0001051042-12-000049.txt : 20121031
0001051042-12-000049.hdr.sgml : 20121031
20121031111138
ACCESSION NUMBER: 0001051042-12-000049
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121031
DATE AS OF CHANGE: 20121031
EFFECTIVENESS DATE: 20121031
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: 121169967
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
fimg13f093012.txt
FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calender Year or Quarter End: September 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, October 31, 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: 74
FORM 13F INFORMATION TABLE VALUE TOTAL: $204,334,832.70
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 P/CINV DIS MANAGER SOLE SHARED
A T & T INC NEW COM 00206r102 3697387.4698073.94 SH SHARED 01 98073.94
AGNICO-EAGLE MINES LTD COM 008474108 4757136.6 91695 SH SHARED 01 91695
ALLIANCE BERNSTEIN INC FUND COM 01881E10112198591.36 1411874 SH SHARED 01 1411874
AMERICAN STRATEGIC INCOME III COM 03009t101 4518417.4 603260 SH SHARED 01 603260
APACHE CORP COM 037411105 213062.08 2464 SH SHARED 01 2464
ARTIO GLOBAL INVESTORS, INC. COM CL A 04315b107 1904577.6 639120 SH SHARED 01 639120
ASTRAZENECA PLC ADR F SPONSORE SPONSORED ADR 046353108 3051792.9 63765 SH SHARED 01 63765
BANCROFT FUND LTD N/C FM BANCR COM 059695106 507931.08 30252 SH SHARED 01 30252
BARRICK GOLD CORP F COM 067901108 3970833.12 95087 SH SHARED 01 95087
BERKSHIRE HATHAWAY B NEW CLASS CL B NEW 084670702 692546.4 7852 SH SHARED 01 7852
BLACKROCK INCOME TR INC COM 09247f100 345331.2 44965 SH SHARED 01 44965
BLKROCK CREDIT ALL INC (Pfd E COM 09250810013397032.99 944784 SH SHARED 01 944784
BLACKROCK CREDIT ALLOCATION FU COM 09255H10512201542.04 1057326 SH SHARED 01 1057326
BLACKROCK ENHANCED GOVT FUND COM 09255k108 210834 13515 SH SHARED 01 13515
BOULDER TOTAL RETURN FD COM 101541100 1615842 89769 SH SHARED 01 89769
CALAMOS GLOBAL INCOME FD COM 12811l107 305915.22 35821 SH SHARED 01 35821
CALAMOS STRGC TOT RET FD COM SH BEN INT 128125101 225322.89 22156 SH SHARED 01 22156
CISCO SYSTEMS INC COM 17275R102 2299416.71120419.8 SH SHARED 01 120419.8
COHEN & STEERS INFRASTRUCTURE COM 19248a109 268824.22 14754 SH SHARED 01 14754
COLGATE-PALMOLIVE CO COM 194162103 700682.7 6535 SH SHARED 01 6535
DENALI FUND INC COM 24823a102 308212.82 19049 SH SHARED 01 19049
DIVIDEND & INCOME (GROWTH) FUND COM 25538A105 7750135.12 2129158 SH SHARED 01 2129158
DOVER SADDLERY INC COM 260412101 1220456 327200 SH SHARED 01 327200
DREAMWORKS ANIMATION SKG, IN. CL A 26153c103 456385.59 23733 SH SHARED 01 23733
EXIDE TECHNOLOGIES FRNT 9/1 302051AL1 1826284 2000000 SH SHARED 01 2000000
EXXON MOBIL CORPORATION COM 30231G102 334548.61 3658.27 SH SHARED 01 3658.27
FASTENAL CO COM 311900104 3604217.24 83838.5 SH SHARED 01 83838.5
FIRST FED N MICHIGAN BA COM 32021x105 871984.08 220198 SH SHARED 01 220198
FRANKLIN UNIV TR S B I SH BEN SH BEN INT 355145103 140980 19000 SH SHARED 01 19000
GAIAM INC CL A 36268q103 6607348.27 1893223 SH SHARED 01 1893223
GOLDCORP INC COM 380956409 4030215 87900 SH SHARED 01 87900
HARMONY GOLD MINING CO LTD SPONSORED ADR 413216300 3083400.35 366635 SH SHARED 01 366635
