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Livermore
Livermore
ZHEN

Ancora Advisors, LLC

SEC CIK
0001446114
Latest filing
Aug 14, 2026

Holdings in Q3 2021

Holdings as of Sep 30, 2021, filed Nov 15, 2021. Long positions only; changes compare share counts with Q2 2021.

Institution overview
Positions
2,269
+278 vs. Q2 2021
Portfolio value
$3.84B
+$35.6M (+0.9%) vs. Q2 2021
Filed
Nov 15, 2021
SEC
Holdings of Ancora Advisors, LLC in Q3 2021
SecurityClassSharesValue% of portfolioShare changeActionHistory
AALAmerican Airlines Group Inc.Stock15$00.0%00.0%UnchangedHistory
SWKSSkyworks Solutions, Inc.Stock3$00.0%00.0%UnchangedHistory
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS12$00.0%00.0%UnchangedHistory
Vanguard Intl Equity Index F922042676GLB EX US ETF6$00.0%00.0%Unchanged–
iShares Tr46435U853BROAD USD HIGH5$00.0%00.0%Unchanged–
AOSSmith A O CorpCOM8$00.0%00.0%UnchangedHistory
ARDXArdelyx, Inc.COM287$00.0%00.0%UnchangedHistory
HTZHertz Global Holdings, IncCOM NEW2$00.0%+2NewHistory
Anc Rent Corp001813104COM25$00.0%00.0%Unchanged–
Affymax Inc00826A109COM500$00.0%00.0%Unchanged–
Adeptus Health00ESC5984COM250$00.0%00.0%Unchanged–
Escrow All American Semiconduc016ESC402COM100,350$00.0%00.0%Unchanged–
Escrow Ambassadors Group Inc C023ESC999COM4,900$00.0%00.0%Unchanged–
American Green Inc02640N200COM750$00.0%−10−1.3%Reduced–
Esc American Medical Alert Cor027904986COM35,100$00.0%00.0%Unchanged–
APENApollo Endosurgery, Inc.COM18$00.0%00.0%UnchangedHistory
ASTIAscent Solar Technologies, Inc.COM2,500$00.0%+2,500NewHistory
Atlantis Plastics Inc049156102COM640$00.0%00.0%Unchanged–
ACBAurora Cannabis IncCOM36$00.0%+8+28.6%AddedHistory
Brampton Crest Intl Inc Com10511R101COM4$00.0%00.0%Unchanged–
Canadian Cannabis Co135442101COM100$00.0%00.0%Unchanged–
Cannalink Inc Com13765B103COM28$00.0%00.0%Unchanged–
CORRCorEnergy Infrastructure Trust, Inc.COM NEW87$00.0%00.0%UnchangedHistory
E Med Future Inc Com26875D108COM3,000$00.0%00.0%Unchanged–
EXCO Resources Inc269279600COM20$00.0%+5+33.3%Added–
Earthshell Corp Com New27032B209COM250$00.0%00.0%Unchanged–
Abacus Global Management, Inc.274681105COM CL A3$00.0%+3New–
Fab Unvl Corp Com302771100COM142$00.0%00.0%Unchanged–
First PL Finl Corp Com33610T109COM5,450$00.0%00.0%Unchanged–
Green Earth Techs39303R102COM10,000$00.0%00.0%Unchanged–
Gulf Energy Corp402274104COM500$00.0%00.0%Unchanged–
Highlands REIT, Inc.43110A104COM1,597$00.0%00.0%Unchanged–
Hycroft Mining Holding Corp44862P125*W EXP 10/12/20228$00.0%00.0%Unchanged–
Hyster B449172204COM1$00.0%00.0%Unchanged–
Iexalt Inc Com New451691208COM20$00.0%00.0%Unchanged–
Escrow Lehman Bros Hldgs Inc C524ESC100COM187$00.0%00.0%Unchanged–
Escrow Linnco LLC Com Shs Repstg Ltd Liabilityints535ESC107COM500$00.0%00.0%Unchanged–
Lone Pine Res Inc Com54222A106COM1,000,000$00.0%00.0%Unchanged–
Medical Marijuana Inc Com58463A105COM2,000$00.0%00.0%Unchanged–
Natur International Corporatio63883U103COM142$00.0%00.0%Unchanged–
BFXBowflex Inc.COM36$00.0%00.0%UnchangedHistory
NBSENeuBase Therapeutics, Inc.COM100$00.0%00.0%UnchangedHistory
Northern Star Invest Corp IV66575B200UNIT 02/25/20282$00.0%+2New–
Oilsands Quest Inc Com678046103COM1,000$00.0%00.0%Unchanged–
PDL Biopharma Inc Com69329Y104COM4,948$00.0%00.0%Unchanged–
Penn Treaty Amern Corp Com New707874400COM50,000$00.0%00.0%Unchanged–
PLNHPlanet 13 Holdings Inc.COM75$00.0%00.0%UnchangedHistory
