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