-----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, L9tiyJIjan5ubp/qB24a1YpPydZrceoLpADYo3SVOK+3owMdfxPseKx0aC6Bbzgz l7+jTg8lg7b63bjKYy1cpg== 0001051042-09-000038.txt : 20090807 0001051042-09-000038.hdr.sgml : 20090807 20090807111631 ACCESSION NUMBER: 0001051042-09-000038 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090807 DATE AS OF CHANGE: 20090807 EFFECTIVENESS DATE: 20090807 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: 09994043 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 fimg13f063009.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: June 30, 2009 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, August 7, 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: 109 FORM 13F INFORMATION TABLE VALUE TOTAL: $186,273,181.80 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 DI MANAGER SOLE SHARED 1800FLOWERS COM INC CL A 68243q106 195348.48 101744SH SHARED 01 101744 21ST CENTURY HLDG CO COM 90136q100 830859.82 258031SH SHARED 01 258031 ACTION PRODUCTS INTL INC COM DELET004920104 8199 91100SH SHARED 01 91100 ADVENT CLAYMORE CVT SEC & INC COM 00764c109 331476 27600SH SHARED 01 27600 ASM INTL NV NOTE 4.250%12/0 00207DAG7 346935.55 381000SH SHARED 01 381000 AT&T INC COM COM 00206r102 2058764.04 82881SH SHARED 01 82881 BANK OF AMERICA CORP COM 060505104 168070.6 12733SH SHARED 01 12733 BARRICK GOLD CORP COMNPV ISIN# COM 067901108 2125325.4 63348SH SHARED 01 63348 BERKSHIRE HATHAWAY INCDEL CL B CL B 084670207 6628325.97 2289SH SHARED 01 2289 BLACKROCK GLOBAL EQUITYINCOME COM 09255d104 580747.75 61325SH SHARED 01 61325 BLACKROCK INCOME TR INC COM 09247f100 4175564.64 669161SH SHARED 01 669161 BLACKROCK INTL GROWTH& INCOME COM BENE INTER 092524107 406317 39835SH SHARED 01 39835 BLACKROCK LTD DURATIONINCOME T COM SHS 09249w101 5753865.5 434254SH SHARED 01 434254 BLACKROCK PFD & EQUITY ADVANTA COM 092508100 1161228.6 120210SH SHARED 01 120210 BLACKROCK REAL ASSET EQUITYTR COM 09254b109 2189151.36 245696SH SHARED 01 245696 BLACKROCK WORLD INV TRUST COM SHS BEN INT 09250k103 228505.5 23175SH SHARED 01 23175 BOULDER TOTAL RETURN FUND, INC COM 101541100 592047 62850SH SHARED 01 62850 BP PLC SPONSOREDADR SPONSORED ADR 055622104 2242247.36 47027SH SHARED 01 47027 CALAMOS GLOBAL DYNAMIC INCOME COM 12811l107 280508.7 40130SH SHARED 01 40130 Calamos Strat Tot Return Fd COM SH BEN INT 128125101 1721683.3 227135SH SHARED 01 227135 CHARTWELL DIVID & INCOMEFD INC COM 16139p104 1317220.59 415527SH SHARED 01 415527 CHUNGHWA TELECOM ADR EACHREPR SPONS ADR NEW 09 17133q403 1895648.85 95595SH SHARED 01 95595 COHEN & STEERS SELECTUTIL FD I COM 19248a109 6416463.46 528539SH SHARED 01 528539 COHEN STEERS DIVIDEND MAJOR COM 19248g106 1681730 195550SH SHARED 01 195550 COLGATE PALMOLIVE CO COM 194162103 950108.94 13431SH SHARED 01 13431 DCA TOTAL RETURN FUND (N/C 3/0 COM ADDED233066109 324051 207725SH SHARED 01 207725 DELAWARE INVESTMENTS GLOBALDIV COM 245916101 271715.1 51267SH SHARED 01 51267 DENALI FD INC COM COM 24823a102 409116.6 40830SH SHARED 01 40830 DEUTSCHE TELEKOM AG ADSEACH RE SPONSORED ADR 251566105 1333636 113020SH SHARED 01 113020 DOW