0001062993-18-002909.txt : 20180713
0001062993-18-002909.hdr.sgml : 20180713
20180713115941
ACCESSION NUMBER: 0001062993-18-002909
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180630
FILED AS OF DATE: 20180713
DATE AS OF CHANGE: 20180713
EFFECTIVENESS DATE: 20180713
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: 18951978
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
06-30-2018
06-30-2018
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD
111 CASS STREET
TRAVERSE CITY
MI
49684
13F HOLDINGS REPORT
028-06648
N
Matthew Bohrer
CCO
231-929-4500
Matthew Bohrer
Traverse City
MI
07-13-2018
0
103
316465
false
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
HANNON ARMSTRONG SUST INFR C
NOTE 4.125% 9/0
41068XAB6
1155
1203000
PRN
DFND
0
1203000
0
ROYAL GOLD INC
NOTE 2.875% 6/1
780287AA6
300
284000
PRN
DFND
0
284000
0
ADVANCED MICRO DEVICES INC
COM
007903107
1493
99584
SH
DFND
0
99584
0
AEGON N V
NY REGISTRY SH
007924103
81
13630
SH
DFND
0
13630
0
ALAMOS GOLD INC NEW
COM CL A
011532108
4560
801436
SH
DFND
0
801436
0
ANALOG DEVICES INC
COM
032654105
252
2632
SH
DFND
0
2632
0
APOLLO SR FLOATING RATE FD I
COM
037636107
865
52964
SH
DFND
0
52964
0
ASSOCIATED CAP GROUP INC
CL A
045528106
1883
49606
SH
DFND
0
49606
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1340
7181
SH
DFND
0
7181
0
BLACKROCK CR ALLCTN INC TR
COM
092508100
10466
866387
SH
DFND
0
866387
0
BOULDER GROWTH & INCOME FD I
COM
101507101
472
45962
SH
DFND
0
45962
0
COLGATE PALMOLIVE CO
COM
194162103
791
12200
SH
DFND
0
12200
0
CONSOLIDATED EDISON INC
COM
209115104
614
7871
SH
DFND
0
7871
0
DTE ENERGY CO
COM
233331107
694
6695
SH
DFND
0
6695
0
DISNEY WALT CO
COM DISNEY
254687106
4495
42888
SH
DFND
0
42888
0
FASTENAL CO
COM
311900104
1063
22088
SH
DFND
0
22088
0
FRANKLIN UNVL TR
SH BEN INT
355145103
11254
1684657
SH
DFND
0
1684657
0
GDL FUND
COM SH BEN IT
361570104
3232
352095
SH
DFND
0
352095
0
GENERAL MLS INC
COM
370334104
314
7104
SH
DFND
0
7104
0
GLOBAL WTR RES INC
COM
379463102
3579
380797
SH
DFND
0
380797
0
HANESBRANDS INC
COM
410345102
5333
242201
SH
DFND
0
242201
0
HOME DEPOT INC
COM
437076102
227
1161
SH
DFND
0
1161
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
292
2089
SH
DFND
0
2089
0
ISHARES TR
TIPS BD ETF
464287176
549
4866
SH
DFND
0
4866
0
ISHARES TR
20 YR TR BD ETF
464287432
457
3755
SH
DFND
0
3755
0
ISHARES TR
BARCLAYS 7 10 YR
464287440
3442
33581
SH
DFND
0
33581
0
ISHARES TR
1 3 YR TREAS BD
464287457
3525
42283
SH
DFND
0
42283
0
KENNEDY-WILSON HLDGS INC
COM
489398107
14601
690357
SH
DFND
0
690357
0
KONINKLIJKE PHILIPS N V
NY REG SH NEW
500472303
