$377 Million is the total value of FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD's 117 reported holdings in Q4 2014. The portfolio turnover from Q3 2014 to Q4 2014 was 43.8% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| WIW | Buy | WESTERN ASSET CLYM INFL OPP | $39,237,000 | +49.2% | 3,472,304 | +53.0% | 10.40% | +34.1% |
| BCX | New | BLACKROCK RES & COMM STRAT T | $17,449,000 | – | 1,796,997 | +100.0% | 4.62% | – |
| T104PS | Buy | AMERICAN RLTY CAP PPTYS INC | $15,418,000 | -0.1% | 1,703,665 | +33.1% | 4.09% | -10.2% |
| BTZ | Sell | BLACKROCK CR ALLCTN INC TR | $15,028,000 | -5.2% | 1,163,121 | -2.3% | 3.98% | -14.7% |
| GAIA | Sell | GAIAM INCcl a | $12,541,000 | -3.5% | 1,758,970 | -0.7% | 3.32% | -13.3% |
| MMT | Buy | MFS MULTIMARKET INCOME TRsh ben int | $10,262,000 | +109.0% | 1,578,702 | +106.4% | 2.72% | +87.9% |
| JNS | Buy | JANUS CAP GROUP INC | $10,085,000 | +43.5% | 625,220 | +29.4% | 2.67% | +29.0% |
| GGN | New | GAMCO GLOBAL GOLD NAT RES & | $9,772,000 | – | 1,395,932 | +100.0% | 2.59% | – |
| ACG | Sell | ALLIANCEBERNSTEIN INCOME FUN | $9,062,000 | -70.4% | 1,213,086 | -70.2% | 2.40% | -73.3% |
| FT | Buy | FRANKLIN UNVL TRsh ben int | $8,928,000 | +16.1% | 1,257,476 | +14.8% | 2.37% | +4.4% |
| ERC | Buy | WELLS FARGO ADVANTAGE MULTI | $8,048,000 | +53.1% | 590,450 | +56.8% | 2.13% | +37.7% |
| GROW | Sell | U S GLOBAL INVS INCcl a | $7,866,000 | -14.0% | 2,537,531 | -1.5% | 2.08% | -22.7% |
| LTM | Buy | LIFE TIME FITNESS INC | $7,453,000 | +27.8% | 131,635 | +13.9% | 1.98% | +15.0% |
| JHP | Sell | NUVEEN QUALITY PFD INC FD 3 | $7,338,000 | -2.4% | 880,876 | -1.9% | 1.94% | -12.2% |
| MTS | Sell | MONTGOMERY STR INCOME SECS I | $7,080,000 | -3.6% | 430,726 | -4.2% | 1.88% | -13.3% |
| RCAPQ | New | RCS CAP CORP | $6,912,000 | – | 564,700 | +100.0% | 1.83% | – |
| DDC | Sell | DOMINION DIAMOND CORP | $6,546,000 | +2.7% | 364,500 | -18.6% | 1.74% | -7.7% |
| GDO | Buy | WESTERN ASSET GLOBAL CP DEFI | $6,417,000 | +112.1% | 360,884 | +116.9% | 1.70% | +90.6% |
| WIA | Buy | WESTERN ASSET CLYM INFL SEC | $6,122,000 | +130.3% | 527,796 | +129.1% | 1.62% | +107.2% |
| MIN | New | MFS INTER INCOME TRsh ben int | $6,069,000 | – | 1,269,700 | +100.0% | 1.61% | – |
| VOD | Buy | VODAFONE GROUP PLC NEWspnsr adr no par | $5,983,000 | +6.0% | 175,085 | +2.0% | 1.58% | -4.7% |
| SLW | Buy | SILVER WHEATON CORP | $5,852,000 | +2.2% | 287,845 | +0.2% | 1.55% | -8.1% |
| MPW | Sell | MEDICAL PPTYS TRUST INC | $5,596,000 | +10.5% | 406,117 | -1.6% | 1.48% | -0.6% |