CHEMICAL CO COM 260543103 3808145.44 235945SH SHARED 01 235945 DU PONT E I DE NEMOURS& CO COM 263534109 2309768.84 90155SH SHARED 01 90155 DWS DREMAN VALUE INCOME EDGE F COM 23339m105 3588090 815475SH SHARED 01 815475 DWS RREEF WORLD REAL ESTATE& T COM 23339t100 2074961.6 357752SH SHARED 01 357752 EATON VANCE SHT DURATION DIVER COM 27828v104 2710788.2 188380SH SHARED 01 188380 ENI ADR EACH REP 2 ORDEUR1(MGT SPONSORED ADR 26874r108 1857997.9 39190SH SHARED 01 39190 EV TAX ADV GLB DIV INCOME COM 27828s101 157530.4 14695SH SHARED 01 14695 EVERGREEN GLOBAL DIV OPPORTUNI COM 30024h101 112864.4 12430SH SHARED 01 12430 EVERGREEN INTL BALANCED INCOME COM 30024r109 2769151.34 220825SH SHARED 01 220825 EVERGREEN MULT SECTOR INCOME F COM SHS 30024y104 2777055.3 225045SH SHARED 01 225045 EXPRESSJET HLDS conv bond NOTE 11.250% 8/0 30218UAB4 414163.2 583000SH SHARED 01 583000 EXXON MOBIL CORP. COM 30231G102 342652.054901.331SH SHARED 01 4901.331 FASTENALCO COM 311900104 1467666.5644246.81SH SHARED 01 44246.81 FIRST FEDERAL OF NORTHERN MI COM 32021x105 503057.1 257978SH SHARED 01 257978 FIRST TRUST ABERDEEN GLOBAL COM SHS 337319107 1200798 90150SH SHARED 01 90150 FRANKLIN TEMPLETON LTD DUR COM 35472t101 1587699 157980SH SHARED 01 157980 GABELLI DIVIDEND & INCOME TR COM 36242h104 149637.6 14845SH SHARED 01 14845 GENERAL ELECTRIC CO COM 369604103 2690234.22 229542SH SHARED 01 229542 HANCOCK JOHN INVT TR TAX ADVAN TAX ADV GLB SH 41013p749 451143 41850SH SHARED 01 41850 HANCOCK JOHN TAX ADVANTAGE DIV COM 41013v100 965044.8 96120SH SHARED 01 96120 ISHARES BARCLAYS TREASINFLATIO BARCLYS TIPS BD 464287176 3395284.2 33405SH SHARED 01 33405 JAPAN EQUITY FUND INC COM 471057109 1282671 259650SH SHARED 01 259650 JAPAN SMALLER CAP FUND, INC. COM 47109u104 1771952.7 241082SH SHARED 01 241082 JOHN HANCOCK PATRIOT PREMDIVID COM SH BEN INT 41013t105 8900763.82 1121003SH SHARED 01 1121003 LAZARD WORLD DIVID & INCOMEFD COM 521076109 1610419.9 181968SH SHARED 01 181968 LILLY ELI & CO COM 532457108 1678238.72 48448SH SHARED 01 48448 LMP CORPORATE LN FD INC COM COM 50208b100 519655.5 63450SH SHARED 01 63450 Macquarie/First Trust Global I COM 55607w100 1502880 148800SH SHARED 01 148800 MADISON/CLAYMORE COVEREDCALL & COM 556582104 1331553.66 190767SH SHARED 01 190767 MARKET LEADER INC COM COM 57056r103 2289683.95 1237667SH SHARED 01 1237667 MERCK & CO INC COM 589331107 2690077.9 96212SH SHARED 01 96212 MFS INTERMARKET INC TRUST I SH BEN INT 59318r103 93473.93 12766SH SHARED 01 12766 MFS MULTIMARKET INCOMETR SH BE SH BEN INT 552737108 1664851.5 290550SH SHARED 01 290550 MFS SPECIAL VALUE TR SH BEN INT 5.53E+106 92762.56 18050SH SHARED 01 18050 MFSINTER INCOME TR SH BEN INT SH BEN INT 55273c107 393855 59675SH SHARED 01 59675 MONTGOMERY STREET INCOME SEC COM 614115103 418948.85 28993SH SHARED 01 28993 MORGAN STANLEY ASIA PACIFICFD COM 61744u106 1875362.5 148250SH SHARED 01 148250 MSDW EMERGING MKTS. COM 61744G107 218673 20025SH SHARED 01 20025 NEUBERGER BERMAN INTER MUN FD COM 64124p101 135580.35 10829SH SHARED 01 10829 NEWMONT MNG CORP HLDGCO COM 651639106 2357585.95 57685SH SHARED 01 57685 NFJ DIV INT & PREM STRATEGY FU COM SHS 65337h109 760128 64200SH SHARED 01 64200 NUVEEN GLOBAL GOVERNMENT COM 67073C104 1691966.8 100235SH SHARED 01 100235 NUVEEN MI PREM INCOME MUNI FUN COM 67101Q109 602257.25 53725SH SHARED 01 53725 NUVEEN MULTI STRAT INCOME & GR COM 67073b106 4780848.8 853723SH SHARED 01 853723 NUVEENMULTI STRATEGY INCOME & COM SHS 67073d102 2887392.2 503030SH SHARED 01 503030 ORION ENERGY SYSTEMS, INC. COM 686275108 40500 10800SH SHARED 01 10800 OTTER TAIL POWER CO. COM 689648103 2314821.6 105990SH SHARED 01 105990 PETROLEUM & RES CORP COM 716549100 6172152.36301964.4SH SHARED 01 301964.4 PFIZER INC COM 717081103 1891245 126083SH SHARED 01 126083 PIMCO 1-3yr US Treasury 1-3YR USTREIDX 72201R106 1557503 31175SH SHARED 01 31175 PIONEER FLOATING RATE TRUST COM 72369j102 1371271.42 144344SH SHARED 01 144344 PLACER DOME INC DBCV 2.750% 10/1 725906AK7 2851871.36 2032000SH SHARED 01 2032000 PROCTER & GAMBLE CO COM 742718109 674315.6 13196SH SHARED 01 13196 PUTNAM PREMIER INC TR SH BEN SH BEN INT 746853100 2647957.36 530972SH SHARED 01 530972 RMR ASIA PACIFIC REAL ESTATE COM 76969w108 1450498.26 91341SH SHARED 01 91341 ROYAL DUTCH SHELL ADREA REP 2 SPON ADR B 780259107 2188353.22 43027SH SHARED 01 43027 ROYAL GOLD INC COM 780287108 6563840.36 157444SH SHARED 01 157444 ROYCE MICRO CAP TRUST INC COM 780915104 105956.3 17630SH SHARED 01 17630 S&P QUAL RANK GL EQ MGD TRST SHS BEN INT 09250d109 638273.44 61610SH SHARED 01 61610 SANOFI-AVENTIS SPON ADRECH REP SPONSORED ADR 80105n105 1758547.68 59632SH SHARED 01 59632 SECTOR SPDR TR SHS BEN INT UT SBI INT-UTILS 81369y886 1220884.75 43775SH SHARED 01 43775 SELIGMAN LASALLE INTL REAL EST COM 81634a101 2430525.2 436360SH SHARED 01 436360 SIFY LTD - SPONS ADR SPONSORED ADR 82655m107 600865.19 347562SH SHARED 01 347562 STATOILHYDRO ASA SPONADR EACH SPONSORED ADR 85771p102 1256086.95 63535SH SHARED 01 63535 STRATEGIC GLOBAL INCOMEFD INC COM 862719101 3158757.6 346355SH SHARED 01 346355 STRATEGIC HOTELS & RESORTS I COM 86272t106 126656.55 114105SH SHARED 01 114105 SWISS HELVETIA FUND INC COM 870875101 352809.95 36485SH SHARED 01 36485 Templeton Emerg Mkts Inc Fund COM 880192109 172442.5 14995SH SHARED 01 14995 TOFUTTI BRANDS INC COM 88906b105 352092 270840SH SHARED 01 270840 TREE.COM, INC. COM 894675107 2362502.4 246094SH SHARED 01 246094 UNITED ONLINE INC COM 911268100 2786989.59 428109SH SHARED 01 428109 UNITED PARCEL SERVICE, INC. CL B 911312106 493751.23 9877SH SHARED 01 9877 US GLOBAL INVESTORS INCCL A CL A 902952100 4165472.1 449835SH SHARED 01 449835 VAN KAMPEN SENIOR INCOME TR COM 920961109 1386240 433200SH SHARED 01 433200 WEBMD CORP (HLTH) NOTE 1.750% 6/1 94769MAE5 758759.54 770000SH SHARED 01 770000 WESTERN ASSET CLAYMOREINFLATIO COM 95766r104 3939585 340500SH SHARED 01 340500 WESTERN ASSET INFLATION MGMT F COM 95766u107 3179467.18 205658SH SHARED 01 205658 WESTERN ASSET WORLDWIDEINCOME COM 957668106 1114590 105150SH SHARED 01 105150 YELLOW CORP NOTE 5.00% 8/0 985577AA3 181355.25 676000SH SHARED 01 676000 ZWEIG FD INC COM 989834106 496062.8 174670SH SHARED 01 174670
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