13F-HR filed by FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD
FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD filed this 13F-HR for the quarter ended 2018-09-30, filed 2018-10-18, with 113 holding rows worth $303,783,000.
- Accession
- 0001062993-18-004123
- Filer
- CIK 1051042
- Filed
- 2018-10-18
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A holdings report, 114 entries on the cover page, a total value of $303,783,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $303,782,000 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 US TIPS ETF | 808524870 | SHS | 308,987 | $16,673,000 | thousands by filing date | |
| Schwab Short Term US Treasury ETF | 808524862 | SHS | 272,960 | $13,531,000 | thousands by filing date | |
| KENNEDY-WILSON HOLDINGS INC | 489398107 | COM | 544,898 | $11,715,000 | thousands by filing date | |
| FRANKLIN UNIVERSAL TRUST | 355145103 | SH BEN INT | 1,615,002 | $10,740,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 1,317,173 | $10,498,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 842,734 | $10,315,000 | thousands by filing date | |
| INVESCO EXCH TRD SLF IDX FD | 46138J601 | BULSHS 2020 HY | 373,075 | $9,075,000 | thousands by filing date | |
| BRIXMOR PPTY GROUP INC | 11120U105 | COM | 492,820 | $8,629,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 1,358,822 | $8,316,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 103,354 | $7,332,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 920,862 | $6,685,000 | thousands by filing date | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 447,811 | $6,677,000 | thousands by filing date | |
| UNITI GROUP INC | 91325V108 | COM | 310,648 | $6,260,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 1,250,108 | $6,226,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 1,045,700 | $5,835,000 | thousands by filing date | |
| KIMCO REALTY CORP COM | 49446R109 | REIT | 346,885 | $5,807,000 | thousands by filing date | |
| OMNICOM GROUP INC COM | 681919106 | Stock | 84,197 | $5,727,000 | thousands by filing date | |
| BRANDYWINEGLOBAL GLOBAL INCOME | 10537L104 | COM | 495,328 | $5,409,000 | thousands by filing date | |
| Sandstorm Gold Ltd | 80013R206 | Common Stock | 1,432,980 | $5,345,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 447,427 | $5,132,000 | thousands by filing date | |
| ARRAY BIOPHARMA INC COM | 04269X105 | Stock | 334,604 | $5,086,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 41,586 | $4,863,000 | thousands by filing date | |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 215,134 | $4,619,000 | thousands by filing date | |
| Schwab Intermediate-Term US Treasury ETF | 808524854 | SHS | 88,783 | $4,598,000 | thousands by filing date | |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 559,300 | $4,469,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 238,684 | $4,399,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 10,536 | $4,257,000 | thousands by filing date | |
| INVESCO SR INCOME TR | 46131H107 | COM | 987,204 | $4,245,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 122,544 | $4,115,000 | thousands by filing date | |
| SPDR Portfolio Long Term Treasury ETF | 78464A664 | SHS | 119,224 | $4,030,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 377,623 | $3,999,000 | thousands by filing date | |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 375,606 | $3,891,000 | thousands by filing date | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 219,299 | $3,838,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R882 | 25YR ZERO U S | 35,090 | $3,826,000 | thousands by filing date | |
| COTT CORP QUE | 22163N106 | COM | 231,744 | $3,743,000 | thousands by filing date | |
| KONINKLIJKE PHILIPS N V NY REGIS SHS NEW | 500472303 | ADR | 81,321 | $3,701,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 42,462 | $3,631,000 | thousands by filing date | |
| AGIOS PHARMACEUTICALS INC | 00847X104 | COM | 44,891 | $3,462,000 | thousands by filing date | |
| GREAT PANTHER MINING | 39115V101 | COM | 4,048,896 | $3,442,000 | thousands by filing date | |
| GDL FD | 361570104 | COM SH BEN IT | 364,518 | $3,312,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 61,337 | $3,275,000 | thousands by filing date | |
| ISHARES TR | 464287457 | COM | 37,783 | $3,139,000 | thousands by filing date | |
| ISHARES TR | 464287440 | 7-10 YR TRSY BD | 30,877 | $3,124,000 | thousands by filing date | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 142,414 | $3,090,000 | thousands by filing date | |
| OSISKO GOLD ROYALTIES LTD | 68827L101 | COM | 321,856 | $2,443,000 | thousands by filing date | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 28,116 | $1,727,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 232,511 | $1,697,000 | thousands by filing date | |
| SEQUENTIAL BRNDS GROUP I | 81734P107 | COM | 998,260 | $1,667,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 7,250 | $1,552,000 | thousands by filing date | |
| GLOBAL SELF STORAGE INC | 37955N106 | CMN | 369,452 | $1,548,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 124,657 | $1,540,000 | thousands by filing date | |
| FASTENAL CO COM | 311900104 | Stock | 26,311 | $1,527,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 4 | $1,280,000 | thousands by filing date | |
