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Disclosery

FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD

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13F filer, CIK 1051042, TRAVERSE CITY, MI

FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD reported $295,761,000 across 94 holdings for the quarter ended 2017-03-31, in a 13F-HR filed 2017-04-17. Its ten largest share positions make up 52.08% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001062993-17-001887

Period
2017-03-31
Reported value
$296M
Holdings
94
Top 10 weight
52.08%
New
17
Sold out
18

Largest buys vs the previous quarter

SecurityShares changeApprox. value
SCHOnew+639,957$32.3M
SCHRadded+148,004$7.93M
CLAYMORE EXCHANGE TRD FD TRadded+350,281$7.92M
SPIRIT RLTY CAP INC NEWnew+473,497$4.8M
ZROZnew+38,898$4.32M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
WIWreduced-1,068,164-$11.9M
APOLLO SENIOR FLOATING RATE…exited-325,340-$5.66M
ST JUDE MED INCexited-65,365-$5.24M
EATON VANCE FLTG RATE INCOMexited-245,380-$4.21M
ERICreduced-521,763-$3.46M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q1 2017

Share positions as resolved from 13F-HR 0001062993-17-001887, largest first. % of portfolio is the value over $295,760,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
SCHRSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 690,296 shares 690,296$37M12.51%+148,004Timeline
SCHOSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 639,957 shares 639,957$32.3M10.92%newTimeline
WIWWESTERN AST INFL LKD OPP & IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,596,718 shares 2,596,718$29M9.81%-1,068,164Timeline
SILVER WHEATON CORPSILVER WHEATON CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 428,075 shares 428,075$8.92M3.02%-98,924
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 374,781 shares 374,781$8.48M2.87%+350,281
MPTMEDICAL PROPERTIES TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 651,852 shares 651,852$8.4M2.84%-9,025Timeline
RGLDROYAL GOLD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 119,822 shares 119,822$8.39M2.84%-2,704Timeline
FTFRANKLIN UNVL TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,107,610 shares 1,107,610$7.74M2.62%+19,996Timeline
NEW SR INVT GROUP INCNEW SR INVT GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 681,752 shares 681,752$6.95M2.35%+114,087
LEGG MASON BW GLB INC OPP FDLEGG MASON BW GLB INC OPP FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 535,440 shares 535,440$6.84M2.31%+256,895
Sandstorm Gold LtdSandstorm Gold LtdQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,507,948 shares 1,507,948$6.44M2.18%-44,066
VODVODAFONE GROUP PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 241,010 shares 241,010$6.37M2.15%+783Timeline
NOKNOKIA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,154,881 shares 1,154,881$6.26M2.12%+52,551Timeline
XWIAXWESTERN ASSET INFLT LNK INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 527,433 shares 527,433$6.07M2.05%-78,542Timeline
HASIHA SUSTAINABLE INFRA CAP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 249,799 shares 249,799$5.05M1.71%+14,486Timeline
SPIRIT RLTY CAP INC NEWSPIRIT RLTY CAP INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 473,497 shares 473,497$4.8M1.62%new
COTT CORP QUECOTT CORP QUEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 364,951 shares 364,951$4.51M1.53%+210,142
SELFGLOBAL SELF STORAGE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 918,189 shares 918,189$4.38M1.48%-43,654Timeline
TEMPLETON GLOBAL INCOME FDTEMPLETON GLOBAL INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 651,620 shares 651,620$4.33M1.47%-74,718
ZROZPIMCO ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 38,898 shares 38,898$4.32M1.46%newTimeline
MMTABERDEEN MULTI-MARKET INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 696,547 shares 696,547$4.26M1.44%-16,884Timeline
DPGDUFF & PHELPS UTLITY AND INFQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 253,609 shares 253,609$4.12M1.39%-24,449Timeline
SPTLSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 54,973 shares 54,973$3.83M1.3%newTimeline
SIBANYE GOLD LTDSIBANYE GOLD LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 425,600 shares 425,600$3.75M1.27%new
GROWU S GLOBAL INVS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,401,526 shares 2,401,526$3.75M1.27%-54,553Timeline
IEFISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 35,245 shares 35,245$3.72M1.26%+1,810Timeline
GWRSGLOBAL WTR RES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 415,191 shares 415,191$3.61M1.22%-8,021Timeline
GDLGDL FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 353,776 shares 353,776$3.48M1.18%+19,284Timeline
COVANTA HLDG CORPCOVANTA HLDG CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 207,907 shares 207,907$3.26M1.1%-5,485
GLOCLOUGH GLOBAL OPPORTUNITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 262,368 shares 262,368$2.7M0.91%-11,601Timeline
L BRANDS INCL BRANDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 56,865 shares 56,865$2.68M0.91%new
VEREIT INCVEREIT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 311,800 shares 311,800$2.65M0.89%+203,454
180 DEGREE CAP CORP180 DEGREE CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,720,303 shares 1,720,303$2.49M0.84%new
DISDISNEY WALT COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 21,450 shares 21,450$2.43M0.82%-268Timeline
SHYISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 28,750 shares 28,750$2.43M0.82%-325Timeline
GOOGALPHABET INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,661 shares 2,661$2.21M0.75%-1,569Timeline
ERICTELEFONAKTIEBOLAGET LM ERICSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 307,382 shares 307,382$2.04M0.69%-521,763Timeline
STKLSUNOPTA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 271,552 shares 271,552$1.89M0.64%-49,870Timeline
ESEVERSOURCE ENERGYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 29,860 shares 29,860$1.75M0.59%0Timeline
Vitamin Shoppe, Inc.Vitamin Shoppe, Inc.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 83,499 shares 83,499$1.68M0.57%new
ABTABBOTT LABORATORIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 33,269 shares 33,269$1.48M0.5%newTimeline
CGOCALAMOS GLOBAL TOTAL RETURNQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 117,697 shares 117,697$1.41M0.48%-2,315Timeline
FASTFASTENAL COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 26,557 shares 26,557$1.37M0.46%+3,828Timeline