Potbelly Corp Restricted Warra737991349WT97,709$00.0%00.0%Unchanged–
UCOProShares Trust IIULTA BLMBG 20175$00.0%00.0%UnchangedHistory
Progenics Pharmaceuticals Inc743CVR037COM47,700$00.0%00.0%Unchanged–
Sgi Intl Com New784185209COM2,000$00.0%00.0%Unchanged–
Smart SMS Corp Com83171W207COM2,500$00.0%00.0%Unchanged–
Spinnaker ETF Series84858T400CANNABIS ETF32$00.0%00.0%Unchanged–
Spirit MTA REIT848ESC018Common Stock90,000$00.0%00.0%Unchanged–
Sport Haley Hldgs84917J104COM2,500$00.0%00.0%Unchanged–
Syncronys Softcorp Inc Com871578100COM120$00.0%00.0%Unchanged–
Tactical Air Defense Svcs Com87356M108COM140,000$00.0%00.0%Unchanged–
Tapestry Pharma Inc Com New876031204COM1,248,000$00.0%00.0%Unchanged–
Thai Fund882ESC106COM594$00.0%00.0%Unchanged–
Escrow Turkish Invst FD900ESC104COM318$00.0%00.0%Unchanged–
XXII22nd Century Group, Inc.COM153$00.0%+12+8.5%AddedHistory
Ubisoft Entmt SA ADR90348R102ADR40$00.0%+40New–
UNITUniti Group Inc.COM10$00.0%00.0%UnchangedHistory
VanEck Vectors ETF Tr92189H839SOCIAL SENTIMENT8$00.0%00.0%Unchanged–
Virtus Oil and Gas Corporation92834V209COM66$00.0%00.0%Unchanged–
Potbelly Warrants929999845WT48,846$00.0%00.0%Unchanged–
Walker Innovation936ESC110COM87,500$00.0%00.0%Unchanged–
Web Blockchain Media Inc94734A103COM1,000$00.0%00.0%Unchanged–
Zagg Inc CVR988CVR015COM278,690$00.0%00.0%Unchanged–
ZUOZuora IncCOM CL A13$00.0%00.0%UnchangedHistory
WTS QLT Inc9941239W9WT200,000$00.0%00.0%Unchanged–
COVA Acquisition Corp.G2554Y120*W EXP 02/05/202750$00.0%00.0%Unchanged–
ITRMIterum Therapeutics plcSHS578$00.0%00.0%UnchangedHistory
Sports Ventures Acquisin CorG8372A129*W EXP 11/30/202566$00.0%00.0%Unchanged–
TWOAtwoCOM CL A11$00.0%00.0%UnchangedHistory
Japan Tobacco IncJ27869106ADUS5$00.0%00.0%Unchanged–
Contra Backweb TechnologiesM15CNT997COM259,927$00.0%00.0%Unchanged–
BSKYBig Sky Growth Partners, Inc.CLASS A COM32$00.0%00.0%UnchangedHistory
Big Sky Growth Partners, Inc.08954L110*W EXP 04/01/2028$00.0%00.0%Unchanged–
Churchill Capital Corp VII17144M110*W EXP 02/29/202500$00.0%+100+25.0%Added–
Diamond Offshore Drilling Inc WT Exp25271C110Com109$00.0%+109New–
Esc Diamond Offshore D Escrow252ESC017Com2,000$00.0%+2,000New–
Northern Star Invest Corp II66574L118*W EXP 02/25/202400$00.0%00.0%Unchanged–
Pivotal Investment Corp III72582M114*W EXP 01/28/202279$00.0%00.0%Unchanged–
Apollo Strategic GRWT CPTL IG0412A128*W EXP 02/12/202359$00.0%00.0%Unchanged–
Ap Henderson Group00186G100COM2,000$00.0%+2,000New–
Atna Resources04957F101COM400$00.0%+400New–
HTZWWHertz Global Holdings, IncCommon Stock16$00.0%+16NewHistory
Pure Energy Minerals74624B700COM55$00.0%+55New–
Stryve Foods, Inc.863685111*W EXP 07/31/202300$00.0%+300New–
Frontier Investment CorpG36816125*W EXP 06/29/20232$00.0%+32New–
Macondray Cap Acquisitn CorpG5853A115*W EXP 05/31/202468$00.0%+468New–
BHCBausch Health Companies Inc.Stock50$1.00K<0.1%00.0%UnchangedHistory
WABWestinghouse Air Brake Technologies CorpStock16$1.00K<0.1%−1−5.9%ReducedHistory
Schwab Fundamental Emerging Markets Equity ETF808524730ETF24$1.00K<0.1%00.0%Unchanged–
State Street SPDR Bloomberg 1-3 Month T-Bill ETF78468R663ETF8$1.00K<0.1%00.0%Unchanged–
Vanguard Ftse All-World Ex-US Small-Cap ETF922042718ETF6$1.00K<0.1%00.0%Unchanged–
ARK ETF Tr00214Q807SPACE & DEFENSE52$1.00K<0.1%+52New–
Schwab Strategic Tr808524862SHT TM US TRES21$1.00K<0.1%+21New–
iShares Tr464288208MRGSTR MD CP ETF8$1.00K<0.1%+8New–

