0001051042-12-000042.txt : 20120810 0001051042-12-000042.hdr.sgml : 20120810 20120810102718 ACCESSION NUMBER: 0001051042-12-000042 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120810 DATE AS OF CHANGE: 20120810 EFFECTIVENESS DATE: 20120810 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: 121022992 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 fimg13f063012.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, 2012 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 10, 2012 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: 67 FORM 13F INFORMATION TABLE VALUE TOTAL: $204,235,425.90 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 A T & T INC NEW COM 00206r1024694283.15 131640.02SH SHARED 01 131640.02 ALLIANCE BERNSTEIN INC FUND COM 01881E10111547822.51387959.43SH SHARED 01 1387959.4 BARRICK GOLD CORP F COM 0679011085774584.14 153702SH SHARED 01 153702 BERKSHIRE HATHAWAY B NEW CLASS CL B NEW 084670702 646390.81 7757SH SHARED 01 7757 CISCO SYSTEMS INC COM 17275R1022193154.06 127731.74SH SHARED 01 127731.74 COLGATE-PALMOLIVE CO COM 194162103 1271165.1 12211SH SHARED 01 12211 EXXON MOBIL CORPORATION COM 30231G102 378256.2 4420.43SH SHARED 01 4420.43 FASTENAL CO COM 3119001043925906.03 97392.86SH SHARED 01 97392.86 INTEL CORP COM 4581401002941351.09 110369.65SH SHARED 01 110369.65 MERCK & CO INC NEW COM 58933y105 252149.67 6039.51SH SHARED 01 6039.51 MICROSOFT CORP COM 594918104 430250.52 14065.07SH SHARED 01 14065.07 NUVEEN MULTI STRAT INCM COM SHS 67073d1027707899.32 849823.52SH SHARED 01 849823.52 PFIZER INCORPORATED COM 717081103 376004 16348SH SHARED 01 16348 PROCTER & GAMBLE COM 742718109 810092.5 13226SH SHARED 01 13226 ROYCE MICRO-CAP TRUST COM 780915104 564649.67 63301.53SH SHARED 01 63301.53 VODAFONE GROUP NEW ADR F SPONS SPONS ADR NEW 92857w2096426494.03 228051.6SH SHARED 01 228051.6 AGNICO-EAGLE MINES LTD COM 008474108 4463547.2 110320SH SHARED 01 110320 NORTHEAST UTILITIES COM 6643971061138607.78 29338SH SHARED 01 29338 PUTNAM MASTER INTER INCOME TR SH BEN INT 746909100 261237.76 51023SH SHARED 01 51023 GAIAM INC CL A 36268q103 7404891 1898690SH SHARED 01 1898690 REAL GOODS SOLAR, INC. CL A CL A 75601N1041904283.74 1685356SH SHARED 01 1685356 U S GLOBAL INVESTORS A CLASS A CL A 9029521005998387.83 1372629SH SHARED 01 1372629 UNITED PARCEL SERVICE B CLASS CL B 911312106 249511.68 3168SH SHARED 01 3168 AMERICAN STRATEGIC INCOME III COM 03009t101 4230230.4 600885SH SHARED 01 600885 APACHE CORP COM 037411105 216560.96 2464SH SHARED 01 2464 BLACKROCK CREDIT ALLOCATION FU COM 09255H10511572295.4 1066571SH SHARED 01 1066571 BLACKROCK INCOME TR INC COM 09247f100 399170.2 53365SH SHARED 01 53365 BLKROCK CREDIT ALL INC (Pfd E COM 09250810012653813.5 955005SH SHARED 01 955005 BOULDER TOTAL RETURN FD COM 1015411001535509.44 92724SH SHARED 01 92724 CALAMOS GLOBAL INCOME