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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 $311,165,000 across 97 holdings for the quarter ended 2018-03-31, in a 13F-HR filed 2018-04-23. Its ten largest share positions make up 36.65% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001062993-18-001770

Period
2018-03-31
Reported value
$311M
Holdings
97
Top 10 weight
36.65%
New
21
Sold out
7

Largest buys vs the previous quarter

SecurityShares changeApprox. value
XJQCXnew+1,374,586$10.9M
BTZnew+638,714$8.09M
TEMPLETON GLOBAL INCOME FDadded+820,153$5.24M
KIMnew+363,085$5.23M
FSPnew+600,591$5.05M

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
SCHOreduced-299,801-$14.9M
CLAYMORE EXCHANGE TRD FD TRexited-561,030-$11.8M
SCHRreduced-199,576-$10.5M
WPMreduced-184,105-$3.75M
WIWexited-251,869-$2.88M

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 2018

Share positions as resolved from 13F-HR 0001062993-18-001770, largest first. % of portfolio is the value over $311,163,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
SCHPSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 306,983 shares; 2018Q1: 322,177 shares 322,177$17.7M5.68%+15,194Timeline
SCHRSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 690,296 shares; 2017Q2: 62,319 shares; 2017Q3: 573,756 shares; 2017Q4: 483,181 shares; 2018Q1: 283,605 shares 283,605$14.9M4.79%-199,576Timeline
SCHOSCHWAB STRATEGIC TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 639,957 shares; 2017Q2: 733,572 shares; 2017Q3: 770,449 shares; 2017Q4: 597,953 shares; 2018Q1: 298,152 shares 298,152$14.9M4.78%-299,801Timeline
KWKENNEDY-WILSON HOLDINGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 472,391 shares; 2017Q3: 531,414 shares; 2017Q4: 712,052 shares; 2018Q1: 690,947 shares 690,947$12M3.86%-21,105Timeline
XJQCXNUVEEN CR STRATEGIES INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 1,374,586 shares 1,374,586$10.9M3.51%newTimeline
FTFRANKLIN UNVL TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,107,610 shares; 2017Q2: 1,128,325 shares; 2017Q3: 1,125,359 shares; 2017Q4: 1,130,705 shares; 2018Q1: 1,494,406 shares 1,494,406$10.1M3.25%+363,701Timeline
NOKNOKIA CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,154,881 shares; 2017Q2: 1,150,943 shares; 2017Q3: 1,152,402 shares; 2017Q4: 1,661,957 shares; 2018Q1: 1,651,491 shares 1,651,491$9.03M2.9%-10,466Timeline
MPTMEDICAL PROPERTIES TRUST INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 651,852 shares; 2017Q2: 641,490 shares; 2017Q3: 642,294 shares; 2017Q4: 630,387 shares; 2018Q1: 681,185 shares 681,185$8.86M2.85%+50,798Timeline
BTZBLACKROCK CR ALLOCATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 75,677 shares; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 638,714 shares 638,714$8.09M2.6%newTimeline
TEMPLETON GLOBAL INCOME FDTEMPLETON GLOBAL INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 651,620 shares; 2017Q2: 1,064,493 shares; 2017Q3: 329,489 shares; 2017Q4: 362,245 shares; 2018Q1: 1,182,398 shares 1,182,398$7.56M2.43%+820,153
VEREIT INCVEREIT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 311,800 shares; 2017Q2: 682,302 shares; 2017Q3: 712,087 shares; 2017Q4: 850,782 shares; 2018Q1: 1,079,120 shares 1,079,120$7.51M2.41%+228,338
