-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DCcdHSvmBW+93VQcn4po+O4nHx9Il0GsEJChdduS2CrXIAaKIp+2caTREY731Nos 5O2aJ54oyy2NkgenkLqkDQ== 0001162044-10-000058.txt : 20100216 0001162044-10-000058.hdr.sgml : 20100215 20100216132124 ACCESSION NUMBER: 0001162044-10-000058 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 EFFECTIVENESS DATE: 20100216 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: 10605714 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 ancora13f.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: 12/31/2009 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: David Kuhr Title: Chief Compliance Officer Phone: (216) 825-4008 Signature, Place, and Date of Signing: Cleveland, Ohio - February 16, 2010 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: 248 Form13F Information Table Value Total: 151,368 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 DiscretionManagersAuthority 3COM CORP COM 885535104 225 30,000 SOLE NONE SOLE 3M CO COM COM 88579Y101 2,155 26,067 SOLE NONE SOLE 4 KIDS ENTERTAINMENT INC COM COM 350865101 217 136,700 SOLE NONE SOLE ABB LTD SPONSORED ADR COM 000375204 225.00 11,800 SOLE NONE SOLE ABBOTT LABS COM COM 002824100 1,865 34,546 SOLE NONE SOLE ACTIVE POWER INC COM COM 00504W100 116 105,000 SOLE NONE SOLE ADAPTEC INC COM COM 00651F108 697 208,000 SOLE NONE SOLE ALBANY MOLECULAR RESEARCH INC COM COM 012423109 622 68,500 SOLE NONE SOLE ALLIANCE BANKSHARES CP COM COM 018535104 294 103,000 SOLE NONE SOLE ALLSTATE CORP COM COM 020002101 397 13,229 SOLE NONE SOLE AMERICAN EXPRESS CO COM COM 025816109 728 17,966 SOLE NONE SOLE AMERIPRISE FINL INC COM COM 03076c106 388 10,000 SOLE NONE SOLE AMERISERV FINL INC COM COM 03074a102 389 233,000 SOLE NONE SOLE AMGEN INC COM 031162100 814 14,395 SOLE NONE SOLE ANADARKO PETE CORP COM COM 032511107 815 13,050 SOLE NONE SOLE APACHE CORP COM 037411105 1,242 12,041 SOLE NONE SOLE APOLLO COML R/E FIN COM COM 03762u105 324 18,000 SOLE NONE SOLE APPLIED MATERIALS INC COM COM 038222105 1,008 72,276 SOLE NONE SOLE ARCHER DANIELS MIDLAND COM COM 039483102 460 14,700 SOLE NONE SOLE AT&T INC COM COM 00206R102 1,789 63,835 SOLE NONE SOLE AUTHENTEC INC COM COM 052660107 246 111,500 SOLE NONE SOLE AXCELIS TECHNOLOGIES INC COM COM 054540109 257 182,000 SOLE NONE SOLE AXT INC COM COM 00246w103 98 30,000 SOLE NONE SOLE BANK OF AMERICA CORP COM COM 060505104 599 39,777 SOLE NONE SOLE BANK OF NEW YORK MELLON CORP COM 064058100 227 8,112 SOLE NONE SOLE BANKATLANTIC BANCORP CL A NEW COM 065908600 106 81,764 SOLE NONE SOLE BB&T CORP COM COM 054937107 285 11,230 SOLE NONE SOLE BERKSHIRE HATHAWAY INC CL B COM 084670207 877 267 SOLE NONE SOLE BIOVAIL CORP FGN COM COM 09067J109 370 26,500 SOLE NONE SOLE BLUEPHOENIX SOLUTIONS LTD FGN COM COM M20157109 281 114,705 SOLE NONE SOLE BOSTON PRIVT FINL HLDG COM