0001062993-14-002235.txt : 20140417 0001062993-14-002235.hdr.sgml : 20140417 20140417091001 ACCESSION NUMBER: 0001062993-14-002235 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140331 FILED AS OF DATE: 20140417 DATE AS OF CHANGE: 20140417 EFFECTIVENESS DATE: 20140417 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: 14768827 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 03-31-2014 03-31-2014 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 04-14-2014 0 116 342469 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE REAL GOODS SOLAR INC CL A 75601N104 757 186078 SH DFND 0 186078 0 GAIAM INC CL A 36268Q103 12958 1787270 SH DFND 0 1787270 0 CTC MEDIA INC COM 12642X106 2719 295237 SH DFND 0 295237 0 MEDICAL PPTYS TRUST INC COM 58463J304 5591 437165 SH DFND 0 437165 0 POWER REIT COM 73933H101 126 14339 SH DFND 0 14339 0 NUVEEN PFD INCOME OPPRTNY FD COM 67073B106 207 22325 SH DFND 0 22325 0 NUVEEN QUALITY PFD INCOME FD COM 67071S101 229 28509 SH DFND 0 28509 0 DENALI FD INC COM 24823A102 290 14174 SH DFND 0 14174 0 NUVEEN REAL ASSET INC & GROW COM 67074Y105 345 18770 SH DFND 0 18770 0 MORGAN STANLEY EMER MKTS FD COM 61744G107 346 22695 SH DFND 0 22695 0 FEDERATED PREM INTR MUN INC COM 31423M105 572 44650 SH DFND 0 44650 0 INVESCO MUNI INCOME OPP TRST COM 46132X101 653 99000 SH DFND 0 99000 0 BLACKROCK UTIL & INFRASTRCTU COM 09248D104 833 43937 SH DFND 0 43937 0 FIRST FED NORTHN MICH BANCOR COM 32021X105 834 166811 SH DFND 0 166811 0 TEMPLETON DRAGON FD INC COM 88018T101 894 36497 SH DFND 0 36497 0 SPECIAL OPPORTUNITIES FD INC COM 84741T104 973 59849 SH DFND 0 59849 0 COHEN & STEERS INFRASTRUCTUR COM 19248A109 1344 60849 SH DFND 0 60849 0 WESTERN ASST MN PRT FD INC COM 95766P108 1402 97162 SH DFND 0 97162 0 B2GOLD CORP COM 11777Q209 1460 542645 SH DFND 0 542645 0 LEGG MASON BW GLB INC OPP FD COM 52469B100 1640 93366 SH DFND 0 93366 0 MAINSTAY DEFINEDTERM MN OPP COM 56064K100 1678 98873 SH DFND 0 98873 0 INVESCO TR INVT GRADE MUNS COM 46131M106 1824 142500 SH DFND 0 142500 0 NUVEEN GBL INCOME OPPORTUN F COM 67073C104 2091 180700 SH DFND 0 180700 0 INVESCO BD FD COM 46132L107 2251 123817 SH DFND 0 123817 0 BLACKROCK MUNI INTER DR FD I COM 09253X102 2276 160304 SH DFND 0 160304 0 INVESCO QUALITY MUNI INC TRS COM 46133G107 2315 196012 SH DFND 0 196012 0 WESTERN ASSET INFL MGMT FD I COM 95766U107 2823 158058 SH DFND 0 158058 0 WESTERN ASSET GLOBAL CP DEFI COM 95790C107 2906 159777 SH DFND 0 159777 0 AT&T INC COM 00206R102 3422 97580 SH DFND 0 97580 0 FIRST TR INTER DUR PFD & IN COM 33718W103 3919 176990 SH DFND 0 176990 0 COHEN & STEERS CLOSED END OP COM 19248P106 4075 317145 SH DFND 0 317145 0 VIRTUS TOTAL RETURN FD COM 92829A103 5796 1311268 SH DFND 0 1311268 0 AMERICAN RLTY CAP PPTYS INC COM 02917T104 6890 491451 SH DFND 0 491451 0 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 7227 863449 SH DFND 0 863449 0 HANCOCK