Sandstorm Gold LtdSandstorm Gold LtdQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,507,948 shares; 2017Q2: 1,682,307 shares; 2017Q3: 1,558,627 shares; 2017Q4: 1,528,387 shares; 2018Q1: 1,518,277 shares 1,518,277$7.23M2.32%-10,110
VOYA PRIME RATE TRUSTVOYA PRIME RATE TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,550 shares; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 1,110,576 shares; 2018Q1: 1,331,585 shares 1,331,585$6.94M2.23%+221,009
BRXBRIXMOR PPTY GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 175,342 shares; 2017Q4: 309,603 shares; 2018Q1: 447,096 shares 447,096$6.82M2.19%+137,493Timeline
SPIRIT RLTY CAP INC NEWSPIRIT RLTY CAP INC NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 473,497 shares; 2017Q2: 809,339 shares; 2017Q3: 803,689 shares; 2017Q4: 798,793 shares; 2018Q1: 808,645 shares 808,645$6.28M2.02%+9,852
MRKMERCK & CO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 88,675 shares; 2018Q1: 108,986 shares 108,986$5.94M1.91%+20,311Timeline
ACGPASSOCIATED CAP GROUP INC CLASSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 26,641 shares; 2017Q2: 72,870 shares; 2017Q3: 115,604 shares; 2017Q4: 150,269 shares; 2018Q1: 156,270 shares 156,270$5.85M1.88%+6,001Timeline
NEW SR INVT GROUP INCNEW SR INVT GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 681,752 shares; 2017Q2: 682,564 shares; 2017Q3: 697,923 shares; 2017Q4: 696,443 shares; 2018Q1: 693,183 shares 693,183$5.67M1.82%-3,260
UNITI GROUP INCUNITI GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 326,305 shares; 2017Q4: 323,702 shares; 2018Q1: 323,651 shares 323,651$5.26M1.69%-51
INVESCO DYNAMIC CR OPPORTUNIINVESCO DYNAMIC CR OPPORTUNIQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 161,802 shares; 2018Q1: 447,172 shares 447,172$5.25M1.69%+285,370
KIMKIMCO REALTY CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 363,085 shares 363,085$5.23M1.68%newTimeline
FSPFRANKLIN STR PPTYS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 600,591 shares 600,591$5.05M1.62%newTimeline
BWGBRANDYWINEGBL GBL INCM OPP FQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 389,261 shares 389,261$5.02M1.61%newTimeline
GREAT PANTHER MININGGREAT PANTHER MININGQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 876,971 shares; 2017Q4: 4,275,365 shares; 2018Q1: 4,240,996 shares 4,240,996$4.96M1.59%-34,369
WPMWHEATON PRECIOUS METALS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 348,227 shares; 2017Q3: 419,074 shares; 2017Q4: 420,689 shares; 2018Q1: 236,584 shares 236,584$4.82M1.55%-184,105Timeline
LXPLXP INDUSTRIAL TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 592,917 shares 592,917$4.67M1.5%newTimeline
VVRINVESCO SR INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 25,998 shares; 2017Q2: not reported; 2017Q3: 335,600 shares; 2017Q4: 850,184 shares; 2018Q1: 1,026,183 shares 1,026,183$4.51M1.45%+175,999Timeline
DISDISNEY WALT COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 21,450 shares; 2017Q2: 21,617 shares; 2017Q3: 43,409 shares; 2017Q4: 43,233 shares; 2018Q1: 43,741 shares 43,741$4.39M1.41%+508Timeline
SPTLSPDR SERIES TRUSTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 54,973 shares; 2017Q2: 56,996 shares; 2017Q3: 56,763 shares; 2017Q4: 124,961 shares; 2018Q1: 122,202 shares 122,202$4.29M1.38%-2,759Timeline
AGIALAMOS GOLD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 832,782 shares; 2018Q1: 822,012 shares 822,012$4.28M1.38%-10,770Timeline
