-----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, Jgje/KTsSLMw77HIkOXsaedt+eqZ1Qdt1Zml4oAJyGEd+RiijCzZIB3TkrSYT/+K dROsuIypKGPYg7qG6D3zpg== 0001051042-10-000002.txt : 20100129 0001051042-10-000002.hdr.sgml : 20100129 20100129154614 ACCESSION NUMBER: 0001051042-10-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100129 DATE AS OF CHANGE: 20100129 EFFECTIVENESS DATE: 20100129 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: 10559108 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 fimg13f123109.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, 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, January 29, 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: 99 FORM 13F INFORMATION TABLE VALUE TOTAL: $206,684,424.70 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/P/CINV DIS MANAGER SOLE SHARED A T & T INC NEW COM 00206r1023108779.3 110909SH SHARED 01 110909 ASM INTL NV 4.25%11F SUB NT CO NOTE 4.250%12/0 00207DAG7 453100.7 355000SH SHARED 01 355000 ADVENT CLAYMORE CONV FD CONV S COM 00764c109357400.75 22925SH SHARED 01 22925 APACHE CORP COM 037411105254210.88 2464SH SHARED 01 2464 BP PLC ADR F SPONSORED ADR 1 A SPONSORED ADR 0556221043427476.3 59125SH SHARED 01 59125 BANK OF AMERICA CORP COM 060505104338048.0422446.8SH SHARED 01 22446.75 BARRICK GOLD CORP F COM 0679011084142697.2 105198SH SHARED 01 105198 BLACKROCK INCOME TR INC COM 09247f1004938196.6 776446SH SHARED 01 776446 BLACKROCK LTD DURATION INCOME COM SHS 09249w1016295429.1 429429SH SHARED 01 429429 BLKROCK CR ALLO INCOME TRUST I COM 0925081001081816.9 95063SH SHARED 01 95063 BLACKROCK S&P QUAL RANK SHS BEN INT 09250d109610866.91 48810SH SHARED 01 48810 BLACKROCK REAL ASSET EQ COM 09254b109886621.26 69978SH SHARED 01 69978 BOULDER TOTAL RETURN FD COM 101541100 1390614 109325SH SHARED 01 109325 CALAMOS GLOBAL INCOME FD COM 12811l107331919.94 42229SH SHARED 01 42229 CALAMOS STRGC TOT RET FD COM SH BEN INT 1281251011943841.7 221920SH SHARED 01 221920 CHARTWELL DIV & INC FD COM 16139p1041552312.6 411754SH SHARED 01 411754 CHUNGHWA TELECM AXXX MANDATORY SPONS ADR NEW 09 17133q4032621006.9 141142SH SHARED 01 141142 CLAYMORE DIVIDEND INCOME FUND COM 18385j105 343361 21940SH SHARED 01 21940 COHEN & STEERS REIT FUND UTILI COM 19247y108 2869524 270200SH SHARED 01 270200 COHEN & STEERS INFRASTRUCTURE COM 19248a1093466445.4 217332SH SHARED 01 217332 COHEN & STEERS DIV MAJOR COM 19248g1062048764.3 196054SH SHARED 01 196054 COLGATE-PALMOLIVE CO COM 1941621031103356.7 13431SH SHARED 01 13431 D C A TOTAL RETURN FUND COM 233066109729631.15 305285SH SHARED 01 305285 DWS DREMAN VAL INCM NEW COM NEW 23339m2046288433.8 520997SH SHARED 01 520997 DWS RREEF REAL EST NEW COM NEW 23339t2092375302.9 167629SH SHARED 01 167629 DENALI FUND INC COM 24823a102470915.96 32954SH SHARED 