0001062993-17-004386.txt : 20171011 0001062993-17-004386.hdr.sgml : 20171011 20171011093426 ACCESSION NUMBER: 0001062993-17-004386 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171011 DATE AS OF CHANGE: 20171011 EFFECTIVENESS DATE: 20171011 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: 171131894 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 09-30-2017 09-30-2017 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 09-09-2017 0 86 302587 false INFORMATION TABLE 2 form13fInfoTable.xml FORM 13F INFORMATION TABLE ROYAL GOLD INC NOTE 2.875% 6/1 780287AA6 344 314000 PRN DFND 0 314000 0 180 DEGREE CAP CORP COM 68235B109 2669 1534111 SH DFND 0 1534111 0 AEGON N V NY REGISTRY SH 007924103 77 13315 SH DFND 0 13315 0 ALPINE GLOBAL PREMIER PPTYS COM SBI 02083A103 123 18507 SH DFND 0 18507 0 ANALOG DEVICES INC COM 032654105 227 2632 SH DFND 0 2632 0 ASSOCIATED CAP GROUP INC CL A 045528106 4127 115604 SH DFND 0 115604 0 B2GOLD CORP COM 11777Q209 99 35400 SH DFND 0 35400 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 1338 7301 SH DFND 0 7301 0 BLACKSTONE GSO STRATEGIC CR COM SHS BEN IN 09257R101 432 27033 SH DFND 0 27033 0 BOULDER GROWTH & INCOME FD I COM 101507101 473 46393 SH DFND 0 46393 0 CALAMOS GLOBAL TOTAL RETURN COM SH BEN INT 128118106 162 12107 SH DFND 0 12107 0 CISCO SYS INC COM 17275R102 224 6650 SH DFND 0 6650 0 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18914E106 394 35280 SH DFND 0 35280 0 COLGATE PALMOLIVE CO COM 194162103 889 12200 SH DFND 0 12200 0 CONSOLIDATED EDISON INC COM 209115104 624 7731 SH DFND 0 7731 0 COTT CORP QUE COM 22163N106 5348 356323 SH DFND 0 356323 0 COVANTA HLDG CORP COM 22282E102 3867 260372 SH DFND 0 260372 0 DTE ENERGY CO COM 233331107 707 6588 SH DFND 0 6588 0 EATON VANCE MI MUNI INCOME T SH BEN INT 27826D106 1093 82810 SH DFND 0 82810 0 ERICSSON ADR B SEK 10 294821608 1642 285594 SH DFND 0 285594 0 EVERSOURCE ENERGY COM 30040W108 1663 27509 SH DFND 0 27509 0 FASTENAL CO COM 311900104 1034 22694 SH DFND 0 22694 0 FRANKLIN UNVL TR SH BEN INT 355145103 8181 1125359 SH DFND 0 1125359 0 GABELLI GLB SML & MD CP VAL COM 36249W104 820 61996 SH DFND 0 61996 0 GLOBAL SELF STORAGE INC COM 37955N106 3443 712921 SH DFND 0 712921 0 GLOBAL WTR RES INC COM 379463102 3762 399330 SH DFND 0 399330 0 CLAYMORE EXCHANGE TRD FD TR GUGG CRP BD 2017 18383M548 14143 625376 SH DFND 0 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770449 SH DFND 0 770449 0 SEQUENTIAL BRNDS GROUP INC N COM 81734P107 2119 708700 SH DFND 0 708700 0 SPARK NETWORKS INC COM 84651P100 1319 1081125 SH DFND 0 1081125 0 SPDR SERIES TRUST BLOOMBERG LNG TR 78464A664 4086 56763 SH DFND 0 56763 0 SPECIAL OPPORTUNITIES FD INC COM 84741T104 376 23712 SH DFND 0 23712 0 SPECIAL OPPORTUNITIES FD INC PFD CONV SE B 84741T302 538 21007 SH DFND 0 21007 0 SPIRIT RLTY CAP INC NEW COM 84860W102 6888 803689 SH DFND 0 803689 0 TEMPLETON DRAGON FD INC COM 88018T101 258 12407 SH DFND 0 12407 0 TEMPLETON GLOBAL INCOME FD COM 880198106 2221 329489 SH DFND 0 329489 0 GDL FUND COM SH BEN IT 361570104 3709 363647 SH DFND 0 363647 0 U S GLOBAL INVS INC CL A 902952100 4735 2222875 SH DFND 0 2222875 0 UNITEDHEALTH GROUP INC COM 91324P102 297 1518 SH DFND 0 1518 0 ETF SER SOLUTIONS US GBL GLD PRE 26922A719 759 59928 SH DFND 0 59928 0 VEREIT INC COM 92339V100 5903 712087 SH DFND 0 712087 0 VIRTUS TOTAL RETURN FUND INC COM 92837G100 423 32416 SH DFND 0 32416 0 VITAMIN SHOPPE INC COM 92849E101 774 144703 SH DFND 0 144703 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 5185 182189 SH DFND 0 182189 0 WESTERN ASSET CLYM INFL OPP COM 95766R104 24676 2187628 SH DFND 0 2187628 0 WESTERN ASSET CLYM INFL SEC COM SH BEN INT 95766Q106 4685 405633 SH DFND 0 405633 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 387 5011 SH DFND 0 5011 0 DISNEY WALT CO COM DISNEY 254687106 4279 43409 SH DFND 0 43409 0 WHEATON PRECIOUS METALS CORP COM 962879102 8000 419074 SH DFND 0 419074 0 ARRAY BIOPHARMA INC COM 04269X105 2783 226256 SH DFND 0 226256 0 GENERAL MLS INC COM 370334104 377 7278 SH DFND 0 7278 0 GREAT PANTHER SILVER LTD COM 39115V101 1087 876971 SH DFND 0 876971 0 ISHARES TR 20 YR TR BD ETF 464287432 417 3345 SH DFND 0 3345 0 PEPSICO INC COM 713448108 690 6194 SH DFND 0 6194 0 BRIXMOR PPTY GROUP INC COM 11120U105 3296 175342 SH DFND 0 175342 0 TRAVELZOO COM NEW 89421Q205 98 11426 SH DFND 0 11426 0 UNITI GROUP INC COM 91325V108 4784 326305 SH DFND 0 326305 0 INVESCO SR INCOME TR COM 46131H107 1507 335600 SH DFND 0 335600 0