0001062993-15-005429.txt : 20151015 0001062993-15-005429.hdr.sgml : 20151015 20151015154423 ACCESSION NUMBER: 0001062993-15-005429 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151015 DATE AS OF CHANGE: 20151015 EFFECTIVENESS DATE: 20151015 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: 151160160 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 09-30-2015 09-30-2015 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 10-15-2015 0 124 359245 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE PIMCO DYNAMIC CR INCOME FD COM SHS 72202D106 11449 626663 SH DFND 0 626663 0 PIONEER FLOATING RATE TR COM 72369J102 3571 315471 SH DFND 0 315471 0 RCS CAP CORP COM CL A 74937W102 584 720980 SH DFND 0 720980 0 ROYAL GOLD INC NOTE 2.875% 6/1 780287AA6 350 363000 SH DFND 0 363000 0 ROYCE GLOBAL VALUE TR INC COM 78081T104 1167 166419 SH DFND 0 166419 0 SENIOR HSG PPTYS TR SH BEN INT 81721M109 5862 361874 SH DFND 0 361874 0 SPARK NETWORKS INC COM 84651P100 1066 370163 SH DFND 0 370163 0 SPECIAL OPPORTUNITIES FD INC COM 84741T104 714 50735 SH DFND 0 50735 0 STAG INDL INC COM 85254J102 496 27250 SH DFND 0 27250 0 SUNOPTA INC COM 8676EP108 2201 452857 SH DFND 0 452857 0 TEMPLETON DRAGON FD INC COM 88018T101 332 17755 SH DFND 0 17755 0 TRAVELZOO INC COM NEW 89421Q205 756 91430 SH DFND 0 91430 0 VEREIT INC COM 92339V100 5269 682468 SH DFND 0 682468 0 VIPSHOP HLDGS LTD SPONSORED ADR 92763W103 571 33995 SH DFND 0 33995 0 VIRTUS TOTAL RETURN FD COM 92829A103 390 103270 SH DFND 0 103270 0 VOYA PRIME RATE TR SH BEN INT 92913A100 1302 257337 SH DFND 0 257337 0 WELLS FARGO ADV GLB DIV OPP COM 94987C103 2062 348980 SH DFND 0 348980 0 WELLS FARGO ADVANTAGE MULTI COM SHS 94987D101 8837 778569 SH DFND 0 778569 0 WESTERN ASST MN PRT FD INC COM 95766P108 640 42922 SH DFND 0 42922 0 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 8272 784076 SH DFND 0 784076 0 WESTERN ASSET CLYM INFL OPP COM 95766R104 37713 3626265 SH DFND 0 3626265 0 WESTERN ASSET GLOBAL CP DEFI COM 95790C107 8312 525103 SH DFND 0 525103 0 DUFF & PHELPS GLB UTL INC FD COM 26433C105 5582 368674 SH DFND 0 368674 0 KINDER MORGAN INC DEL COM 49456B101 2649 95690 SH DFND 0 95690 0 DOUBLELINE INCOME SOLUTIONS COM 258622109 1265 73175 SH DFND 0 73175 0 GATX CORP COM 361448103 1925 92700 SH DFND 0 92700 0 AEGON N V NY REGISTRY SH 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INC COM 209115104 558 8343 SH DFND 0 8343 0 DTE ENERGY CO COM 233331107 569 7075 SH DFND 0 7075 0 DOMINION DIAMOND CORP COM 257287102 1558 145884 SH DFND 0 145884 0 EATON VANCE FLTG RATE INCOM COM SHS BEN INT 278284104 5059 344616 SH DFND 0 344616 0 FASTENAL CO COM 311900104 986 26928 SH DFND 0 26928 0 FORD MTR CO DEL COM PAR $0.01 345370860 147 10832 SH DFND 0 10832 0 FRANKLIN UNVL TR SH BEN INT 355145103 9997 1691507 SH DFND 0 1691507 0 GDL FUND COM SH BEN IT 361570104 2379 242717 SH DFND 0 242717 0 HARRIS & HARRIS GROUP INC COM 413833104 2395 1119204 SH DFND 0 1119204 0 INTERNATIONAL BUSINESS MACHS COM 459200101 296 2044 SH DFND 0 2044 0 LAZARD WORLD DIVID & INCOME COM 521076109 525 57631 SH DFND 0 57631 0 LEXINGTON REALTY TRUST COM 