COM 101119105 324 56,200 SOLE NONE SOLE BP P L C SPONSORED ADR (FRM BP AMOCO PLC) ADR 055622104 921 15,893 SOLE NONE SOLE BRISTOL-MYERS SQUIBB CO COM COM 110122108 2,568 101,715 SOLE NONE SOLE BROWN FORMAN CORP CL B COM 115637209 457 8,540 SOLE NONE SOLE BTU INTL INC COM COM 056032105 67 10,500 SOLE NONE SOLE CALLAWAY GOLF CO COM 131193104 238 31,500 SOLE NONE SOLE CANDELA CORP COM COM 136907102 554 182,696 SOLE NONE SOLE CARNIVAL CORP COM COM 143658300 525 16,560 SOLE NONE SOLE CATERPILLAR INC COM 149123101 441 7,742 SOLE NONE SOLE CHESAPEAKE ENERGY CORP COM COM 165167107 321 12,400 SOLE NONE SOLE CHEVRONTEXACO CORP COM 166764100 290 3,773 SOLE NONE SOLE CINCINNATI FINL CORP COM COM 172062101 3,435 130,900 SOLE NONE SOLE CISCO SYS INC COM COM 17275R102 2,950 123,224 SOLE NONE SOLE CITIZENS REPUBLIC BANCORP INC COM COM 174420109 71 102,395 SOLE NONE SOLE COBRA ELECTRS CORP COM COM 191042100 102 61,000 SOLE NONE SOLE COCA COLA CO COM COM 191216100 2,650 46,485 SOLE NONE SOLE CONAGRA FOODS INC COM COM 205887102 1,592 69,054 SOLE NONE SOLE CONOCOPHILLIPS COM COM 20825C104 1,620 31,723 SOLE NONE SOLE CONSOLIDATED EDISON COM COM 209115104 263 5,800 SOLE NONE SOLE CORNING INC COM 219350105 251 13,017 SOLE NONE SOLE DESWELL INDS INC COM COM 250639101 91 22,500 SOLE NONE SOLE DIGIRAD CORP COM COM 253827109 43 20,500 SOLE NONE SOLE DIGITAL ANGEL CORP COM 25383a200 77 101,750 SOLE NONE SOLE DOW CHEMICAL CO COM COM 260543103 1,180 42,723 SOLE NONE SOLE DU PONT E I DE NEMOURS & CO COM COM 263534109 946 28,100 SOLE NONE SOLE DUKE ENERGY CORP COM 26441c105 185 10,745 SOLE NONE SOLE EATON CORP COM COM 278058102 296 4,645 SOLE NONE SOLE EDUCATIONAL DEV CORP COM COM 281479105 93 15,767 SOLE NONE SOLE EFJ INC COM COM 26843b101 72 65,000 SOLE NONE SOLE EMC CORP-MASS COM 268648102 918 52,540 SOLE NONE SOLE EMERSON ELECTRIC CO COM 291011104 694 16,288 SOLE NONE SOLE EMERSON RADIO CORP COM NEW COM 291087203 150 63,021 SOLE NONE SOLE EUROSEAS LTD COM NEW COM y23592200 65 16,500 SOLE NONE SOLE EXXON MOBIL CORP COM 30231g102 1,353 19,840 SOLE NONE SOLE FOREST LABS INC COM COM 345838106 295 9,200 SOLE NONE SOLE FORTUNE BRANDS INC COM COM 349631101 438 10,135 SOLE NONE SOLE GAP INC DEL COM COM 364760108 238 11,350 SOLE NONE SOLE GENERAL ELEC CO COM COM 369604103 1,865 123,253 SOLE NONE SOLE GENERAL MILLS INC COM 370334104 404 5,709 SOLE NONE SOLE GSI LUMONICS INC COM COM 36229u102 49 57,000 SOLE NONE SOLE HARRIS CORP DEL COM COM 413875105 358 7,533 SOLE NONE SOLE HEWLETT PACKARD CO COM 428236103 239 4,636 SOLE NONE SOLE HONEYWELL INTL INC COM COM 438516106 1,510 38,523 SOLE NONE SOLE IGO INC COM COM 449593102 34 27,600 SOLE NONE SOLE INTEL CORP COM COM 458140100 3,681 180,428 SOLE NONE SOLE INTERNATIONAL BUSINESS MACHINES CORP COM 459200101 1,973 15,071 SOLE NONE SOLE INTERNATIONAL GAME TECHNOLOGY COM