| COT | Buy | COTT CORP QUE | $5,464,000 | +18.0% | 794,238 | +17.9% | 1.45% | +6.1% |
| PDT | Sell | HANCOCK JOHN PREMUIM DIV FD | $5,460,000 | -60.5% | 397,060 | -62.2% | 1.45% | -64.5% |
| JQC | Buy | NUVEEN CR STRATEGIES INCM FD | $4,986,000 | +18.7% | 568,565 | +20.9% | 1.32% | +6.7% |
| T | Buy | AT&T INC | $4,956,000 | +28.8% | 147,544 | +35.1% | 1.31% | +15.8% |
| FOF | Sell | COHEN & STEERS CLOSED END OP | $4,931,000 | +0.9% | 374,858 | -0.1% | 1.31% | -9.3% |
| SGL | Buy | STRATEGIC GLOBAL INCOME FD | $4,805,000 | -2.9% | 566,571 | +1.1% | 1.27% | -12.7% |
| SSL | New | SASOL LTDsponsored adr | $4,751,000 | – | 125,130 | +100.0% | 1.26% | – |
| BTG | Buy | B2GOLD CORP | $4,736,000 | +36.1% | 2,923,675 | +70.6% | 1.26% | +22.4% |
| New | ROYAL GOLD INCnote 2.875% 6/1 | $4,355,000 | – | 4,214,000 | +100.0% | 1.15% | – | |
| NID | Buy | NUVEEN INTER DURATION MN TMF | $3,730,000 | +9.8% | 298,378 | +9.5% | 0.99% | -1.3% |
| LXP | Buy | LEXINGTON REALTY TRUST | $3,637,000 | +32.7% | 331,245 | +20.7% | 0.96% | +19.3% |
| BTT | Buy | BLACKROCK MUN TARGET TERM TR | $2,885,000 | +4.5% | 143,600 | +3.3% | 0.76% | -6.0% |
| PMO | Sell | PUTNAM MUN OPPORTUNITIES TRsh ben int | $2,839,000 | +0.5% | 236,745 | -1.9% | 0.75% | -9.6% |
| TIVO | Buy | TIVO INC | $2,710,000 | +69.2% | 228,915 | +82.8% | 0.72% | +52.1% |
| TINY | Buy | HARRIS & HARRIS GROUP INC | $2,703,000 | +21.8% | 916,177 | +23.0% | 0.72% | +9.5% |
| FTF | New | FRANKLIN LTD DURATION INC TR | $2,625,000 | – | 215,304 | +100.0% | 0.70% | – |
| MUI | Sell | BLACKROCK MUNI INTER DR FD I | $2,539,000 | -3.3% | 176,286 | -2.8% | 0.67% | -13.0% |
| TDC | Buy | TERADATA CORP DEL | $2,499,000 | +18.8% | 57,202 | +14.0% | 0.66% | +6.8% |
| IQI | Sell | INVESCO QUALITY MUNI INC TRS | $2,443,000 | -1.4% | 195,600 | -4.3% | 0.65% | -11.4% |
| FDI | Sell | FORT DEARBORN INCOME SECS IN | $2,354,000 | -5.7% | 166,477 | -3.5% | 0.62% | -15.2% |
| ETX | Sell | EATON VANCE MUN INCOME TERM | $2,180,000 | -0.3% | 124,500 | -1.2% | 0.58% | -10.4% |
| VTA | New | INVESCO DYNAMIC CR OPP FD | $2,084,000 | – | 175,888 | +100.0% | 0.55% | – |
| VGM | Sell | INVESCO TR INVT GRADE MUNS | $2,060,000 | -2.5% | 155,000 | -3.8% | 0.55% | -12.2% |
| GDL | Buy | GDL FUND | $2,058,000 | +24.0% | 201,176 | +27.8% | 0.54% | +11.5% |
| CSG | Buy | CHAMBERS STR PPTYS | $2,053,000 | +64.6% | 254,774 | +53.9% | 0.54% | +47.8% |
| EOT | Sell | EATON VANCE NATL MUN OPPORT | $2,031,000 | +0.6% | 96,691 | -4.5% | 0.54% | -9.6% |
| GIM | Buy | TEMPLETON GLOBAL INCOME FD | $1,990,000 | +437.8% | 276,820 | +494.2% | 0.53% | +383.5% |