BRK-BBERKSHIRE HATHAWAY INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 7,301 shares 7,301$1.22M0.41%+25Timeline
RGTROYCE GLOBAL TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 131,198 shares 131,198$1.15M0.39%-7,083Timeline
BGBBLACKSTONE STRATEGIC CRED 20Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 71,733 shares 71,733$1.14M0.38%-75,735Timeline
EATON VANCE MI MUNI INCOME TEATON VANCE MI MUNI INCOME TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 83,810 shares 83,810$1.09M0.37%-7,500
IRDMIRIDIUM COMMUNICATIONS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 110,816 shares 110,816$1.07M0.36%newTimeline
NUVEEN MICH QUALITY INCOME …NUVEEN MICH QUALITY INCOME MUN FD…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 76,282 shares 76,282$1.02M0.34%+15,629
BTZBLACKROCK CR ALLOCATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 75,677 shares 75,677$996K0.34%-10,372Timeline
ACGPASSOCIATED CAP GROUP INC CLASSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 26,641 shares 26,641$963K0.33%-3,134Timeline
CLCOLGATE PALMOLIVE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,200 shares 12,200$893K0.3%0Timeline
PGPROCTER & GAMBLE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 9,016 shares 9,016$810K0.27%-23Timeline
NUVEEN SELECT TAX FREE INCOMNUVEEN SELECT TAX FREE INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 54,000 shares 54,000$767K0.26%new
GGZGABELLI GLOBAL SMALL & MID CQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 66,986 shares 66,986$763K0.26%-5,267Timeline
DTEDTE ENERGY COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 7,146 shares 7,146$730K0.25%0Timeline
XRNPXCOHEN & STEERS REIT & PFD &Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 37,164 shares 37,164$719K0.24%-1,850Timeline
MINABERDEEN INTER INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 166,293 shares 166,293$717K0.24%+74,209Timeline
XEMDXWESTERN ASSET EMERGING MKTSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 46,137 shares 46,137$715K0.24%-734Timeline
ALPINE GLOBAL PREMIER PPTYSALPINE GLOBAL PREMIER PPTYSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 120,664 shares 120,664$690K0.23%-1,590
EDCONSOLIDATED EDISON INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 8,343 shares 8,343$648K0.22%0Timeline
NUVEEN SELECT TAX FREE INCOMNUVEEN SELECT TAX FREE INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 48,000 shares 48,000$644K0.22%new
SPARK NETWORKS INCSPARK NETWORKS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 555,012 shares 555,012$572K0.19%+126,920
XBOEXBLACKROCK ENHANCED GLOBALQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 44,952 shares 44,952$557K0.19%-649Timeline
NXPNUVEEN SELECT TAX-FREE INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 39,000 shares 39,000$547K0.18%newTimeline
SPECIAL OPPORTUNITIES FD IN…SPECIAL OPPORTUNITIES FD INC 2.75…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 21,454 shares 21,454$543K0.18%-469
GLUGABELLI GLOBAL UTIL & INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 24,853 shares 24,853$462K0.16%-1,075Timeline
CHWCALAMOS GBL DYN INCOME FUNDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 58,601 shares 58,601$457K0.15%-106,347Timeline
STEWSRH TOTAL RETURN FUND INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 49,004 shares 49,004$456K0.15%-156Timeline
WALGREENS BOOTS ALLIANCE INCWALGREENS BOOTS ALLIANCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 5,011 shares 5,011$416K0.14%0
GLVCLOUGH GLOBAL DIVID & INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 30,870 shares 30,870$410K0.14%-25,729Timeline
TLTISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 3,345 shares 3,345$404K0.14%newTimeline
AAPLAPPLE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,537 shares 2,537$364K0.12%-113Timeline
IBMINTERNATIONAL BUSINESS MACHSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,958 shares 1,958$341K0.12%+12Timeline
LAZARD WORLD DIVID & INCOMELAZARD WORLD DIVID & INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 29,634 shares 29,634$316K0.11%-153,902
TURKISH INVESTMENT FUNDTURKISH INVESTMENT FUNDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 34,104 shares 34,104$283K0.1%new
NIMNUVEEN SELECT MAT MUN FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 27,000 shares 27,000$268K0.09%newTimeline
MORGAN STANLEY EMER MKTS FDMORGAN STANLEY EMER MKTS FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 18,093 shares 18,093$267K0.09%+959
UNHUNITEDHEALTH GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,518 shares 1,518$249K0.08%0Timeline
IGRCBRE GBL REAL ESTATE INC FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 33,093 shares 33,093$247K0.08%-367Timeline
TDFTEMPLETON DRAGON FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,670 shares 12,670$238K0.08%-411Timeline
MORGAN STANLEY ASIA PAC FD IMORGAN STANLEY ASIA PAC FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 15,420 shares 15,420$237K0.08%-92
DIVERSIFIED REAL ASSET INC …DIVERSIFIED REAL ASSET INC FD COM…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 13,307 shares 13,307$231K0.08%-326
ADIANALOG DEVICES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,632 shares 2,632$216K0.07%newTimeline
SPESPECIAL OPPORTUNITIES FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 13,768 shares 13,768$201K0.07%-50Timeline
ERCALLSPRING MULTI SECTOR INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 13,420 shares 13,420$179K0.06%-84,851Timeline
EODALLSPRING GLOBAL DIVIDEND OPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 22,159 shares 22,159$129K0.04%-102,312Timeline
VVRINVESCO SR INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 25,998 shares 25,998$120K0.04%-164,384Timeline
PIMFRANKLIN MASTER INTER INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 25,420 shares 25,420$119K0.04%0Timeline
BTGB2GOLD CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 37,100 shares 37,100$105K0.04%-310,245Timeline
VOYA PRIME RATE TRUSTVOYA PRIME RATE TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,550 shares 12,550$68K0.02%-129,948
AEGON N VAEGON N VQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,651 shares 12,651$65K0.02%0
JVACOFFEE HLDG CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q2: restricted; 2015Q3: restricted; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 11,475 shares 11,475$53K0.02%-200Timeline

