-----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, WecF2ulQsOx4zArX4nN2l5PHwFoSEbSmqE5WtNIr/D2zwm76MJX6QlNviblEyT+c n3l0y3Srr/0g4GQ9emuDXg== 0001051042-08-000091.txt : 20080801 0001051042-08-000091.hdr.sgml : 20080801 20080801135554 ACCESSION NUMBER: 0001051042-08-000091 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080630 FILED AS OF DATE: 20080801 DATE AS OF CHANGE: 20080801 EFFECTIVENESS DATE: 20080801 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD CENTRAL INDEX KEY: 0001051042 IRS NUMBER: 382562340 STATE OF INCORPORATION: MI FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06648 FILM NUMBER: 08984509 BUSINESS ADDRESS: STREET 1: 111 CASS STREET CITY: TRAVERSE CITY STATE: MI ZIP: 49684 BUSINESS PHONE: 2319294500 MAIL ADDRESS: STREET 1: 111 CASS STREET CITY: TRAVERSE CITY STATE: MI ZIP: 49684 13F-HR 1 fimg13f063008.txt FINANCIAL INVESTMENT MANAGEMENT GROUP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calender Year or Quarter End: June 30, 2008 Check here if Amendment { }; Amendment Number: This Amendment (Check only one): { } is a restatement { } adds new holding entries Institutional Investment Manager Filing this Report Name: Financial & Investment Management Group, Ltd. Address: 111 Cass St Traverse City, MI 49684 13F File Number: 28-6648 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: Matthew Bohrer Title: Chief Compliance Officer Phone: 231-929-4500 Signature, Place, and Date of Signing: Matthew Bohrer, Traverse City, MI, 49684, August 1, 2008 Report Type ( Check only one): [x] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT List of Other Managers Reporting for this Manager: None I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934 FORM 13F SUMMARY PAGE REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 86 FORM 13F INFORMATION TABLE VALUE TOTAL: $175,886,020 LIST OF OTHER MANAGERS REPORTING FOR THIS REPORT: NONE FORM 13F INFORMATION TABLE NAME OF ISSUER TITLE OF SH/P VOTING AUTHORITY CLASS CUSIP VALUE AMOUNT S/PP/CINV DIS MANAGER SOLE SHARED 1800FLOWERS COM INC CL A 68243q106 1210342.5 187650SH SHARED 01 187650 3 COMCORP COM 885535104 1545745 729125SH SHARED 01 729125 ACTION PRODUCTS INTL INC COM 004920104 774356.71 1312469SH SHARED 01 1312469 APACHE CORP. COM 037411105 342496 2464SH SHARED 01 2464 ASM INTL NV NOTE 4.250%12/0 00207DAG7 1561130 1000000SH SHARED 01 1000000 AT&T CORP COM 00206r102 546788.7 16230SH SHARED 01 16230 AURORA OIL & GAS CORP COM 052036100 1935534.92 4501244SH SHARED 01 4501244 BANCO SANTANDR CENT ADR F SPON ADR 05964h105 2156879.25 118575SH SHARED 01 118575 BARRICK GOLD CORP COM 067901108 4,653,148.5 102267SH SHARED 01 102267 BORDERS GROUP COM 099709107 181290 30215SH SHARED 01 30215 BP, PLC SPONSORED ADR 055622104 4783633.2 68760SH SHARED 01 68760 BRISTOL MYERS SQUIBB