0001062993-14-000269.txt : 20140121 0001062993-14-000269.hdr.sgml : 20140120 20140121090923 ACCESSION NUMBER: 0001062993-14-000269 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140121 DATE AS OF CHANGE: 20140121 EFFECTIVENESS DATE: 20140121 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: 14536813 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 primary_doc.xml 13F-HR LIVE false true false 0001051042 XXXXXXXX 12-31-2013 12-31-2013 FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD

111 CASS STREET TRAVERSE CITY MI 49684

13F HOLDINGS REPORT 028-06648 N Matthew Bohrer 231-929-4500 Matthew Bohrer Traverse City MI 01-20-2014 0 120 318449 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE TEVA PHARMACEUTICAL INDS LTD ADR 881624209 967 24138 SH DFND 0 24138 0 DREAMWORKS ANIMATION SKG INC CL A 26153C103 1363 38400 SH DFND 0 38400 0 GAIAM INC CL A 36268Q103 11828 1786645 SH DFND 0 1786645 0 REAL GOODS SOLAR INC CL A 75601N104 734 242904 SH DFND 0 242904 0 U S GLOBAL INVS INC CL A 902952100 4682 1843364 SH DFND 0 1843364 0 UNITED PARCEL SERVICE INC CL B 911312106 280 2668 SH DFND 0 2668 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 866 7302 SH DFND 0 7302 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 18817 2639119 SH DFND 0 2639119 0 AMERICAN RLTY CAP PPTYS INC COM 02917T104 4811 374335 SH DFND 0 374335 0 AMERICAN SELECT PORTFOLIO IN COM 029570108 4624 499362 SH DFND 0 499362 0 AMERICAN STRATEGIC INCM PTFL COM 030098107 1562 173780 SH DFND 0 173780 0 AMERN STRATEGIC INCOME PTFL COM 030099105 1034 134088 SH DFND 0 134088 0 APACHE CORP COM 037411105 215 2502 SH DFND 0 2502 0 APPLE INC COM 037833100 1135 2023 SH DFND 0 2023 0 ARCHER DANIELS MIDLAND CO COM 039483102 369 8501 SH DFND 0 8501 0 ASSOCIATED ESTATES RLTY CORP COM 045604105 4479 279047 SH DFND 0 279047 0 B2GOLD CORP COM 11777Q209 1099 544090 SH DFND 0 544090 0 BANCROFT FUND LTD COM 059695106 1599 85983 SH DFND 0 85983 0 BLACKROCK INCOME OPP TRUST I COM 092475102 1788 184289 SH DFND 0 184289 0 BLACKROCK REAL ASSET EQUITY COM 09254B109 16250 1865640 SH DFND 0 1865640 0 BLACKROCK UTIL & INFRASTRCTU COM 09248D104 1114 62346 SH DFND 0 62346 0 BLACKROCK CR ALLCTN INC TR COM 092508100 18563 1421394 SH DFND 0 1421394 0 BOULDER TOTAL RETURN FD INC COM 101541100 782 33971 SH DFND 0 33971 0 CALAMOS GBL DYN INCOME FUND COM 12811L107 125 13950 SH DFND 0 13950 0 CINEDIGM DIGITAL CINEMA CORP COM 172407108 46 22800 SH DFND 0 22800 0 COFFEE HLDGS INC COM 192176105 380 74693 SH DFND 0 74693 0 COHEN & STEERS CLOSED END OP COM 19248P106 2598 206690 SH DFND 0 206690 0 COHEN & STEERS INFRASTRUCTUR COM 19248A109 1961 95200 SH DFND 0 95200 0 COLGATE PALMOLIVE CO COM 194162103 796 12200 SH DFND 0 12200 0 COMSTOCK MNG INC COM 205750102 1093 624656 SH DFND 0 624656 0 CONSOLIDATED EDISON INC COM 209115104 461 8343 SH DFND 0 8343 0 CUTWATER SELECT INCOME FD COM 232229104 2401 131127 SH DFND 0 131127 0 DTE ENERGY CO COM 233331107 262 3946 SH DFND 0 3946 0 DENALI FD INC COM 24823A102 319 16474 SH DFND 0 16474 0 DIGITAL RLTY TR