0001062993-18-004123.txt : 20181018
0001062993-18-004123.hdr.sgml : 20181018
20181018101706
ACCESSION NUMBER: 0001062993-18-004123
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180930
FILED AS OF DATE: 20181018
DATE AS OF CHANGE: 20181018
EFFECTIVENESS DATE: 20181018
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: 181127742
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
09-30-2018
09-30-2018
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
10-13-2018
0
114
303783
false
INFORMATION TABLE
2
form13fInfoTable.xml
FORM 13F INFORMATION TABLE
HANNON ARMSTRONG SUST INFR C
NOTE 4.125% 9/0
41068XAB6
1130
1163000
PRN
DFND
0
1163000
0
ROYAL GOLD INC
NOTE 2.875% 6/1
780287AA6
276
274000
PRN
DFND
0
274000
0
ABERDEEN ASIA PACIFIC INCOM
COM
003009107
682
164832
SH
DFND
0
164832
0
AEGON N V
NY REGISTRY SH
007924103
90
13971
SH
DFND
0
13971
0
AGIOS PHARMACEUTICALS INC
COM
00847X104
3462
44891
SH
DFND
0
44891
0
ANALOG DEVICES INC
COM
032654105
243
2632
SH
DFND
0
2632
0
APOLLO SR FLOATING RATE FD I
COM
037636107
828
51789
SH
DFND
0
51789
0
ARRAY BIOPHARMA INC
COM
04269X105
5086
334604
SH
DFND
0
334604
0
ASSOCIATED CAP GROUP INC
CL A
045528106
547
12845
SH
DFND
0
12845
0
BERKSHIRE HATHAWAY INC DEL
CL B NEW
084670702
1552
7250
SH
DFND
0
7250
0
BLACKROCK INCOME TR INC
COM
09247F100
130
22668
SH
DFND
0
22668
0
BLACKROCK MUN INCOME TR
SH BEN INT
09248F109
230
18500
SH
DFND
0
18500
0
BLACKROCK CR ALLCTN INC TR
COM
092508100
10315
842734
SH
DFND
0
842734
0
BLACKROCK MUNIYIELD FD INC
COM
09253W104
249
19000
SH
DFND
0
19000
0
BLACKROCK MUNIHLDS INVSTM QL
COM
09254P108
200
16000
SH
DFND
0
16000
0
BOULDER GROWTH & INCOME FD I
COM
101507101
471
41981
SH
DFND
0
41981
0
BRANDYWINEGBL GLBAL INM OPRT
COM
10537L104
5409
495328
SH
DFND
0
495328
0
BRIXMOR PPTY GROUP INC
COM
11120U105
8629
492820
SH
DFND
0
492820
0
CBRE CLARION GLOBAL REAL EST
COM
12504G100
1697
232511
SH
DFND
0
232511
0
CITRIX SYS INC
COM
177376100
222
2000
SH
DFND
0
2000
0
CLOUGH GLOBAL OPPORTUNITIES
SH BEN INT
18914E106
356
32877
SH
DFND
0
32877
0
COLGATE PALMOLIVE CO
COM
194162103
817
12200
SH
DFND
0
12200
0
CONSOLIDATED EDISON INC
COM
209115104
603
7918
SH
DFND
0
7918
0
COTT CORP QUE
COM
22163N106
3743
231744
SH
DFND
0
231744
0
DTE ENERGY CO
COM
233331107
811
7435
SH
DFND
0
7435
0
DISNEY WALT CO
COM DISNEY
254687106
4863
41586
SH
DFND
0
41586
0
ETF SER SOLUTIONS
US GBL GLD PRE
26922A719
779
73723
SH
DFND
0
73723
0
EATON VANCE MI MUNI INCOME T
SH BEN INT
27826D106
1227
98752
SH
DFND
0
98752
0
EATON VANCE SR INCOME TR
SH BEN INT
27826S103
276
42776
SH
DFND
0
42776
0
EVERSOURCE ENERGY
COM
30040W108
1727
28116
SH
DFND
0
28116
0
FASTENAL CO
COM
311900104
1527
26311
SH
DFND
0
26311
0
FIRST TRUST MORTGAGE INCM FD
COM SHS
33734E103
161
12054
SH
DFND
0
12054
0
FRANKLIN STREET PPTYS CORP