| FPF | Sell | FIRST TR INTER DUR PFD & IN | $1,814,000 | -45.0% | 79,869 | -47.4% | 0.48% | -50.5% |
| NIQ | Sell | NUVEEN INT DUR QUAL MUN TRM | $1,755,000 | -5.6% | 138,710 | -4.6% | 0.46% | -15.1% |
| JGH | New | NUVEEN GLOBAL HIGH INCOME FD | $1,689,000 | – | 97,919 | +100.0% | 0.45% | – |
| PHD | New | PIONEER FLOATING RATE TR | $1,681,000 | – | 147,729 | +100.0% | 0.44% | – |
| NU | NORTHEAST UTILS | $1,598,000 | +20.8% | 29,860 | 0.0% | 0.42% | +8.5% | |
| EVG | New | EATON VANCE SH TM DR DIVR IN | $1,590,000 | – | 112,389 | +100.0% | 0.42% | – |
| CIDM | Sell | CINEDIGM CORP | $1,538,000 | +4.1% | 949,431 | -0.4% | 0.41% | -6.4% |
| VBF | Sell | INVESCO BD FD | $1,497,000 | -34.0% | 81,370 | -33.4% | 0.40% | -40.7% |
| BWG | Sell | LEGG MASON BW GLB INC OPP FD | $1,436,000 | -1.3% | 85,966 | -0.0% | 0.38% | -11.2% |
| MNP | Sell | WESTERN ASST MN PRT FD INC | $1,382,000 | -4.3% | 93,162 | -4.1% | 0.37% | -14.1% |
| UTF | Sell | COHEN & STEERS INFRASTRUCTUR | $1,366,000 | -15.2% | 60,113 | -13.6% | 0.36% | -23.8% |
| CSI | Sell | CUTWATER SELECT INCOME FD | $1,349,000 | -37.5% | 69,759 | -36.2% | 0.36% | -44.0% |
| ICB | Sell | MORGAN STANLEY TRUSTS | $1,305,000 | -1.6% | 72,787 | -2.0% | 0.35% | -11.5% |
| KST | New | DEUTSCHE STRATEGIC INCOME TR | $1,287,000 | – | 111,367 | +100.0% | 0.34% | – |
| FAST | Buy | FASTENAL CO | $1,238,000 | +6.7% | 26,026 | +0.7% | 0.33% | -4.1% |
| BHK | New | BLACKROCK CORE BD TR | $1,166,000 | – | 88,332 | +100.0% | 0.31% | – |
| BGT | New | BLACKROCK FLOATING RATE INCO | $1,150,000 | – | 89,490 | +100.0% | 0.30% | – |
| BRKB | Sell | BERKSHIRE HATHAWAY INC DELcl b new | $1,101,000 | +7.5% | 7,330 | -1.1% | 0.29% | -3.3% |
| DMB | Sell | DREYFUS MUN BD INFRSTRCTR FD | $1,031,000 | -0.7% | 84,728 | -4.0% | 0.27% | -10.8% |
| BCV | Sell | BANCROFT FUND LTD | $1,010,000 | -3.0% | 50,339 | -4.5% | 0.27% | -12.7% |
| RGT | Buy | ROYCE GLOBAL VALUE TR INC | $998,000 | +74.8% | 124,178 | +89.3% | 0.26% | +57.1% |
| CXH | Buy | MFS INVT GRADE MUN TRsh ben int | $982,000 | +9.4% | 104,800 | +6.7% | 0.26% | -1.9% |
| BKT | New | BLACKROCK INCOME TR INC | $968,000 | – | 151,281 | +100.0% | 0.26% | – |
| VFL | Sell | DELAWARE INVT NAT MUNI INC Fsh ben int | $931,000 | -6.6% | 71,138 | -9.0% | 0.25% | -16.0% |
| NXR | Sell | NUVEEN SELECT TAX FREE INCMsh ben int | $916,000 | -3.3% | 64,300 | -5.9% | 0.24% | -12.9% |
| LF | New | LEAPFROG ENTERPRISES INCcl a | $907,000 | – | 192,100 | +100.0% | 0.24% | – |
| SPE | Sell | SPECIAL OPPORTUNITIES FD INC | $874,000 | -11.3% | 56,871 | -3.7% | 0.23% | -20.0% |