Options (31)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

Option positions of Ancora Advisors, LLC in Q3 2021
SecurityClassPutsCalls
iShares Tr464287955PUT$8.54M–
Green Plains Partners LP393221956PUT$6.81M–
iShares Tr464287952PUT$5.91M–
SPDR S&P 500 ETF Tr78462F953PUT$1.82M–
SPDR Series Trust78464A714ST STR SP RETAIL$840.0K–
SPDR Ser Tr78464A958PUT$776.0K–
SPX Corp784635954PUT$699.0K–
iShares Tr464287950PUT$591.0K–
Ashland Global Hldgs Inc044186954PUT$500.0K–
Diebold Inc253651953PUT$442.0K–
FedEx Corp31428X956PUT$380.0K–
Norfolk Southn Corp655844958PUT$185.0K–
Invesco QQQ Tr46090E953PUT$180.0K–
ProShares Tr74347B958PUT$180.0K–
Union Pac Corp907818958PUT$171.0K–
CSX Corp126408953PUT$144.0K–
Omeros Corp682143902CALL–$133.0K
iShares Tr464287905CALL–$98.0K
Diebold Inc253651903CALL–$84.0K
Expeditors Intl Wash Inc302130959PUT$67.0K–
SPDR Series Trust78464A954PUT$61.0K–
SPDR S&P 500 ETF Tr78462F903CALL–$54.0K
iShares Tr464288959PUT$41.0K–
BKLN 210416P0001500046138G958PUT$34.0K–
iShares Tr464288953PUT$30.0K–
ProShares Tr74347W900CALL–$19.0K
Select Sector SPDR Tr81369Y955put$18.0K–
iShares Silver Tr46428Q909CALL–$5.00K
Fubotv Inc35953D954PUT$2.00K–
Invesco Exchng Traded FD Tr46138G956PUT$2.00K–
SPDR Ser Tr78468R906CALL–$2.00K

Sold out since Q2 2021 (164)

Positions held at the end of Q2 2021 that are gone from this filing.

The largest 100 of 164 by value last quarter.