ZROZPIMCO ETF TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 38,898 shares; 2017Q2: 38,683 shares; 2017Q3: 38,413 shares; 2017Q4: 38,023 shares; 2018Q1: 36,753 shares 36,753$4.22M1.36%-1,270Timeline
HASIHA SUSTAINABLE INFRA CAP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 249,799 shares; 2017Q2: 180,846 shares; 2017Q3: 99,143 shares; 2017Q4: 91,728 shares; 2018Q1: 214,209 shares 214,209$4.18M1.34%+122,481Timeline
VODVODAFONE GROUP PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 241,010 shares; 2017Q2: 182,380 shares; 2017Q3: 182,189 shares; 2017Q4: 163,575 shares; 2018Q1: 143,898 shares 143,898$4M1.29%-19,677Timeline
SHYISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 28,750 shares; 2017Q2: 29,050 shares; 2017Q3: 29,050 shares; 2017Q4: 42,342 shares; 2018Q1: 46,687 shares 46,687$3.9M1.25%+4,345Timeline
IEFISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 35,245 shares; 2017Q2: 35,245 shares; 2017Q3: 34,620 shares; 2017Q4: 34,286 shares; 2018Q1: 34,371 shares 34,371$3.55M1.14%+85Timeline
GWRSGLOBAL WTR RES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 415,191 shares; 2017Q2: 408,410 shares; 2017Q3: 399,330 shares; 2017Q4: 392,743 shares; 2018Q1: 387,984 shares 387,984$3.48M1.12%-4,759Timeline
GDLGDL FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 353,776 shares; 2017Q2: 371,255 shares; 2017Q3: 363,647 shares; 2017Q4: 354,644 shares; 2018Q1: 361,802 shares 361,802$3.37M1.08%+7,158Timeline
OSISKO GOLD ROYALTIES LTDOSISKO GOLD ROYALTIES LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 336,818 shares 336,818$3.26M1.05%new
PHGKONINKLIJKE PHILIPS N VQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 84,169 shares 84,169$3.23M1.04%newTimeline
OMCOMNICOM GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 43,815 shares 43,815$3.18M1.02%newTimeline
COTT CORP QUECOTT CORP QUEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 364,951 shares; 2017Q2: 360,988 shares; 2017Q3: 356,323 shares; 2017Q4: 214,401 shares; 2018Q1: 214,728 shares 214,728$3.16M1.02%+327
HANESBRANDS INCHANESBRANDS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 169,470 shares 169,470$3.12M1%new
SIBANYE GOLD LTDSIBANYE GOLD LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 425,600 shares; 2017Q2: 510,186 shares; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 672,056 shares 672,056$2.68M0.86%new
SELFGLOBAL SELF STORAGE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 918,189 shares; 2017Q2: 885,164 shares; 2017Q3: 712,921 shares; 2017Q4: 598,020 shares; 2018Q1: 564,541 shares 564,541$2.5M0.8%-33,479Timeline
SEQUENTIAL BRNDS GROUP ISEQUENTIAL BRNDS GROUP IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 527,699 shares; 2017Q3: 708,700 shares; 2017Q4: 808,229 shares; 2018Q1: 1,078,840 shares 1,078,840$2.25M0.72%+270,611
ARRAY BIOPHARMA INC COMARRAY BIOPHARMA INC COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 226,256 shares; 2017Q4: 220,806 shares; 2018Q1: 134,751 shares 134,751$2.2M0.71%-86,055
GROWU S GLOBAL INVS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,401,526 shares; 2017Q2: 2,378,219 shares; 2017Q3: 2,222,875 shares; 2017Q4: 755,171 shares; 2018Q1: 732,758 shares 732,758$1.85M0.6%-22,413Timeline