INC COM 253868103 2427 49400 SH DFND 0 49400 0 DOMINION DIAMOND CORP COM 257287102 5020 349570 SH DFND 0 349570 0 DOVER SADDLERY INC COM 260412101 1945 363600 SH DFND 0 363600 0 EARTHLINK INC COM 270321102 57 11310 SH DFND 0 11310 0 EXXON MOBIL CORP COM 30231G102 349 3448 SH DFND 0 3448 0 FASTENAL CO COM 311900104 3328 70044 SH DFND 0 70044 0 FEDERATED PREM INTR MUN INC COM 31423M105 538 44150 SH DFND 0 44150 0 FIRST FED NORTHN MICH BANCOR COM 32021X105 943 174700 SH DFND 0 174700 0 FIRST TR INTER DUR PFD & IN COM 33718W103 4128 194275 SH DFND 0 194275 0 FORT DEARBORN INCOME SECS IN COM 347200107 2450 177511 SH DFND 0 177511 0 GOLDCORP INC NEW COM 380956409 1703 78603 SH DFND 0 78603 0 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 8510 467085 SH DFND 0 467085 0 HARRIS & HARRIS GROUP INC COM 413833104 1978 663813 SH DFND 0 663813 0 HAWAIIAN ELEC INDUSTRIES COM 419870100 4057 155661 SH DFND 0 155661 0 INVESCO BD FD COM 46132L107 2566 145027 SH DFND 0 145027 0 INVESCO MUNI INCOME OPP TRST COM 46132X101 614 99000 SH DFND 0 99000 0 INVESCO QUALITY MUNI INC TRS COM 46133G107 2204 198212 SH DFND 0 198212 0 INVESCO TR INVT GRADE MUNS COM 46131M106 1742 143000 SH DFND 0 143000 0 LAZARD WORLD DIVID & INCOME COM 521076109 327 22546 SH DFND 0 22546 0 LEGG MASON BW GLB INC OPP FD COM 52469B100 1952 115682 SH DFND 0 115682 0 LIFEWAY FOODS INC COM 531914109 1675 104826 SH DFND 0 104826 0 MADISON CVRED CALL & EQ STR COM 557437100 3629 444185 SH DFND 0 444185 0 MAINSTAY DEFINEDTERM MN OPP COM 56064K100 1575 99873 SH DFND 0 99873 0 MANNKIND CORP COM 56400P201 60 11600 SH DFND 0 11600 0 MICROSOFT CORP COM 594918104 240 6423 SH DFND 0 6423 0 MONTGOMERY STR INCOME SECS I COM 614115103 7426 477837 SH DFND 0 477837 0 MORGAN STANLEY EMER MKTS FD COM 61744G107 367 23735 SH DFND 0 23735 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 2270 163304 SH DFND 0 163304 0 NEWMONT MINING CORP COM 651639106 3118 135385 SH DFND 0 135385 0 NORTHEAST UTILS COM 664397106 1266 29860 SH DFND 0 29860 0 NUVEEN GBL INCOME OPPORTUN F COM 67073C104 1815 159323 SH DFND 0 159323 0 NUVEEN INTER DURATION MN TMF COM 670671106 3002 260778 SH DFND 0 260778 0 NUVEEN INT DUR QUAL MUN TRM COM 670677103 1637 142360 SH DFND 0 142360 0 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 198 22325 SH DFND 0 22325 0 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 6900 878993 SH DFND 0 878993 0 NUVEEN QUALITY PFD INCOME FD COM 67071S101 240 31196 SH DFND 0 31196 0 NUVEEN REAL ASSET INC & GROW COM 67074Y105 1894 113085 SH DFND 0 113085 0 PFIZER INC COM 717081103 300 9799 SH DFND 0 9799 0 POWER REIT COM 73933H101 126 14339 SH DFND 0 14339 0 PROCTER & GAMBLE CO COM 742718109 683 8384 SH DFND 0 8384 0 ROYCE MICRO-CAP TR INC COM 780915104 712 56450 SH DFND 0 56450 0 SILVER WHEATON CORP COM 828336107 4157 205882 SH DFND 0 205882 0 WESTERN ASSET INTM MUNI FD I COM 958435109 109 12000 SH DFND 0 12000 0 STRATEGIC GLOBAL INCOME FD COM 862719101 4682 518535 SH DFND 0 518535 0 TEMPLETON DRAGON FD INC COM 88018T101 1290 49847 SH DFND 0 49847 