01 32954 DU PONT E I DE NEMOUR&CO COM 2635341093094476.3 91906SH SHARED 01 91906 ENI S P A SPON ADR F SPONSORED SPONSORED ADR 26874r1083790334.7 74893SH SHARED 01 74893 EARTHLINK INC COM 270321102978884.76 117796SH SHARED 01 117796 EATON VANCE SHT DUR INCM COM 27828v1043558006.4 220720SH SHARED 01 220720 ENERPLUS RES FD NEW F TRUST UN UNIT TR G NEW 29274d604 2095100 91250SH SHARED 01 91250 EVERGREEN INTL BAL INCM COM 30024r1093448083.9 244026SH SHARED 01 244026 EVERGREEN MULTI SECT FD MULTI COM SHS 30024y1043305116.9 233083SH SHARED 01 233083 EXXON MOBIL CORPORATION COM 30231G102296367.924346.21SH SHARED 01 4346.21 FASTENAL CO COM 3119001042030006.548751.4SH SHARED 01 48751.36 FIRST FED N MICHIGAN BA COM 32021x105340376.18 278974SH SHARED 01 278974 FRANKLIN TEMPLETON LTD DURATIO COM 35472t1012212903.6 184424SH SHARED 01 184424 FRANKLIN UNIV TR S B I SH BEN SH BEN INT 355145103 192560 33200SH SHARED 01 33200 GABELLI DIV AND INC TR COM 36242h104281799.45 21495SH SHARED 01 21495 GENERAL ELECTRIC COMPANY COM 3696041033550340.4 234656SH SHARED 01 234655.7 HANCOCK JOHN PAT PREM II PREM COM SH BEN INT 41013t105 9916415 995624SH SHARED 01 995624 ISHARES TR BARCLAYS TIPS BOND BARCLYS TIPS BD 4642871767918842.4 76216SH SHARED 01 76216 ISHARES TR BARCLAYS BOND BARCL BARCLYS 20+ YR 464287432 1950613 21700SH SHARED 01 21700 JAPAN EQUITY FUND INC COM 471057109512435.32 97793SH SHARED 01 97793 JAPAN SMALLER CAP FUND COM 47109u104969219.24 132407SH SHARED 01 132407 LAZARD WORLD DIV & INCM COM 5210761092874596.2 257350SH SHARED 01 257350 LILLY ELI & COMPANY COM 5324571082285368.6 63998SH SHARED 01 63998 MFS MULTI MKT INC TRUST SH BEN SH BEN INT 552737108 1707186 262644SH SHARED 01 262644 MACQUARIE FIRST TR GLOBL COM 55607w100 1925241 155687SH SHARED 01 155687 MADISON CLAYMORE CVRD FD COM 5565821041468179.6 164964SH SHARED 01 164964 MARKET LEADER INC COM 57056r1032805146.21332611SH SHARED 01 1332611 MERCK & CO INC NEW CALL 58933y1053595329.498394.4SH SHARED 01 98394.35 MFS INTERMARKET INCM TR SH BEN INT 59318r103 118536 14817SH SHARED 01 14817 MONTGOMERY ST INCOME SEC COM 614115103873724.24 59518SH SHARED 01 59518 MSDW EMERGING MKTS. COM 61744G107214090.25 15325SH SHARED 01 15325 MRGN STNLY ASIA PAC FUND COM 61744u106 564904 38560SH SHARED 01 38560 NEUBERGER BERMAN INTER MUNI FD COM 64124p101145807.73 10873SH SHARED 01 10873 NEWMONT MINING CORP COM 6516391063058733.4 64653SH SHARED 01 64653 NFJ DIVIDEND INTEREST FD COM SHS 65337h1091521831.3 103175SH SHARED 01 103175 NIPPON TELE & TEL ADR F SPONSO SPONSORED ADR 654624105 584205.3 29595SH SHARED 01 29595 NUVEEN MULTI STRAT INCM COM 67073b1065374479.5 717554SH SHARED 01 717554 NUVEEN MULTI STRAT INCM COM SHS 67073d1023642789.9 473674SH SHARED 01 473674 NUVEEN MICH PREM INCOME MUNI F COM 67101Q109 680371.5 55450SH