JOHN TAX-ADV DIV INC COM 41013V100 8798 441654 SH DFND 0 441654 0 BLACKROCK REAL ASSET EQUITY COM 09254B109 19299 2168457 SH DFND 0 2168457 0 WESTERN ASSET CLYM INFL OPP COM 95766R104 30100 2588128 SH DFND 0 2588128 0 MANNKIND CORP COM 56400P201 47 11600 SH DFND 0 11600 0 DIVIDEND & INCOME FUND COM NEW 25538A204 171 11168 SH DFND 0 11168 0 VIASYSTEMS GROUP INC COM PAR$.01 92553H803 140 11190 SH DFND 0 11190 0 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 1524 153610 SH DFND 0 153610 0 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 2656 227981 SH DFND 0 227981 0 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 18822 1453438 SH DFND 0 1453438 0 EATON VANCE NATL MUN OPPORT COM SHS 27829L105 1978 101996 SH DFND 0 101996 0 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 5562 383584 SH DFND 0 383584 0 BLACKROCK MUN TARGET TERM TR COM SHS BEN IN 09257P105 2347 123000 SH DFND 0 123000 0 MORGAN STANLEY TRUSTS INCOME SECS INC 61745P874 1320 75242 SH DFND 0 75242 0 ROYAL GOLD INC NOTE 2.875% 6/1 780287AA6 4427 4319000 PRN DFND 0 4319000 0 MFS INVT GRADE MUN TR SH BEN INT 59318B108 407 45500 SH DFND 0 45500 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063C106 549 41877 SH DFND 0 41877 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67062F100 789 58514 SH DFND 0 58514 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 934 68300 SH DFND 0 68300 0 DELAWARE INVT NAT MUNI INC F SH BEN INT 24610T108 937 75838 SH DFND 0 75838 0 MFS INTERMARKET INCOME TRUST SH BEN INT 59318R103 1105 132783 SH DFND 0 132783 0 INGERSOLL-RAND PLC SHS G47791101 202 3522 SH DFND 0 3522 0 DREYFUS MUN BD INFRSTRCTR FD SHS 26203D101 629 56000 SH DFND 0 56000 0 EATON VANCE MUN INCOME TERM SHS 27829U105 1993 127000 SH DFND 0 127000 0 NOAH HLDGS LTD SPONSORED ADS 65487X102 556 38525 SH DFND 0 38525 0 BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN G16249107 2438 130392 SH DFND 0 130392 0 APPLE INC COM 037833100 459 854 SH DFND 0 854 0 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 27646 3766542 SH DFND 0 3766542 0 ASSOCIATED ESTATES RLTY CORP COM 045604105 4657 274926 SH DFND 0 274926 0 AMERICAN STRATEGIC INCM PTFL COM 030098107 1715 173780 SH DFND 0 173780 0 BANCROFT FUND LTD COM 059695106 1080 55226 SH DFND 0 55226 0 BLACKROCK INCOME OPP TRUST I COM 092475102 1855 179534 SH DFND 0 179534 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 903 7222 SH DFND 0 7222 0 AMERN STRATEGIC INCOME PTFL COM 030099105 963 115853 SH DFND 0 115853 0 BOULDER TOTAL RETURN FD INC COM 101541100 612 25155 SH DFND 0 25155 0 BLACKROCK CR ALLCTN INC TR COM 092508100 17807 1317058 SH DFND 0 1317058 0 COEUR MNG INC COM NEW 192108504 4023 433070 SH DFND 0 433070 0 COLGATE PALMOLIVE CO COM 194162103 791 12200 SH DFND 0 12200 0 CUTWATER SELECT INCOME FD COM 232229104 2520 129757 SH DFND 0 129757 0 CALAMOS STRATEGIC TOTL RETN COM SH BEN INT 128125101 640 