| SBW | Sell | WESTERN ASSET WORLDWIDE INCO | $871,000 | -8.4% | 76,304 | -1.8% | 0.23% | -17.5% |
| CL | Sell | COLGATE PALMOLIVE CO | $844,000 | +4.8% | 12,200 | -1.2% | 0.22% | -5.5% |
| WAIR | New | WESCO AIRCRAFT HLDGS INC | $820,000 | – | 58,625 | +100.0% | 0.22% | – |
| NXP | New | NUVEEN SELECT TAX FREE INCMsh ben int | $770,000 | – | 54,014 | +100.0% | 0.20% | – |
| TDF | Sell | TEMPLETON DRAGON FD INC | $759,000 | -18.3% | 31,571 | -12.4% | 0.20% | -26.6% |
| ZTR | New | ZWEIG TOTAL RETURN FD INC | $743,000 | – | 53,013 | +100.0% | 0.20% | – |
| PG | Sell | PROCTER & GAMBLE CO | $716,000 | +4.8% | 7,864 | -3.6% | 0.19% | -5.5% |
| MCN | Sell | MADISON CVRED CALL & EQ STR | $685,000 | -5.5% | 84,150 | -2.6% | 0.18% | -15.0% |
| FPT | New | FEDERATED PREM INTR MUN INC | $676,000 | – | 53,000 | +100.0% | 0.18% | – |
| PPR | New | VOYA PRIME RATE TRsh ben int | $666,000 | – | 125,463 | +100.0% | 0.18% | – |
| DOVR | Sell | DOVER SADDLERY INC | $653,000 | -21.7% | 134,703 | -17.0% | 0.17% | -29.7% |
| CMK | Sell | MFS INTERMARKET INCOME TRUSTsh ben int | $650,000 | -36.6% | 77,908 | -36.6% | 0.17% | -43.0% |
| DTE | Buy | DTE ENERGY CO | $618,000 | +14.9% | 7,159 | +1.2% | 0.16% | +3.1% |
| ED | CONSOLIDATED EDISON INC | $551,000 | +16.5% | 8,343 | 0.0% | 0.15% | +5.0% | |
| BTF | Sell | BOULDER TOTAL RETURN FD INC | $531,000 | -9.1% | 19,143 | -13.7% | 0.14% | -18.0% |
| BDMS | Buy | BIRNER DENTAL MGMT SERVICES | $511,000 | +3.2% | 34,080 | +16.9% | 0.14% | -7.5% |
| FTT | Sell | FEDERATED ENHANC TREAS INCM | $508,000 | -83.3% | 38,105 | -83.2% | 0.14% | -85.0% |
| RMT | Buy | ROYCE MICRO-CAP TR INC | $482,000 | -9.4% | 47,781 | +5.8% | 0.13% | -18.5% |
| NXQ | Sell | NUVEEN SELECT TAX FREE INCMsh ben int | $474,000 | -14.4% | 34,877 | -16.7% | 0.13% | -22.7% |
| BLW | New | BLACKROCK LTD DURATION INC T | $462,000 | – | 29,393 | +100.0% | 0.12% | – |
| BUI | Sell | BLACKROCK UTIL & INFRASTRCTU | $437,000 | -20.8% | 21,071 | -23.7% | 0.12% | -28.8% |
| EMI | New | EATON VANCE MI MUNI INCOME Tsh ben int | $431,000 | – | 33,900 | +100.0% | 0.11% | – |
| WBA | New | WALGREENS BOOTS ALLIANCE INC | $403,000 | – | 5,287 | +100.0% | 0.11% | – |
| AAPL | APPLE INC | $362,000 | +9.4% | 3,283 | 0.0% | 0.10% | -2.0% | |
| ZF | Sell | ZWEIG FD | $333,000 | 0.0% | 21,535 | -1.8% | 0.09% | -10.2% |
| MSF | Sell | MORGAN STANLEY EMER MKTS FD | $318,000 | -8.4% | 21,883 | -2.3% | 0.08% | -17.6% |
| BOE | New | BLACKROCK GLOBAL OPP EQTY TR | $313,000 | – | 23,810 | +100.0% | 0.08% | – |
| APF | Buy | MORGAN STANLEY ASIA PAC FD I | $300,000 | +1.7% | 20,235 | +12.1% | 0.08% | -9.2% |
