0001062993-17-001887.txt : 20170417 0001062993-17-001887.hdr.sgml : 20170417 20170417092156 ACCESSION NUMBER: 0001062993-17-001887 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170417 DATE AS OF CHANGE: 20170417 EFFECTIVENESS DATE: 20170417 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: 17763667 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 03-31-2017 03-31-2017 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 04-13-2017 0 94 295761 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ROYAL GOLD INC NOTE 2.875% 6/1 780287AA6 332 314000 PRN DFND 0 314000 0 ALPHABET INC CAP STK CL C 02079K107 2207 2661 SH DFND 0 2661 0 ALPINE GLOBAL PREMIER PPTYS COM SBI 02083A103 690 120664 SH DFND 0 120664 0 B2GOLD CORP COM 11777Q209 105 37100 SH DFND 0 37100 0 CALAMOS GBL DYN INCOME FUND COM 12811L107 457 58601 SH DFND 0 58601 0 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 2700 262368 SH DFND 0 262368 0 COHEN & STEERS REIT & PFD IN COM 19247X100 719 37164 SH DFND 0 37164 0 COLGATE PALMOLIVE CO COM 194162103 893 12200 SH DFND 0 12200 0 COTT CORP QUE COM 22163N106 4511 364951 SH DFND 0 364951 0 COVANTA HLDG CORP COM 22282E102 3264 207907 SH DFND 0 207907 0 DUFF & PHELPS GLB UTL INC FD COM 26433C105 4124 253609 SH DFND 0 253609 0 EVERSOURCE ENERGY COM 30040W108 1755 29860 SH DFND 0 29860 0 FASTENAL CO COM 311900104 1368 26557 SH DFND 0 26557 0 FRANKLIN UNVL TR SH BEN INT 355145103 7742 1107610 SH DFND 0 1107610 0 GLOBAL SELF STORAGE INC COM 37955N106 4380 918189 SH DFND 0 918189 0 CBRE CLARION GLOBAL REAL EST COM 12504G100 247 33093 SH DFND 0 33093 0 LAZARD WORLD DIVID & INCOME COM 521076109 316 29634 SH DFND 0 29634 0 LEGG MASON BW GLB INC OPP FD COM 52469B100 6843 535440 SH DFND 0 535440 0 MEDICAL PPTYS TRUST INC COM 58463J304 8402 651852 SH DFND 0 651852 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 4263 696547 SH DFND 0 696547 0 NEW SR INVT GROUP INC COM 648691103 6954 681752 SH DFND 0 681752 0 PROCTER AND GAMBLE CO COM 742718109 810 9016 SH DFND 0 9016 0 ROYAL GOLD INC COM 780287108 8394 119822 SH DFND 0 119822 0 ROYCE GLOBAL VALUE TR INC COM 78081T104 1153 131198 SH DFND 0 131198 0 SANDSTORM GOLD LTD COM NEW 80013R206 6439 1507948 SH DFND 0 1507948 0 SILVER WHEATON CORP COM 828336107 8921 428075 SH DFND 0 428075 0 SPARK NETWORKS INC COM 84651P100 572 555012 SH 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DFND 0 83810 0 ERICSSON ADR B SEK 10 294821608 2041 307382 SH DFND 0 307382 0 GABELLI GLOBL UTIL & INCOME COM SH BEN INT 36242L105 462 24853 SH DFND 0 24853 0 GABELLI GLB SML & MD CP VAL COM 36249W104 763 66986 SH DFND 0 66986 0 GLOBAL WTR RES INC COM 379463102 3612 415191 SH DFND 0 415191 0 HANNON ARMSTRONG SUST INFR C COM 41068X100 5046 249799 SH DFND 0 249799 0 INTERNATIONAL BUSINESS MACHS COM 459200101 341 1958 SH DFND 0 1958 0 ISHARES TR 7-10YR TR BD ETF 464287440 3722 35245 SH DFND 0 35245 0 ISHARES TR 1-3 YR TR BD ETF 464287457 2430 28750 SH DFND 0 28750 0 MFS INTER INCOME TR SH BEN INT 55273C107 717 166293 SH DFND 0 166293 0 MORGAN STANLEY EMER MKTS FD COM 61744G107 267 18093 SH DFND 0 18093 0 MORGAN STANLEY ASIA PAC FD I COM 61744U106 237 15420 SH DFND 0 15420 0 NOKIA CORP SPONSORED ADR 654902204 6259 1154881 SH DFND 0 1154881 0 NUVEEN MICHIGAN QLT MUN INC COM 670979103 1016 76282 SH DFND 0 76282 0 PUTNAM MASTER INTER INCOME T SH BEN INT 746909100 119 25420 SH DFND 0 25420 0 SCHWAB STRATEGIC TR INTRM TRM TRES 808524854 37007 690296 SH DFND 0 690296 0 SPECIAL OPPORTUNITIES FD INC PFD CONV SE B 84741T302 543 21454 SH DFND 0 21454 0 TEMPLETON DRAGON FD INC COM 88018T101 238 12670 SH DFND 0 12670 0 UNITEDHEALTH GROUP INC COM 91324P102 249 1518 SH DFND 0 1518 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 6370 241010 SH DFND 0 241010 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 416 5011 SH DFND 0 5011 0 WESTERN ASSET EMRG MKT DEBT COM 95766A101 715 46137 SH DFND 0 46137 0 180 DEGREE CAP CORP COM 68235B109 2494 1720303 SH DFND 0 1720303 0 ABBOTT LABS COM 002824100 1477 33269 SH DFND 0 33269 0 ANALOG DEVICES INC COM 032654105 216 2632 SH DFND 0 2632 0 IRIDIUM COMMUNICATIONS INC COM 46269C102 1069 110816 SH DFND 0 110816 0 L BRANDS INC COM 501797104 2678 56865 SH DFND 0 56865 0 NUVEEN SELECT MAT MUN FD SH BEN INT 67061T101 268 27000 SH DFND 0 27000 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67062F100 547 39000 SH DFND 0 39000 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063C106 644 48000 SH DFND 0 48000 0 NUVEEN SELECT TAX FREE INCM SH BEN INT 67063X100 767 54000 SH DFND 0 54000 0 PIMCO ETF TR 25YR+ ZERO U S 72201R882 4319 38898 SH DFND 0 38898 0 SPDR SERIES TRUST BLOOMBERG LNG TR 78464A664 3834 54973 SH DFND 0 54973 0 SCHWAB STRATEGIC TR SHT TM US TRES 808524862 32292 639957 SH DFND 0 639957 0 SIBANYE GOLD LTD SPONSORED ADR 825724206 3750 425600 SH DFND 0 425600 0 SPIRIT RLTY CAP INC NEW COM 84860W102 4797 473497 SH DFND 0 473497 0 VITAMIN SHOPPE INC COM 92849E101 1683 83499 SH DFND 0 83499 0 TURKISH INVT FD INC COM 900145103 283 34104 SH DFND 0 34104 0 ISHARES TR 20 YR TR BD ETF 464287432 404 3345 SH DFND 0 3345 0