COVANTA HLDG CORPCOVANTA HLDG CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 207,907 shares; 2017Q2: 259,888 shares; 2017Q3: 260,372 shares; 2017Q4: 255,296 shares; 2018Q1: 125,590 shares 125,590$1.82M0.59%-129,706
LWAYLIFEWAY FOODS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 15,565 shares; 2017Q3: 15,565 shares; 2017Q4: 50,302 shares; 2018Q1: 289,773 shares 289,773$1.74M0.56%+239,471Timeline
ESEVERSOURCE ENERGYQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 29,860 shares; 2017Q2: 27,366 shares; 2017Q3: 27,509 shares; 2017Q4: 27,653 shares; 2018Q1: 27,794 shares 27,794$1.64M0.53%+141Timeline
NUVEEN MICH QUALITY INCOME …NUVEEN MICH QUALITY INCOME MUN FD…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 76,282 shares; 2017Q2: 76,282 shares; 2017Q3: 76,282 shares; 2017Q4: 77,682 shares; 2018Q1: 125,782 shares 125,782$1.59M0.51%+48,100
BRK-BBERKSHIRE HATHAWAY INC DELQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 7,301 shares; 2017Q2: 7,301 shares; 2017Q3: 7,301 shares; 2017Q4: 7,226 shares; 2018Q1: 7,226 shares 7,226$1.44M0.46%0Timeline
FASTFASTENAL COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 26,557 shares; 2017Q2: 22,555 shares; 2017Q3: 22,694 shares; 2017Q4: 26,902 shares; 2018Q1: 26,137 shares 26,137$1.43M0.46%-765Timeline
180 DEGREE CAP CORP180 DEGREE CAP CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,720,303 shares; 2017Q2: 1,614,501 shares; 2017Q3: 1,534,111 shares; 2017Q4: 798,064 shares; 2018Q1: 760,314 shares 760,314$1.41M0.45%-37,750
MINABERDEEN INTER INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 166,293 shares; 2017Q2: 310,818 shares; 2017Q3: 297,035 shares; 2017Q4: 359,108 shares; 2018Q1: 346,783 shares 346,783$1.36M0.44%-12,325Timeline
REGNREGENERON PHARMACEUTICALSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 3,486 shares 3,486$1.2M0.39%newTimeline
EATON VANCE MI MUNI INCOME TEATON VANCE MI MUNI INCOME TQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 83,810 shares; 2017Q2: 82,810 shares; 2017Q3: 82,810 shares; 2017Q4: 81,610 shares; 2018Q1: 88,860 shares 88,860$1.09M0.35%+7,250
AMDADVANCED MICRO DEVICES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 100,298 shares 100,298$1.01M0.32%newTimeline
GOAUETF SER SOLUTIONSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 60,911 shares; 2017Q3: 59,928 shares; 2017Q4: 75,364 shares; 2018Q1: 74,316 shares 74,316$945K0.3%-1,048Timeline
APOLLO SENIOR FLOATING RATE…APOLLO SENIOR FLOATING RATE FUQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 53,459 shares 53,459$900K0.29%new
IGRCBRE GBL REAL ESTATE INC FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 33,093 shares; 2017Q2: 108,351 shares; 2017Q3: 111,423 shares; 2017Q4: 105,805 shares; 2018Q1: 122,903 shares 122,903$898K0.29%+17,098Timeline
CLCOLGATE PALMOLIVE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,200 shares; 2017Q2: 12,200 shares; 2017Q3: 12,200 shares; 2017Q4: 12,200 shares; 2018Q1: 12,200 shares 12,200$874K0.28%0Timeline
VGITVANGUARD SCOTTSDALE FDSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 12,115 shares; 2018Q1: 11,740 shares 11,740$739K0.24%-375Timeline
MCDMCDONALDS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 4,336 shares; 2017Q3: 4,336 shares; 2017Q4: 4,336 shares; 2018Q1: 4,536 shares 4,536$709K0.23%+200Timeline
SPESPECIAL OPPORTUNITIES FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 13,768 shares; 2017Q2: 15,724 shares; 2017Q3: 23,712 shares; 2017Q4: 36,580 shares; 2018Q1: 47,813 shares 47,813$705K0.23%+11,233Timeline