0 TOFUTTI BRANDS INC COM 88906B105 291 85300 SH DFND 0 85300 0 TRAVELERS COMPANIES INC COM 89417E109 283 3126 SH DFND 0 3126 0 VIRTUS TOTAL RETURN FD COM 92829A103 4877 1241056 SH DFND 0 1241056 0 WESTERN ASSET GLOBAL CP DEFI COM 95790C107 2617 144799 SH DFND 0 144799 0 WALGREEN CO COM 931422109 292 5081 SH DFND 0 5081 0 WELLS FARGO & CO NEW COM 949746101 315 6945 SH DFND 0 6945 0 WESTERN ASSET CLYM INFL OPP COM 95766R104 29636 2629671 SH DFND 0 2629671 0 WESTERN ASST MN PRT FD INC COM 95766P108 1336 97162 SH DFND 0 97162 0 WESTERN ASSET WORLDWIDE INCO COM 957668106 423 34733 SH DFND 0 34733 0 COLE REAL ESTATE INVTS INC COM 19329V105 3292 234461 SH DFND 0 234461 0 COEUR MNG INC COM NEW 192108504 3068 282745 SH DFND 0 282745 0 DIVIDEND & INCOME FUND COM NEW 25538A204 169 11168 SH DFND 0 11168 0 ZWEIG FD COM NEW 989834205 346 23317 SH DFND 0 23317 0 ZWEIG TOTAL RETURN FD INC COM NEW 989837208 783 56172 SH DFND 0 56172 0 KINROSS GOLD CORP COM NO PAR 496902404 680 155347 SH DFND 0 155347 0 VIASYSTEMS GROUP INC COM PAR$.01 92553H803 153 11190 SH DFND 0 11190 0 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 477 43802 SH DFND 0 43802 0 FEDERATED ENHANC TREAS INCM COM SH BEN INT 314162108 5762 450894 SH DFND 0 450894 0 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 18320 1579323 SH DFND 0 1579323 0 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 2434 213113 SH DFND 0 213113 0 EATON VANCE NATL MUN OPPORT COM SHS 27829L105 1861 100796 SH DFND 0 100796 0 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 5272 374983 SH DFND 0 374983 0 BLACKROCK MUN TARGET TERM TR COM SHS BEN IN 09257P105 2106 123000 SH DFND 0 123000 0 MORGAN STANLEY TRUSTS INCOME SECS INC 61745P874 1288 76612 SH DFND 0 76612 0 ROYAL GOLD INC NOTE 2.875% 6/1 780287AA6 4148 4325000 PRN DFND 0 4325000 0 ALLEGION PUB LTD CO ORD SHS G0176J109 237 5356 SH DFND 0 5356 0 DELAWARE INVT NAT MUNI INC F SH BEN INT 24610T108 842 72047 SH DFND 0 72047 0 FRANKLIN UNVL TR SH BEN INT 355145103 6634 955923 SH DFND 0 955923 0 MFS INTERMARKET INCOME TRUST SH BEN INT 59318R103 1077 132783 SH DFND 0 132783 0 MFS INVT GRADE MUN TR SH BEN INT 59318B108 314 36500 SH DFND 0 36500 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 527 79626 SH DFND 0 79626 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 880 68300 SH DFND 0 68300 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67062F100 754 58514 SH DFND 0 58514 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063C106 518 41877 SH DFND 0 41877 0 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 369 73198 SH DFND 0 73198 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 2147 199900 SH DFND 0 199900 0 DREYFUS MUN BD INFRSTRCTR FD SHS 26203D101 580 56000 SH DFND 0 56000 0 EATON VANCE MUN INCOME TERM SHS 27829U105 1861 127000 SH DFND 0 127000 0 INGERSOLL-RAND PLC SHS G47791101 254 4124 SH DFND 0 4124 0 NOAH HLDGS LTD SPONSORED ADS 65487X102 405 22475 SH DFND 0 22475 0 BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN G16249107 5213 261454 SH DFND 0 261454 0