-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DwnxybPU1YgzsLvMcC1mWskA2lopMbwN15lV3qDnO7Sq0iWvkf4X6KjB+cK1Upwr Z5RwpOGjUklUKTSCKBZMaA== 0001051042-09-000013.txt : 20090130 0001051042-09-000013.hdr.sgml : 20090130 20090130143532 ACCESSION NUMBER: 0001051042-09-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090130 DATE AS OF CHANGE: 20090130 EFFECTIVENESS DATE: 20090130 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: 09557756 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 fimg13f123108.txt FINANCIAL & INVESTMENT MANAGEMENT GROUP UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calender Year or Quarter End: December 31, 2008 Check here if Amendment { }; Amendment Number: This Amendment (Check only one): { } is a restatement { } adds new holding entries Institutional Investment Manager Filing this Report Name: Financial & Investment Management Group, Ltd. Address: 111 Cass St Traverse City, MI 49684 13F File Number: 28-6648 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct, and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form Person Signing this Report on Behalf of Reporting Manager: Name: Matthew Bohrer Title: Chief Compliance Officer Phone: 231-929-4500 Signature, Place, and Date of Signing: Matthew Bohrer, Traverse City, MI, 49684, January 30, 2009 Report Type ( Check only one): [x] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT List of Other Managers Reporting for this Manager: None I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934 FORM 13F SUMMARY PAGE REPORT SUMMARY: NUMBER OF OTHER INCLUDED MANAGERS: 0 FORM 13F INFORMATION TABLE ENTRY TOTAL: 116 FORM 13F INFORMATION TABLE VALUE TOTAL: $151,719,420.41 LIST OF OTHER MANAGERS REPORTING FOR THIS REPORT: NONE FORM 13F INFORMATION TABLE NAME OF ISSUER TITLE OF SH/P VOTING AUTHORITY CLASS CUSIP VALUE AMOUNT S/PP/CINV DIS MANAGER SOLE SHARED 1800FLOWERS COM INC CL A 68243q106 466494.58 122119SH SHARED 01 122119 21ST CENTURY HLDG CO COM 90136q100 1748005.57 377539SH SHARED 01 377539 ACTION PRODUCTS INTL INC COM 004920104 769537.68 1113658SH SHARED 01 1113658 ASM INTL NV NOTE 4.250%12/0 00207DAG7 236697.6 402000SH SHARED 01 402000 AT&T INC COM COM 00206r102 1801200 63200SH SHARED 01 63200 AURORA OIL & GAS CORP COM 052036100 195881.96 2838869SH SHARED 01 2838869 BARRICK GOLD CORP COM 067901108 2413104.79 65627SH SHARED 01 65627 BERKSHIRE HATHAWAY INCDEL CL B CL B 084670207 3834302 1193SH SHARED 01 1193 BLACKROCK ECOSOLUTIONS INVEST COM SH 092546100 320229 39100SH SHARED 01 39100 BLACKROCK GLOBAL EQUITYINCOME COM 09255d104 669260 76750SH SHARED 01 76750 BLACKROCK INCOME TR INC COM 09247f100 342951 58325SH SHARED 01 58325 BLACKROCK INTL GROWTH& INCOME COM BENE INTER 092524107 1075258.5 126650SH SHARED 01 126650 BLACKROCK LTD DURATIONINCOME T COM SHS 09249w101 6277897.67 585079SH SHARED 01 585079 BLACKROCK PFD & EQUITYADVANTAG COM 092508100 1871694.25 224155SH SHARED 01 224155 BLACKROCK REAL ASSET EQUITYTR COM 09254b109 986524.31 140731SH SHARED 01 140731 BLACKROCK WORLD INV TRUST COM SHS BEN INT 09250k103 169918.75 19375SH SHARED 01 19375 BP PLC SPONADR REPSNTG ORDSHRS SPONSORED ADR 055622104 2399725.08 51342SH SHARED 01 51342 CASTLE CONV FD INC COM 148443104 271080 18825SH SHARED 01 18825 CITIGROUP INVTS CORPLN FD INC COM 50208b100 139310.28 22800SH SHARED 01 22800 COHEN & STEERS SELECT UTIL FD COM 19248a109 545374.7 52949SH SHARED 01 52949 COHEN STEERS DIVIDEND MAJOR COM 19248g106 1901050 197000SH SHARED 01 197000 COLGATE PALMOLIVE CO COM 194162103 13708 13431SH SHARED 01 13431 CYCLE COUNTRY ACCESSORIES CO COM 232984104 133352.4 