE 1 3000 0 0 MUELLER WTR PRODS INC COM 624758108 255 28000 SH SOLE 28000 0 0 MUELLER WTR PRODS INC COM 624758108 191 21000 SH SOLE 1 21000 0 0 MUTUALFIRST FINL INC COM COM 62845b104 13638 513286 SH SOLE 513286 0 0 MUTUALFIRST FINL INC COM COM 62845b104 463 17439 SH SOLE 1 17439 0 0 MVC CAPITAL INC COM 553829102 1958 238528 SH SOLE 238528 0 0 MVC CAPITAL INC COM 553829102 374 45500 SH SOLE 1 45500 0 0 NACCO INDS INC COM 629579103 205 6060 SH SOLE 6060 0 0 NATUZZI S P A ADUS 63905a101 376 477221 SH SOLE 477221 0 0 NAVIGATORS GROUP INC COM 638904102 417 6000 SH SOLE 6000 0 0 NAVIGATORS GROUP INC COM 638904102 70 1006 SH SOLE 1 1006 0 0 NEOGENOMICS INC COM COM 64049m209 226 17928 SH SOLE 17928 0 0 NETFLIX INC COM COM 64110l106 98 365 SH SOLE 365 0 0 NETFLIX INC COM COM 64110l106 315 1175 SH SOLE 1 1175 0 0 NETFLIX INC COM COM 64110l106 13 50 SH SOLE 1 0 0 50 NEWELL BRANDS INC COM 651229106 392 21082 SH SOLE 21082 0 0 NEWELL BRANDS INC COM 651229106 56 3000 SH SOLE 1 3000 0 0 NEWFIELD EXPL CO COM 651290108 272 18514 SH SOLE 18514 0 0 NEWMONT MINING CORP COM 651639106 356 10282 SH SOLE 10282 0 0 NEWMONT MINING CORP COM 651639106 238 6855 SH SOLE 1 6855 0 0 NEWMONT MINING CORP COM 651639106 21 600 SH SOLE 1 0 0 600 NEXTERA ENERGY INC COM 65339F101 1453 8359 SH SOLE 8359 0 0 NEXTERA ENERGY INC COM 65339F101 1819 10875 SH SOLE 1 10875 0 0 NEXTERA ENERGY INC CORPORATE COM 65339f820 65 1125 SH SOLE 1 1125 0 0 NEXTERA ENERGY PFD CV PFD 65339f820 143 2485 SH SOLE 1 2485 0 0 NEXTERA ENERGY PFD CV PFD 65339f820 10 175 SH SOLE 1 0 0 175 NIELSEN HOLDINGS PLC SHS COM g6518l108 3144 134755 SH SOLE 134755 0 0 NIELSEN HOLDINGS PLC SHS COM g6518l108 13 570 SH SOLE 1 570 0 0 NIKE INC COM 654106103 4542 61260 SH SOLE 61260 0 0 NIKE INC COM 654106103 4767 64300 SH SOLE 1 64300 0 0 NIKE INC COM 654106103 15 200 SH SOLE 1 0 0 200 NOMAD FOODS LTD COM g6564a105 14596 872916 SH SOLE 872916 0 0 NOMAD FOODS LTD COM g6564a105 193 11548 SH SOLE 1 11548 0 0 NORFOLK SOUTHERN CORP COM 655844108 271 1812 SH SOLE 1812 0 0 NORFOLK SOUTHERN CORP COM 655844108 2586 17289 SH SOLE 1 17289 0 0 NORTHROP GRUMMAN CORP COM 666807102 52 212 SH SOLE 212 0 0 NORTHROP GRUMMAN CORP COM 666807102 551 2250 SH SOLE 1 2250 0 0 NORTHWEST BANCSHARES INC MD COM 667340103 330 19495 SH SOLE 19495 0 0 NORTHWEST BANCSHARES INC MD COM 667340103 314 18507 SH SOLE 1 18507 0 0 NORTHWEST PIPE CO COM 667746101 825 35423 SH