529043101 6907 852675 SH DFND 0 852675 0 MFS CHARTER INCOME TR SH BEN INT 552727109 3968 512036 SH DFND 0 512036 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 9160 1638714 SH DFND 0 1638714 0 MADISON CVRED CALL & EQ STR COM 557437100 398 56274 SH DFND 0 56274 0 NEW GOLD INC CDA COM 644535106 3878 1708443 SH DFND 0 1708443 0 NEW SR INVT GROUP INC COM 648691103 4240 405377 SH DFND 0 405377 0 NUVEEN INT DUR QUAL MUN TRM COM 670677103 545 43794 SH DFND 0 43794 0 NUVEEN MICH QUALITY INCOME M COM 670979103 801 60753 SH DFND 0 60753 0 PFIZER INC COM 717081103 247 7851 SH DFND 0 7851 0 PROCTER & GAMBLE CO COM 742718109 716 9955 SH DFND 0 9955 0 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 113 25155 SH DFND 0 25155 0 PUTNAM MUN OPPORTUNITIES TR SH BEN INT 746922103 612 51151 SH DFND 0 51151 0 ROYCE VALUE TR INC COM 780910105 1506 130965 SH DFND 0 130965 0 ROYCE MICRO-CAP TR INC COM 780915104 3629 468852 SH DFND 0 468852 0 SILVER WHEATON CORP COM 828336107 5125 426713 SH DFND 0 426713 0 STRATEGIC GLOBAL INCOME FD COM 862719101 5982 754301 SH DFND 0 754301 0 TEMPLETON GLOBAL INCOME FD COM 880198106 179 29445 SH DFND 0 29445 0 TIVO INC COM 888706108 1878 216845 SH DFND 0 216845 0 U S GLOBAL INVS INC CL A 902952100 4432 2653955 SH DFND 0 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DURATION INC TR COM 35472T101 2830 259660 SH DFND 0 259660 0 GABELLI GLB SML & MD CP VAL COM 36249W104 730 73570 SH DFND 0 73570 0 GAIAM INC CL A 36268Q103 10420 1694356 SH DFND 0 1694356 0 GAMCO GLOBAL GOLD NAT RES & COM SH BEN INT 36465A109 13373 2679906 SH DFND 0 2679906 0 GENWORTH FINL INC COM CL A 37247D106 1109 240115 SH DFND 0 240115 0 GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 12596 787275 SH DFND 0 787275 0 HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 41013T105 973 77506 SH DFND 0 77506 0 INVESCO SR INCOME TR COM 46131H107 5579 1334674 SH DFND 0 1334674 0 INVESCO TR INVT GRADE MUNS COM 46131M106 640 49524 SH DFND 0 49524 0 INVESCO BD FD COM 46132L107 249 14101 SH DFND 0 14101 0 INVESCO DYNAMIC CR OPP FD COM 46132R104 2740 259185 SH DFND 0 259185 0 INVESCO QUALITY MUNI INC TRS COM 46133G107 2310 190150 SH DFND 0 190150 0 JANUS CAP GROUP INC COM 47102X105 7159 526364 SH DFND 0 526364 0 LMP CORPORATE LN FD INC COM 50208B100 1219 118610 SH DFND 0 118610 0 LEAPFROG ENTERPRISES INC CL A 52186N106 1338 1874724 SH DFND 0 1874724 0 LEGG MASON BW GLB INC OPP FD COM 52469B100 3465 298443 SH DFND 0 298443 0 MFS INTER INCOME TR SH BEN INT 55273C107 752 165305 SH DFND 0 165305 0 MEDICAL PPTYS TRUST INC COM 58463J304 5275 476969 SH DFND 0 476969 0 MORGAN STANLEY EMER MKTS FD COM 61744G107 239 18871 SH DFND 0 18871 0 MORGAN STANLEY ASIA PAC FD I COM 61744U106 223 17216 SH DFND 0 17216 0 NUVEEN PERFORMANCE PLUS MUN COM 67062P108 407 28700 SH DFND 0 28700 0 NUVEEN DIVID ADVANTAGE MUN I COM 67071L106 647 46425 SH DFND 0 46425 0 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 4087 509662 SH DFND 0 509662 0 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 9834 1232326 SH DFND 0 1232326 0 NUVEEN GLOBAL HIGH INCOME FD SHS 67075G103 853 59140 SH DFND 0 59140 0