Positions of Ancora Advisors, LLC sold out since Q2 2021
SecurityClassShares in Q2 2021Value in Q2 2021% of portfolio in Q2 2021History
NatixisF6483L100COM4,484,153$21.3M0.6%–
TUEMTuesday Morning CorpCOM859,880$3.87M0.1%History
First Tr Exchange Traded FD Ny03733E203INDX FD21,648$3.74M0.1%–
ACBIAtlantic Capital Bancshares, Inc.COM132,203$3.37M0.1%History
WWWW International, Inc.COM88,165$3.19M0.1%History
MTZMastec IncCOM28,450$3.02M0.1%History
GOROGoldgroup Mining Inc.COM1,013,500$2.62M0.1%History
NJRNew Jersey Resources CorpStock61,090$2.42M0.1%History
BCOBrinks CoCOM13,724$1.05M<0.1%History
FMCFMC CorpCOM NEW7,850$849.0K<0.1%History
ASIXAdvanSix Inc.COM28,300$845.0K<0.1%History
SJISouth Jersey Industries IncCOM30,954$803.0K<0.1%History
IBCPIndependent Bank CorpCOM NEW33,590$729.0K<0.1%History
Ca Healthcare Acquisition Co12510W107COM CL A63,000$623.0K<0.1%–
MXIMMaxim Integrated Products IncCOM5,340$562.0K<0.1%History
IRTIndependence Realty Trust, Inc.COM29,740$542.0K<0.1%History
AHCOAdaptHealth Corp.COMMON STOCK18,570$509.0K<0.1%History
TLYSTilly's, Inc.CL A31,650$506.0K<0.1%History
PFSWPfsweb IncCOM NEW59,286$438.0K<0.1%History
INFOIHS Markit Ltd.SHS3,800$428.0K<0.1%History
EHCEncompass Health CorpCOM5,100$398.0K<0.1%History
DENNDENNY'S CorpCOM22,400$369.0K<0.1%History
Starboard Value Acquisitn Co85521J109COM CL A34,373$344.0K<0.1%–
Tradeup Global CorporationG89877123UNIT 99/99/999933,896$336.0K<0.1%–
TLNDTalend S.A.ADS3,989$262.0K<0.1%History
529 American Funds529FUNDS1COM249,091$249.0K<0.1%–
WTWWillis Towers Watson PLCSHS1,000$230.0K<0.1%History
Translate Bio, Inc.89374L104COM8,000$220.0K<0.1%–
Nextgen Acquisition Corp IIG65317110UNIT 03/23/202619,310$209.0K<0.1%–
ETXEaton Vance Municipal Income 2028 Term TrustSHS7,782$181.0K<0.1%History
OTRKOntrak, Inc.COM5,178$168.0K<0.1%History
XLNXXilinx IncCOM1,000$145.0K<0.1%History
Great Canadian Gaming Corp389914102COM4,000$144.0K<0.1%–
OPBKOP BancorpCOM13,659$137.0K<0.1%History
MHFWestern Asset Municipal High Income Fund Inc.COM15,864$134.0K<0.1%History
WORKSlack Technologies, Inc.COM CL A2,500$111.0K<0.1%History
ALSKAlaska Communications Systems Group IncCOM30,600$102.0K<0.1%History
Macquarie Group Limited ADR Ne55607P204ADR861$101.0K<0.1%–
Summit Healthcre Acquistn CoG8566R128UNIT 06/03/202610,100$101.0K<0.1%–
SWK Holdings Corp78501P203COM NEW5,400$95.0K<0.1%–
Centricus Acquisition CorpG2072Q104CL A SHS8,300$82.0K<0.1%–
CDNSCadence Design Systems IncStock594$81.0K<0.1%History
BHPBHP Group LtdADR1,019$74.0K<0.1%History
RKTRocket Companies, Inc.Stock3,500$68.0K<0.1%History
CAPSCapstone Holding Corp.COM1,786$64.0K<0.1%History
Liberated Syndication Inc.53013F100COM15,952$62.0K<0.1%–
Exfo Inc302046107SUB VTG SHS10,000$59.0K<0.1%–
ALXNAlexion Pharmaceuticals, Inc.COM300$55.0K<0.1%History
SPWHSportsman's Warehouse Holdings, Inc.COM3,000$53.0K<0.1%History