3504
82902
SH
DFND
0
82902
0
LEXINGTON REALTY TRUST
COM
529043101
5048
578188
SH
DFND
0
578188
0
LIFEWAY FOODS INC
COM
531914109
1452
288731
SH
DFND
0
288731
0
MFS GOVT MKTS INCOME TR
SH BEN INT
552939100
196
43645
SH
DFND
0
43645
0
MCDONALDS CORP
COM
580135101
711
4536
SH
DFND
0
4536
0
NEW SR INVT GROUP INC
COM
648691103
5094
672894
SH
DFND
0
672894
0
NOKIA CORP
SPONSORED ADR
654902204
6172
1073402
SH
DFND
0
1073402
0
NUVEEN MICHIGAN QLT MUN INC
COM
670979103
1567
123807
SH
DFND
0
123807
0
OMNICOM GROUP INC
COM
681919106
6227
81648
SH
DFND
0
81648
0
PEPSICO INC
COM
713448108
626
5754
SH
DFND
0
5754
0
PROCTER AND GAMBLE CO
COM
742718109
693
8882
SH
DFND
0
8882
0
ROYAL GOLD INC
COM
780287108
214
2310
SH
DFND
0
2310
0
SCHWAB STRATEGIC TR
INTRM TRM TRES
808524854
7686
146876
SH
DFND
0
146876
0
SCHWAB STRATEGIC TR
SHT TM US TRES
808524862
14240
286292
SH
DFND
0
286292
0
SCHWAB STRATEGIC TR
US TIPS ETF
808524870
17380
316526
SH
DFND
0
316526
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
8588
1398678
SH
DFND
0
1398678
0
U S GLOBAL INVS INC
CL A
902952100
1082
672285
SH
DFND
0
672285
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
301
5011
SH
DFND
0
5011
0
WHEATON PRECIOUS METALS CORP
COM
962879102
5033
228136
SH
DFND
0
228136
0
FIRST TRUST MORTGAGE INCM FD
COM SHS
33734E103
172
12796
SH
DFND
0
12796
0
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
378
34407
SH
DFND
0
34407
0
ARRAY BIOPHARMA INC
COM
04269X105
3726
222053
SH
DFND
0
222053
0
BRANDYWINEGBL GLBAL INM OPRT
COM
10537L104
4867
426576
SH
DFND
0
426576
0
BRIXMOR PPTY GROUP INC
COM
11120U105
8817
505828
SH
DFND
0
505828
0
CBRE CLARION GLOBAL REAL EST
COM
12504G100
1662
220423
SH
DFND
0
220423
0
COTT CORP QUE
COM
22163N106
3481
210311
SH
DFND
0
210311
0
ETF SER SOLUTIONS
US GBL GLD PRE
26922A719
930
73072
SH
DFND
0
73072
0
EATON VANCE MI MUNI INCOME T
SH BEN INT
27826D106
1281
99352
SH
DFND
0
99352
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
296
46376
SH
DFND
0
46376
0
EVERSOURCE ENERGY
COM
30040W108
1638
27954
SH
DFND
0
27954
0
FRANKLIN STREET PPTYS CORP
COM
35471R106
5057
590802
SH
DFND
0
590802
0
GABELLI HLTHCARE & WELLNESS
SHS
36246K103
375
37469
SH
DFND
0
37469
0
GLOBAL SELF STORAGE INC
COM
37955N106
1902
458364
SH
DFND
0
458364
0
GREAT PANTHER SILVER LTD
COM
39115V101
4871
4163174
SH
DFND
0
4163174
0
HANNON ARMSTRONG SUST INFR C
COM
41068X100
4131
209162
SH
DFND
0
209162
0
INVESCO DYNAMIC CR OPP FD
COM
46132R104
5253
452096
SH
DFND
0
452096
0
ISHARES TR
0-5 YR TIPS ETF
46429B747
326
3268
SH
DFND
0
3268
0
KIMCO RLTY CORP
COM
49446R109
6054
356355
SH
DFND
0
356355
0
