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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 $302,587,000 across 86 holdings for the quarter ended 2017-09-30, in a 13F-HR filed 2017-10-11. Its ten largest share positions make up 52.22% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001062993-17-004386

Period
2017-09-30
Reported value
$303M
Holdings
86
Top 10 weight
52.22%
New
9
Sold out
5

Largest buys vs the previous quarter

SecurityShares changeApprox. value
SCHRadded+511,437$27.6M
UNITI GROUP INCnew+326,305$4.78M
BRXnew+175,342$3.3M
NEW YORK REIT INCadded+412,736$3.24M
ARRAY BIOPHARMA INC COMnew+226,256$2.78M

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
RGLDreduced-80,199-$6.9M
TEMPLETON GLOBAL INCOME FDreduced-735,004-$4.95M
WIWreduced-396,657-$4.47M
LEGG MASON BW GLB INC OPP FDreduced-302,753-$4.07M
SIBANYE GOLD LTDexited-510,186-$2.36M

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, Q3 2017

Share positions as resolved from 13F-HR 0001062993-17-004386, largest first. % of portfolio is the value over $302,587,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
SCHOSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 639,957 shares; 2017Q2: 733,572 shares; 2017Q3: 770,449 shares 770,449$38.8M12.83%+36,877Timeline
SCHRSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 690,296 shares; 2017Q2: 62,319 shares; 2017Q3: 573,756 shares 573,756$30.9M10.22%+511,437Timeline
WIWWESTERN AST INFL LKD OPP & IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,596,718 shares; 2017Q2: 2,584,285 shares; 2017Q3: 2,187,628 shares 2,187,628$24.7M8.16%-396,657Timeline
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 374,781 shares; 2017Q2: 626,751 shares; 2017Q3: 625,376 shares 625,376$14.1M4.67%-1,375
KWKENNEDY-WILSON HOLDINGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 472,391 shares; 2017Q3: 531,414 shares 531,414$9.86M3.26%+59,023Timeline
MPTMEDICAL PROPERTIES TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 651,852 shares; 2017Q2: 641,490 shares; 2017Q3: 642,294 shares 642,294$8.43M2.79%+804Timeline
FTFRANKLIN UNVL TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,107,610 shares; 2017Q2: 1,128,325 shares; 2017Q3: 1,125,359 shares 1,125,359$8.18M2.7%-2,966Timeline
WPMWHEATON PRECIOUS METALS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 348,227 shares; 2017Q3: 419,074 shares 419,074$8M2.64%+70,847Timeline
NEW YORK REIT INCNEW YORK REIT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 590,205 shares; 2017Q3: 1,002,941 shares 1,002,941$7.87M2.6%+412,736
Sandstorm Gold LtdSandstorm Gold LtdQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,507,948 shares; 2017Q2: 1,682,307 shares; 2017Q3: 1,558,627 shares 1,558,627$7.08M2.34%-123,680
NOKNOKIA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,154,881 shares; 2017Q2: 1,150,943 shares; 2017Q3: 1,152,402 shares 1,152,402$6.89M2.28%+1,459Timeline
SPIRIT RLTY CAP INC NEWSPIRIT RLTY CAP INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 473,497 shares; 2017Q2: 809,339 shares; 2017Q3: 803,689 shares 803,689$6.89M2.28%-5,650
NEW SR INVT GROUP INCNEW SR INVT GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 681,752 shares; 2017Q2: 682,564 shares; 2017Q3: 697,923 shares 697,923$6.39M2.11%+15,359
VEREIT INCVEREIT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 311,800 shares; 2017Q2: 682,302 shares; 2017Q3: 712,087 shares 712,087$5.9M1.95%+29,785
RICHMONT MINES INCRICHMONT MINES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 548,008 shares; 2017Q3: 605,957 shares 605,957$5.67M1.87%+57,949
COTT CORP QUECOTT CORP QUEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 364,951 shares; 2017Q2: 360,988 shares; 2017Q3: 356,323 shares 356,323$5.35M1.77%-4,665
VODVODAFONE GROUP PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 241,010 shares; 2017Q2: 182,380 shares; 2017Q3: 182,189 shares 182,189$5.18M1.71%-191Timeline