COM 459902102 485 25,833 SOLE NONE SOLE INVACARE CORP COM COM 461203101 1,771 71,000 SOLE NONE SOLE ION GEOPHYSICAL CORP COM COM 462044108 62 10,500 SOLE NONE SOLE ISHARES RUSSELL 1000 VALUE INDEX CLOSED- COM 464287598 310 5,400 SOLE NONE SOLE EN ITT INDS INC IND COM COM 450911102 652 13,100 SOLE NONE SOLE JOHNSON & JOHNSON COM 478160104 2,192 34,030 SOLE NONE SOLE JP MORGAN CHASE & CO COM COM 46625H100 2,012 48,282 SOLE NONE SOLE KEYCORP NEW COM 493267108 591 106,495 SOLE NONE SOLE KIMBERLY CLARK CORP COM 494368103 263 4,125 SOLE NONE SOLE KINDER MORGAN ENERGY PARTNERS COM 494550106 579 9,500 SOLE NONE SOLE KOPIN CORP COM COM 500600101 42 10,000 SOLE NONE SOLE KRAFT FOODS INC CL A COM 50075n104 648 23,842 SOLE NONE SOLE L-3 COMMUNICATNS HLDGS COM COM 502424104 365 4,200 SOLE NONE SOLE LAKELAND INDS INC COM COM 511795106 249 30,500 SOLE NONE SOLE LEADIS TECHNOLOGY INC COM COM 52171n103 71 473,812 SOLE NONE SOLE LEGG MASON INC COM COM 524901105 440 14,600 SOLE NONE SOLE LENNAR CORP CL B COM 526057302 98 10,000 SOLE NONE SOLE LYDALL INC DEL COM COM 550819106 249 47,700 SOLE NONE SOLE MACE SEC INTL INC COM NEW COM 554335208 1,778 1,519,500 SOLE NONE SOLE MARSH & MCLENNAN COMPANIES INC COM 571748102 268 12,140 SOLE NONE SOLE MCDONALDS CORP COM COM 580135101 258 4,125 SOLE NONE SOLE MEADE INSTRUMENTS COM NEW COM 583062203 58 20,999 SOLE NONE SOLE MEDTRONIC INC COM 585055106 689 15,660 SOLE NONE SOLE MERCK & CO INC COM 58933y105 747 20,457 SOLE NONE SOLE MERIDIAN RESOURCE CORP COM COM 58977q109 30 112,200 SOLE NONE SOLE MICRON TECHNOLOGY INC COM 595112103 114 10,800 SOLE NONE SOLE MICROSOFT CORP COM COM 594918104 1,759 57,676 SOLE NONE SOLE MINE SAFETY APPLIANCES CO COM COM 602720104 253 9,533 SOLE NONE SOLE MOTOROLA INC COM 620076109 133 17,120 SOLE NONE SOLE MYLAN LABS INC COM COM 628530107 230 12,462 SOLE NONE SOLE NEUROBIOLOGICAL TECH COM NEW COM 64124w304 12 100,000 SOLE NONE SOLE NEUROGEN CORP COM COM 64124e106 15 100,000 SOLE NONE SOLE NEVADA GOLD & CASINOS COM NEW COM 64126q206 103 111,500 SOLE NONE SOLE NEWMONT MINING CORP HOLDING CO NEW COM 651639106 477 10,075 SOLE NONE SOLE NEWS CORP CL A COM 65248e104 780 57,000 SOLE NONE SOLE NRG ENERGY INC COM NEW COM 629377508 354 15,000 SOLE NONE SOLE NV ENERGY INC COM COM 67073y106 347 28,000 SOLE NONE SOLE OPTIMAL GROUP INC CL A SHS NEW COM 68388r307 28 14,896 SOLE NONE SOLE ORBIT INTL CORP COM NEW COM 685559304 87 22,600 SOLE NONE SOLE OSI SYSTEMS INC COM COM 671044105 330 12,100 SOLE NONE SOLE OSTEOTECH INC COM COM 688582105 78 24,477 SOLE NONE SOLE PALL CORP COM COM 696429307 232 6,400 SOLE NONE SOLE PENWEST PHARMACEUTICAL COM COM 709754105 569 219,600 SOLE NONE SOLE PEPSICO INC COM 713448108 270 4,433 SOLE NONE SOLE PERCEPTRON INC COM 71361f100 48 15,000 SOLE NONE SOLE PFIZER INC COM COM 717081103 2,917 160,341 SOLE NONE