13F-HR filed by FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-07-28, with 97 holding rows worth $328,015,000.
- Accession
- 0001062993-16-010727
- Filer
- CIK 1051042
- Filed
- 2016-07-28
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A holdings report, 98 entries on the cover page, a total value of $328,015,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $328,011,000 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 |
|---|---|---|---|---|---|---|
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 3,912,295 | $43,466,000 | thousands by filing date | |
| COHEN & STEERS CLOSED-END OP | 19248P106 | COM | 1,239,512 | $14,316,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 1,576,172 | $12,735,000 | thousands by filing date | |
| GAIAM INC-CLASS A | 36268Q103 | CL A | 1,640,651 | $12,699,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 1,601,225 | $11,024,000 | thousands by filing date | |
| SILVER WHEATON CORP | 828336107 | COM | 461,538 | $10,860,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 896,350 | $10,290,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 574,620 | $9,079,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 125,516 | $9,040,000 | thousands by filing date | |
| MFS MULTIMARKET INCOME TR | 552737108 | SH BEN INT | 1,325,849 | $8,021,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 680,576 | $7,500,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 1,662,290 | $7,414,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 485,738 | $7,388,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 1,747,277 | $7,304,000 | thousands by filing date | |
| DUFF & PHELPS UTLITY AND INF | 26433C105 | COM | 422,889 | $7,257,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 331,101 | $7,092,000 | thousands by filing date | |
| SENIOR HSG PPTYS TR | 81721M109 | SH BEN INT | 332,607 | $6,928,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 1,053,804 | $6,702,000 | thousands by filing date | |
| EATON VANCE FLTG RATE INCOM | 278284104 | COM SHS BEN INT | 428,649 | $6,421,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 475,374 | $6,251,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 1,013,148 | $5,461,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 479,466 | $5,404,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 715,435 | $5,251,000 | thousands by filing date | |
| NEW GOLD INC CDA | 644535106 | COM | 1,157,688 | $5,071,000 | thousands by filing date | |
| GRAMERCY PPTY TR COM | 385002100 | Stock | 512,364 | $4,724,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 458,332 | $4,647,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 904,471 | $4,631,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 425,042 | $4,539,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,547,672 | $4,331,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 392,625 | $3,969,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 643,108 | $3,839,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 288,766 | $3,742,000 | thousands by filing date | |
| LMP CORPORATE LN FD INC | 50208B100 | COM | 361,217 | $3,739,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 227,110 | $3,736,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 4,659 | $3,224,000 | thousands by filing date | |
| SUNOPTA INC | 8676EP108 | COM | 677,072 | $2,837,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 187,635 | $2,619,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 1,437,368 | $2,314,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 362,794 | $1,992,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 141,894 | $1,951,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 181,513 | $1,802,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 29,860 | $1,789,000 | thousands by filing date | |
| LAZARD WORLD DIVID & INCOME | 521076109 | COM | 187,941 | $1,697,000 | thousands by filing date | |
| TIVO INC | 888706108 | COM | 170,235 | $1,685,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 119,070 | $1,550,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 105,310 | $1,520,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 117,822 | $1,490,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 182,855 | $1,390,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 183,760 | $1,290,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 25,544 | $1,134,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 426,055 | $1,069,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 51,914 | $1,066,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 7,312 | $1,059,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 61,253 | $940,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 78,903 | $906,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 12,200 | $893,000 | thousands by filing date | |
| Birner Dental Management | 091283200 | COM NEW | 59,609 | $864,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 9,190 | $778,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 66,358 | $729,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 459,077 | $725,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 7,201 | $714,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 7,130 | $682,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 65,297 | $678,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 8,343 | $671,000 | thousands by filing date | |
| GOVERNMENT PPTYS INCOME TR | 38376A103 | COM SHS BEN INT | 27,605 | $637,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 57,681 | $628,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 100,629 | $608,000 | thousands by filing date | |
| CLOUGH GLOBAL DIVID & INCOME | 18913Y103 | COM | 49,325 | $577,000 | thousands by filing date | |
| FINANCIAL ENGINES INC | 317485100 | COM | 22,245 | $575,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 29,980 | $511,000 | thousands by filing date | |
| GABELLI GLOBAL UTIL & INCOME | 36242L105 | COM SH BEN INT | 26,178 | $487,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 5,300 | $452,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 33,365 | $450,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 7,954 | $445,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 51,501 | $419,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 5,011 | $417,000 | thousands by filing date | |
| GAMCO GLOBAL GOLD NAT RES & | 36465A109 | COM SH BEN INT | 61,091 | $397,000 | thousands by filing date | |
| VIRTUS TOTAL | 92829A103 | COM | 85,650 | $397,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 50,327 | $386,000 | thousands by filing date | |
| VIPSHOP HLDGS LTD SPONSORED ADS A | 92763W103 | ADR | 33,940 | $379,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 339,000 | $364,000 | thousands by filing date | principal |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 39,787 | $327,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 25,783 | $306,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 1,921 | $292,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 8,280 | $292,000 | thousands by filing date | |
| DIVERSIFIED REAL ASSET INC FD COM SHS | 25533B108 | CEF | 16,509 | $273,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,721 | $243,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 13,919 | $241,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 16,946 | $225,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 16,157 | $223,000 | thousands by filing date | |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 16,562 | $164,000 | thousands by filing date | |
| MFS CHARTER INCOME TR | 552727109 | SH BEN INT | 12,950 | $110,000 | thousands by filing date | |
| DOMINION DIAMOND CORP | 257287102 | COM | 10,102 | $89,000 | thousands by filing date | |
| COFFEE HLDG CO INC | 192176105 | COM | 13,175 | $74,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 12,250 | $49,000 | thousands by filing date | |
| FRANKLIN MASTER INTER INCOME SH BEN INT | 746909100 | CEF | 10,355 | $45,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 183,174 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-16-010727 | this filing | 2016-07-28 | acceptance time not in the bulk data set |