0001062993-16-011745.txt : 20161017
0001062993-16-011745.hdr.sgml : 20161017
20161017112354
ACCESSION NUMBER: 0001062993-16-011745
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161017
DATE AS OF CHANGE: 20161017
EFFECTIVENESS DATE: 20161017
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: 161938353
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
09-30-2016
09-30-2016
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD
111 CASS STREET
TRAVERSE CITY
MI
49684
13F HOLDINGS REPORT
028-06648
N
Matthew Bohrer
COO
231-929-4500
Matthew Bohrer
Traverse City
MI
10-17-2016
0
96
305591
false
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
ROYAL GOLD INC
NOTE 2.875% 6/1
780287AA6
374
334000
PRN
DFND
0
334000
0
AEGON N V
NY REGISTRY SH
007924103
49
12651
SH
DFND
0
12651
0
ALPHABET INC
CAP STK CL C
02079K107
3481
4479
SH
DFND
0
4479
0
ALPINE GLOBAL PREMIER PPTYS
COM SBI
02083A103
552
99510
SH
DFND
0
99510
0
APOLLO SR FLOATING RATE FD I
COM
037636107
9638
569264
SH
DFND
0
569264
0
APPLE INC
COM
037833100
770
6807
SH
DFND
0
6807
0
B2GOLD CORP
COM
11777Q209
1087
413315
SH
DFND
0
413315
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1062
7352
SH
DFND
0
7352
0
BLACKROCK CR ALLCTN INC TR
COM
092508100
1583
118594
SH
DFND
0
118594
0
BLACKROCK FLOAT RATE OME STR
COM
09255X100
6522
470567
SH
DFND
0
470567
0
BLACKROCK GLOBAL OPP EQTY TR
COM
092501105
334
27297
SH
DFND
0
27297
0
BOULDER GROWTH & INCOME FD I
COM
101507101
418
49934
SH
DFND
0
49934
0
COHEN & STEERS INFRASTRUCTUR
COM
19248A109
4947
229661
SH
DFND
0
229661
0
CALAMOS GBL DYN INCOME FUND
COM
12811L107
1278
170124
SH
DFND
0
170124
0
CALAMOS GLOBAL TOTAL RETURN
COM SH BEN INT
128118106
894
78143
SH
DFND
0
78143
0
CALAMOS STRATEGIC TOTL RETN
COM SH BEN INT
128125101
165
16022
SH
DFND
0
16022
0
CLOUGH GLOBAL DIVND AND INC
COM
18913Y103
646
53268
SH
DFND
0
53268
0
COFFEE HLDGS INC
COM
192176105
65
11675
SH
DFND
0
11675
0
COHEN & STEERS CLOSED END OP
COM
19248P106
2681
218171
SH
DFND
0
218171
0
COHEN & STEERS REIT & PFD IN
COM
19247X100
786
39014
SH
DFND
0
39014
0
COLGATE PALMOLIVE CO
COM
194162103
905
12200
SH
DFND
0
12200
0
CONSOLIDATED EDISON INC
COM
209115104
628
8343
SH
DFND
0
8343
0
COTT CORP QUE
COM
22163N106
1619
113619
SH
DFND
0
113619
0
COVANTA HLDG CORP
COM
22282E102
3454
224430
SH
DFND
0
224430
0
DIVERSIFIED REAL ASSET INC F
COM SHS
25533B108
240
13935
SH
DFND
0
13935
0
DOMINION DIAMOND CORP
COM
257287102
98
10100
SH
DFND
0
10100
0
DTE ENERGY CO
COM
233331107
675
7201
SH
DFND
0
7201
0
DUFF & PHELPS GLB UTL INC FD
COM
26433C105
4881
285769
SH
DFND
0
285769
0
EATON VANCE FLTG RATE INCOM
COM SHS BEN INT
278284104
6665
426174
SH
DFND
0
426174
0
EATON VANCE MI MUNI INCOME T
SH BEN INT
27826D106
1313
92810
SH
DFND
0
92810
0
EATON VANCE SH TM DR DIVR IN
COM
27828V104
452
32973
SH
DFND
0
32973
0
EVERSOURCE ENERGY
COM
30040W108
1618
29860
SH
DFND
0
29860
0
FASTENAL CO
COM
311900104
1005
24062
SH
DFND
0
24062
0
FRANKLIN UNVL TR
SH BEN INT
355145103
7703
1132740
SH
DFND
0
1132740
0
GABELLI GLB SML & MD CP VAL
COM
36249W104
710
65672
SH
DFND
0
65672
0
GABELLI GLOBL UTIL & INCOME
COM SH BEN INT
36242L105
476
25998
SH
DFND
0
25998
0
GAIAM INC
CL A
36268Q103
4536
629984
SH
DFND
0
629984
0
GAMCO GLOBAL GOLD NAT RES &
COM SH BEN INT
36465A109
345
54001
SH
DFND
0
54001
0
GLOBAL SELF STORAGE INC
COM
37955N106
5212
990888
SH
DFND
0
990888
0
GRAMERCY PPTY TR
COM
385002100
372
38560
SH
DFND
0
38560
0
HARRIS & HARRIS GROUP INC
COM
413833104
1925
1385168
SH
DFND
0
1385168
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
307
1934
SH
DFND
0
1934
0
CBRE CLARION GLOBAL REAL EST
COM
12504G100
286
34087
SH
DFND
0
34087
0
INVESCO DYNAMIC CR OPP FD
COM
46132R104
7974