UNITI GROUP INCUNITI GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 326,305 shares 326,305$4.78M1.58%new
GROWU S GLOBAL INVS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,401,526 shares; 2017Q2: 2,378,219 shares; 2017Q3: 2,222,875 shares 2,222,875$4.74M1.56%-155,344Timeline
XWIAXWESTERN ASSET INFLT LNK INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 527,433 shares; 2017Q2: 518,970 shares; 2017Q3: 405,633 shares 405,633$4.68M1.55%-113,337Timeline
ZROZPIMCO ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 38,898 shares; 2017Q2: 38,683 shares; 2017Q3: 38,413 shares 38,413$4.48M1.48%-270Timeline
DISDISNEY WALT COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 21,450 shares; 2017Q2: 21,617 shares; 2017Q3: 43,409 shares 43,409$4.28M1.41%+21,792Timeline
ACGPASSOCIATED CAP GROUP INC CLASSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 26,641 shares; 2017Q2: 72,870 shares; 2017Q3: 115,604 shares 115,604$4.13M1.36%+42,734Timeline
SPTLSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 54,973 shares; 2017Q2: 56,996 shares; 2017Q3: 56,763 shares 56,763$4.09M1.35%-233Timeline
COVANTA HLDG CORPCOVANTA HLDG CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 207,907 shares; 2017Q2: 259,888 shares; 2017Q3: 260,372 shares 260,372$3.87M1.28%+484
GWRSGLOBAL WTR RES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 415,191 shares; 2017Q2: 408,410 shares; 2017Q3: 399,330 shares 399,330$3.76M1.24%-9,080Timeline
GDLGDL FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 353,776 shares; 2017Q2: 371,255 shares; 2017Q3: 363,647 shares 363,647$3.71M1.23%-7,608Timeline
IEFISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 35,245 shares; 2017Q2: 35,245 shares; 2017Q3: 34,620 shares 34,620$3.69M1.22%-625Timeline
SELFGLOBAL SELF STORAGE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 918,189 shares; 2017Q2: 885,164 shares; 2017Q3: 712,921 shares 712,921$3.44M1.14%-172,243Timeline
BRXBRIXMOR PPTY GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 175,342 shares 175,342$3.3M1.09%newTimeline
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; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 535,440 shares; 2017Q2: 532,815 shares; 2017Q3: 230,062 shares 230,062$3.09M1.02%-302,753
ARRAY BIOPHARMA INC COMARRAY BIOPHARMA INC COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 226,256 shares 226,256$2.78M0.92%new
180 DEGREE CAP CORP180 DEGREE CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,720,303 shares; 2017Q2: 1,614,501 shares; 2017Q3: 1,534,111 shares 1,534,111$2.67M0.88%-80,390
SHYISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 28,750 shares; 2017Q2: 29,050 shares; 2017Q3: 29,050 shares 29,050$2.45M0.81%0Timeline
HASIHA SUSTAINABLE INFRA CAP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 249,799 shares; 2017Q2: 180,846 shares; 2017Q3: 99,143 shares 99,143$2.42M0.8%-81,703Timeline
TEMPLETON GLOBAL INCOME FDTEMPLETON GLOBAL INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 651,620 shares; 2017Q2: 1,064,493 shares; 2017Q3: 329,489 shares 329,489$2.22M0.73%-735,004
SEQUENTIAL BRNDS GROUP ISEQUENTIAL BRNDS GROUP IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 527,699 shares; 2017Q3: 708,700 shares 708,700$2.12M0.7%+181,001
ESEVERSOURCE ENERGYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 29,860 shares; 2017Q2: 27,366 shares; 2017Q3: 27,509 shares 27,509$1.66M0.55%+143Timeline
ERICTELEFONAKTIEBOLAGET LM ERICSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 307,382 shares; 2017Q2: 288,001 shares; 2017Q3: 285,594 shares 285,594$1.64M0.54%-2,407Timeline
VVRINVESCO SR INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 25,998 shares; 2017Q2: not reported; 2017Q3: 335,600 shares 335,600$1.51M0.5%newTimeline
RGLDROYAL GOLD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 119,822 shares; 2017Q2: 96,562 shares; 2017Q3: 16,363 shares 16,363$1.41M0.47%-80,199Timeline