HAWAIIAN TELCOM HOLDCO COM 420031106 863841.06 48722 SH SHARED 01 48722
INTEL CORP COM 458140100 209818292614.52 SH SHARED 01 92614.52
Intel Corp SDCV 2.950% 12458140AD2 17382.88 16000 SH SHARED 01 16000
JAPAN EQUITY FUND INC COM 471057109 84239.5 16550 SH SHARED 01 16550
JAPAN SMALLER CAP FUND COM 47109u104 248860.04 34516 SH SHARED 01 34516
KINROSS GOLD CORP COM NO PAR 496902404 150033.92 14695 SH SHARED 01 14695
LAZARD WORLD DIV & INCM COM 521076109 2164072.78 177820 SH SHARED 01 177820
LIFEWAY FOODS, INC. COM 531914109 1341143.5 141173 SH SHARED 01 141173
MFS MULTI MKT INC TRUST SH BEN SH BEN INT 552737108 103399.95 14145 SH SHARED 01 14145
MADISON CLAYMORE CVRD FD COM 556582104 4367539.44 551457 SH SHARED 01 551457
MERCK & CO INC NEW COM 58933y105 270193 5991.64 SH SHARED 01 5991.64
MFS INTERMARKET INCM TR SH BEN INT 59318r103 1944257.52 214125 SH SHARED 01 214125
MICROSOFT CORP COM 594918104 497475.1816716.24 SH SHARED 01 16716.24
MONTGOMERY ST INCOME SEC COM 614115103 4540740.66 267417 SH SHARED 01 267417
NEWMONT MINING CORP COM 651639106 3846830.12 68675 SH SHARED 01 68675
NOKIA CORP SPON ADR F 1 ADR RE SPONSORED ADR 654902204 3831532.3 1487974 SH SHARED 01 1487974
NORTHEAST UTILITIES COM 664397106 1131467.7 29596 SH SHARED 01 29596
NUVEEN PFD & CONV INCOME FD COM 67073B106 246056.3 24955 SH SHARED 01 24955
NUVEEN GLOBAL GOVERNMENT COM 67073C104 355753.5 24350 SH SHARED 01 24350
NUVEEN MULTI STRAT INCM COM SHS 67073d102 4278775.31440203.2 SH SHARED 01 440203.2
PFIZER INCORPORATED COM 717081103 406247.8 16348 SH SHARED 01 16348
PROCTER & GAMBLE COM 742718109 665856 9600 SH SHARED 01 9600
PUTNAM MASTER INTER INCOME TR SH BEN INT 746909100 265853.14 51323 SH SHARED 01 51323
REAL GOODS SOLAR, INC. CL A CL A 75601N104 1154127.8 1648754 SH SHARED 01 1648754
ROYAL GOLD, INC. CONV. GOLD MI NOTE 2.875% 6/1 780287aa6 1208000 1000000 SH SHARED 01 1000000
ROYCE MICRO-CAP TRUST COM 780915104 582066.4861594.34 SH SHARED 01 61594.34
S K TELECOM LTD ADR F SPONSORE SPONSORED ADR 78440p108 5962629.05 410085 SH SHARED 01 410085
SANOFI ADR (n/c 5/11) SPONSORED ADR 80105n105 3144129.07 73017 SH SHARED 01 73017
SIMPSON MANUFACTURING CO COM 829073105 228960 8000 SH SHARED 01 8000
STRATEGIC GLOBAL INCM FD COM 862719101 1142454.06 101823 SH SHARED 01 101823
TOFUTTI BRANDS INC COM 88906b105 198120 123825 SH SHARED 01 123825
U S GLOBAL INVESTORS A CLASS A CL A 902952100 8433330.46 1375747 SH SHARED 01 1375747
UNITED ONLINE INC COM 911268100 7402166.32 1340972 SH SHARED 01 1340972
UNITED PARCEL SERVICE B CLASS CL B 911312106 226733.76 3168 SH SHARED 01 3168
VIASYSTEMS GROUP INC NEW COM PAR$.01 92553h803 193587 11190 SH SHARED 01 11190
VIRTUS TOTAL RETURN FUND COM 92829a103 2344037.42 597969 SH SHARED 01 597969
VODAFONE GROUP NEW ADR F SPONS SPONS ADR NEW 92857w209 6610154.45231935.2 SH SHARED 01 231935.2
WESTRN ASSET WRLDWD INCM COM 957668106 1271137.98 78757 SH SHARED 01 78757
WESTN ASSET CLAYMORE FD COM SH BEN INT 95766q106 1504273.93 113359 SH SHARED 01 113359
WESTERN ASSET CLAYMORE COM 95766r104 15033468.5 1117730 SH SHARED 01 1117730
ZWEIG FUND INC COM DELE989834106 377166.72 29792 SH SHARED 01 29792
ZWEIG TOTAL RETURN FUND, INC. COM DELE98983710916281369.07 1286048 SH SHARED 01 1286048