0001062993-14-005936.txt : 20141016
0001062993-14-005936.hdr.sgml : 20141016
20141014093915
ACCESSION NUMBER: 0001062993-14-005936
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141014
DATE AS OF CHANGE: 20141014
EFFECTIVENESS DATE: 20141014
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: 141154029
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
09-30-2014
09-30-2014
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD
111 CASS STREET
TRAVERSE CITY
MI
49684
13F HOLDINGS REPORT
028-06648
N
Matthew Bohrer
Chief Compliance Officer
231-929-4500
Matthew Bohrer
Traverse City
MI
10-13-2014
0
113
339304
false
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
AEGON N V
NY REGISTRY SH
007924103
104
12623
SH
DFND
0
12623
0
ALLIANCEBERNSTEIN INCOME FUN
COM
01881E101
30564
4075188
SH
DFND
0
4075188
0
AMERICAN RLTY CAP PPTYS INC
COM
02917T104
15436
1279934
SH
DFND
0
1279934
0
APPLE INC
COM
037833100
331
3283
SH
DFND
0
3283
0
AT&T INC
COM
00206R102
3848
109191
SH
DFND
0
109191
0
B2GOLD CORP
COM
11777Q209
3479
1713810
SH
DFND
0
1713810
0
BANCROFT FUND LTD
COM
059695106
1041
52686
SH
DFND
0
52686
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1024
7410
SH
DFND
0
7410
0
BIRNER DENTAL MGMT SERVICES
COM NEW
091283200
495
29151
SH
DFND
0
29151
0
BLACKROCK CR ALLCTN INC TR
COM
092508100
15844
1190385
SH
DFND
0
1190385
0
BLACKROCK INCOME OPP TRUST I
COM
092475102
1180
113889
SH
DFND
0
113889
0
BLACKROCK MUN TARGET TERM TR
COM SHS BEN IN
09257P105
2762
139000
SH
DFND
0
139000
0
BLACKROCK MUNI INTER DR FD I
COM
09253X102
2625
181386
SH
DFND
0
181386
0
BLACKROCK REAL ASSET EQUITY
COM
09254B109
9721
1147674
SH
DFND
0
1147674
0
BLACKROCK UTIL & INFRASTRCTU
COM
09248D104
552
27599
SH
DFND
0
27599
0
BOULDER TOTAL RETURN FD INC
COM
101541100
584
22181
SH
DFND
0
22181
0
CALAMOS STRATEGIC TOTL RETN
COM SH BEN INT
128125101
176
15067
SH
DFND
0
15067
0
CBRE CLARION GLOBAL REAL EST
COM
12504G100
110
13093
SH
DFND
0
13093
0
CHAMBERS STR PPTYS
COM
157842105
1247
165540
SH
DFND
0
165540
0
CINEDIGM CORP
COM
172406100
1478
953531
SH
DFND
0
953531
0
COEUR MNG INC
COM NEW
192108504
3924
791158
SH
DFND
0
791158
0
COFFEE HLDGS INC
COM
192176105
515
93807
SH
DFND
0
93807
0
COHEN & STEERS CLOSED END OP
COM
19248P106
4889
375244
SH
DFND
0
375244
0
COHEN & STEERS INFRASTRUCTUR
COM
19248A109
1611
69597
SH
DFND
0
69597
0
COLGATE PALMOLIVE CO
COM
194162103
805
12350
SH
DFND
0
12350
0
COMSTOCK MNG INC
COM
205750102
817
675164
SH
DFND
0
675164
0
CONSOLIDATED EDISON INC
COM
209115104
473
8343
SH
DFND
0
8343
0
COTT CORP QUE
COM
22163N106
4630
673911
SH
DFND
0
673911
0
CUTWATER SELECT INCOME FD
COM
232229104
2160
109361
SH
DFND
0
109361
0
DELAWARE INVT NAT MUNI INC F
SH BEN INT
24610T108
997
78138
SH
DFND
0
78138
0
DIGITAL RLTY TR INC
COM
253868103
1488
23855
SH
DFND
0
23855
0
DOMINION DIAMOND CORP
COM
257287102
6377