BRK-BBERKSHIRE HATHAWAY INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 7,301 shares; 2017Q2: 7,301 shares; 2017Q3: 7,301 shares 7,301$1.34M0.44%0Timeline
SPARK NETWORKS INCSPARK NETWORKS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 555,012 shares; 2017Q2: 932,413 shares; 2017Q3: 1,081,125 shares 1,081,125$1.32M0.44%+148,712
MINABERDEEN INTER INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 166,293 shares; 2017Q2: 310,818 shares; 2017Q3: 297,035 shares 297,035$1.27M0.42%-13,783Timeline
EATON VANCE MI MUNI INCOME TEATON VANCE MI MUNI INCOME TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 83,810 shares; 2017Q2: 82,810 shares; 2017Q3: 82,810 shares 82,810$1.09M0.36%0
GREAT PANTHER MININGGREAT PANTHER MININGQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 876,971 shares 876,971$1.09M0.36%new
NUVEEN MICH QUALITY INCOME …NUVEEN MICH QUALITY INCOME MUN FD…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 76,282 shares; 2017Q2: 76,282 shares; 2017Q3: 76,282 shares 76,282$1.04M0.35%0
FASTFASTENAL COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 26,557 shares; 2017Q2: 22,555 shares; 2017Q3: 22,694 shares 22,694$1.03M0.34%+139Timeline
CLCOLGATE PALMOLIVE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,200 shares; 2017Q2: 12,200 shares; 2017Q3: 12,200 shares 12,200$889K0.29%0Timeline
IGRCBRE GBL REAL ESTATE INC FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 33,093 shares; 2017Q2: 108,351 shares; 2017Q3: 111,423 shares 111,423$880K0.29%+3,072Timeline
PGPROCTER & GAMBLE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 9,016 shares; 2017Q2: 9,228 shares; 2017Q3: 9,229 shares 9,229$840K0.28%+1Timeline
GGZGABELLI GLOBAL SMALL & MID CQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 66,986 shares; 2017Q2: 64,503 shares; 2017Q3: 61,996 shares 61,996$820K0.27%-2,507Timeline
NUVEEN SELECT TAX FREE INCOMNUVEEN SELECT TAX FREE INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 54,000 shares; 2017Q2: 54,000 shares; 2017Q3: 53,000 shares 53,000$805K0.27%-1,000
Vitamin Shoppe, Inc.Vitamin Shoppe, Inc.Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 83,499 shares; 2017Q2: 144,654 shares; 2017Q3: 144,703 shares 144,703$774K0.26%+49
GOAUETF SER SOLUTIONSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 60,911 shares; 2017Q3: 59,928 shares 59,928$759K0.25%-983Timeline
DTEDTE ENERGY COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 7,146 shares; 2017Q2: 6,554 shares; 2017Q3: 6,588 shares 6,588$707K0.23%+34Timeline
PEPPEPSICO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 6,194 shares 6,194$690K0.23%newTimeline
MCDMCDONALDS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 4,336 shares; 2017Q3: 4,336 shares 4,336$679K0.22%0Timeline
NUVEEN SELECT TAX FREE INCOMNUVEEN SELECT TAX FREE INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 48,000 shares; 2017Q2: 48,000 shares; 2017Q3: 48,000 shares 48,000$674K0.22%0
EDCONSOLIDATED EDISON INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 8,343 shares; 2017Q2: 7,689 shares; 2017Q3: 7,731 shares 7,731$624K0.21%+42Timeline
NXPNUVEEN SELECT TAX-FREE INCOMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 39,000 shares; 2017Q2: 39,000 shares; 2017Q3: 39,000 shares 39,000$582K0.19%0Timeline
SPECIAL OPPORTUNITIES FD IN…SPECIAL OPPORTUNITIES FD INC 2.75…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 21,454 shares; 2017Q2: 21,313 shares; 2017Q3: 21,007 shares 21,007$538K0.18%-306
IRDMIRIDIUM COMMUNICATIONS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 110,816 shares; 2017Q2: 49,966 shares; 2017Q3: 47,916 shares 47,916$494K0.16%-2,050Timeline
STEWSRH TOTAL RETURN FUND INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 49,004 shares; 2017Q2: 48,472 shares; 2017Q3: 46,393 shares 46,393$473K0.16%-2,079Timeline
BGBBLACKSTONE STRATEGIC CRED 20Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 71,733 shares; 2017Q2: 27,698 shares; 2017Q3: 27,033 shares 27,033$432K0.14%-665Timeline