333381SH SHARED 01 333381 DELAWARE INVESTMENTS GLOBALDIV COM 245916101 316791.26 66067SH SHARED 01 66067 DEUTSCHE TELEKOM A G SPONADR I SPONSORED ADR 251566105 1645438.5 107545SH SHARED 01 107545 DIEDRICH COFFEE, INC. COM NEW 253675201 276394.68 767763SH SHARED 01 767763 DISNEY WALT CO DEL (HOLDINGCOM COM DISNEY 254687106 359160.01 15829SH SHARED 01 15829 DIVIDEND CAP REAL INC ALLOC COM 25537t105 416500 208250SH SHARED 01 208250 DOW CHEMICAL CO COM 260543103 1350313.56 89484SH SHARED 01 89484 DU PONT E I DE NEMOURS& CO COM 263534109 2004638.92 79235SH SHARED 01 79235 DWS DREMAN VALUE INCOMEEDGE FD COM 23339m105 2021055 502750SH SHARED 01 502750 DWS RREEF SLD RE STR COM 23339t100 802676.43 146207SH SHARED 01 146207 ENI SPA ADR SPONSORED ADR 26874r108 1787033.4 37370SH SHARED 01 37370 EVERGREEN GLOBAL DIVIDOPPORTUN COM 30024h101 2745802.8 287820SH SHARED 01 287820 EVERGREEN INTL BALANCEDINCOME COM 30024r109 1599510.25 129515SH SHARED 01 129515 EXPRESSJET HLDS conv bond NOTE 11.250% 8/0 30218UAB4 414327.65 619000SH SHARED 01 619000 EXXON MOBIL CORP. COM 30231G102 308463.12 5100SH SHARED 01 5100 FASTENALCO COM 311900104 118785.94 43412SH SHARED 01 43412.25 FELCOR LODGING TR $1.95 SER PFD CV A $1.95 31430f200 243040.5 36006SH SHARED 01 36006 FIRST FEDERAL OF NORTHERN MI COM 32021x105 346107.5 276886SH SHARED 01 276886 FIRST TRUST ABERDEEN GLOBAL COM SHS 337319107 124800 12000SH SHARED 01 12000 FIRST TRUST ACTIVE DIVIDEND COM 33731l100 108680 11000SH SHARED 01 11000 FLAH & CRUM/CLAYMORE PFD S I COM SHS 338478100 249550 32200SH SHARED 01 32200 FRANKLIN RESOURCES, INC. COM 354613101 687548.4 10780SH SHARED 01 10780 FRANKLIN TEMPLETON LTD DUR COM 35472t101 484818.75 57375SH SHARED 01 57375 GENERAL ELECTRIC CO COM 369604103 1521779.4 93937SH SHARED 01 93937 HANCOCK JOHN INVT TR TAXADVANT TAX ADV GLB SH 41013p749 569335.5 52425SH SHARED 01 52425 HANCOCK JOHN TAX ADVANTAGEDIVI COM 41013v100 745977.5 72425SH SHARED 01 72425 ING PRIME RATE TRUST SH BEN INT 44977W106 147026 44825SH SHARED 01 44825 INTERVAL LEISURE GROUP COM 46113M108 93020.62 17258SH SHARED 01 17258 JAPAN EQUITY FUND INC COM 471057109 1048296 211350SH SHARED 01 211350 JOHN HANCOCK PATRIOT PREMDIVID COM SH BEN INT 41013t105 7895918.07 1110537SH SHARED 01 1110537 LAZARD WORLD DIVIDEND AND INCO COM 521076109 176813 20300SH SHARED 01 20300 LIBERTY MEDIA LLC 3.125% 03/30 DEB 3.125% 3/3 530718AF2 1368000 1900000SH SHARED 01 1900000 LILLY ELI & CO COM 532457108 2011768.39 49957SH SHARED 01 49957 Macquarie/First Trust Global I COM 55607w100 246960 25725SH SHARED 01 25725 MADISON / CLAYMORE COVEREDCALL COM 556582104 516777.57 83217SH SHARED 01 83217 MARKET LEADER, INC. COM COM ADDED 57056r103 3873460.2 2278506SH SHARED 01 2278506 MERCK & CO INC COM 589331107 1745963.2 57433SH SHARED 01 57433 MFS MULTIMARKET INCOME TRUST SH BEN INT 552737108 525733 109300SH SHARED 01 109300 MFSINTER INCOME TR SH BEN INT SH BEN INT 55273c107 1202031.25 192325SH SHARED 01 192325 MORGANSTANLEY ASIA PACIFIC FD COM 61744u106 657332.39 61375SH SHARED 01 61375 MSDW EMERGING MKTS. COM 61744G107 218386 26600SH SHARED 01 26600 NEW YORK TIMES-A CL A 650111107 1292682.15 176355SH SHARED 01 176355 NEWMONT MINING CORP. COM 651639106 2466420 60600SH SHARED 01 60600 NEWS CORP LTD - SPONS ADR PRF CL A 65248e104 613847.7 67530SH SHARED 01 67530 NICHOLAS APPLEGATE C & I II COM 65370g109 182255.5 42385SH SHARED 01 42385 NICHOLAS APPLEGATE CVT & INC COM 65370f101 309952 66800SH SHARED 01 66800 NUVEEN GLOBAL GOVERNMENT COM 67073C104 1163224.53 73021SH SHARED 01 73021 NUVEEN MI PREM INCOME MUNI FUN COM 67101Q109 490496 51200SH SHARED 01 