13F-HR filed by FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD filed this 13F-HR for the quarter ended 2017-09-30, filed 2017-10-11, with 86 holding rows worth $302,587,000.
- Accession
- 0001062993-17-004386
- Filer
- CIK 1051042
- Filed
- 2017-10-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2017
A holdings report, 86 entries on the cover page, a total value of $302,587,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $302,587,000 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 |
|---|---|---|---|---|---|---|
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 770,449 | $38,831,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 573,756 | $30,937,000 | thousands by filing date | |
| WESTERN AST INFL LKD OPP & I | 95766R104 | COM | 2,187,628 | $24,676,000 | thousands by filing date | |
| CLAYMORE EXCHANGE TRD FD TR | 18383M548 | GUGG CRP BD 2017 | 625,376 | $14,143,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 531,414 | $9,858,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 642,294 | $8,433,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 1,125,359 | $8,181,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 419,074 | $8,000,000 | thousands by filing date | |
| NEW YORK REIT INC | 64976L109 | COM | 1,002,941 | $7,873,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 1,558,627 | $7,076,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 1,152,402 | $6,891,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860W102 | COM | 803,689 | $6,888,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 697,923 | $6,386,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 712,087 | $5,903,000 | thousands by filing date | |
| RICHMONT MINES INC | 76547T106 | COM | 605,957 | $5,666,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 356,323 | $5,348,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 182,189 | $5,185,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 326,305 | $4,784,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 2,222,875 | $4,735,000 | thousands by filing date | |
| WESTERN ASST INFLTN LKD INM | 95766Q106 | COM SH BEN INT | 405,633 | $4,685,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 38,413 | $4,476,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 43,409 | $4,279,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 115,604 | $4,127,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 56,763 | $4,086,000 | thousands by filing date | |
| COVANTA HLDG CORP | 22282E102 | COM | 260,372 | $3,867,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 399,330 | $3,762,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 363,647 | $3,709,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 34,620 | $3,688,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 712,921 | $3,443,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 175,342 | $3,296,000 | thousands by filing date | |
| LEGG MASON BW GLB INC OPP FD | 52469B100 | COM | 230,062 | $3,092,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 226,256 | $2,783,000 | thousands by filing date | |
| 180 DEGREE CAP CORP | 68235B109 | COM | 1,534,111 | $2,669,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 29,050 | $2,453,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 99,143 | $2,416,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 329,489 | $2,221,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 708,700 | $2,119,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 27,509 | $1,663,000 | thousands by filing date | |
| TELEFONAKTIEBOLAGET LM ERICSS ADR B SEK 10 | 294821608 | ADR | 285,594 | $1,642,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 335,600 | $1,507,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287108 | COM | 16,363 | $1,408,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 7,301 | $1,338,000 | thousands by filing date | |
| SPARK NETWORKS INC | 84651P100 | COM | 1,081,125 | $1,319,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 297,035 | $1,271,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 82,810 | $1,093,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 876,971 | $1,087,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 76,282 | $1,045,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 22,694 | $1,034,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 12,200 | $889,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 111,423 | $880,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 9,229 | $840,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 61,996 | $820,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063X100 | SH BEN INT | 53,000 | $805,000 | thousands by filing date | |
| Vitamin Shoppe, Inc. | 92849E101 | COM | 144,703 | $774,000 | thousands by filing date | |
| U.S. GLOBAL GO GOLD AND PRECIOUS METAL MINERS ETF | 26922A719 | ETF | 59,928 | $759,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 6,588 | $707,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 6,194 | $690,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 4,336 | $679,000 | thousands by filing date | |
| NUVEEN SELECT TAX FREE INCOM | 67063C106 | SH BEN INT | 48,000 | $674,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 7,731 | $624,000 | thousands by filing date | |
| NUVEEN SELECT TAX-FREE INCOM | 67062F100 | SH BEN INT | 39,000 | $582,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 21,007 | $538,000 | thousands by filing date | |
| IRIDIUM COMMUNICATIONS INC | 46269C102 | COM | 47,916 | $494,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 46,393 | $473,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 27,033 | $432,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 32,416 | $423,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 3,345 | $417,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 35,280 | $394,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 5,011 | $387,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 7,278 | $377,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 23,712 | $376,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 314,000 | $344,000 | thousands by filing date | principal |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 17,685 | $307,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 2,053 | $298,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,518 | $297,000 | thousands by filing date | |
| NUVEEN SELECT MATURITIES MUNIC | 67061t101 | CLSD FD | 26,825 | $277,000 | thousands by filing date | |
| TEMPLETON DRAGON FD INC | 88018T101 | COM | 12,407 | $258,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 14,574 | $251,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 2,632 | $227,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 6,650 | $224,000 | thousands by filing date | |
| CALAMOS GLOBAL TOTAL RETURN FU | 128118106 | COM SH BEN INT | 12,107 | $162,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 15,565 | $139,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 18,507 | $123,000 | thousands by filing date | |
| B2GOLD CORP COM | 11777Q209 | Stock | 35,400 | $99,000 | thousands by filing date | |
| TRAVELZOO | 89421Q205 | CMN | 11,426 | $98,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 13,315 | $77,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-17-004386 | this filing | 2017-10-11 | acceptance time not in the bulk data set |