-----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, KRb49wFxcYe6BowBcLppDt2+gl1I9g+KX0X1dNzE/rW1MA9KSg8DWIeao66Gy7um ktVPNrabW85Tc4k/aQBBgw== 0001051042-11-000002.txt : 20110126 0001051042-11-000002.hdr.sgml : 20110126 20110126141003 ACCESSION NUMBER: 0001051042-11-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110126 DATE AS OF CHANGE: 20110126 EFFECTIVENESS DATE: 20110126 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: 11549020 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 fimg13f123110.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: December 31, 2010 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, January 26, 2011 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: 78 FORM 13F INFORMATION TABLE VALUE TOTAL: $214,612,046.00 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/P/CINV DISMANAGER SOLE SHARED A T & T INC NEW COM 00206r1024745134.42 161509SH SHARED 01 161509 APACHE CORP COM 037411105 293782.72 2464SH SHARED 01 2464 ASM INTL NV 4.25%11F SUB NT CO NOTE 4.250% 12/0 ADDED00207DAG7 626452.05 371000SH SHARED 01 371000 BANK OF AMERICA CORP COM 060505104 289197.86 21679SH SHARED 01 21679 BARRICK GOLD CORP F COM 0679011086695468.36 125902SH SHARED 01 125902 BECKMAN COULTER 2.5% 12/36 Note 2.500% 12/1 075811AD11126288.08 986000SH SHARED 01 986000 BECKMAN COULTER INC COM 075811109 2969328.1 39470SH SHARED 01 39470 BERKSHIRE HATHAWAY B NEW CLASS CL B NEW 084670702 10037062 125291SH SHARED 01 125291 BLACKROCK CREDIT ALLOCATION FU COM 09255H1058432331.28 857816SH SHARED 01 857816 BLACKROCK INCOME TR INC COM 09247f10013566804.81983451SH SHARED 01 2E+06 BLKROCK CREDIT ALLOC INCOME T COM 0925081007321761.05 605104SH SHARED 01 605104 BOULDER TOTAL RETURN FD COM 1015411001543138.08 99429SH SHARED 01 99429 CALAMOS GLOBAL INCOME FD COM 12811l107 478889.55 57215SH SHARED 01 57215 CALAMOS STRGC TOT RET FD COM SH BEN INT 1281251012252902.44 243294SH SHARED 01 243294 CITIGROUP INC COM 172967101 107607.5 22750SH SHARED 01 22750 CLAYMORE DIVIDEND INCOME FUND COM 18385j105 200366.8 13340SH SHARED 01 13340 COHEN & STEERS INFRASTRUCTURE COM 19248a10913580791.7 827088SH SHARED 01 827088 COLGATE-PALMOLIVE CO COM 194162103 981398.07 12211SH SHARED 01 12211 CRYSTALLEX INT'L CORP COM 22942f101 7210.5 23000SH SHARED 01 23000 D C A TOTAL RETURN FUND COM 2330661094094160.861186713SH SHARED 01 1E+06 DENALI FUND INC COM 24823a102 342450 22500SH SHARED 01 22500 DU PONT E I DE NEMOUR&CO COM 2635341094406511.07 88342SH SHARED 01 88342 DUKE ENERGY CORP NEW COM 26441c1051850548.05 103905SH SHARED 01 103905 DWS HIGH INCOME OPPORT FUND, I COM NEW 23339m2043083477.76 218997SH SHARED 01 218997 EXXON MOBIL CORPORATION COM 30231G102 423844.325796.56SH SHARED 01 5796.6 FASTENAL CO COM 3119001042902986.0148455.8SH SHARED 01 48456 FIFTH THIRD BANCORP COM 316773100 153288.56 10442SH SHARED 01 10442 FIRST FED N MICHIGAN BA COM 32021x105 765671.2 273454SH SHARED 01 273454 FRANKLIN UNIV TR S B I SH BEN SH BEN INT 355145103 905664.75 143075SH SHARED 01 143075 FT DEARBORN INC SEC INC COM 347200107 184499.64 11934SH SHARED 01 11934 GABELLI DIV AND INC TR COM 36242h104 277555.2 18070SH SHARED 01 18070 GAIAM INC CL A 36268q103 2916375 378750SH SHARED 01 378750 GENERAL ELECTRIC COMPANY COM 3696041034022542.45 219931SH SHARED 01 219931 HANCOCK JOHN TAX ADVN FD TAX A COM 41013v100 203894.25 13675SH SHARED 01 13675 