51200 NUVEEN MULTI STRATEGY INCOME & COM 67073b106 3367094.2 731977SH SHARED 01 731977 NUVEEN QUAL. PFD. INCOME FUND COM 67072c105 244188 48450SH SHARED 01 48450 NUVEEN TAX ADVANTAGED FLOATING COM 6706ev102 1054042.8 331460SH SHARED 01 331460 NUVEENMULTI STRATEGY INCOME AN COM SHS 67073d102 2348971.45 482335SH SHARED 01 482335 ORION ENERGY SYSTEMS, INC. COM 686275108 58428 10800SH SHARED 01 10800 PETROLEUM & RES CORP COM 716549100 4930613.63 254024SH SHARED 01 254024.4 PFIZER INC COM 717081103 1732852.66 97846SH SHARED 01 97846 PIONEER FLOATING RATE TRUST COM 72369j102 1029532.28 146448SH SHARED 01 146448 PLACER DOME INC DBCV 2.750% 10/1 725906AK7 3316823.3 2165000SH SHARED 01 2165000 PREFERRED INCOME STRAT FUND COM 09255H105 823553.1 127485SH SHARED 01 127485 PROCTER & GAMBLE CO COM 742718109 40183 13136SH SHARED 01 13136 PUTNAM MASTER INTER INCOME TR SH BEN INT 746909100 1498398.75 369975SH SHARED 01 369975 PUTNAM PREMIER INC TR SH BEN SH BEN INT 746853100 1703086.38 440074SH SHARED 01 440074 RMR ASIA PACIFIC REAL ESTATE COM 76969w108 439329.75 68325SH SHARED 01 68325 RMR ASIA REAL ESTATE FUND COM BENE INTER 74964q101 937261.3 142699SH SHARED 01 142699 RMR F I R E FUND COM 74963m101 79315.66 56650SH SHARED 01 56650 RMR HOSPITALITY & REAL ESTATE COM 74963j108 514576.65 251013SH SHARED 01 251013 RMR REAL ESTATE FUND SH BEN INT 74963f106 925740.9 342867SH SHARED 01 342867 ROYAL DUTCH SHELL PLCSPONS ADR SPON ADR B 780259107 2007827.2 39040SH SHARED 01 39040 ROYAL GOLD INC COM 780287108 8247596 167600SH SHARED 01 167600 S&P QUAL RANK GL EQ MGD TRST SHS BEN INT 09250d109 421022 42700SH SHARED 01 42700 SANOFI-AVENTIS SPONSOREDADR FO SPONSORED ADR 80105n105 1949539.2 60620SH SHARED 01 60620 SECTOR SPDR TR SHS BEN INT UT SBI INT-UTILS 81369y886 1289657.75 44425SH SHARED 01 44425 SELIGMAN LASALLE INTLREAL ESTA COM 81634a101 1580936 282310SH SHARED 01 282310 SIFY LTD - SPONS ADR SPONSORED ADR 82655m107 726727.2 478110SH SHARED 01 478110 STATOILASA SPON ADR SPONSORED ADR 85771p102 950453 57050SH SHARED 01 57050 STRATEGIC GLOBAL FUND COM 862719101 455866 59050SH SHARED 01 59050 STRATEGIC HOTELS & RESORTS I COM 86272t106 282937.2 168415SH SHARED 01 168415 SWISS HELVETIA FUND COM 870875101 377064.05 30335SH SHARED 01 30335 T ROWE PRICE GROUP INC COM 74144t108 597518.4 16860SH SHARED 01 16860 TCW STRATEGIC INCOME FUND INC COM 872340104 104994 34200SH SHARED 01 34200 Templeton Emerg Mkts Inc Fund COM 880192109 263826.1 28865SH SHARED 01 28865 TEMPLETON GLOBAL INCOMEFD INC COM 880198106 9215412.2 1186040SH SHARED 01 1186040 TOFUTTI BRANDS INC COM 88906b105 838236.8 408896SH SHARED 01 408896 TREE.COM, INC. COM 894675107 1250628.6 481011SH SHARED 01 481011 UNITED ONLINE INC COM 911268100 1453279.4 239420SH SHARED 01 239420 UNITED PARCEL SERVICE, INC. CL B 911312106 552537.72 10017SH SHARED 01 10017 US GLOBAL INVESTORS INC CL A CL A 902952100 743680.98 152082SH SHARED 01 152082 VAN KAMPEN SENIOR INCOME TR COM 920961109 1232128 481300SH SHARED 01 481300 W P STEWART & CO LTD COM DELETED g84922106 500340.53 241710SH SHARED 01 241710 WAC US TREAS. INFLATION PROTEC COM SH BEN INT 95766q106 2682894.23 248416SH SHARED 01 248416 WASHINGTON POST -CL B CL B 939640108 624009.75 1599SH SHARED 01 1599 WEBMD CORP (HLTH) NOTE 1.750% 6/1 94769MAE5 717539.2 824000SH SHARED 01 824000 WESTERN ASSET CLAYMOREINFLATIO COM 95766r104 5788295.22 551792SH SHARED 01 551792 WESTERN ASSET INFLATION MGMT F COM 95766u107 3307485.87 229209SH SHARED 01 229209 YELLOW CORP NOTE 5.00% 8/0 985577AA3 435545.24 1420000SH SHARED 01 1420000
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