SOLE PHILIP MORRIS INTL INC COM COM 718172109 499 10,357 SOLE NONE SOLE PROCTER & GAMBLE CO COM COM 742718109 1,450 23,922 SOLE NONE SOLE PROGRESSIVE CORP OHIO COM COM 743315103 671 37,300 SOLE NONE SOLE PVF CAPITAL CORP COM COM 693654105 218 117,905 SOLE NONE SOLE RADVISION LTD ORD COM m81869105 109 18,218 SOLE NONE SOLE RAE SYS INC COM COM 75061p102 127 115,000 SOLE NONE SOLE RCM TECHNOLOGIES INC COM NEW COM 749360400 50 20,000 SOLE NONE SOLE RODMAN & RENSHAW CAP COM COM 77487r100 303 74,000 SOLE NONE SOLE ROWAN COS INC COM COM 779382100 91 4,000 SOLE NONE SOLE RPM INTL INC COM COM 749685103 77 3,789 SOLE NONE SOLE RUSH ENTERPRISES INC CL B COM 781846308 506 48,165 SOLE NONE SOLE SAFEGUARD SCIENTIFICS COM COM 786449207 278 27,000 SOLE NONE SOLE SCHLUMBERGER LTD COM 806857108 1,003 15,409 SOLE NONE SOLE SILICON GRAPHICS INTL COM COM 82706l108 178 25,400 SOLE NONE SOLE SILICON IMAGE INC COM COM 82705t102 116 45,000 SOLE NONE SOLE SIRIUS XM RADIO INC COM 82967n108 8 13,380 SOLE NONE SOLE SPDR SERIES TRUST S&P METALS MNG COM 78464a755 246 4,776 SOLE NONE SOLE SPECTRA ENERGY CORP COM COM 847560109 1,023 49,871 SOLE NONE SOLE STEPHAN CO COM COM 858603103 732 281,524 SOLE NONE SOLE STRATEGIC GLOBAL INCM COM COM 862719101 643 58,500 SOLE NONE SOLE STRYKER CORP COM COM 863667101 501 9,950 SOLE NONE SOLE SYMANTEC CORP COM 871503108 580 32,400 SOLE NONE SOLE SYMMETRICOM INC COM COM 871543104 53 10,198 SOLE NONE SOLE SYMYX TECHNOLOGIES COM COM 87155s108 172 31,300 SOLE NONE SOLE SYSCO CORP COM 871829107 443 15,863 SOLE NONE SOLE TEXAS INSTRS INC COM COM 882508104 345 13,250 SOLE NONE SOLE THERAGENICS CORP COM COM 883375107 176 131,273 SOLE NONE SOLE TIME WARNER INC COM COM 887317303 1,397 47,952 SOLE NONE SOLE TRANSOCEAN LTD COM h8817h100 297 3,586 SOLE NONE SOLE TRIDENT MICROSYSTEMS INC COM COM 895919108 151 81,000 SOLE NONE SOLE TRIMERIS INC COM COM 896263100 39 15,000 SOLE NONE SOLE TRIO TECH INTL COM NEW COM 896712205 40 12,422 SOLE NONE SOLE TWIN DISC INC COM COM 901476101 131 12,500 SOLE NONE SOLE TYCO INTERNATIONAL LTD FGN COM COM h89128104 201 5,622 SOLE NONE SOLE UNITED PARCEL SVC INC CL B COM 911312106 279 4,855 SOLE NONE SOLE VAALCO ENERGY INC COM NEW COM 91851c201 62 13,600 SOLE NONE SOLE VERIZON COMMUNICATIONS INC COM COM 92343V104 1,858 56,083 SOLE NONE SOLE VIACOM INC NEW CL B COM 92553p201 847 28,496 SOLE NONE SOLE WAL-MART STORES INC COM 931142103 960 17,965 SOLE NONE SOLE WALT DISNEY CO COM COM 254687106 1,899 58,888 SOLE NONE SOLE WELLS FARGO & CO-NEW COM 949746101 1,446 53,584 SOLE NONE SOLE WESTELL TECHNOLOGIES INC COM COM 957541105 169 140,800 SOLE NONE SOLE WESTERN UN CO COM COM 959802109 36 1,925 SOLE NONE SOLE WEYERHAEUSER CO COM COM 962166104 4 90 SOLE NONE SOLE WHIRLPOOL CORP COM COM 963320106 1,209 14,985 SOLE NONE SOLE XEROX CORP COM COM 984121103 473 55,900 