Churchill Capital Corp IV171439102CL A1,831$53.0K<0.1%–
B Riley Prin 250 Merger Corp05602L203UNIT 04/06/20265,000$50.0K<0.1%–
Valor Latitude Acquisitn CorG9460N114UNIT 04/02/20265,000$50.0K<0.1%–
SCIService Corp InternationalCOM873$47.0K<0.1%History
WSBCWesbanco IncCOM1,180$42.0K<0.1%History
PROSProSight Global, Inc.COM3,100$40.0K<0.1%History
CMTLComtech Telecommunications CorpCOM NEW1,551$37.0K<0.1%History
LUBLub Liquidating TrustCOM9,700$37.0K<0.1%History
SRCLStericycle IncCOM500$36.0K<0.1%History
Ca Healthcare Acquisition Co12510W115*W EXP 12/25/20234,800$34.0K<0.1%–
GRNDGrindr Inc.SHS CL A3,000$30.0K<0.1%History
Aries I Acquisition CorpG0542N115UNIT 03/18/20263,000$30.0K<0.1%–
Skydeck Acquisition Corp.G82220107UNIT 05/13/20263,000$30.0K<0.1%–
Portman Ridge Fin Corp73688F102COM12,313$29.0K<0.1%–
iShares Tr464287770U.S. FIN SVC ETF150$28.0K<0.1%–
OPTUOptimum Communications, Inc.CL A820$28.0K<0.1%History
TALKTalkspace, Inc.COM3,000$25.0K<0.1%History
Perpetual Fed SVGS BK Com714273109COM630$25.0K<0.1%–
BNP Paribas Sponsored ADR05565A202ADR770$24.0K<0.1%–
BBDCBarings BDC, Inc.COM2,159$23.0K<0.1%History
DNBDun & Bradstreet Holdings, Inc.COM990$21.0K<0.1%History
Sandbridge Acquisition Corp799793104COM CL A2,100$21.0K<0.1%–
NLSNNielsen Holdings plcSHS EUR800$20.0K<0.1%History
Osiris Acquisition Corp.68829A202UNIT 99/99/99992,000$20.0K<0.1%–
FFIVF5, Inc.Stock100$19.0K<0.1%History
TRPTC Energy CorpCOM374$19.0K<0.1%History
ZGYHYunhong InternationalCL A SHS1,900$19.0K<0.1%History
MIDDMIDDLEBY CorpCOM100$17.0K<0.1%History
GRVYGRAVITY Co., Ltd.SPONSORED ADS NE150$16.0K<0.1%History
Adidas AG ADR00687A107ADR88$16.0K<0.1%–
NKLANikola CorpCOM874$16.0K<0.1%History
Climate Change Crisis Real I18716C100CL A COM1,000$15.0K<0.1%–
Kddi Corp ADR48667L106ADR973$15.0K<0.1%–
ETREntergy CorpCOM144$14.0K<0.1%History
NINisource Inc.COM590$14.0K<0.1%History
Stable RD Acquisition Corp85236Q109COM CL A1,000$14.0K<0.1%–
Reinvent Technology PartnersG7483N129CL A1,400$14.0K<0.1%–
CLP Holdings Ltd Sponsored ADR18946Q101Common Stock1,258$12.0K<0.1%–
PERSSandRidge Permian TrustCOM27,600$12.0K<0.1%History
GMEGameStop Corp.Stock50$11.0K<0.1%History
CAHCardinal Health IncStock200$11.0K<0.1%History
NGGNational Grid PLCSPONSORED ADR NE163$10.0K<0.1%History
AMPSAltus Power, Inc.COM CL A1,000$10.0K<0.1%History
Roth CH Acquisition III Co77867Q201UNIT 02/26/2026900$9.00K<0.1%–
PRAHPRA Health Sciences, Inc.COM50$8.00K<0.1%History
SYNHSyneos Health, Inc.CL A85$8.00K<0.1%History
Recon Cap Nasdaq 100 Covered C75623U102INDX FD375$8.00K<0.1%–
Goldenbridge Acquisition LtdG3970D138RIGHT 10/28/202520,789$8.00K<0.1%–
WisdomTree Tr97717W315EMER MKT HIGH FD150$7.00K<0.1%–
Brookfield Property Partrs LG16249107UNIT LTD PARTN370$7.00K<0.1%–
SLABSilicon Laboratories Inc.Stock41$6.00K<0.1%History