SOLE 35423 0 0 NOVARTIS A G ADUS 66987V109 127 1480 SH SOLE 1480 0 0 NOVARTIS A G ADUS 66987V109 276 3215 SH SOLE 1 3215 0 0 NUVEEN CR STRATEGIES INCM FD CLSD FD 67073D102 371 50100 SH SOLE 1 50100 0 0 NUVEEN OHIO QLTY MUN INCOME CLSD FD 670980101 11829 890057 SH SOLE 890057 0 0 NUVEEN OHIO QLTY MUN INCOME CLSD FD 670980101 48 3600 SH SOLE 1 3600 0 0 NUVEEN PENNSYLVANIA QLT MUN CLSD FD 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FINL CORP COM 69324R104 661 33758 SH SOLE 33758 0 0 PDL BIOPHARMA INC COM COM 69329y104 1370 472507 SH SOLE 472507 0 0 PENNANTPARK INVT CORP COM 708062104 191 30000 SH SOLE 30000 0 0 PENTAIR LTD SHS COM g7S00t104 4017 106322 SH SOLE 106322 0 0 PENTAIR LTD SHS COM g7S00t104 15 390 SH SOLE 1 390 0 0 PEPSICO INC COM 713448108 5224 47283 SH SOLE 47283 0 0 PEPSICO INC COM 713448108 8327 75372 SH SOLE 1 75372 0 0 PEPSICO INC COM 713448108 210 1905 SH SOLE 1 0 0 1905 PERCEPTRON INC COM 71361F100 610 74846 SH SOLE 74846 0 0 PERMA-FIX ENVIRONMENTAL SVCS COM 714157203 903 384102 SH SOLE 384102 0 0 PERMA PIPE INTL HLDGS INC COM 714167103 342 39060 SH SOLE 39060 0 0 PERSPECTA INC COM 715347100 9702 563424 SH SOLE 563424 0 0 PERSPECTA INC COM 715347100 7 400 SH SOLE 1 400 0 0 PFIZER INC COM 717081103 7483 171440 SH SOLE 171440 0 0 PFIZER INC COM 717081103 8178 187362 SH SOLE 1 187362 0 0 PFIZER INC COM 717081103 24 552 SH SOLE 1 0 0 552 PFSWEB INC COM 717098206 866 168720 SH SOLE 168720 0 0 PFSWEB INC COM 717098206 14 2658 SH SOLE 1 2658 0 0 PHILIP MORRIS INTL INC COM 718172109 398 5956 SH SOLE 1 5956 0 0 PHILIP MORRIS INTL INC COM 718172109 13 200 SH SOLE 1 0 0 200 PHILLIPS 66 COM 718546104 39 450 SH SOLE 450 0 0 PHILLIPS 66 COM 718546104 1861 21604 SH SOLE 1 21604 0 0 PHILLIPS 66 COM 718546104 65 752 SH SOLE 1 0 0 752 PICO HLDGS INC COM 693366205 1628 178081 SH SOLE 178081 0 0 PIMCO ETF TR INDX FD 72201R205 610 12000 SH SOLE 12000 0 0 PIMCO ETF TR INDX FD 72201R205 785 15436 SH SOLE 1 15436 0 0 PIMCO ETF TR INDX FD 72201R833 253 2505 SH SOLE 2505 0 0 PIMCO ETF TR INDX FD 72201R833 2199 21783 SH SOLE 1 21783 0 0 PLATFORM SPECIALTY PRODS CORP COM 72766q105 19197 1858402 SH SOLE 1858402 0 0 PLATFORM SPECIALTY PRODS CORP COM 72766q105 534 51710 SH SOLE 1 51710 0 0 PNC FINL SVCS GROUP INC COM 693475105 478 4086 SH SOLE 4086 0 0 PNC FINL SVCS GROUP INC COM 693475105 1116 9542 SH SOLE 1 9542 0 0 POINTS INTL LTD COM 730843208 2252 226086 