678092
SH
DFND
0
678092
0
ISHARES TR
1-3 YR TR BD ETF
464287457
2473
29075
SH
DFND
0
29075
0
LAZARD WORLD DIVID & INCOME
COM
521076109
1886
186709
SH
DFND
0
186709
0
LEGG MASON BW GLB INC OPP FD
COM
52469B100
3848
283371
SH
DFND
0
283371
0
LEXINGTON REALTY TRUST
COM
529043101
3993
387660
SH
DFND
0
387660
0
MEDICAL PPTYS TRUST INC
COM
58463J304
6200
419768
SH
DFND
0
419768
0
MFS MULTIMARKET INCOME TR
SH BEN INT
552737108
4152
681787
SH
DFND
0
681787
0
MORGAN STANLEY ASIA PAC FD I
COM
61744U106
238
15767
SH
DFND
0
15767
0
MORGAN STANLEY EMER MKTS FD
COM
61744G107
241
16568
SH
DFND
0
16568
0
NEW GOLD INC CDA
COM
644535106
64
14725
SH
DFND
0
14725
0
NEW SR INVT GROUP INC
COM
648691103
6444
558389
SH
DFND
0
558389
0
NUVEEN CR STRATEGIES INCM FD
COM SHS
67073D102
13219
1558875
SH
DFND
0
1558875
0
NUVEEN MICH QUALITY INCOME M
COM
670979103
894
60653
SH
DFND
0
60653
0
NUVEEN SR INCOME FD
COM
67067Y104
658
100629
SH
DFND
0
100629
0
PIONEER FLOATING RATE TR
COM
72369J102
5603
474791
SH
DFND
0
474791
0
PROCTER AND GAMBLE CO
COM
742718109
811
9039
SH
DFND
0
9039
0
ROYAL GOLD INC
COM
780287108
9878
127573
SH
DFND
0
127573
0
ROYCE GLOBAL VALUE TR INC
COM
78081T104
1141
140418
SH
DFND
0
140418
0
ROYCE MICRO-CAP TR INC
COM
780915104
3569
457036
SH
DFND
0
457036
0
ROYCE VALUE TR INC
COM
780910105
795
62834
SH
DFND
0
62834
0
SANDSTORM GOLD LTD
COM NEW
80013R206
8044
1599234
SH
DFND
0
1599234
0
SCHWAB STRATEGIC TR
INTRM TRM TRES
808524854
4670
84044
SH
DFND
0
84044
0
SENIOR HSG PPTYS TR
SH BEN INT
81721M109
2420
106543
SH
DFND
0
106543
0
SILVER WHEATON CORP
COM
828336107
12308
455346
SH
DFND
0
455346
0
SPARK NETWORKS INC
COM
84651P100
698
441477
SH
DFND
0
441477
0
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
1648
110541
SH
DFND
0
110541
0
SUNOPTA INC
COM
8676EP108
4298
608752
SH
DFND
0
608752
0
TEMPLETON DRAGON FD INC
COM
88018T101
236
13374
SH
DFND
0
13374
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
5598
897075
SH
DFND
0
897075
0
GDL FUND
COM SH BEN IT
361570104
2433
244558
SH
DFND
0
244558
0
TIVO INC
COM
888706108
1726
88586
SH
DFND
0
88586
0
U S GLOBAL INVS INC
CL A
902952100
4609
2505162
SH
DFND
0
2505162
0
UNITEDHEALTH GROUP INC
COM
91324P102
241
1721
SH
DFND
0
1721
0
INVESCO SR INCOME TR
COM
46131H107
7514
1735277
SH
DFND
0
1735277
0
VEREIT INC
COM
92339V100
1219
117516
SH
DFND
0
117516
0
VOYA PRIME RATE TR
SH BEN INT
92913A100
4739
897625
SH
DFND
0
897625
0
WESTERN ASSET CLYM INFL OPP
COM
95766R104
43808
3914948
SH
DFND
0
3914948
0
WESTERN ASSET CLYM INFL SEC
COM SH BEN INT
95766Q106
8782
766988
SH
DFND
0
766988
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
404
5011
SH
DFND
0
5011
0
WELLS FARGO GLOBAL DIVIDEND
WF GLOBAL OPPTY
94987C103
1240
213412
SH
DFND
0
213412
0
WELLS FARGO MULTI SECTOR INC
WF MLT SECTR INC
94987D101
1509
116326
SH
DFND
0
116326
0
WESTERN ASSET WORLDWIDE INCO
COM
957668106
767
66075
SH
DFND
0
66075
0
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
1782
184307
SH
DFND
0
184307
0
FINANCIAL ENGINES INC
COM
317485100
610
20520
SH
DFND
0
20520
0
CLAYMORE EXCHANGE TRD FD TR
GUGG CRP BD 2016
18383M555
3552
161022
SH
DFND
0
161022
0
CLAYMORE EXCHANGE TRD FD TR
GUGG CRP BD 2017
18383M548
6956
306717
SH
DFND
0
306717
0
NOKIA CORP
SPONSORED ADR
654902204
4788
826969
SH
DFND
0
826969
0
NUVEEN FLTNG RTE INCM OPP FD
COM SHS
6706EN100
169
15275
SH
DFND
0
15275
0
ST JUDE MED INC
COM
790849103
5242
65720
SH
DFND
0
65720
0
DISNEY WALT CO
COM DISNEY
254687106
2095
22564
SH
DFND
0
22564
0
ASSOCIATED CAP GROUP INC
CL A
045528106
1081
30485
SH
DFND
0
30485
0
GLOBAL WTR RES INC
COM
379463102
2995
373929
SH
DFND
0
373929
0
SPECIAL OPPORTUNITIES FD INC
PFD CONV SE B
84741T302
571
22142
SH
DFND
0
22142
0