SHARED 01 55450 OTTER TAIL CORPORATION COM 6896481032776613.4 111870SH SHARED 01 111870 PETROLEUM & RESOURCES CP COM 7165491004537008.4 191112SH SHARED 01 191112.4 PFIZER INCORPORATED COM 7170811032940213.4 161639SH SHARED 01 161639 PIMCO EXCH TRADED FUND 1-3 YR 1-3YR USTREIDX 72201r1061522492.1 30383SH SHARED 01 30383 PLACER DOME INC 2.75%23F SR DE DBCV 2.750% 10/1 725906AK73367552.32032000SH SHARED 01 2032000 POWERSHS EXCH TRAD FD TR ACTIV LOW DURAT PORT 73935b409 807980.5 32050SH SHARED 01 32050 PROCTER & GAMBLE COM 742718109827356.98 13646SH SHARED 01 13646 RMR REAL EST INC FD NEW COM SHS 74964k6092417682.8 112189SH SHARED 01 112189 REGIONS FINANCIAL CP NEW COM 7591ep100 52900 10000SH SHARED 01 10000 RIVERSOURCE LASALLE INTL COM 76932w1023482212.3 471206SH SHARED 01 471206 RMR ASIA PAC R E FD NEW COM 76970b101 1330001 78745SH SHARED 01 78745 ROYAL DUTCH SHELL B ADRF SPONS SPON ADR B 7802591073066066.9 53345SH SHARED 01 53345 ROYAL GOLD INC COM 7802871087711458.4 163760SH SHARED 01 163760 ROYCE MICRO-CAP TRUST COM 780915104120956.44 16412SH SHARED 01 16412 S K TELECOM LTD ADR F SPONSORE SPONSORED ADR 78440p108720009.06 44281SH SHARED 01 44281 SPDR BARCLAYS CAPITAL SHORT TE BRCLYS SHRT ETF 78464a425 590291.5 24575SH SHARED 01 24575 SANOFI AVENTIS ADR F SPONSORED SPONSORED ADR 80105n1053062863.7 77995SH SHARED 01 77995 SECTOR SPDR TR SHS BEN INT UT SBI INT-UTILS 81369y886 1287330 41500SH SHARED 01 41500 SIFY TECH LTD ADR F SPONSORED SPONSORED ADR 82655m107466020.24 270942SH SHARED 01 270942 SMART BALANCE INC COM 83169y108 387000 64500SH SHARED 01 64500 STATOIL ASA ADR F SPONSORED AD SPONSORED ADR 85771p1023250331.5 130483SH SHARED 01 130483 STRATEGIC GLOBAL INCM FD COM 8627191013909868.3 355766SH SHARED 01 355766 SWISS HELVETIA FUND COM 870875101 129098.2 11110SH SHARED 01 11110 TOFUTTI BRANDS INC COM 88906b105 373562.9 255865SH SHARED 01 255865 TREE.COM INC COM 894675107543464.25 59395SH SHARED 01 59395 21ST CENTURY HOLDING CO COM 90136q100586099.92 145796SH SHARED 01 145796 U S GLOBAL INVESTORS A CLASS A CL A 902952100 4572808 371471SH SHARED 01 371471 UNITED ONLINE INC COM 9112681003106640.8 432078SH SHARED 01 432078 UNITED PARCEL SERVICE B CLASS CL B 911312106520747.49 9077SH SHARED 01 9077 VODAFONE GROUP NEW ADR F SPONS SPONS ADR NEW 92857w2092036999.8 88220SH SHARED 01 88220 WESTRN ASSET WRLDWD INCM COM 9576681061483857.8 116381SH SHARED 01 116381 WESTERN ASSET CLAYMORE COM 95766r104 3257723 270575SH SHARED 01 270575 WESTRN ASSET INFLTN MGMT COM 95766u1073391310.6 210249SH SHARED 01 210249 XCEL ENERGY INC COM 98389b1001755206.982714.8SH SHARED 01 82714.75 Y R C WORLDWIDE INC COM 984249102 42367.07 50449SH SHARED 01 50449 ZWEIG FUND INC COM 989834106569543.42 172067SH SHARED 01 172067
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