13F-HR filed by FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-10-21, with 86 holding rows worth $260,987,000.
- Accession
- 0001062993-13-005136
- Filer
- CIK 1051042
- Filed
- 2013-10-21
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 86 entries on the cover page, a total value of $260,987,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $260,993,000 with VALUE read as thousands by filing date, 13F file number 028-06648. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ALLIANCEBERNSTEIN INCOME FUN | 01881E101 | COM | 4,402,317 | $30,992,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 2,112,287 | $24,503,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 1,452,842 | $18,945,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 1,421,025 | $17,010,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 1,803,997 | $9,038,000 | thousands by filing date | |
| MONTGOMERY STR INCOME SECS I | 614115103 | COM | 519,166 | $8,156,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 467,777 | $6,614,000 | thousands by filing date | |
| FEDERATED ENHANC TREAS INCM | 314162108 | COM SH BEN INT | 485,032 | $6,238,000 | thousands by filing date | |
| BLACKROCK REAL ASSET EQUITY | 09254B109 | COM | 684,591 | $6,148,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 786,962 | $5,375,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 1,855,527 | $5,307,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 653,190 | $5,180,000 | thousands by filing date | |
| ASSOCIATED ESTATES RLTY CORP | 045604105 | COM | 338,727 | $5,050,000 | thousands by filing date | |
| AMERICAN SELECT PORTFOLIO IN | 029570108 | COM | 523,561 | $5,031,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 1,276,802 | $5,031,000 | thousands by filing date | |
| RIO TINTO PLC SPONSORED ADR | 767204100 | ADR | 101,098 | $4,930,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 584,721 | $4,613,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 184,536 | $4,571,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 4,363,000 | $4,186,000 | thousands by filing date | |
| STRATEGIC GLOBAL INCOME FD | 862719101 | COM | 448,409 | $4,166,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 339,655 | $4,140,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 156,694 | $3,933,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 70,639 | $3,551,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917T104 | COM | 281,795 | $3,438,000 | thousands by filing date | |
| AMERN STRATEGIC INCOME PTFL | 030099105 | COM | 417,426 | $3,385,000 | thousands by filing date | |
| CUTWATER SELECT INCOME FD | 232229104 | COM | 182,970 | $3,255,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 168,622 | $2,958,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 175,363 | $2,934,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 192,427 | $2,686,000 | thousands by filing date | |
| Nippon Telegraph Telephone Corp | 654624105 | Equity | 94,768 | $2,470,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 136,067 | $2,421,000 | thousands by filing date | |
| REAL GOODS SOLAR INC | 75601N104 | CL A | 860,210 | $2,401,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 467,613 | $2,282,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 152,814 | $2,002,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 96,183 | $1,899,000 | thousands by filing date | |
| BLACKROCK INCOME OPP TRUST I | 092475102 | COM | 187,413 | $1,855,000 | thousands by filing date | |
| NUVEEN GLOBAL INCOME OPPTY | 67073C104 | COM | 157,323 | $1,845,000 | thousands by filing date | |
| BANCROFT FUND LIMITED | 059695106 | COM | 97,166 | $1,741,000 | thousands by filing date | |
| MFS INTERMARKET INCOME TRUST | 59318R103 | SH BEN INT | 216,223 | $1,730,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 99,263 | $1,651,000 | thousands by filing date | |
| DOVER SADDLERY INC | 260412101 | COM | 366,800 | $1,647,000 | thousands by filing date | |
| AMERICAN STRATEGIC INC PORTFOLIO INC (ASP) | 030098107 | COM | 164,505 | $1,607,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 132,928 | $1,547,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 104,053 | $1,406,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 50,665 | $1,319,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 74,285 | $1,293,000 | thousands by filing date | |
| NORTHEAST UTILS | 664397106 | COM | 29,860 | $1,232,000 | thousands by filing date | |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 42,015 | $1,196,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 470,290 | $1,166,000 | thousands by filing date | |
| COMSTOCK MNG INC | 205750102 | COM | 604,106 | $1,087,000 | thousands by filing date | |
| BLACKROCK UTILS INFRASTRUCTU | 09248D104 | COM | 53,908 | $941,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 1,933 | $922,000 | thousands by filing date | |
| FIRST FED NORTHN MICH BANCOR | 32021X105 | COM | 182,067 | $807,000 | thousands by filing date | |
| BOULDER TOTAL RET FD INC | 101541100 | COM | 35,780 | $780,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 6,577 | $747,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 12,000 | $712,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 101,951 | $674,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 54,635 | $640,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 49,347 | $620,000 | thousands by filing date | |
| AMERICAN STRATEGIC INCOME II | 03009T101 | COM | 79,420 | $550,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 15,433 | $514,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 8,343 | $460,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 33,380 | $447,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 5,793 | $438,000 | thousands by filing date | |
| ZWEIG FUND INC. | 989834205 | COM | 25,940 | $351,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 22,628 | $339,000 | thousands by filing date | |
| DENALI FD INC | 24823A102 | COM | 16,924 | $322,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 22,742 | $318,000 | thousands by filing date | |
| ARCHER DANIELS MIDLAND CO COM | 039483102 | Stock | 8,501 | $313,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 6,844 | $283,000 | thousands by filing date | |
| TRAVELERS COMPANIES INC COM | 89417E109 | Stock | 3,126 | $265,000 | thousands by filing date | |
| WALGREEN CO | 931422109 | COM | 4,480 | $241,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 6,322 | $239,000 | thousands by filing date | |
| United Parcel Service,Inc. Class B | 911312106 | COM | 2,608 | $238,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 3,575 | $236,000 | thousands by filing date | |
| APACHE CORP | 037411105 | COM | 2,464 | $210,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 2,355 | $203,000 | thousands by filing date | |
| NUVEEN PFD & INCOME OPPORTUN | 67073B106 | COM | 22,325 | $194,000 | thousands by filing date | |
| TOFUTTI BRANDS INC | 88906B105 | COM | 87,300 | $184,000 | thousands by filing date | |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 11,190 | $162,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 13,950 | $119,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 11,850 | $118,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 14,500 | $110,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 11,600 | $66,000 | thousands by filing date | |
| KINROSS GOLD CORP | 496902404 | COM | 10,327 | $52,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 16,000 | $17,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-13-005136 | this filing | 2013-10-21 | acceptance time not in the bulk data set |