| MMD | Sell | MAINSTAY DEFINEDTERM MN OPP | $260,000 | -1.5% | 14,300 | -3.4% | 0.07% | -11.5% |
| PFE | New | PFIZER INC | $249,000 | – | 7,984 | +100.0% | 0.07% | – |
| JVA | Sell | COFFEE HLDGS INC | $238,000 | -53.8% | 46,457 | -50.5% | 0.06% | -58.6% |
| DCA | Sell | VIRTUS TOTAL RETURN FD | $204,000 | -83.9% | 45,155 | -83.4% | 0.05% | -85.5% |
| F | New | FORD MTR CO DEL | $175,000 | – | 11,279 | +100.0% | 0.05% | – |
| JPC | Sell | NUVEEN PFD INCOME OPPRTNY FD | $169,000 | -15.5% | 17,725 | -18.4% | 0.04% | -23.7% |
| JTP | Sell | NUVEEN QUALITY PFD INCOME FD | $162,000 | -30.5% | 20,089 | -29.6% | 0.04% | -37.7% |
| CSQ | Sell | CALAMOS STRATEGIC TOTL RETN | $133,000 | -24.4% | 11,626 | -22.8% | 0.04% | -32.7% |
| TRF | Sell | TEMPLETON RUS AND EAST EUR F | $123,000 | -33.5% | 13,697 | -6.9% | 0.03% | -40.0% |
| IGR | Sell | CBRE CLARION GLOBAL REAL EST | $116,000 | +5.5% | 12,906 | -1.4% | 0.03% | -3.1% |
| AEG | Sell | AEGON N Vny registry sh | $86,000 | -17.3% | 11,462 | -9.2% | 0.02% | -25.8% |
| FFNM | Sell | FIRST FED NORTHN MICH BANCOR | $75,000 | -77.9% | 13,721 | -78.5% | 0.02% | -80.0% |
| ELNK | Exit | EARTHLINK HLDGS CORP | $0 | – | -15,346 | -100.0% | -0.02% | – |
| RGSE | Exit | REAL GOODS SOLAR INCcl a | $0 | – | -49,178 | -100.0% | -0.02% | – |
| SBI | Exit | WESTERN ASSET INTM MUNI FD I | $0 | – | -11,000 | -100.0% | -0.03% | – |
| PW | Exit | POWER REIT | $0 | – | -14,289 | -100.0% | -0.04% | – |
| LOR | Exit | LAZARD WORLD DIVID & INCOME | $0 | – | -10,875 | -100.0% | -0.05% | – |
| PFE | Exit | PFIZER INC | $0 | – | -8,181 | -100.0% | -0.07% | – |
| PIM | Exit | PUTNAM MASTER INTER INCOME Tsh ben int | $0 | – | -66,971 | -100.0% | -0.10% | – |
| NOAH | Exit | NOAH HLDGS LTDsponsored ads | $0 | – | -44,185 | -100.0% | -0.18% | – |
| ZTR | Exit | ZWEIG TOTAL RETURN FD INC | $0 | – | -48,946 | -100.0% | -0.20% | – |
| GGZ | Exit | GABELLI GLB SML & MD CP VAL | $0 | – | -72,981 | -100.0% | -0.22% | – |
| NXP | Exit | NUVEEN SELECT TAX FREE INCMsh ben int | $0 | – | -58,514 | -100.0% | -0.24% | – |
| LODE | Exit | COMSTOCK MNG INC | $0 | – | -675,164 | -100.0% | -0.24% | – |
| BNA | Exit | BLACKROCK INCOME OPP TRUST I | $0 | – | -113,889 | -100.0% | -0.35% | – |
| DLR | Exit | DIGITAL RLTY TR INC | $0 | – | -23,855 | -100.0% | -0.44% | – |
| LWAY | Exit | LIFEWAY FOODS INC | $0 | – | -109,434 | -100.0% | -0.45% | – |
| TZOO | Exit | TRAVELZOO INC | $0 | – | -98,650 | -100.0% | -0.45% | – |
| JGG | Exit | NUVEEN GBL INCOME OPPORTUN F | $0 | – | -178,851 | -100.0% | -0.65% | – |