SH SOLE 226086 0 0 POINTS INTL LTD COM 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SOLE 1 25590 0 0 QUALCOMM INC COM 747525103 595 10457 SH SOLE 10457 0 0 QUALCOMM INC COM 747525103 1181 20757 SH SOLE 1 20757 0 0 QUALCOMM INC COM 747525103 59 1033 SH SOLE 1 0 0 1033 QURATE RETAIL GROUP INC QVC GR COM 74915m100 16288 834405 SH SOLE 834405 0 0 QURATE RETAIL GROUP INC QVC GR COM 74915m100 805 41264 SH SOLE 1 41264 0 0 RADIANT LOGISTICS INC COM 75025x100 1112 261720 SH SOLE 261720 0 0 RADIANT LOGISTICS INC COM 75025x100 8 2000 SH SOLE 1 2000 0 0 RAYONIER ADVANCED MATLS INC COM 75508b104 8177 767781 SH SOLE 767781 0 0 RAYONIER ADVANCED MATLS INC COM 75508b104 13 1220 SH SOLE 1 1220 0 0 RAYTHEON CO COM 755111507 4290 27976 SH SOLE 27976 0 0 RAYTHEON CO COM 755111507 4140 26997 SH SOLE 1 26997 0 0 REALNETWORKS INC COM 75605l708 905 391707 SH SOLE 391707 0 0 REALTY INCOME CORP COM 756109104 132 2100 SH SOLE 2100 0 0 REALTY INCOME CORP COM 756109104 375 5950 SH SOLE 1 5950 0 0 REGIONS FINL CORP NEW COM 7591EP100 268 20000 SH SOLE 20000 0 0 REGIONS FINL CORP NEW COM 7591EP100 368 27490 SH SOLE 1 27490 0 0 REPUBLIC SVCS INC COM 760759100 1664 23077 SH SOLE 1 23077 0 0 REPUBLIC SVCS INC COM 760759100 105 1450 SH SOLE 1 0 0 1450 RESIDEO TECHNOLOGIES COM 76118y104 13110 637926 SH SOLE 637926 0 0 RESIDEO TECHNOLOGIES COM 76118y104 1142 55586 SH SOLE 1 55586 0 0 RESIDEO TECHNOLOGIES COM 76118y104 96 4679 SH SOLE 1 0 0 4679 REVOLUTION LTG TECH COM 76155g206 40 100000 SH SOLE 100000 0 0 REVOLUTION LTG TECH COM 76155g206 37 92000 SH SOLE 1 92000 0 0 REXNORD CORP COM 76169b102 321 14000 SH SOLE 14000 0 0 REXNORD CORP COM 76169b102 8 350 SH SOLE 1 350 0 0 RICHARDSON ELECTRS LTD COM 763165107 1979 227692 SH SOLE 227692 0 0 RIVERVIEW BANCORP INC COM 769397100 97 13362 SH SOLE 13362 0 0 RIVERVIEW BANCORP INC COM 769397100 130 17829 SH SOLE 1 17829 0 0 RMR REAL ESTATE INCOME FD COM COM 76970b101 175 11635 SH SOLE 11635 0 0 ROYAL DUTCH SHELL PLC ADUS 780259107 161 2682 SH SOLE 2682 0 0 ROYAL DUTCH SHELL PLC ADUS 780259107 57 950 SH SOLE 1 950 0 0 ROYAL DUTCH SHELL PLC ADUS 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SCHWAB STRATEGIC TR INDX FD 808524805 633 22343 SH SOLE 1 0 0 22343 SCHWAB STRATEGIC TR INDX FD 808524839 5 91 SH SOLE 91 0 0 SCHWAB STRATEGIC TR INDX FD 808524839 18531 366314 SH SOLE 1 366314 0 0 SCHWAB STRATEGIC TR INDX FD 808524839 922 18233 SH SOLE 