| NUCOR CORP COM | 670346105 | Stock | 20,062 | $1,273,000 | thousands by filing date | |
| EATON VANCE MI MUNI INCOME T | 27826D106 | SH BEN INT | 98,752 | $1,227,000 | thousands by filing date | |
| MFS INTERMEDIATE INCOME TRUST | 55273C107 | SH BEN INT | 315,641 | $1,187,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229854 | COM SER C FRMLA | 42,504 | $1,158,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 1,163,000 | $1,130,000 | thousands by filing date | principal |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 61,837 | $1,002,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 617,292 | $938,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 51,789 | $828,000 | thousands by filing date | |
| COLGATE PALMOLIVE CO COM | 194162103 | Stock | 12,200 | $817,000 | thousands by filing date | |
| DTE ENERGY CO COM | 233331107 | Stock | 7,435 | $811,000 | thousands by filing date | |
| U.S. GLOBAL GO GOLD AND PRECIOUS METAL MINERS ETF | 26922A719 | ETF | 73,723 | $779,000 | thousands by filing date | |
| McDonalds Corporation | 580135101 | COM | 4,576 | $766,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 8,883 | $739,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 46,305 | $696,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 164,832 | $682,000 | thousands by filing date | |
| LIFEWAY FOODS INC | 531914109 | COMMON STOCK | 248,410 | $661,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 5,754 | $643,000 | thousands by filing date | |
| CONSOLIDATED EDISON INC | 209115104 | COM | 7,918 | $603,000 | thousands by filing date | |
| ASSOCIATED CAP GROUP INC | 045528106 | COM | 12,845 | $547,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 2,353 | $531,000 | thousands by filing date | |
| MORGAN STANLEY ASIA PAC FD I | 61744U106 | COM | 31,959 | $528,000 | thousands by filing date | |
| LXP INDUSTRIAL TRUST | 529043101 | COM | 59,660 | $495,000 | thousands by filing date | |
| SPECIAL OPPORTUNITIES FD INC 2.75 CNV PFD C | 84741T302 | Convertible Preferred | 19,017 | $485,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 41,981 | $471,000 | thousands by filing date | |
| iShares TIPS Bond ETF | 464287176 | SHS | 4,116 | $455,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 37,809 | $417,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,518 | $404,000 | thousands by filing date | |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 3,181 | $373,000 | thousands by filing date | |
| ROYCE GLOBAL TRUST INC | 78081T104 | COM | 35,177 | $370,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 5,011 | $365,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 32,877 | $356,000 | thousands by filing date | |
| MORGAN STANLEY EMER MKTS FD | 61744G107 | COM | 22,190 | $346,000 | thousands by filing date | |
| GABELLI GLOBAL SMALL & MID C | 36249W104 | COM | 27,525 | $336,000 | thousands by filing date | |
| iShares 0-5 Year TIPS Bond ETF | 46429B747 | SHS | 3,268 | $323,000 | thousands by filing date | |
| International Business Machines Corporation | 459200101 | COM | 2,106 | $319,000 | thousands by filing date | |
| Vanguard Intermediate-Term Treasury ETF | 92206C706 | SHS | 5,045 | $313,000 | thousands by filing date | |
| GENERAL MILLS INC COM | 370334104 | Stock | 7,104 | $305,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 30,000 | $281,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 31,600 | $276,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 42,776 | $276,000 | thousands by filing date | |
| ROYAL GOLD INC | 780287AA6 | NOTE | 274,000 | $276,000 | thousands by filing date | principal |
| INGERSOLL-RAND PLC | G47791101 | SHS | 2,567 | $263,000 | thousands by filing date | |
| NEW SR INVT GROUP INC | 648691103 | COM | 43,791 | $258,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 21,000 | $254,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD FUND | 09253W104 | COM | 19,000 | $249,000 | thousands by filing date | |
| Analog Devices,Inc. | 032654105 | COM | 2,632 | $243,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 1,161 | $241,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 18,500 | $230,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 2,000 | $222,000 | thousands by filing date | |
| BLACKROCK MUNIVEST FUND II | 09253T101 | COM | 16,575 | $221,000 | thousands by filing date | |
| WESTERN ASSET MUN DEF OPP TR | 95768A109 | COM | 10,000 | $205,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 14,000 | $202,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 16,000 | $200,000 | thousands by filing date | |
| PIMCO MUN INCOME FD II | 72200W106 | COM | 15,000 | $198,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD IN | 09253N104 | COM | 13,000 | $194,000 | thousands by filing date | |
| MFS GOVT MKTS INCOME TR | 552939100 | SH BEN INT | 42,473 | $188,000 | thousands by filing date | |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 14,000 | $183,000 | thousands by filing date | |
| FIRST TR MTG INCOME FD | 33734E103 | COM SHS | 12,054 | $161,000 | thousands by filing date | |
| BLACKROCK INCOME TR INC | 09247F100 | COM | 22,668 | $130,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 13,971 | $90,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001062993-18-004123 | this filing | 2018-10-18 | acceptance time not in the bulk data set |