$359 Million is the total value of FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD's 117 reported holdings in Q4 2015. The portfolio turnover from Q3 2015 to Q4 2015 was 28.2% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| WIW | Buy | WESTERN ASSET CLYM INFL OPP | $39,048,000 | +3.5% | 3,794,758 | +4.6% | 10.87% | +3.6% |
| FOF | Buy | COHEN & STEERS CLOSED END OP | $15,805,000 | +36.7% | 1,442,048 | +34.7% | 4.40% | +36.7% |
| JQC | Buy | NUVEEN CR STRATEGIES INCM FD | $12,398,000 | +26.1% | 1,581,423 | +28.3% | 3.45% | +26.1% |
| FT | Buy | FRANKLIN UNVL TRsh ben int | $11,214,000 | +12.2% | 1,957,007 | +15.7% | 3.12% | +12.2% |
| GAIA | Sell | GAIAM INCcl a | $10,457,000 | +0.4% | 1,675,792 | -1.1% | 2.91% | +0.3% |
| WIA | Buy | WESTERN ASSET CLYM INFL SEC | $9,594,000 | +16.0% | 907,668 | +15.8% | 2.67% | +16.0% |
| GOV | Sell | GOVERNMENT PPTYS INCOME TR | $9,449,000 | -25.0% | 595,400 | -24.4% | 2.63% | -25.0% |
| MMT | Buy | MFS MULTIMARKET INCOME TRsh ben int | $9,050,000 | -1.2% | 1,642,537 | +0.2% | 2.52% | -1.2% |
| ERC | Sell | WELLS FARGO MULTI SECTOR INC | $8,718,000 | -1.3% | 770,125 | -1.1% | 2.43% | -1.3% |
| BTZ | Sell | BLACKROCK CR ALLCTN INC TR | $8,676,000 | -37.6% | 703,080 | -38.4% | 2.42% | -37.5% |
| GPT | New | GRAMERCY PPTY TR | $8,501,000 | – | 1,101,228 | +100.0% | 2.37% | – |
| DPG | Buy | DUFF & PHELPS GLB UTL INC FD | $8,372,000 | +50.0% | 568,372 | +54.2% | 2.33% | +50.0% |
| MPW | Buy | MEDICAL PPTYS TRUST INC | $7,907,000 | +49.9% | 686,992 | +44.0% | 2.20% | +49.9% |
| GGN | Sell | GAMCO GLOBAL GOLD NAT RES & | $7,746,000 | -42.1% | 1,630,781 | -39.1% | 2.16% | -42.1% |
| GDO | Sell | WESTERN ASSET GLOBAL CP DEFI | $7,324,000 | -11.9% | 463,529 | -11.7% | 2.04% | -11.9% |
| UTF | Buy | COHEN & STEERS INFRASTRUCTUR | $6,990,000 | +58.2% | 366,351 | +58.1% | 1.95% | +58.2% |
| COT | Sell | COTT CORP QUE | $6,445,000 | +0.9% | 586,405 | -0.6% | 1.79% | +0.9% |
| FRA | Buy | BLACKROCK FLOAT RATE OME STR | $6,392,000 | +44.7% | 495,478 | +45.1% | 1.78% | +44.7% |
| VTA | Buy | INVESCO DYNAMIC CR OPP FD | $6,298,000 | +129.9% | 596,973 | +130.3% | 1.75% | +129.8% |
| SLW | Buy | SILVER WHEATON CORP | $6,281,000 | +22.6% | 505,752 | +18.5% | 1.75% | +22.6% |
| EFF | Buy | EATON VANCE FLTG RATE INCOM | $5,986,000 | +18.3% | 423,059 | +22.8% | 1.67% | +18.3% |