1 0 0 18233 SCHWAB STRATEGIC TR INDX FD 808524102 907 15137 SH SOLE 1 15137 0 0 SCHWAB STRATEGIC TR INDX FD 808524102 65 1082 SH SOLE 1 0 0 1082 SCHWAB STRATEGIC TR INDX FD 808524797 387 8232 SH SOLE 1 8232 0 0 SCHWAB STRATEGIC TR INDX FD 808524797 49 1050 SH SOLE 1 0 0 1050 SCHWAB STRATEGIC TR INDX FD 808524201 19381 324641 SH SOLE 1 324641 0 0 SCHWAB STRATEGIC TR INDX FD 808524300 357 5173 SH SOLE 1 5173 0 0 SCHWAB STRATEGIC TR INDX FD 808524201 873 14630 SH SOLE 1 0 0 14630 SCHWAB STRATEGIC TR COM 808524847 446 11584 SH SOLE 1 11584 0 0 SELECT SECTOR SPDR TR INDX FD 81369Y605 200 8388 SH SOLE 1 8388 0 0 SELECT SECTOR SPDR TR INDX FD 81369Y803 310 5000 SH SOLE 5000 0 0 SELECT SECTOR SPDR TR INDX FD 81369Y803 762 12289 SH SOLE 1 12289 0 0 SERVICEMASTER GLOBAL HOLDINGS COM 81761r109 1225 33330 SH SOLE 33330 0 0 SERVICEMASTER GLOBAL HOLDINGS COM 81761r109 15 400 SH SOLE 1 400 0 0 SHERWIN WILLIAMS CO COM 824348106 560 1423 SH SOLE 1423 0 0 SHERWIN WILLIAMS CO COM 824348106 1078 2739 SH SOLE 1 2739 0 0 SHERWIN WILLIAMS CO COM 824348106 40 101 SH SOLE 1 0 0 101 SHILOH INDS INC COM 824543102 715 122662 SH SOLE 122662 0 0 SHOPIFY INC CL A COM 82509l107 21 150 SH SOLE 150 0 0 SHOPIFY INC CL A COM 82509l107 187 1350 SH SOLE 1 1350 0 0 SIGNATURE BK NEW YORK N Y COM 82669G104 308 3000 SH SOLE 3000 0 0 SIGNATURE BK NEW YORK N Y COM 82669G104 103 1000 SH SOLE 1 1000 0 0 SIGNET JEWELERS LTD SHS COM g81276100 215 6779 SH SOLE 1 6779 0 0 SIMULATIONS PLUS INC COM 829214105 5597 281248 SH SOLE 281248 0 0 SIMULATIONS PLUS INC COM 829214105 31 1544 SH SOLE 1 1544 0 0 SIRIUS XM HLDGS INC COM 82968b103 81 14125 SH SOLE 1 14125 0 0 SITE CENTERS COM 82981j109 407 36788 SH SOLE 36788 0 0 SITE CENTERS COM 82981j109 138 12500 SH SOLE 1 12500 0 0 SMUCKER J M CO COM 832696405 235 2512 SH SOLE 2512 0 0 SMUCKER J M CO COM 832696405 3078 32923 SH SOLE 1 32923 0 0 SMUCKER J M CO COM 832696405 203 2172 SH SOLE 1 0 0 2172 SOUTH JERSEY INDS INC COM 838518108 10761 387099 SH SOLE 387099 0 0 SOUTH JERSEY INDS INC COM 838518108 31 1104 SH SOLE 1 1104 0 0 SOUTHERN CO COM 842587107 854 19438 SH SOLE 1 19438 0 0 SOUTHERN CO COM 842587107 8 175 SH SOLE 1 0 0 175 SOUTHWESTERN ENERGY CO COM 845467109 239 70000 SH SOLE 70000 0 0 SOUTHWESTERN ENERGY CO COM 845467109 51 15000 SH SOLE 1 15000 0 0 SPDR DOW JONES INDL AVRG ETF U INDX FD 78467x109 371 1589 SH SOLE 1 1589 0 0 SPDR DOW JONES INDL AVRG