VIRTUS TOTAL RETURN FUND INCVIRTUS TOTAL RETURN FUND INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 33,956 shares; 2017Q3: 32,416 shares 32,416$423K0.14%-1,540
TLTISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 3,345 shares; 2017Q2: not reported; 2017Q3: 3,345 shares 3,345$417K0.14%newTimeline
GLOCLOUGH GLOBAL OPPORTUNITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 262,368 shares; 2017Q2: 41,438 shares; 2017Q3: 35,280 shares 35,280$394K0.13%-6,158Timeline
WALGREENS BOOTS ALLIANCE INCWALGREENS BOOTS ALLIANCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 5,011 shares; 2017Q2: 5,011 shares; 2017Q3: 5,011 shares 5,011$387K0.13%0
GISGENERAL MILLS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 7,278 shares 7,278$377K0.12%newTimeline
SPESPECIAL OPPORTUNITIES FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 13,768 shares; 2017Q2: 15,724 shares; 2017Q3: 23,712 shares 23,712$376K0.12%+7,988Timeline
MORGAN STANLEY EMER MKTS FDMORGAN STANLEY EMER MKTS FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 18,093 shares; 2017Q2: 16,985 shares; 2017Q3: 17,685 shares 17,685$307K0.1%+700
IBMINTERNATIONAL BUSINESS MACHSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,958 shares; 2017Q2: 1,973 shares; 2017Q3: 2,053 shares 2,053$298K0.1%+80Timeline
UNHUNITEDHEALTH GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,518 shares; 2017Q2: 1,518 shares; 2017Q3: 1,518 shares 1,518$297K0.1%0Timeline
NIMNUVEEN SELECT MAT MUN FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 27,000 shares; 2017Q2: 27,000 shares; 2017Q3: 26,825 shares 26,825$277K0.09%-175Timeline
TDFTEMPLETON DRAGON FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,670 shares; 2017Q2: 12,499 shares; 2017Q3: 12,407 shares 12,407$258K0.09%-92Timeline
MORGAN STANLEY ASIA PAC FD IMORGAN STANLEY ASIA PAC FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 15,420 shares; 2017Q2: 14,850 shares; 2017Q3: 14,574 shares 14,574$251K0.08%-276
ADIANALOG DEVICES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,632 shares; 2017Q2: 2,632 shares; 2017Q3: 2,632 shares 2,632$227K0.08%0Timeline
CSCOCISCO SYS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 6,504 shares; 2017Q3: 6,650 shares 6,650$224K0.07%+146Timeline
CGOCALAMOS GLOBAL TOTAL RETURNQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 117,697 shares; 2017Q2: 24,817 shares; 2017Q3: 12,107 shares 12,107$162K0.05%-12,710Timeline
LWAYLIFEWAY FOODS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 15,565 shares; 2017Q3: 15,565 shares 15,565$139K0.05%0Timeline
ALPINE GLOBAL PREMIER PPTYSALPINE GLOBAL PREMIER PPTYSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 120,664 shares; 2017Q2: 21,465 shares; 2017Q3: 18,507 shares 18,507$123K0.04%-2,958
BTGB2GOLD CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 37,100 shares; 2017Q2: 35,400 shares; 2017Q3: 35,400 shares 35,400$99K0.03%0Timeline
TZOOTRAVELZOOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 11,426 shares 11,426$98K0.03%newTimeline
AEGON N VAEGON N VQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2015Q4: restricted; 2016Q1: restricted; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,651 shares; 2017Q2: 12,983 shares; 2017Q3: 13,315 shares 13,315$77K0.03%+332

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$344K0

Sold out in Q3 2017

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

SecurityShares beforeValue beforeType
SIBANYE GOLD LTDSIBANYE GOLD LTD510,186$2.36Mshares
RGTROYCE GLOBAL TRUST INC125,327$1.2Mshares
MMTABERDEEN MULTI-MARKET INCOME81,082$503Kshares
DIVERSIFIED REAL ASSET INC …DIVERSIFIED REAL ASSET INC FD COM…12,254$214Kshares
EODALLSPRING GLOBAL DIVIDEND OP21,720$133Kshares

How Q3 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 0001062993-17-004386 base2017-10-11acceptance time not in the bulk data set