447800
SH
DFND
0
447800
0
DOVER SADDLERY INC
COM
260412101
834
162333
SH
DFND
0
162333
0
DREYFUS MUN BD INFRSTRCTR FD
SHS
26203D101
1038
88228
SH
DFND
0
88228
0
DTE ENERGY CO
COM
233331107
538
7075
SH
DFND
0
7075
0
EARTHLINK HLDGS CORP
COM
27033X101
52
15346
SH
DFND
0
15346
0
EATON VANCE MUN INCOME TERM
SHS
27829U105
2187
126000
SH
DFND
0
126000
0
EATON VANCE NATL MUN OPPORT
COM SHS
27829L105
2019
101291
SH
DFND
0
101291
0
FASTENAL CO
COM
311900104
1160
25837
SH
DFND
0
25837
0
FEDERATED ENHANC TREAS INCM
COM SH BEN INT
314162108
3051
226478
SH
DFND
0
226478
0
FIRST FED NORTHN MICH BANCOR
COM
32021X105
340
63730
SH
DFND
0
63730
0
FIRST TR INTER DUR PFD & IN
COM
33718W103
3298
151844
SH
DFND
0
151844
0
FORT DEARBORN INCOME SECS IN
COM
347200107
2496
172507
SH
DFND
0
172507
0
FRANKLIN UNVL TR
SH BEN INT
355145103
7689
1095324
SH
DFND
0
1095324
0
GABELLI GLB SML & MD CP VAL
COM
36249W104
747
72981
SH
DFND
0
72981
0
GAIAM INC
CL A
36268Q103
13002
1771355
SH
DFND
0
1771355
0
GDL FUND
COM SH BEN IT
361570104
1660
157450
SH
DFND
0
157450
0
GOLDCORP INC NEW
COM
380956409
2291
99483
SH
DFND
0
99483
0
HANCOCK JOHN PREMUIM DIV FD
COM SH BEN INT
41013T105
13825
1051353
SH
DFND
0
1051353
0
HANCOCK JOHN TAX-ADV DIV INC
COM
41013V100
3396
164762
SH
DFND
0
164762
0
HARRIS & HARRIS GROUP INC
COM
413833104
2220
745077
SH
DFND
0
745077
0
INVESCO BD FD
COM
46132L107
2269
122137
SH
DFND
0
122137
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
2478
204432
SH
DFND
0
204432
0
INVESCO TR INVT GRADE MUNS
COM
46131M106
2112
161100
SH
DFND
0
161100
0
JANUS CAP GROUP INC
COM
47102X105
7028
483350
SH
DFND
0
483350
0
KINROSS GOLD CORP
COM NO PAR
496902404
3942
1194468
SH
DFND
0
1194468
0
LAZARD WORLD DIVID & INCOME
COM
521076109
156
10875
SH
DFND
0
10875
0
LEGG MASON BW GLB INC OPP FD
COM
52469B100
1455
85971
SH
DFND
0
85971
0
LEXINGTON REALTY TRUST
COM
529043101
2310
235975
SH
DFND
0
235975
0
LEXINGTON REALTY TRUST
COM
529043101
431
38417
SH
DFND
0
38417
0
LIFE TIME FITNESS INC
COM
53217R207
5830
115575
SH
DFND
0
115575
0
LIFEWAY FOODS INC
COM
531914109
1518
109434
SH
DFND
0
109434
0
MADISON CVRED CALL & EQ STR
COM
557437100
725
86357
SH
DFND
0
86357
0
MAINSTAY DEFINEDTERM MN OPP
COM
56064K100
264
14800
SH
DFND
0
14800
0
MEDICAL PPTYS TRUST INC
COM
58463J304
5062
412881
SH
DFND
0
412881
0
MFS INTERMARKET INCOME TRUST
SH BEN INT
59318R103
1026
122833
SH
DFND
0
122833
0
MFS INVT GRADE MUN TR
SH BEN INT
59318B108
898
98250
SH
DFND
0
98250
0
MFS MULTIMARKET INCOME TR
SH BEN INT
552737108
4911
765010
SH
DFND
0
765010
0
MONTGOMERY STR INCOME SECS I
COM
614115103
7341
449843
SH
DFND
0
449843
0
MORGAN STANLEY ASIA PAC FD I
COM
61744U106
295
18049
SH
DFND
0
18049
0
MORGAN STANLEY EMER MKTS FD
COM
61744G107
347
22408
SH
DFND
0
22408
0
MORGAN STANLEY TRUSTS
INCOME SECS INC
61745P874
1326
74272
SH
DFND
0
74272
0
NOAH HLDGS LTD
