0001051042-13-000005.txt : 20130129
0001051042-13-000005.hdr.sgml : 20130129
20130129084454
ACCESSION NUMBER: 0001051042-13-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121231
FILED AS OF DATE: 20130129
DATE AS OF CHANGE: 20130129
EFFECTIVENESS DATE: 20130129
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: 13553637
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
fimg13f123112.txt
FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD.
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, 2012
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 29, 2013
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: 70
FORM 13F INFORMATION TABLE VALUE TOTAL: $181,935,926.60
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 P/CINV DIS MANAGER SOLE SHARED
AGNICO-EAGLE MINES LTD COM 008474108 4135421.8 78830 SH SHARED 01 78830
ALLIANCE BERNSTEIN INC FUND COM 01881E101 12798097.2 1580012 SH SHARED 01 1580012
AMERICAN STRATEGIC INCOME III COM 03009t101 4314389.8 576020 SH SHARED 01 576020
APOLLO GLOABL MANAGEMENT -A CL A SHS 037612306 992992 57200 SH SHARED 01 57200
APOLLO INVESTMENT CORP COM 03761U106 4350376.8 520380 SH SHARED 01 520380
ARES CAPITAL CORP COM 04010l103 1026812.5 58675 SH SHARED 01 58675
ASTRAZENECA PLC ADR F SPONSORE SPONSORED ADR 046353108 3023152.85 63955 SH SHARED 01 63955
BANCROFT FUND LTD N/C FM BANCR COM 059695106 1272820.4 77611 SH SHARED 01 77611
BARRICK GOLD CORP F COM 067901108 1910215.62 54562 SH SHARED 01 54562
BERKSHIRE HATHAWAY B NEW CLASS CL B NEW 084670702 699839.4 7802 SH SHARED 01 7802
BLACKROCK INCOME TR INC COM 09247f100 256992.75 34965 SH SHARED 01 34965
BLKROCK CREDIT ALL INC (Pfd E COM 09250810023999594.59 1747968 SH SHARED 01 1747968
BLACKROCK ENHANCED GOVT FUND COM 09255k108 209832.75 13425 SH SHARED 01 13425
BOULDER TOTAL RETURN FD COM 101541100 1520357.08 84277 SH SHARED 01 84277
CALAMOS GLOBAL INCOME FD COM 12811l107 327705.38 39246 SH SHARED 01 39246
CALAMOS STRGC TOT RET FD COM SH BEN INT 128125101 217585.48 22180 SH SHARED 01 22180
CISCO SYSTEMS INC COM 17275R102 209678.75 10671 SH SHARED 01 10671
COHEN & STEERS INFRASTRUCTURE COM 19248a109 558081.52 29764 SH SHARED 01 29764
COLGATE-PALMOLIVE CO COM 194162103 683168.9 6535 SH SHARED 01 6535
CON EDISON COM 209115104 463370.22 8343 SH SHARED 01 8343
CUTWATER SELECT INCOME FUND COM 232229104 262734.65 13371 SH SHARED 01 13371
D T E ENERGY COMPANY COM 233331107 236957.3 3946 SH SHARED 01 3946
DENALI FUND INC COM 24823a102 292349.28 18024 SH SHARED 01 18024
DIVIDEND & INCOME (GROWTH) FUN COM DELE25538A105 7092250.11 524187 SH SHARED 01 524187
DOVER SADDLERY INC COM 260412101 1051380 318600 SH SHARED 01 318600
DREAMWORKS ANIMATION SKG, IN. CL A 26153c103 510438.85 30805 SH SHARED 01 30805
EXIDE TECHNOLOGIES FRNT 9/1 302051AL1 1832029.89 1957000 SH SHARED 01 1957000
EXXON MOBIL CORPORATION COM 30231G102 254123.96 2936.15 SH SHARED 01 2936.15
FASTENAL CO COM 311900104 3846074.6982445.33 SH SHARED 01 82445.33
FIRST FED N MICHIGAN BA COM 32021x105 995619.4 216439 SH SHARED 01 216439