| GG | Exit | GOLDCORP INC NEW | $0 | – | -99,483 | -100.0% | -0.68% | – |
| HTD | Exit | HANCOCK JOHN TAX-ADV DIV INC | $0 | – | -164,762 | -100.0% | -1.00% | – |
| CDE | Exit | COEUR MNG INC | $0 | – | -791,158 | -100.0% | -1.16% | – |
| KGC | Exit | KINROSS GOLD CORP | $0 | – | -1,194,468 | -100.0% | -1.16% | – |
| BCF | Exit | BLACKROCK REAL ASSET EQUITY | $0 | – | -1,147,674 | -100.0% | -2.86% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2015-01-15
Top long-term holdings
| Name | Quarters owned | Latest quarter owned | Max weighting |
|---|---|---|---|
| FRANKLIN UNVL TR | 23 | Q4 2018 | 4.1% |
| U S GLOBAL INVS INC | 23 | Q4 2018 | 2.7% |
| FASTENAL CO | 23 | Q4 2018 | 1.8% |
| BERKSHIRE HATHAWAY INC DEL | 23 | Q4 2018 | 0.5% |
| COLGATE PALMOLIVE CO | 23 | Q4 2018 | 0.4% |
| PROCTER & GAMBLE CO | 23 | Q4 2018 | 0.3% |
| DTE ENERGY CO | 23 | Q4 2018 | 0.3% |
| CONSOLIDATED EDISON INC | 23 | Q4 2018 | 0.3% |
| TEMPLETON DRAGON FD INC | 22 | Q4 2018 | 0.5% |
| MORGAN STANLEY EMER MKTS FD | 21 | Q3 2018 | 0.1% |
View FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD's complete holdings history.
Latest significant ownerships (13-D/G)
| Filed | Shares | Percentage | |
|---|---|---|---|
| ALPS ETF Trust | March 15, 2019 | 193,137 | 6.4% |
| ETF Series Solutions | February 11, 2019 | 46,867 | 4.5% |
| FRANKLIN UNIVERSAL TRUST | February 11, 2019 | 1,707,821 | 6.8% |
| Global Self Storage, Inc. | October 12, 2018 | 369,452 | 4.8% |
| U S GLOBAL INVESTORS INC | August 09, 2018 | 639,919 | 4.9% |
| 180 DEGREE CAPITAL CORP. /NY/ | October 06, 2017 | 1,534,111 | 4.9% |
| WESTERN ASSET/CLAYMORE INFLATION-LINKED OPPORTUNITIES & INCOME FUND | March 07, 2017 | 2,692,816 | 4.4% |
| HARRIS & HARRIS GROUP INC /NY/ | January 18, 2017 | 1,777,181 | 5.8% |
| Kennedy-Wilson Holdings, Inc. | January 18, 2017 | 112,736 | 5.1% |
| Eaton Vance Floating-Rate Income Plus Fund | December 12, 2016 | 370,180 | 4.9% |
View FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD's complete significant-ownership history.
Latest filings
| Type | Filed |
|---|---|
| SC 13G | 2019-03-15 |
| SC 13G | 2019-02-11 |
| SC 13G | 2019-02-11 |
| 13F-HR | 2019-01-30 |
| SC 13G | 2019-01-14 |
| SC 13G | 2019-01-14 |
| 13F-HR | 2018-10-18 |
| SC 13G/A | 2018-10-12 |
| SC 13G | 2018-10-12 |
| SC 13G | 2018-08-09 |
View FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD's complete filings history.
All filings
- Holdings (13F-HR)
- Significant ownership (13-D/G)
- Insider transactions (4, 5, 6)
- Events (8-K)
- Shareholder votes (proxy)
View complete filings history.