SPONSORED ADS
65487X102
593
44185
SH
DFND
0
44185
0
NORTHEAST UTILS
COM
664397106
1323
29860
SH
DFND
0
29860
0
NUVEEN CR STRATEGIES INCM FD
COM SHS
67073D102
4201
470415
SH
DFND
0
470415
0
NUVEEN GBL INCOME OPPORTUN F
COM
67073C104
2211
178851
SH
DFND
0
178851
0
NUVEEN INT DUR QUAL MUN TRM
COM
670677103
1859
145460
SH
DFND
0
145460
0
NUVEEN INTER DURATION MN TMF
COM
670671106
3398
272478
SH
DFND
0
272478
0
NUVEEN PFD INCOME OPPRTNY FD
COM
67073B106
200
21725
SH
DFND
0
21725
0
NUVEEN QUALITY PFD INC FD 3
COM
67072W101
7519
898373
SH
DFND
0
898373
0
NUVEEN QUALITY PFD INCOME FD
COM
67071S101
233
28549
SH
DFND
0
28549
0
NUVEEN SELECT TAX FREE INCM
SH BEN INT
67063C106
554
41877
SH
DFND
0
41877
0
NUVEEN SELECT TAX FREE INCM
SH BEN INT
67063X100
947
68300
SH
DFND
0
68300
0
NUVEEN SELECT TAX FREE INCM
SH BEN INT
67062F100
807
58514
SH
DFND
0
58514
0
PFIZER INC
COM
717081103
242
8181
PRN
DFND
0
8181
0
POWER REIT
COM
73933H101
145
14289
SH
DFND
0
14289
0
PROCTER & GAMBLE CO
COM
742718109
683
8160
SH
DFND
0
8160
0
PUTNAM MASTER INTER INCOME T
SH BEN INT
746909100
337
66971
SH
DFND
0
66971
0
PUTNAM MUN OPPORTUNITIES TR
SH BEN INT
746922103
2824
241345
SH
DFND
0
241345
0
REAL GOODS SOLAR INC
CL A
75601N104
85
49178
SH
DFND
0
49178
0
ROYCE GLOBAL VALUE TR INC
COM
78081T104
571
65599
SH
DFND
0
65599
0
ROYCE MICRO-CAP TR INC
COM
780915104
532
45158
SH
DFND
0
45158
0
SILVER WHEATON CORP
COM
828336107
5725
287265
SH
DFND
0
287265
0
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
985
59070
SH
DFND
0
59070
0
STRATEGIC GLOBAL INCOME FD
COM
862719101
4948
560384
SH
DFND
0
560384
0
TEMPLETON DRAGON FD INC
COM
88018T101
929
36022
SH
DFND
0
36022
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
370
46587
SH
DFND
0
46587
0
TEMPLETON RUS AND EAST EUR F
COM
88022F105
185
14705
SH
DFND
0
14705
0
TERADATA CORP DEL
COM
88076W103
2104
50187
SH
DFND
0
50187
0
TIVO INC
COM
888706108
1602
125210
SH
DFND
0
125210
0
TRAVELZOO INC
COM NEW
89421Q205
1529
98650
SH
DFND
0
98650
0
U S GLOBAL INVS INC
CL A
902952100
9144
2575652
SH
DFND
0
2575652
0
VIRTUS TOTAL RETURN FD
COM
92829A103
1266
272268
SH
DFND
0
272268
0
VODAFONE GROUP PLC NEW
SPNSR ADR NO PAR
92857W308
5644
171608
SH
DFND
0
171608
0
WELLS FARGO ADVANTAGE MULTI
COM SHS
94987D101
5257
376601
SH
DFND
0
376601
0
WESTERN ASSET CLYM INFL OPP
COM
95766R104
26304
2269544
SH
DFND
0
2269544
0
WESTERN ASSET CLYM INFL SEC
COM SH BEN INT
95766Q106
2658
230337
SH
DFND
0
230337
0
WESTERN ASSET GLOBAL CP DEFI
COM
95790C107
3026
166352
SH
DFND
0
166352
0
WESTERN ASSET INTM MUNI FD I
COM
958435109
107
11000
SH
DFND
0
11000
0
WESTERN ASSET WORLDWIDE INCO
COM
957668106
951
77704
SH
DFND
0
77704
0
WESTERN ASST MN PRT FD INC
COM
95766P108
1444
97162
SH
DFND
0
97162
0
ZWEIG FD
COM NEW
989834205
333
21936
SH
DFND
0
21936
0
ZWEIG TOTAL RETURN FD INC
COM NEW
989837208
678
48946
SH
DFND
0
48946
0