FD COM 12811l107 286760.26 34098SH SHARED 01 34098 DENALI FUND INC COM 24823a102 274474.9 19154SH SHARED 01 19154 DIVIDEND & INCOME FUND COM 25538A1057202007.55 2149853SH SHARED 01 2149853 FIFTH THIRD BANCORP COM 316773100 268000 20000SH SHARED 01 20000 FIRST FED N MICHIGAN BA COM 32021x105 863884 246824SH SHARED 01 246824 HAWAIIAN TELCOM HOLDCO COM 4200311061183769.25 60675SH SHARED 01 60675 JAPAN SMALLER CAP FUND COM 47109u104 243803.16 32991SH SHARED 01 32991 LAZARD WORLD DIV & INCM COM 5210761091064071.14 94837SH SHARED 01 94837 LIFEWAY FOODS, INC. COM 5319141091945297.93 187589SH SHARED 01 187589 MADISON CLAYMORE CVRD FD COM 556582104 2313034.5 303150SH SHARED 01 303150 MARKET LEADER INC COM 57056r103 3351225.2 659690SH SHARED 01 659690 MONTGOMERY ST INCOME SEC COM 6141151034148816.67 259042SH SHARED 01 259042 NEWMONT MINING CORP COM 6516391065179655.25 106775SH SHARED 01 106775 NUVEEN GLOBAL GOVERNMENT COM 67073C104 336530.25 23225SH SHARED 01 23225 NUVEEN PFD & CONV INCOME FD COM 67073B106 228052.65 25255SH SHARED 01 25255 RADIOSHACK CORP COM 7504381033710758.41 966343SH SHARED 01 966343 STRATEGIC GLOBAL INCM FD COM 8627191011141382.29 106373SH SHARED 01 106373 TOFUTTI BRANDS INC COM 88906b105 226996.49 135125SH SHARED 01 135125 UNITED ONLINE INC COM 9112681007678097.07 1819454SH SHARED 01 1819454 WESTERN ASSET CLAYMORE COM 95766r10414374444.5 1101490SH SHARED 01 1101490 WESTRN ASSET WRLDWD INCM COM 9576681061160382.55 79207SH SHARED 01 79207 ZWEIG TOTAL RETURN FUND, INC. COM 98983710915023096.3 1222384SH SHARED 01 1222384 DOVER SADDLERY INC COM 260412101 1410750 337500SH SHARED 01 337500 VIRTUS TOTAL RETURN FUND COM 92829a1031934875.02 525210SH SHARED 01 525210 ARTIO GLOBAL INVESTORS, INC. COM CL A 04315b107 5602520 1600720SH SHARED 01 1600720 KINROSS GOLD CORP COM NO PAR 4969024044963204.93 608982SH SHARED 01 608982 VIASYSTEMS GROUP INC NEW COM PAR$.01 92553h803 190230 11190SH SHARED 01 11190 CALAMOS STRGC TOT RET FD COM SH BEN INT 128125101 214538.24 22232SH SHARED 01 22232 WESTN ASSET CLAYMORE FD COM SH BEN INT 95766q106 1203527 92579SH SHARED 01 92579 BLACKROCK LTD DURATION INCOME COM SHS 09249w1011215462.42 68554SH SHARED 01 68554 Intel Corp SDCV 2.950%12/1458140AD2 18084 16000SH SHARED 01 16000 FRANKLIN UNIV TR S B I SH BEN SH BEN INT 355145103 227840 32000SH SHARED 01 32000 MFS INTERMARKET INCM TR SH BEN INT 59318r103 1823613.7 216581SH SHARED 01 216581 MFS MULTI MKT INC TRUST SH BEN SH BEN INT 552737108 100429.5 14145SH SHARED 01 14145 NOKIA CORP SPON ADR F 1 ADR RE SPONSORED ADR 6549022043133563.33 1513799SH SHARED 01 1513799 S K TELECOM LTD ADR F SPONSORE SPONSORED ADR 78440p108 4643356.9 383749SH SHARED 01 383749 SANOFI ADR (n/c 5/11) SPONSORED ADR 80105n1052811489.22 74417SH SHARED 01 74417 SIEMENS A G ADR F1 ADR REP 1 O SPONSORED ADR 826197501 568901.69 6767SH SHARED 01 6767