0001051042-13-000019.txt : 20130502 0001051042-13-000019.hdr.sgml : 20130502 20130502115128 ACCESSION NUMBER: 0001051042-13-000019 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130502 DATE AS OF CHANGE: 20130502 EFFECTIVENESS DATE: 20130502 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: 13806401 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 fimg13f033113.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: March 31, 2013 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, May 2, 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: 58 FORM 13F INFORMATION TABLE VALUE TOTAL: $165,279,047.20 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 ALLIANCE BERNSTEIN INC FUND COM 01881E10112866785.94 1574882 SH SHARED 01 1574882 AMERICAN STRATEGIC INCOME III COM 03009t101 3945761.66 541331 SH SHARED 01 541331 BANCROFT FUND LTD N/C FM BANCR COM 059695106 1512875.6 86413 SH SHARED 01 86413 BARRICK GOLD CORP F COM 067901108 4157313.06141405.2 SH SHARED 01 141405.2 BERKSHIRE HATHAWAY B NEW CLASS CL B NEW 084670702 760868.4 7302 SH SHARED 01 7302 BLACKROCK INCOME TR INC COM 09247f100 295357.65 40965 SH SHARED 01 40965 BLKROCK CREDIT ALL INC (Pfd E COM 09250810024172331.23 1726595 SH SHARED 01 1726595 BOULDER TOTAL RETURN FD COM 101541100 1431169.3 68477 SH SHARED 01 68477 CALAMOS GLOBAL INCOME FD COM 12811l107 385907.83 43070 SH SHARED 01 43070 CALAMOS STRGC TOT RET FD COM SH BEN INT 128125101 224971.13 21204 SH SHARED 01 21204 COHEN & STEERS INFRASTRUCTURE COM 19248a109 600306.86 29014 SH SHARED 01 29014 COLGATE-PALMOLIVE CO COM 194162103 721753.45 6115 SH SHARED 01 6115 CON EDISON COM 209115104 509173.29 8343 SH SHARED 01 8343 CUTWATER SELECT INCOME FUND COM 232229104 268216.64 13371 SH SHARED 01 13371 D T E ENERGY COMPANY COM 233331107 269669.64 3946 SH SHARED 01 3946 DENALI FUND INC COM 24823a102 340106.34 18474 SH SHARED 01 18474 DOVER SADDLERY INC COM 260412101 1163311.44 314400 SH SHARED 01 314400 DREAMWORKS ANIMATION SKG, IN. CL A 26153c103 1988145.6 104860 SH SHARED 01 104860 EXIDE TECHNOLOGIES FRNT 9/1 302051AL1 1820591 1943000 SH SHARED 01 1943000 EXXON MOBIL CORPORATION COM 30231G102 349268.89 3876.03 SH SHARED 01 3876.03 FASTENAL CO COM 311900104 3637923.2570873.23 SH SHARED 01 70873.23 FIRST FED N MICHIGAN BA COM 32021x105 970140.6 207295 SH SHARED 01 207295 FRANKLIN UNIV TR S B I SH BEN SH BEN INT 355145103 105560 14000 SH SHARED 01 14000 GAIAM INC CL A 36268q103 7766808 1849240 SH SHARED 01 1849240 HARMONY GOLD MINING CO LTD SPONSORED ADR 413216300 93988.76 14663 SH SHARED 01 14663 HAWAIIAN ELEC INDUSTRIES COM 419870100 3806284.92 137361 SH SHARED 01 137361 Intel Corp SDCV 2.950% 12458140AD2 16968 16000 SH SHARED 01 16000 JAPAN EQUITY FUND INC COM 471057109 138389.16 22107 SH SHARED 01 22107 JAPAN SMALLER CAP FUND COM 47109u104 470436.32 54575 SH SHARED 01 54575 KINROSS GOLD CORP COM NO PAR 496902404 4069399.23 513165 SH SHARED 01 513165 LAZARD WORLD DIV & INCM COM 521076109 6506173.13 466442 SH SHARED 01 466442 LIFEWAY FOODS, INC. COM 531914109 1502909.7 108123 SH SHARED 01 108123 MFS MULTI MKT INC TRUST SH BEN SH BEN INT 552737108 73931.2 10045 SH SHARED 01 10045 MADISON/CLAYMORE CVRD CALL & E COM DELE556582104 5402062.05 672735 SH SHARED 01 672735 MFS INTERMARKET INCM TR SH BEN INT 59318r103 1721256.58 200379 SH SHARED 01 200379 MICROSOFT CORP COM 594918104 4440854.68155247.5 SH SHARED 01 155247.5 MONTGOMERY ST INCOME SEC COM 614115103 4590383.3 265955 SH SHARED 01 265955 NEWMONT MINING CORP COM 651639106 6044174.01 144287 SH SHARED 01 144287 NIPPON TELE & TEL ADR F SPONSO SPONSORED ADR 654624105 4093424.6 188290 SH SHARED 01 188290 NORTHEAST UTILITIES COM 664397106 1297701.43 29860 SH SHARED 01 29860 NUVEEN PFD & CONV INCOME FD COM 67073B106 238520.75 23225 SH SHARED 01 23225 NUVEEN GLOBAL GOVERNMENT COM 67073C104 347555.8 24790 SH SHARED 01 24790 PROCTER & GAMBLE COM 742718109 586675.97 7613.24 SH SHARED 01 7613.24 PUTNAM MASTER INTER INCOME TR SH BEN INT 746909100 671902.44 128964 SH SHARED 01 128964 REAL GOODS SOLAR, INC. CL A CL A 75601N104 2856656.34 1591452 SH SHARED 01 1591452 ROYAL GOLD, INC. CONV. GOLD MI NOTE 2.875% 6/1 780287aa6 1056850 1000000 SH SHARED 01 1000000 ROYCE MICRO-CAP TRUST COM 780915104 1535307.24143486.7 SH SHARED 01 143486.7 STRATEGIC GLOBAL INCM FD COM 862719101 1110651.36 102648 SH SHARED 01 102648 TOFUTTI BRANDS INC COM 88906b105 137587.5 91725 SH SHARED 01 91725 U S GLOBAL INVESTORS A CLASS A CL A 902952100 6948836.03 1893416 SH SHARED 01 1893416 UNITED ONLINE INC COM 911268100 7883146.33 1307321 SH SHARED 01 1307321 UNITED PARCEL SERVICE B CLASS CL B 911312106 272131.2 3168 SH SHARED 01 3168 VIASYSTEMS GROUP INC NEW COM PAR$.01 92553h803 145917.6 11190 SH SHARED 01 11190 VIRTUS TOTAL RETURN FUND COM 92829a103 3387055.04 824101 SH SHARED 01 824101 VODAFONE GROUP NEW ADR F SPONS SPONS ADR NEW 92857w209 7004272.97246629.3 SH SHARED 01 246629.3 WESTRN ASSET WRLDWD INCM COM 957668106 713606.28 46308 SH SHARED 01 46308 WESTN ASSET CLAYMORE FD COM SH BEN INT 95766q106 1440080.45 106279 SH SHARED 01 106279 WESTERN ASSET CLAYMORE COM 95766r104 14409640 1087520 SH SHARED 01 1087520