SOLE NONE SOLE ASIA PAC FD INC COM COM 044901106 220 21,200 SOLE NONE SOLE BLACKROCK MUNIHLDGS II COM COM 09254c107 163 12,500 SOLE NONE SOLE BOULDER GROWTH & INC COM COM 101507101 500 87,000 SOLE NONE SOLE BOULDER TOTAL RETURN COM COM 101541100 834 65,600 SOLE NONE SOLE CENTRAL FD CDA LTD CL A COM 153501101 3,268 237,169 SOLE NONE SOLE CLOUGH GLOBAL OPPORTUNITIES FD CLOSED-END COM 18914E106 981 76,200 SOLE NONE SOLE DWS GLBL COMM STK FD COM COM 23338y100 720 86,693 SOLE NONE SOLE GABELLI DIVD & INCM TR COM COM 36242h104 3,280 250,200 SOLE NONE SOLE GABELLI GLOBAL DEAL FD COM SBI COM 36245g103 454 31,500 SOLE NONE SOLE HANCOCK J PATRIOT II COM SH BEN INT COM 41013t105 2,792 280,361 SOLE NONE SOLE JOHN HANCOCK BK & THRIFT OPP FD CLOSED- COM 409735206 851 60,375 SOLE NONE SOLE END MACQUARIE FT TR GB INF COM COM 55607w100 124 10,000 SOLE NONE SOLE MFS INTERMEDIATE INCOME TRUST SBI COM 55273c107 317 47,333 SOLE NONE SOLE MFS MULTIMARKET INCOME SH BEN INT COM 552737108 358 55,000 SOLE NONE SOLE MONTGOMERY STR INC SEC COM COM 614115103 147 10,000 SOLE NONE SOLE NUVEEN CORE EQTY ALPHA COM COM 67090x107 2,256 184,800 SOLE NONE SOLE PETROLEUM & RES CORP COM COM 716549100 306 12,903 SOLE NONE SOLE REAVES UTIL INCOME FD COM SH BEN INT COM 756158101 223 12,000 SOLE NONE SOLE RIVUS BOND FUND COM COM 769667106 1,561 95,499 SOLE NONE SOLE SUNAMERICA FCSED ALPHA COM COM 867037103 233 17,000 SOLE NONE SOLE WESTERN ASSET/CLYMRE TIPS COM 95766r104 1,436 119,300 SOLE NONE SOLE NATUZZI S P A ADR ADR 63905a101 127 39,536 SOLE NONE SOLE ROYAL DUTCH SHELL PLC SPON ADR B ADR 780259107 1,575 27,096 SOLE NONE SOLE ROYAL DUTCH SHELL PLC SPONS ADR A ADR 780259206 378 6,293 SOLE NONE SOLE BLDRS INDEX FDS TR DEV MK 100 ADR INDX FD 09348r201 802 37,398 SOLE NONE SOLE BLDRS INDEX FDS TR EMER MK 50 ADR INDX FD 09348r300 564 12,791 SOLE NONE SOLE ISHARES INC MSCI JAPAN INDX FD 464286848 154 15,850 SOLE NONE SOLE ISHARES TR 1-3 YR TRS BD INDX FD 464287457 440 5,300 SOLE NONE SOLE ISHARES TR DJ US HEALTHCR INDX FD 464287762 211 3,300 SOLE NONE SOLE ISHARES TR MSCI EMERG MKT INDX FD 464287234 239 5,750 SOLE NONE SOLE ISHARES TR S&G GL MATERIA INDX FD 464288695 368 5,912 SOLE NONE SOLE ISHARES TR S&P 500 INDEX INDX FD 464287200 416 3,717 SOLE NONE SOLE ISHARES TR US TIPS BD FD INDX FD 464287176 534 5,144 SOLE NONE SOLE MARKET VECTORS ETF TR AGRIBUS ETF INDX FD 57060u605 1,104 25,219 SOLE NONE SOLE MARKET VECTORS ETF TR RVE HARD ETF INDX FD 57060u795 636 18,877 SOLE NONE SOLE POWERSHARES ETF TRUST WNDRHLL CLN EN INDX FD 73935x500 112 10,170 SOLE NONE SOLE POWERSHARES GLB ETF FD S&P 500 BUYWRT INDX FD 73936g308 1,556 72,329 SOLE NONE SOLE POWERSHS GBL ETF TRUST SOVEREIGN DEBT INDX FD 73936t573 357 14,000 SOLE NONE SOLE PROSHARES TR SHORT S&P 500 INDX FD 74347r503 788 15,000 SOLE NONE SOLE PROSHARES TR SHRT 20+YR TRE