COMPANY COM 110122108 4005136.11 195087SH SHARED 01 195087 CAREER EDUCATION CORP. COM 141665109 1602570.9 109690SH SHARED 01 109690 CBS, INC. CL B 124857202 3066459.15 157335SH SHARED 01 157335 CHUNGHWA TELECOM CO LTD- ADR SPON ADR NEW 17133q304 703639.23 27735SH SHARED 01 27735 COHEN STEERS DIVIDEND MAJOR COM 19248g106 709672.8 47280SH SHARED 01 47280 COLGATE PALMOLIVE CO COM 194162103 1,591,442.1 23031SH SHARED 01 23031 COLLECTORS UNIVERSE COM NEW 19421r200 1955726.5 241150SH SHARED 01 241150 CYCLE COUNTRY ACCESSORIES CO COM 232984104 1644994.96 894019SH SHARED 01 894019 DEUTSCHE TELEKOM AG-SPON ADR SPONSORED ADR 251566105 3591086.9 219370SH SHARED 01 219370 DIEDRICH COFFEE, INC. COM NEW 253675201 1640601.41 766672SH SHARED 01 766672 EATON VANCE MICHIGAN MUNI INC SH BEN INT 27826d106 714258.75 60275SH SHARED 01 60275 EBAY INC COM 278642103 662643.18 24246SH SHARED 01 24246 ENERPLUS RESOURCES FUND UNIT TR G NEW 29274d604 871300.32 18843SH SHARED 01 18843 EXPRESSJET HLDS conv bond NOTE 4.250% 8/0 30218UAB4 1209570 1753000SH SHARED 01 1753000 EXXON MOBIL CORP. COM 30231G102 463,123. 5255SH SHARED 01 5255 FASTENALCO COM 311900104 1,866,118.143237.21SH SHARED 01 43237.2 FELCOR LODGING TR $1.95 SER PFD CV A $1.95 31430f200 781097.86 40981SH SHARED 01 40981 FIRST FEDERAL OF NOTHERN MI COM 32021x105 1223589.28 204272SH SHARED 01 204272 FRANCE TELECOM SA ADR SPONSORED ADR 35177q105 4141977.7 139790SH SHARED 01 139790 FTD GROUP INC COM 30267u108 6258994.86 469542SH SHARED 01 469542 GANNETT CO COM 364730101 4640088.75 214125SH SHARED 01 214125 GEHL COMPANY COM 368483103 1751343.06 118414SH SHARED 01 118414 GLOBAL INCOME FUND INC. COM DELETED37934y108 196153.25 50425SH SHARED 01 50425 HELLENIC TELECOM ORG-SP ADR SPONSORED ADR 423325307 2324546 195340SH SHARED 01 195340 HOUSEVALUES INC COM 44183y102 7689632.5 2796230SH SHARED 01 2796230 HRPT PPTYS TRUST COM SH BEN INT 40426w101 2981508 440400SH SHARED 01 440400 IAC/INTERACTIVECORP COM NEW 44919p300 5881749.6 305070SH SHARED 01 305070 INTERNET GOLD - GOLDEN LINES ORD M56595107 1946760.6 267780SH SHARED 01 267780 JOHN HANCOCK PATR PREM DIV FD COM SH BEN INT 41013T105 2321306.02 257351SH SHARED 01 257351 KNOT INC (THE) COM 499184109 1757377.98 179691SH SHARED 01 179691 LANDEC CORP COM 514766104 2710845.89 418987SH SHARED 01 418987 LEGGETT & PLATT INC COM 524660107 2083588.65 124245SH SHARED 01 124245 LEXINGTON CORPORATE PROPERTIES COM 529043101 2739084.8 200960SH SHARED 01 200960 LIBERTY MEDIA LLC 3.125% 03/30 DEB 3.125% 3/3 530718AF2 2085000 2000000SH SHARED 01 2000000 MERCANTILE BANK CORP COM 587376104 200896.4 27980SH SHARED 01 27980 MFSINTER INCOME TR SH BEN INT SH BEN INT 55273c107 96720 15500SH SHARED 01 15500 MIDWESTONE FINANCIAL GROUP COM ADDED 598511103 1930886.09 150322SH SHARED 01 150322 MITSUBISHI UFJ FINL GRP -ADR SPONSORED ADR 606822104 3173473.6 360622SH SHARED 01 360622 MONARCH COMMUNITY BANCORP COM 609045109 327085.2 33930SH SHARED 01 33930 MOTOROLA INC COM 620076109 793292.52 108078SH SHARED 01 108078 NEW YORK TIMES-A CL A 650111107 4,112,900.5 267245SH SHARED 01 267245 NEWELL RUBBERMAID INC COM 651229106 1194776.4 71160SH SHARED 01 71160 NEWS CORP LTD - SPONS ADR PRF CL A 65248e104 2839251.2 188780SH SHARED 01 188780 NEXITY FINANCIAL CORP COM NEW 65333r200 598833.6 124757SH SHARED 01 124757 NORTH VALLEY BANCORP COM 66304m105 273999.39 42089SH SHARED 01 42089 NUTRISYSTEM INC COM 67069d108 1382467.8 97770SH SHARED 01 97770 NUVEEN MI PREM INCOME MUNI FUN COM 67101Q109 683688.5 54175SH SHARED 01 54175 ORION ENERGY SYSTEMS, INC. COM 686275108 108000 10800SH SHARED 01 10800 PENN WEST ENERGY TRUST TR UNIT 707885109 2059299.36 60854SH SHARED 01 60854 PFIZER INC COM 717081103 3,451,128.6 197546SH SHARED 01 197546 PLACER DOME INC DBCV 2.750% 10/1725906AK7 20769.1 11000SH SHARED 01 11000 PRIVATEBANCORP INC NOTE 3.625% 3/1 742962AD5 385000 400000SH SHARED 01 400000 PROCTER & GAMBLE CO COM 742718109 777,516. 12786SH SHARED 01 12786 RMR ASIA PACIFIC REAL ESTATE COM 76969w108 758520 60200SH SHARED 01 60200 RMR ASIA REAL ESTATE FUND COM BENE INTER 74964q101 620312 53200SH SHARED 01 53200 ROYAL DUTCH SHELL B ADR F SPON SPON ADR B 780259107 4579888.7 57170SH SHARED 01 57170 ROYAL GOLD INC COM 780287108 11281289.6 359735SH SHARED 01 359735 ROYCE MICRO-CAP AAA PFD 6.0% COM 780915302 1270194.2 49880SH SHARED 01 49880 SECTOR SPDR TR SHS BEN INT UT SBI INT-UTILS 81369y886 1844727.5 45325SH SHARED 01 45325 SHUTTERFLY INC COM 82568p304 2664222 218200SH SHARED 01 218200 SIFY LTD - SPONS ADR SPONSORED ADR 82655m107 3175680 827000SH SHARED 01 827000 STRATEGIC HOTELS & RESORTS I COM 86272t106 4540842.55 484615SH SHARED 01 484615 THE WALT DISNEY CO. COM DISNEY 254687106 1,337,512.8 42869SH SHARED 01 42869 TIMEWARNER INC COM 887317105 2,087,466.0 141045SH SHARED 01 141045 TOFUTTI BRANDS INC COM 88906b105 2204220.3 792885SH SHARED 01 792885 TRAVELZOO INC COM 89421q106 1735484.99 202507SH SHARED 01 202507 U.S. BANCORP. COM NEW 902973304 210,926. 7563SH SHARED 01 7563 UNITED ONLINE INC COM 911268100 517297.25 51575SH SHARED 01 51575 UNITED PARCEL SERVICE, INC. CL B 911312106 614515.59 9997SH SHARED 01 9997 VIACOM INC. - CL B CL B NEW 92553p201 2639572.2 86430SH SHARED 01 86430 W P STEWART & CO LTD COM g84922106 2992910.4 1969020SH SHARED 01 1969020 WAC US TREAS. INFLATION PROTEC COM SH BEN INT 95766q106 242471.31 19570SH SHARED 01 19570 WASHINGTON POST -CL B CL B 939640108 5194065 8850SH SHARED 01 8850 WESTERNASSET CLAYMORE US TREAS COM 95766r104 166732.86 13589SH SHARED 01 13589 YELLOW CORP NOTE 5.00% 8/0 985577AA3 1292850 1500000SH SHARED 01 1500000
-----END PRIVACY-ENHANCED MESSAGE-----