57535 SH DFND 0 57535 0 DOMINION DIAMOND CORP COM 257287102 5482 408490 SH DFND 0 408490 0 DIGITAL RLTY TR INC COM 253868103 2284 43030 SH DFND 0 43030 0 DOVER SADDLERY INC COM 260412101 1768 322550 SH DFND 0 322550 0 DTE ENERGY CO COM 233331107 266 3575 SH DFND 0 3575 0 CONSOLIDATED EDISON INC COM 209115104 448 8343 SH DFND 0 8343 0 EARTHLINK HLDGS CORP COM 27033X101 55 15324 SH DFND 0 15324 0 FASTENAL CO COM 311900104 1255 25446 SH DFND 0 25446 0 FASTENAL CO COM 311900104 2181 44235 SH DFND 0 44235 0 FORT DEARBORN INCOME SECS IN COM 347200107 2536 175977 SH DFND 0 175977 0 FRANKLIN UNVL TR SH BEN INT 355145103 7231 1005710 SH DFND 0 1005710 0 FEDERATED ENHANC TREAS INCM COM SH BEN INT 314162108 4050 297112 SH DFND 0 297112 0 GOLDCORP INC NEW COM 380956409 1922 78528 SH DFND 0 78528 0 U S GLOBAL INVS INC CL A 902952100 7466 2325912 SH DFND 0 2325912 0 HAWAIIAN ELEC INDUSTRIES COM 419870100 237 9325 SH DFND 0 9325 0 COFFEE HLDGS INC COM 192176105 723 94907 SH DFND 0 94907 0 COMSTOCK MNG INC COM 205750102 1024 620864 SH DFND 0 620864 0 LAZARD WORLD DIVID & INCOME COM 521076109 151 10875 SH DFND 0 10875 0 LIFEWAY FOODS INC COM 531914109 1534 104351 SH DFND 0 104351 0 MADISON CVRED CALL & EQ STR COM 557437100 1332 161046 SH DFND 0 161046 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 527 80726 SH DFND 0 80726 0 MONTGOMERY STR INCOME SECS I COM 614115103 7443 462587 SH DFND 0 462587 0 NUVEEN INTER DURATION MN TMF COM 670671106 3188 266578 SH DFND 0 266578 0 NUVEEN INT DUR QUAL MUN TRM COM 670677103 1783 146960 SH DFND 0 146960 0 NORTHEAST UTILS COM 664397106 1359 29860 SH DFND 0 29860 0 PFIZER INC COM 717081103 252 7851 SH DFND 0 7851 0 PROCTER & GAMBLE CO COM 742718109 639 7924 SH DFND 0 7924 0 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 370 71748 SH DFND 0 71748 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 2404 211400 SH DFND 0 211400 0 ROYCE MICRO-CAP TR INC COM 780915104 586 47840 SH DFND 0 47840 0 WESTERN ASSET WORLDWIDE INCO COM 957668106 917 74385 SH DFND 0 74385 0 STRATEGIC GLOBAL INCOME FD COM 862719101 4920 534178 SH DFND 0 534178 0 AMERICAN SELECT PORTFOLIO IN COM 029570108 4919 495112 SH DFND 0 495112 0 SILVER WHEATON CORP COM 828336107 5554 244677 SH DFND 0 244677 0 HARRIS & HARRIS GROUP INC COM 413833104 2296 661613 SH DFND 0 661613 0 UNITED PARCEL SERVICE INC CL B 911312106 244 2505 SH DFND 0 2505 0 WALGREEN CO COM 931422109 296 4480 SH DFND 0 4480 0 ZWEIG FD COM NEW 989834205 350 23074 SH DFND 0 23074 0 ZWEIG TOTAL RETURN FD INC COM NEW 989837208 762 54173 SH DFND 0 54173 0 AEGON N V NY REGISTRY SH 007924103 121 13166 SH DFND 0 13166 0 ROYCE GLOBAL VALUE TR INC COM 78081T104 196 21852 SH DFND 0 21852 0 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 3756 214735 SH DFND 0 214735 0 APACHE CORP COM 037411105 204 2464 SH DFND 0 2464 0 TEMPLETON GLOBAL INCOME FD COM 880198106 376 46777 SH DFND 0 46777 0