INDX FD 74347x849 321 6,360 SOLE NONE SOLE SELECT SECTOR SPDR FUND SHS BEN INT INDX FD 81369y209 205 6,600 SOLE NONE SOLE HEALTH SPDR INDEX SHS FDS DJ GLB RL ES ETF INDX FD 78463x749 594 18,485 SOLE NONE SOLE STANDARD & POORS DEPOSITARY RECEIPTS INDX FD 78462f103 3,750 33,650 SOLE NONE SOLE STREETTRACKS GOLD TR GOLD SHS INDX FD 78463v107 826 7,695 SOLE NONE SOLE SWEDISH EXPT CR CORP ROG ARGI ETN22 INDX FD 870297603 308 38,750 SOLE NONE SOLE VANGUARD BD INDEX FD INTERMED TERM INDX FD 921937819 481 6,083 SOLE NONE SOLE VANGUARD BD INDEX FD SHORT TRM BOND INDX FD 921937827 1,917 24,095 SOLE NONE SOLE VANGUARD BD INDEX FD TOTAL BND MRKT INDX FD 921937835 214 2,728 SOLE NONE SOLE VANGUARD INDEX FDS MCAP VL IDXVIP INDX FD 922908512 484 10,901 SOLE NONE SOLE VANGUARD INDEX FDS SM CP VAL ETF INDX FD 922908611 381 6,999 SOLE NONE SOLE VANGUARD WORLD FD MEGA CAP INDEX INDX FD 921910873 377 9,805 SOLE NONE SOLE HRPT PPTYS TR PFD CONV D PFD CV 40426w507 707 39,500 SOLE NONE SOLE CHESAPEAKE ENERGY CORP PFD CONV PFD CV 165167842 548 6,500 SOLE NONE SOLE KEYCORP NEW PFD 7.75% SR A PFD CV 493267405 200 2,500 SOLE NONE SOLE CHINA VALVES TECHNOLOGY COM 169476207 462 50,000 SOLE NONE SOLE HARBIN ELECTRIC INC COM 41145W109 308 15,000 SOLE NONE SOLE CHINA MARINE FOOD GROUP COM 16943R106 312 43,400 SOLE NONE SOLE CHINA BIO ENERGY COM 16948P105 106 15,000 SOLE NONE SOLE CHEMSPEC INTERNATIONAL LTD ADR COM 163868102 49 7,500 SOLE NONE SOLE CHINA-BIOTICS, INC. COM 16937B109 278 18,000 SOLE NONE SOLE CHINA EDUCATION ALLIANCE INC. COM 16938Y207 337 55,000 SOLE NONE SOLE HLS SYSTEMS INTERNATIONAL, LTD COM G45667105 264 22,000 SOLE NONE SOLE CHINACAST EDUCATION CORP COM 16946T109 114 15,125 SOLE NONE SOLE SKYSTAR BIO-PHARMACEUTICAL COM 830884300 455 45,000 SOLE NONE SOLE CHINA INSONLINE COM 16944E104 68 100,000 SOLE NONE SOLE GULF RESOURCES INC. COM 40251W309 321 27,500 SOLE NONE SOLE CHINA NORTHEAST PETROLEUM COM 16941G102 555 60,000 SOLE NONE SOLE PUDA COAL INC COM 744674300 147 20,000 SOLE NONE SOLE CHINA BIOLOGIC PRODUCTS INC COM 16938C106 174 14,400 SOLE NONE SOLE QKL STORES INC. COM 74732Y105 905 135,000 SOLE NONE SOLE ORIENT PAPER INC. COM 68619F205 396 37,775 SOLE NONE SOLE CHINA CORD BLOOD CORP. COM G21107100 569 87,500 SOLE NONE SOLE CHINA GREENAGRICULTURE INC COM 16943W105 540 36,763 SOLE NONE SOLE JINPAN INTERNATIONAL LTD COM G5138L100 238 5,000 SOLE NONE SOLE LIWA INTERNATIONAL COM 532352101 238 22,726 SOLE NONE SOLE SKY PEOPLE FRUIT JUICE INC. COM 83086T208 103 25,000 SOLE NONE SOLE ADVANCED BATTERY TECH COM 00752H102 60 15,000 SOLE NONE SOLE AMERICAN LORAIN CORP COM 027297100 61 20,000 SOLE NONE SOLE ZST DIGITAL NETWORKS, INC. COM 98878T208 350 40,000 SOLE NONE SOLE YUHE INTERNATIONAL INC. COM 988432100 118 12,500 SOLE NONE SOLE 151,368
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