ETF U INDX FD 78467x109 10 41 SH SOLE 1 41 0 0 SPDR GOLD TRUST INDX FD 78463V107 2658 21920 SH SOLE 21920 0 0 SPDR GOLD TRUST INDX FD 78463V107 2467 20343 SH SOLE 1 20343 0 0 SPDR GOLD TRUST INDX FD 78463V107 48 400 SH SOLE 1 0 0 400 SPDR INDEX SHS FDS INDX FD 78463X749 154 3470 SH SOLE 3470 0 0 SPDR INDEX SHS FDS INDX FD 78463X749 375 8483 SH SOLE 1 8483 0 0 SPDR NUVEEN BARCLAYS SHORT TER INDX FD 78468r739 601 12500 SH SOLE 1 12500 0 0 SPDR S&P 500 ETF TR INDX FD 78462F103 2501 10008 SH SOLE 10008 0 0 SPDR S&P 500 ETF TR INDX FD 78462F103 5691 22772 SH SOLE 1 22772 0 0 SPDR S&P 500 ETF TR INDX FD 78462F103 256 1024 SH SOLE 1 0 0 1024 SPDR S&P 500 ETF TR INDX FD 78462F103 95 380 SH SOLE 1 380 0 0 SPDR S&P MIDCAP 400 ETF INDX FD 78467y107 587 1939 SH SOLE 1939 0 0 SPDR S&P MIDCAP 400 ETF INDX FD 78467y107 103 339 SH SOLE 1 339 0 0 SPDR SER TR INDX FD 78468R408 334 12817 SH SOLE 1 12817 0 0 SPDR SER TR SPDR BARCLAYS SHOR INDX FD 78464a474 753 25000 SH SOLE 1 25000 0 0 SPDR SERIES TRUST INDX FD 78464A763 742 8284 SH SOLE 1 8284 0 0 SPECIAL OPPORTUNITIES FD INC CLSD FD 84741T104 583 49279 SH SOLE 49279 0 0 SPECIAL OPPORTUNITIES FD INC CLSD FD 84741T104 604 51009 SH SOLE 1 51009 0 0 SPROTT PHYSICAL GOLD AND SILVE COM 85208r101 101 8060 SH SOLE 1 8060 0 0 SPROTT PHYSICAL GOLD AND SILVE COM 85208r101 65 5200 SH SOLE 1 0 0 5200 SPROTT PHYSICAL GOLD TRUST INDX FD 85207H104 63 6075 SH SOLE 6075 0 0 SPROTT PHYSICAL GOLD TRUST INDX FD 85207H104 879 85305 SH SOLE 1 85305 0 0 SPX CORP COM 784635104 15024 536368 SH SOLE 536368 0 0 SPX CORP COM 784635104 115 4090 SH SOLE 1 4090 0 0 SQUARE INC COM 852234103 158 2825 SH SOLE 1 2825 0 0 SQUARE INC COM 852234103 252 4500 SH SOLE 1 0 0 4500 STARBUCKS CORP COM 855244109 253 3926 SH SOLE 3926 0 0 STARBUCKS CORP COM 855244109 2602 40398 SH SOLE 1 40398 0 0 STARBUCKS CORP COM 855244109 252 3910 SH SOLE 1 0 0 3910 STARTEK INC COM COM 85569c107 1856 279040 SH SOLE 279040 0 0 STEELCASE INC COM 858155203 793 53480 SH SOLE 53480 0 0 STERLING CONSTRUCTION CO INC COM 859241101 675 61971 SH SOLE 61971 0 0 STEWART INFORMATION SVCS COR COM 860372101 2517 60805 SH SOLE 60805 0 0 STEWART INFORMATION SVCS COR COM 860372101 29 700 SH SOLE 1 700 0 0 STRYKER CORP COM 863667101 188 1200 SH SOLE 1200 0 0 STRYKER CORP COM 863667101 217 1385 SH SOLE 1 1385 0 0 SUNCOKE ENERGY INC COM 86722A103 4658 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