COM
35471R106
4469
559300
SH
DFND
0
559300
0
FRANKLIN UNVL TR
SH BEN INT
355145103
10740
1615002
SH
DFND
0
1615002
0
GDL FUND
COM SH BEN IT
361570104
3312
364518
SH
DFND
0
364518
0
GABELLI HLTHCARE & WELLNESS
SHS
36246K103
417
37809
SH
DFND
0
37809
0
GENERAL MLS INC
COM
370334104
305
7104
SH
DFND
0
7104
0
GLOBAL WTR RES INC
COM
379463102
3999
377623
SH
DFND
0
377623
0
GLOBAL SELF STORAGE INC
COM
37955N106
1548
369452
SH
DFND
0
369452
0
GREAT PANTHER SILVER LTD
COM
39115V101
3442
4048896
SH
DFND
0
4048896
0
HANESBRANDS INC
COM
410345102
4399
238684
SH
DFND
0
238684
0
HANNON ARMSTRONG SUST INFR C
COM
41068X100
4619
215134
SH
DFND
0
215134
0
HOME DEPOT INC
COM
437076102
241
1161
SH
DFND
0
1161
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
319
2106
SH
DFND
0
2106
0
INVESCO SR INCOME TR
COM
46131H107
4245
987204
SH
DFND
0
987204
0
INVESCO DYNAMIC CR OPP FD
COM
46132R104
5132
447427
SH
DFND
0
447427
0
ISHARES TR
TIPS BD ETF
464287176
455
4116
SH
DFND
0
4116
0
ISHARES TR
20 YR TR BD ETF
464287432
373
3181
SH
DFND
0
3181
0
ISHARES TR
BARCLAYS 7 10 YR
464287440
3124
30877
SH
DFND
0
30877
0
ISHARES TR
1 3 YR TREAS BD
464287457
3139
37783
SH
DFND
0
37783
0
ISHARES TR
0-5 YR TIPS ETF
46429B747
323
3268
SH
DFND
0
3268
0
KENNEDY-WILSON HLDGS INC
COM
489398107
11715
544898
SH
DFND
0
544898
0
KIMCO RLTY CORP
COM
49446R109
5807
346885
SH
DFND
0
346885
0
KONINKLIJKE PHILIPS N V
NY REG SH NEW
500472303
3701
81321
SH
DFND
0
81321
0
LEXINGTON REALTY TRUST
COM
529043101
495
59660
SH
DFND
0
59660
0
LIBERTY MEDIA CORP DELAWARE
COM SER C FRMLA
531229854
1158
42504
SH
DFND
0
42504
0
LIFEWAY FOODS INC
COM
531914109
661
248410
SH
DFND
0
248410
0
MFS INTER INCOME TR
SH BEN INT
55273C107
1187
315641
SH
DFND
0
315641
0
MFS GOVT MKTS INCOME TR
SH BEN INT
552939100
188
42473
SH
DFND
0
42473
0
MCDONALDS CORP
COM
580135101
766
4576
SH
DFND
0
4576
0
MEDICAL PPTYS TRUST INC
COM
58463J304
6677
447811
SH
DFND
0
447811
0
MERCK & CO INC
COM
58933Y105
7332
103354
SH
DFND
0
103354
0
MORGAN STANLEY EMER MKTS FD
COM
61744G107
346
22190
SH
DFND
0
22190
0
MORGAN STANLEY ASIA PAC FD I
COM
61744U106
528
31959
SH
DFND
0
31959
0
NEW SR INVT GROUP INC
COM
648691103
258
43791
SH
DFND
0
43791
0
NOKIA CORP
SPONSORED ADR
654902204
5835
1045700
SH
DFND
0
1045700
0
NUVEEN CR STRATEGIES INCM FD
COM SHS
67073D102
10498
1317173
SH
DFND
0
1317173
0
NUVEEN MUN VALUE FD INC
COM
670928100
281
30000
SH
DFND
0
30000
0
NUVEEN MICHIGAN QLT MUN INC
COM
670979103
1540
124657
SH
DFND
0
124657
0
OMNICOM GROUP INC
COM
681919106
5727
84197
SH
DFND
0
84197
0
OSISKO GOLD ROYALTIES LTD
COM
68827L101
2443
321856
SH
DFND
0
321856
0
PEPSICO INC
COM
713448108
643
5754
SH
DFND
0
5754
0
PIMCO ETF TR
25YR+ ZERO U S
72201R882
3826
35090
SH
DFND
0
35090
0
PROCTER AND GAMBLE CO
COM
742718109
739
8883
SH
DFND
0