Principal amounts

Notes and convertibles filed as a face amount (PRN). A face amount is never added to a share count (H6).

SecurityTypeAmountValueChange
ROYAL GOLD INCROYAL GOLD INC NOTEprincipal314,000$332K-2,000

Sold out in Q1 2017

Positions in the previous quarter's report that this quarter's report no longer lists.

SecurityShares beforeValue beforeType
APOLLO SENIOR FLOATING RATE…APOLLO SENIOR FLOATING RATE FU325,340$5.66Mshares
ST JUDE MED INCST JUDE MED INC65,365$5.24Mshares
EATON VANCE FLTG RATE INCOMEATON VANCE FLTG RATE INCOM245,380$4.21Mshares
XJQCXNUVEEN CR STRATEGIES INCOME294,285$2.6Mshares
HARRIS & HARRIS GROUP INCHARRIS & HARRIS GROUP INC1,777,181$2.45Mshares
UTFCOHEN & STEERS INFRASTRUCTUR96,925$1.88Mshares
PIONEER FLOATING RATE FUND IPIONEER FLOATING RATE FUND I138,507$1.64Mshares
SENIOR HSG PPTYS TRSENIOR HSG PPTYS TR86,133$1.63Mshares
XFOFXCOHEN & STEERS CLOSED-END105,028$1.23Mshares
WHITEWAVE FOODS COMPANYWHITEWAVE FOODS COMPANY20,835$1.16Mshares
INVESCO DYNAMIC CR OPPORTUNIINVESCO DYNAMIC CR OPPORTUNI86,250$1.06Mshares
LXPLXP INDUSTRIAL TRUST38,305$414Kshares
XEVGXEATON VANCE SHORT DURATION D29,415$408Kshares
GRAMERCY PPTY TR COMGRAMERCY PPTY TR COM37,937$348Kshares
GZTGFGG CITY LTD SHS (ISR)37,385$323Kshares
DOMINION DIAMOND CORPDOMINION DIAMOND CORP10,100$98Kshares
GGNGAMCO GLOBAL GOLD NAT RES &10,248$54Kshares
NGDNEW GOLD INC14,725$52Kshares

How Q1 2017 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001062993-17-001887 base2017-04-17acceptance time not in the bulk data set