MFS INTER INCOME TR
SH BEN INT
55273C107
1276
330671
SH
DFND
0
330671
0
MEDICAL PPTYS TRUST INC
COM
58463J304
9391
668886
SH
DFND
0
668886
0
MERCK & CO INC
COM
58933Y105
6494
106991
SH
DFND
0
106991
0
MORGAN STANLEY EMER MKTS FD
COM
61744G107
352
21676
SH
DFND
0
21676
0
MORGAN STANLEY ASIA PAC FD I
COM
61744U106
556
32542
SH
DFND
0
32542
0
NUVEEN CR STRATEGIES INCM FD
COM SHS
67073D102
10789
1357051
SH
DFND
0
1357051
0
OSISKO GOLD ROYALTIES LTD
COM
68827L101
3131
330650
SH
DFND
0
330650
0
PIMCO ETF TR
25YR+ ZERO U S
72201R882
4169
36141
SH
DFND
0
36141
0
REGENERON PHARMACEUTICALS
COM
75886F107
3743
10850
SH
DFND
0
10850
0
SPDR SERIES TRUST
PORTFOLIO LN TSR
78464A664
4253
121413
SH
DFND
0
121413
0
SANDSTORM GOLD LTD
COM NEW
80013R206
6626
1472492
SH
DFND
0
1472492
0
SEQUENTIAL BRNDS GROUP INC N
COM
81734P107
2111
1071575
SH
DFND
0
1071575
0
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
750
49935
SH
DFND
0
49935
0
SPECIAL OPPORTUNITIES FD INC
PFD CONV SE B
84741T302
492
19261
SH
DFND
0
19261
0
SPIRIT RLTY CAP INC NEW
COM
84860W102
7005
872345
SH
DFND
0
872345
0
TEMPLETON DRAGON FD INC
COM
88018T101
207
9698
SH
DFND
0
9698
0
UNITEDHEALTH GROUP INC
COM
91324P102
372
1518
SH
DFND
0
1518
0
UNITI GROUP INC
COM
91325V108
6359
317485
SH
DFND
0
317485
0
VEREIT INC
COM
92339V100
7039
946096
SH
DFND
0
946096
0
VODAFONE GROUP PLC NEW
SPONSORED ADR
92857W308
3570
146847
SH
DFND
0
146847
0
VOYA PRIME RATE TR
SH BEN INT
92913A100
6535
1299252
SH
DFND
0
1299252
0
INGERSOLL-RAND PLC
SHS
G47791101
230
2567
SH
DFND
0
2567
0
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
689
159548
SH
DFND
0
159548
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
1128
4
SH
DFND
0
4
0
CITRIX SYS INC
COM
177376100
210
2000
SH
DFND
0
2000
0
LIBERTY MEDIA CORP DELAWARE
COM SER C FRMLA
531229854
1145
44264
SH
DFND
0
44264
0
NUVEEN MUN VALUE FD INC
COM
670928100
287
30000
SH
DFND
0
30000
0
AGIOS PHARMACEUTICALS INC
COM
00847X104
2464
29258
SH
DFND
0
29258
0
ALPINE GLOBAL PREMIER PPTYS
COM SBI
02083A103
94
14750
SH
DFND
0
14750
0
BLACKROCK INCOME TR INC
COM
09247F100
127
21853
SH
DFND
0
21853
0
BLACKROCK MUN INCOME TR
SH BEN INT
09248F109
238
18500
SH
DFND
0
18500
0
BLACKROCK MUNIYIELD FD INC
COM
09253W104
253
19000
SH
DFND
0
19000
0
BLACKROCK MUNIHLDS INVSTM QL
COM
09254P108
207
16000
SH
DFND
0
16000
0
INVESCO SR INCOME TR
COM
46131H107
4368
1020552
SH
DFND
0
1020552
0
VANGUARD SCOTTSDALE FDS
INTER TERM TREAS
92206C706
410
6545
SH
DFND
0
6545
0
WESTERN ASST MNGD MUN FD INC
COM
95766M105
266
21000
SH
DFND
0
21000
0
WESTERN ASSET GLOBAL CP DEFI
COM
95790C107
762
45499
SH
DFND
0
45499
0