8883
0
REGENERON PHARMACEUTICALS
COM
75886F107
4257
10536
SH
DFND
0
10536
0
SPDR SERIES TRUST
PORTFOLIO LN TSR
78464A664
4030
119224
SH
DFND
0
119224
0
SANDSTORM GOLD LTD
COM NEW
80013R206
5345
1432980
SH
DFND
0
1432980
0
SCHWAB STRATEGIC TR
INTRM TRM TRES
808524854
4598
88783
SH
DFND
0
88783
0
SCHWAB STRATEGIC TR
SHT TM US TRES
808524862
13531
272960
SH
DFND
0
272960
0
SCHWAB STRATEGIC TR
US TIPS ETF
808524870
16673
308987
SH
DFND
0
308987
0
SEQUENTIAL BRNDS GROUP INC N
COM
81734P107
1667
998260
SH
DFND
0
998260
0
BERKSHIRE HATHAWAY INC DEL
CL A
084670108
1280
4
SH
DFND
0
4
0
SPECIAL OPPORTUNITIES FD INC
COM
84741T104
696
46305
SH
DFND
0
46305
0
SPECIAL OPPORTUNITIES FD INC
PFD CONV SE B
84741T302
485
19017
SH
DFND
0
19017
0
TEMPLETON GLOBAL INCOME FD
COM
880198106
8316
1358822
SH
DFND
0
1358822
0
U S GLOBAL INVS INC
CL A
902952100
938
617292
SH
DFND
0
617292
0
UNITEDHEALTH GROUP INC
COM
91324P102
404
1518
SH
DFND
0
1518
0
UNITI GROUP INC
COM
91325V108
6260
310648
SH
DFND
0
310648
0
VANGUARD SCOTTSDALE FDS
INTER TERM TREAS
92206C706
313
5045
SH
DFND
0
5045
0
VEREIT INC
COM
92339V100
6685
920862
SH
DFND
0
920862
0
VODAFONE GROUP PLC NEW
SPONSORED ADR
92857W308
3090
142414
SH
DFND
0
142414
0
VOYA PRIME RATE TR
SH BEN INT
92913A100
6226
1250108
SH
DFND
0
1250108
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
365
5011
SH
DFND
0
5011
0
WESTERN ASST MNGD MUN FD INC
COM
95766M105
254
21000
SH
DFND
0
21000
0
WESTERN ASSET GLOBAL CP DEFI
COM
95790C107
1002
61837
SH
DFND
0
61837
0
WHEATON PRECIOUS METALS CORP
COM
962879102
3838
219299
SH
DFND
0
219299
0
INGERSOLL-RAND PLC
SHS
G47791101
263
2567
SH
DFND
0
2567
0
NXP SEMICONDUCTORS N V
COM
N6596X109
3631
42462
SH
DFND
0
42462
0
BLACKROCK MUNIVEST FD INC
COM
09253R105
276
31600
SH
DFND
0
31600
0
PIMCO MUN INCOME FD II
COM
72200W106
198
15000
SH
DFND
0
15000
0
BLACKROCK MUNIVEST FD II INC
COM
09253T101
221
16575
SH
DFND
0
16575
0
NUVEEN MUNICIPAL CREDIT INC
COM SH BEN INT
67070X101
202
14000
SH
DFND
0
14000
0
BLACKROCK MUNIHOLDINGS FD IN
COM
09253N104
194
13000
SH
DFND
0
13000
0
WESTERN ASSET MUN DEF OPP TR
COM
95768A109
205
10000
SH
DFND
0
10000
0
NUVEEN ENHANCED MUN VALUE FD
COM
67074M101
183
14000
SH
DFND
0
14000
0
AT&T INC
COM
00206R102
4115
122544
SH
DFND
0
122544
0
ALGONQUIN PWR UTILS CORP
COM
015857105
3723
359379
SH
DFND
0
359379
0
ALGONQUIN PWR UTILS CORP
COM
015857105
168
16227
SH
DFND
0
16227
0
APPLE INC
COM
037833100
531
2353
SH
DFND
0
2353
0
GABELLI GLB SML & MD CP VAL
COM
36249W104
336
27525
SH
DFND
0
27525
0
INVESCO EXCH TRD SLF IDX FD
BULSHS 2020 HY
46138J601
9075
373075
SH
DFND
0
373075
0
NUCOR CORP
COM
670346105
1273
20062
SH
DFND
0
20062
0
ROYCE GLOBAL VALUE TR INC
COM
78081T104
370
35177
SH
DFND
0
35177
0
VERIZON COMMUNICATIONS INC
COM
92343V104
3275
61337
SH
DFND
0
61337
0