PGPROCTER & GAMBLE COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 9,016 shares; 2017Q2: 9,228 shares; 2017Q3: 9,229 shares; 2017Q4: 9,119 shares; 2018Q1: 8,882 shares 8,882$704K0.23%-237Timeline
DTEDTE ENERGY COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 7,146 shares; 2017Q2: 6,554 shares; 2017Q3: 6,588 shares; 2017Q4: 6,620 shares; 2018Q1: 6,658 shares 6,658$695K0.22%+38Timeline
PEPPEPSICO INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 6,194 shares; 2017Q4: 6,194 shares; 2018Q1: 5,754 shares 5,754$628K0.2%-440Timeline
EDCONSOLIDATED EDISON INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 8,343 shares; 2017Q2: 7,689 shares; 2017Q3: 7,731 shares; 2017Q4: 7,771 shares; 2018Q1: 7,820 shares 7,820$609K0.2%+49Timeline
TIPISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 4,916 shares 4,916$556K0.18%newTimeline
SPECIAL OPPORTUNITIES FD IN…SPECIAL OPPORTUNITIES FD INC 2.75…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 21,454 shares; 2017Q2: 21,313 shares; 2017Q3: 21,007 shares; 2017Q4: 20,806 shares; 2018Q1: 19,471 shares 19,471$498K0.16%-1,335
STEWSRH TOTAL RETURN FUND INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 49,004 shares; 2017Q2: 48,472 shares; 2017Q3: 46,393 shares; 2017Q4: 45,594 shares; 2018Q1: 44,128 shares 44,128$476K0.15%-1,466Timeline
TLTISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 3,345 shares; 2017Q2: not reported; 2017Q3: 3,345 shares; 2017Q4: 3,755 shares; 2018Q1: 3,755 shares 3,755$458K0.15%0Timeline
GLOCLOUGH GLOBAL OPPORTUNITIESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 262,368 shares; 2017Q2: 41,438 shares; 2017Q3: 35,280 shares; 2017Q4: 37,050 shares; 2018Q1: 35,581 shares 35,581$381K0.12%-1,469Timeline
VIRTUS TOTAL RETURN FUND INCVIRTUS TOTAL RETURN FUND INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: 33,956 shares; 2017Q3: 32,416 shares; 2017Q4: 31,416 shares; 2018Q1: 30,316 shares 30,316$340K0.11%-1,100
WALGREENS BOOTS ALLIANCE INCWALGREENS BOOTS ALLIANCE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 5,011 shares; 2017Q2: 5,011 shares; 2017Q3: 5,011 shares; 2017Q4: 5,011 shares; 2018Q1: 5,011 shares 5,011$328K0.11%0
STIPISHARES TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 3,253 shares 3,253$326K0.1%newTimeline
UNHUNITEDHEALTH GROUP INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,518 shares; 2017Q2: 1,518 shares; 2017Q3: 1,518 shares; 2017Q4: 1,518 shares; 2018Q1: 1,518 shares 1,518$325K0.1%0Timeline
IBMINTERNATIONAL BUSINESS MACHSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 1,958 shares; 2017Q2: 1,973 shares; 2017Q3: 2,053 shares; 2017Q4: 2,068 shares; 2018Q1: 2,083 shares 2,083$320K0.1%+15Timeline
GISGENERAL MILLS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 7,278 shares; 2017Q4: 7,280 shares; 2018Q1: 7,104 shares 7,104$320K0.1%-176Timeline
EVFEATON VANCE SR INCOME TRQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 46,376 shares 46,376$316K0.1%newTimeline
MORGAN STANLEY EMER MKTS FDMORGAN STANLEY EMER MKTS FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 18,093 shares; 2017Q2: 16,985 shares; 2017Q3: 17,685 shares; 2017Q4: 17,431 shares; 2018Q1: 15,880 shares 15,880$293K0.09%-1,551
