0001051042-11-000012.txt : 20110729 0001051042-11-000012.hdr.sgml : 20110729 20110729122151 ACCESSION NUMBER: 0001051042-11-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110729 DATE AS OF CHANGE: 20110729 EFFECTIVENESS DATE: 20110729 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: 11996415 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 fimg13f063011.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, 2011 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, July 29, 2011 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: 63 FORM 13F INFORMATION TABLE VALUE TOTAL: $202,490,335.90 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 DISMANAGER SOLE SHARED BOULDER TOTAL RETURN FD COM 1015411001748800.09 106354SH SHARED 01 106354 CALAMOS STRGC TOT RET FD COM SH BEN INT 1281251012902650.75 303307SH SHARED 01 303307 COLGATE-PALMOLIVE CO COM 1941621031067363.51 12211SH SHARED 01 12211 D C A TOTAL RETURN FUND COM 2330661091846193.44 485840SH SHARED 01 485840 FASTENAL CO COM 311900104 3558473.1 98873.94SH SHARED 01 98873.94 FIFTH THIRD BANCORP COM 316773100 127500 10000SH SHARED 01 10000 FT DEARBORN INC SEC INC COM 347200107 635551.32 42173SH SHARED 01 42173 FRANKLIN UNIV TR S B I SH BEN SH BEN INT 355145103 886378.75 135325SH SHARED 01 135325 INTEL CORP COM 4581401002643710.03119300.99SH SHARED 01 119300.99 KINROSS GOLD CORP COM NO PAR 4969024045391212.23 341216SH SHARED 01 341216 LAZARD WORLD DIV & INCM COM 5210761091745887.82 126422SH SHARED 01 126422 LIFEWAY FOODS, INC. COM 531914109 392798.12 35134SH SHARED 01 35134 MFS MULTI MKT INC TRUST SH BEN SH BEN INT 552737108 392444.97 57459SH SHARED 01 57459 MADISON CLAYMORE CVRD FD COM 556582104 295120 34720SH SHARED 01 34720 MICROSOFT CORP COM 5949181042714416.35104400.63SH SHARED 01 104400.63 MONTGOMERY ST INCOME SEC COM 6141151033244762.34 203561SH SHARED 01 203561 NEWMONT MINING CORP COM 651639106 2612687.7 48410SH SHARED 01 48410 NOKIA CORP SPON ADR F 1 ADR RE SPONSORED ADR 6549022047179061.56 1118234SH SHARED 01 1118234 PROCTER & GAMBLE COM 742718109 831241.32 13076SH SHARED 01 13076 ROYAL GOLD INC COM 7802871084955619.94 84610SH SHARED 01 84610 ROYCE MICRO-CAP TRUST COM 780915104 659850.45 66922SH SHARED 01 66922 STRATEGIC GLOBAL INCM FD COM 8627191011459888.64 127168SH SHARED 01 127168 U S GLOBAL INVESTORS A CLASS A CL A 9029521008253299.96 1144702SH SHARED 01 1144702 UNITED ONLINE INC COM 9112681005879990.74 975123SH SHARED 01 975123 UNITED PARCEL SERVICE B CLASS CL B 911312106 240741.93 3301SH SHARED 01 3301 WESTRN ASSET WRLDWD INCM COM 9576681061263066.08 91262SH SHARED 01 91262 ZWEIG FUND INC COM 989834106 133512.75 38925SH SHARED 01 38925 ZWEIG TOTAL RETURN FUND, INC. COM 9898371091339948.35 395265SH SHARED 01 395265 A T & T INC NEW COM 00206r1026895313.58219526.06SH SHARED 01 219526.06 ALLIANCE BERNSTEIN INC FUND COM 01881E10119540596.72476628.2SH SHARED 01 2476628.2 APACHE CORP COM 037411105 304032.96 2464SH SHARED 01 2464 BANK OF AMERICA CORP COM 060505104 238303.28 21743SH SHARED 01 21743 BARRICK GOLD CORP F COM 0679011086371623.65 140685SH SHARED 01 140685 BERKSHIRE HATHAWAY B NEW CLASS CL B NEW 084670702 628484.19 8121SH SHARED 01 8121 BLACKROCK INCOME TR INC COM 09247f10015054800.6 2138466SH SHARED 01 2138466 BLKROCK CREDIT ALLOC INCOME T COM 0925081008987452.89 718421SH SHARED 01 718421 BLACKROCK CREDIT ALLOCATION FU COM 09255H10512461469.7 1227731SH SHARED 01 1227731 CALAMOS GLOBAL INCOME FD COM 12811l107 1436718 165140SH SHARED 01 165140 CISCO SYSTEMS INC COM 17275R1022134756.48 136755.7SH SHARED 01 136755.7 COHEN & STEERS INFRASTRUCTURE COM 19248a10913966503.8 784635SH SHARED 01 784635 DWS HIGH INCOME OPPORT FUND, I COM NEW 23339m204 419153.28 28788SH SHARED 01 28788 DENALI FUND INC COM 24823a102 340840.5 21450SH SHARED 01 21450 EXXON MOBIL CORPORATION COM 30231G102 425731.9 5231.41SH SHARED 01 5231.41 FIRST FED N MICHIGAN BA COM 32021x105 1025452.5 273454SH SHARED 01 273454 GABELLI DIV AND INC TR COM 36242h104 624302.06 37586SH SHARED 01 37586 GAIAM INC CL A 36268q1035246868.76 1055708SH SHARED 01 1055708 GREATER CHINA FUND, INC. COM 39167b102 413512 32560SH SHARED 01 32560 HANCOCK JOHN PAT PREM II PREM COM SH BEN INT 41013t105 126529.5 10050SH SHARED 01 10050 Hologic Inc FRNT 2.000% 12/436440AA92370100.57 2463000SH SHARED 01 2463000 Intel Corp SDCV 2.950% 12/458140AD2 1240028.7 1194000SH SHARED 01 1194000 MARKET LEADER INC COM 57056r1034334867.95 1997635SH SHARED 01 1997635 MERCK & CO INC NEW COM 58933y1054227293.22119787.28SH SHARED 01 119787.28 MFS INTERMARKET INCM TR SH BEN INT 59318r1031179325.04 141068SH SHARED 01 141068 NUVEEN PFD & CONV INCOME FD COM 67073B1065772206.28 655188SH SHARED 01 655188 NUVEEN MULTI STRAT INCM COM SHS 67073d1025524091.49604386.38SH SHARED 01 604386.38 RMR REAL ESTATE INCOME FUND COM SHS 74964K609 126286.56 43813SH SHARED 01 43813 S K TELECOM LTD ADR F SPONSORE SPONSORED ADR 78440p108 2754416.5 147295SH SHARED 01 147295 SANOFI ADR (n/c 5/11) SPONSORED ADR 80105n1054170727.74103826.93SH SHARED 01 103826.93 SECTOR SPDR TR SHS BEN INT UT SBI INT-UTILS 81369y886 1550562 38600SH SHARED 01 38600 TOFUTTI BRANDS INC COM 88906b105 443973 194725SH SHARED 01 194725 VIASYSTEMS GROUP, INC. NEW COM PAR$.01 92553h803 251663.1 11190SH SHARED 01 11190 VODAFONE GROUP NEW ADR F SPONS SPONS ADR NEW 92857w209 6132240 229500SH SHARED 01 229500 WESTERN ASSET CLAYMORE COM 95766r104 1367935.2 109260SH SHARED 01 109260