FRANKLIN UNIV TR S B I SH BEN SH BEN INT 355145103 134140 19000 SH SHARED 01 19000
GAIAM INC CL A 36268q103 5869134.36 1857321 SH SHARED 01 1857321
GOLDCORP INC COM 380956409 2905355.5 79165 SH SHARED 01 79165
HARMONY GOLD MINING CO LTD SPONSORED ADR 413216300 4885171.2 545220 SH SHARED 01 545220
HAWAIIAN ELEC INDUSTRIES COM 419870100 3439654.8 136820 SH SHARED 01 136820
HAWAIIAN TELCOM HOLDCO COM 420031106 752641.5 38597 SH SHARED 01 38597
Intel Corp SDCV 2.950% 12458140AD2 16549.28 16000 SH SHARED 01 16000
JAPAN EQUITY FUND INC COM 471057109 119198 21400 SH SHARED 01 21400
JAPAN SMALLER CAP FUND COM 47109u104 388331.85 53935 SH SHARED 01 53935
LAZARD WORLD DIV & INCM COM 521076109 7541224.78 600894 SH SHARED 01 600894
LIFEWAY FOODS, INC. COM 531914109 1172453.52 134148 SH SHARED 01 134148
MFS MULTI MKT INC TRUST SH BEN SH BEN INT 552737108 130858 17975 SH SHARED 01 17975
MADISON/CLAYMORE CVRD CALL & E COM 556582104 5760849.54 756017 SH SHARED 01 756017
MERCK & CO INC NEW COM 58933y105 234119.98 5718.61 SH SHARED 01 5718.61
MFS INTERMARKET INCM TR SH BEN INT 59318r103 1852498.23 210751 SH SHARED 01 210751
MICROSOFT CORP COM 594918104 2313057.43 86599.9 SH SHARED 01 86599.9
MONTGOMERY ST INCOME SEC COM 614115103 4527763.5 267915 SH SHARED 01 267915
NEWMONT MINING CORP COM 651639106 3166279.2 68180 SH SHARED 01 68180
NORTHEAST UTILITIES COM 664397106 1166916.06 29860 SH SHARED 01 29860
NUVEEN PFD & CONV INCOME FD COM 67073B106 232603.05 23955 SH SHARED 01 23955
NUVEEN GLOBAL GOVERNMENT COM 67073C104 345593 24650 SH SHARED 01 24650
NUVEEN MULTI STRAT INCM COM SHS 67073d102 3090454.16 320254 SH SHARED 01 320254
PFIZER INCORPORATED COM 717081103 494237.76 19707 SH SHARED 01 19707
PROCTER & GAMBLE COM 742718109 516855.12 7613.13 SH SHARED 01 7613.13
PUTNAM MASTER INTER INCOME TR SH BEN INT 746909100 344702.38 68123 SH SHARED 01 68123
REAL GOODS SOLAR, INC. CL A CL A 75601N104 1225093.46 1611753 SH SHARED 01 1611753
ROYAL GOLD, INC. CONV. GOLD MI NOTE 2.875% 6/1 780287aa6 1112910 1000000 SH SHARED 01 1000000
ROYCE MICRO-CAP TRUST COM 780915104 1348503.06142698.7 SH SHARED 01 142698.7
S K TELECOM LTD ADR F SPONSORE SPONSORED ADR 78440p108 6497178.59 410435 SH SHARED 01 410435
STRATEGIC GLOBAL INCM FD COM 862719101 1135373.06 103498 SH SHARED 01 103498
TOFUTTI BRANDS INC COM 88906b105 129322.15 111475 SH SHARED 01 111475
U S GLOBAL INVESTORS A CLASS A CL A 902952100 6077737.9 1515645 SH SHARED 01 1515645
UNITED ONLINE INC COM 911268100 7402354.2 1324214 SH SHARED 01 1324214
UNITED PARCEL SERVICE B CLASS CL B 911312106 233576.64 3168 SH SHARED 01 3168
VIASYSTEMS GROUP INC NEW COM PAR$.01 92553h803 136518 11190 SH SHARED 01 11190
VIRTUS TOTAL RETURN FUND COM 92829a103 3034719.55 784165 SH SHARED 01 784165
VODAFONE GROUP NEW ADR F SPONS SPONS ADR NEW 92857w209 5783554.58229597.2 SH SHARED 01 229597.2
WESTRN ASSET WRLDWD INCM COM 957668106 1156725.36 76503 SH SHARED 01 76503
WESTN ASSET CLAYMORE FD COM SH BEN INT 95766q106 1403477.94 107054 SH SHARED 01 107054
WESTERN ASSET CLAYMORE COM 95766r104 14513796 1099530 SH SHARED 01 1099530