MORGAN STANLEY ASIA PAC FD IMORGAN STANLEY ASIA PAC FD IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 15,420 shares; 2017Q2: 14,850 shares; 2017Q3: 14,574 shares; 2017Q4: 13,701 shares; 2018Q1: 13,584 shares 13,584$247K0.08%-117
ADIANALOG DEVICES INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 2,632 shares; 2017Q2: 2,632 shares; 2017Q3: 2,632 shares; 2017Q4: 2,632 shares; 2018Q1: 2,632 shares 2,632$240K0.08%0Timeline
TZOOTRAVELZOOQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: 11,426 shares; 2017Q4: 24,252 shares; 2018Q1: 32,716 shares 32,716$238K0.08%+8,464Timeline
TDFTEMPLETON DRAGON FD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,670 shares; 2017Q2: 12,499 shares; 2017Q3: 12,407 shares; 2017Q4: 10,735 shares; 2018Q1: 10,235 shares 10,235$228K0.07%-500Timeline
INGERSOLL-RAND PLCINGERSOLL-RAND PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 2,567 shares 2,567$220K0.07%new
GRXGABELLI HEALTHCARE & WELLNESQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 10,500 shares; 2018Q1: 22,988 shares 22,988$218K0.07%+12,488Timeline
HDHOME DEPOT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 1,161 shares; 2018Q1: 1,161 shares 1,161$207K0.07%0Timeline
MGFABERDEEN GOVT MARKETS INCOMEQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: 30,815 shares; 2018Q1: 44,768 shares 44,768$207K0.07%+13,953Timeline
RGLDROYAL GOLD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 119,822 shares; 2017Q2: 96,562 shares; 2017Q3: 16,363 shares; 2017Q4: not reported; 2018Q1: 2,343 shares 2,343$201K0.06%newTimeline
FMYFIRST TR MTG INCOME FDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: not reported; 2017Q2: not reported; 2017Q3: not reported; 2017Q4: not reported; 2018Q1: 11,206 shares 11,206$156K0.05%newTimeline
EODALLSPRING GLOBAL DIVIDEND OPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 22,159 shares; 2017Q2: 21,720 shares; 2017Q3: not reported; 2017Q4: 24,661 shares; 2018Q1: 24,667 shares 24,667$140K0.04%+6Timeline
ALPINE GLOBAL PREMIER PPTYSALPINE GLOBAL PREMIER PPTYSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 120,664 shares; 2017Q2: 21,465 shares; 2017Q3: 18,507 shares; 2017Q4: 14,999 shares; 2018Q1: 14,750 shares 14,750$92K0.03%-249
AEGON N VAEGON N VQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2016Q2: restricted; 2016Q3: restricted; 2016Q4: restricted; 2017Q1: 12,651 shares; 2017Q2: 12,983 shares; 2017Q3: 13,315 shares; 2017Q4: 13,315 shares; 2018Q1: 13,315 shares 13,315$90K0.03%0

Principal amounts

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

SecurityTypeAmountValueChange
HANNON ARMSTRONG SUST INFR CHANNON ARMSTRONG SUST INFR C NOTE 4.125% 9/0principal1,244,000$1.19Mnew
ROYAL GOLD INCROYAL GOLD INC NOTEprincipal284,000$300K-20,000

Sold out in Q1 2018

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

SecurityShares beforeValue beforeType
CLAYMORE EXCHANGE TRD FD TRCLAYMORE EXCHANGE TRD FD TR561,030$11.8Mshares
WIWWESTERN AST INFL LKD OPP & I251,869$2.88Mshares
SPARK NETWORKS INCSPARK NETWORKS INC189,306$2.4Mshares
NEW YORK REIT INCNEW YORK REIT INC465,554$1.83Mshares
MORGAN STANLEY TRUSTSMORGAN STANLEY TRUSTS16,210$297Kshares
AAPLAPPLE INC1,207$204Kshares
XWIAXWESTERN ASSET INFLT LNK INC11,984$141Kshares

How Q1 2018 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 0001062993-18-001770 base2018-04-23acceptance time not in the bulk data set