Hologic Inc FRNT 2.000% 12/1 436440AA92336011.822485000SH SHARED 01 2E+06 INTEL CORP COM 4581401001237709.9958854.5SH SHARED 01 58854 Intel Corp SDCV 2.950% 12/1 458140AD2 11934001200000SH SHARED 01 1E+06 ISHARES TR BARCLAYS BOND BARCL BARCLYS 20+ YR 464287432 353891.2 3760SH SHARED 01 3760 ISHARES TR BARCLAYS TIPS BOND BARCLYS TIPS BD 4642871768259471.36 76818SH SHARED 01 76818 JOHNSON & JOHNSON COM 4781601041698315.1527458.6SH SHARED 01 27459 KINROSS GOLD CP 1.75%28F CVT B NOTE 1.750% 3/1 496902AD9 2953319.22854000SH SHARED 01 3E+06 LAZARD WORLD DIV & INCM COM 521076109 2180366.8 169678SH SHARED 01 169678 LILLY ELI & COMPANY COM 5324571082200827.36 62809SH SHARED 01 62809 MACQUARIE FIRST TR GLOBL COM 55607w1003296256.16 227642SH SHARED 01 227642 MADISON CLAYMORE CVRD FD COM 556582104 230005.75 25415SH SHARED 01 25415 MARKET LEADER INC COM 57056r1032760257.281568328SH SHARED 01 2E+06 MERCK & CO INC NEW COM 58933y1053652401.72 101343SH SHARED 01 101343 MFS INTERMARKET INCM TR SH BEN INT 59318r103 235584.78 27946SH SHARED 01 27946 MFS MULTI MKT INC TRUST SH BEN SH BEN INT 552737108 501174.6 72634SH SHARED 01 72634 MICROSOFT CORP COM 594918104 2382397.6 85360SH SHARED 01 85360 MONTGOMERY ST INCOME SEC COM 6141151032178870.84 138078SH SHARED 01 138078 MRGN STNLY ASIA PAC FUND COM 61744u106 880243.2 51840SH SHARED 01 51840 NFJ DIVIDEND INTEREST FD COM SHS 65337h1094572771.52 261152SH SHARED 01 261152 NOKIA CORP SPON ADR F 1 ADR RE SPONSORED ADR 654902204 4211437.2 408085SH SHARED 01 408085 NUVEEN MULTI STRAT INCM COM SHS 67073d102 4977236 565595SH SHARED 01 565595 NUVEEN MULTI STRAT INCM COM 67073b106 5680738.8 680328SH SHARED 01 680328 PETROLEUM & RESOURCES CP COM 7165491009562871.74 353918SH SHARED 01 353918 PFIZER INCORPORATED COM 7170811034575573.12 261312SH SHARED 01 261312 PROCTER & GAMBLE COM 7427181091093159.69 16993SH SHARED 01 16993 REGIONS FINANCIAL CP NEW COM 7591ep100 78400 11200SH SHARED 01 11200 RMR ASIA PAC REAL EST FD NEW C COM 76970b101 367400 20000SH SHARED 01 20000 RMR REAL ESTATE INCOME FUND COM SHS 74964K609 643023.15 61578SH SHARED 01 61578 ROYAL GOLD INC COM 7802871088761723.29 160383SH SHARED 01 160383 ROYCE MICRO-CAP TRUST COM 780915104 441411.6 45042SH SHARED 01 45042 S K TELECOM LTD ADR F SPONSORE SPONSORED ADR 78440p1082643317.55 141885SH SHARED 01 141885 SANOFI AVENTIS ADR F SPONSORED SPONSORED ADR 80105n1053260644.64 101168SH SHARED 01 101168 SECTOR SPDR TR SHS BEN INT UT SBI INT-UTILS 81369y886 1219126 38900SH SHARED 01 38900 SMART BALANCE INC COM 83169y108 111822.25 25825SH SHARED 01 25825 STRATEGIC GLOBAL INCM FD COM 862719101 2551505 231955SH SHARED 01 231955 TOFUTTI BRANDS INC COM 88906b105 430815.5 213275SH SHARED 01 213275 U S GLOBAL INVESTORS A CLASS A CL A 9029521006576487.08 808916SH SHARED 01 808916 UNITED ONLINE INC COM 911268100 4227412.2 640517SH SHARED 01 640517 UNITED PARCEL SERVICE B CLASS CL B 911312106 269344.38 3711SH SHARED 01 3711 VIASYSTEMS GROUP, INC. NEW COM PAR$.01 92553h803 226736.12 11258SH SHARED 01 11258 VODAFONE GROUP NEW ADR F SPONS SPONS ADR NEW 92857w209 5186073.8 196145SH SHARED 01 196145 WESTERN ASSET CLAYMORE COM 95766r104 1433020.5 114550SH SHARED 01 114550 WESTRN ASSET WRLDWD INCM COM 957668106 1043744.1 78477SH SHARED 01 78477 ZWEIG FUND INC COM 989834106 146361.5 43690SH SHARED 01 43690
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