| VVR | Buy | INVESCO SR INCOME TR | $5,817,000 | +4.3% | 1,439,743 | +7.9% | 1.62% | +4.2% |
| LXP | Sell | LEXINGTON REALTY TRUST | $5,498,000 | -20.4% | 687,255 | -19.4% | 1.53% | -20.4% |
| VER | Sell | VEREIT INC | $5,401,000 | +2.5% | 681,894 | -0.1% | 1.50% | +2.5% |
| PHD | Buy | PIONEER FLOATING RATE TR | $5,189,000 | +45.3% | 478,209 | +51.6% | 1.44% | +45.4% |
| SNH | Sell | SENIOR HSG PPTYS TRsh ben int | $5,139,000 | -12.3% | 346,279 | -4.3% | 1.43% | -12.3% |
| RMT | Buy | ROYCE MICRO-CAP TR INC | $4,798,000 | +32.2% | 660,891 | +41.0% | 1.34% | +32.3% |
| SNR | Buy | NEW SR INVT GROUP INC | $4,282,000 | +1.0% | 434,262 | +7.1% | 1.19% | +1.0% |
| EOD | Buy | WELLS FARGO GLOBAL DIVIDEND | $4,118,000 | +99.7% | 695,615 | +99.3% | 1.15% | +99.7% |
| NGD | Sell | NEW GOLD INC CDA | $3,917,000 | +1.0% | 1,688,468 | -1.2% | 1.09% | +1.0% |
| MCR | Sell | MFS CHARTER INCOME TRsh ben int | $3,830,000 | -3.5% | 502,666 | -1.8% | 1.07% | -3.5% |
| GOOG | New | ALPHABET INCcap stk cl c | $3,687,000 | – | 4,858 | +100.0% | 1.03% | – |
| BWG | Buy | LEGG MASON BW GLB INC OPP FD | $3,485,000 | +0.6% | 300,940 | +0.8% | 0.97% | +0.5% |
| TLI | Buy | LMP CORPORATE LN FD INC | $3,378,000 | +177.1% | 341,881 | +188.2% | 0.94% | +177.3% |
| PPR | Buy | VOYA PRIME RATE TRsh ben int | $3,131,000 | +140.5% | 618,788 | +140.5% | 0.87% | +140.9% |
| BTG | Sell | B2GOLD CORP | $3,109,000 | -3.6% | 3,047,720 | -0.8% | 0.87% | -3.6% |
| GROW | Sell | U S GLOBAL INVS INCcl a | $3,091,000 | -30.3% | 2,642,080 | -0.4% | 0.86% | -30.2% |
| RGLD | New | ROYAL GOLD INC | $2,986,000 | – | 81,875 | +100.0% | 0.83% | – |
| STKL | Sell | SUNOPTA INC | $2,974,000 | +35.1% | 434,750 | -4.0% | 0.83% | +35.1% |
| TINY | Buy | HARRIS & HARRIS GROUP INC | $2,799,000 | +16.9% | 1,272,388 | +13.7% | 0.78% | +16.8% |
| SAND | New | SANDSTORM GOLD LTD | $2,771,000 | – | 1,053,455 | +100.0% | 0.77% | – |
| BGB | Sell | BLACKSTONE GSO STRATEGIC CR | $2,688,000 | -47.1% | 201,020 | -43.8% | 0.75% | -47.1% |
| AWP | Buy | ALPINE GLOBAL PREMIER PPTYS | $2,639,000 | +175.2% | 457,298 | +166.2% | 0.74% | +175.3% |
| FTF | Sell | FRANKLIN LTD DURATION INC TR | $2,437,000 | -13.9% | 227,369 | -12.4% | 0.68% | -14.0% |
| GDL | Sell | GDL FUND | $2,309,000 | -2.9% | 230,719 | -4.9% | 0.64% | -2.9% |
| AFT | New | APOLLO SR FLOATING RATE FD I | $2,293,000 | – | 151,321 | +100.0% | 0.64% | – |
| PCI | Sell | PIMCO DYNAMIC CR INCOME FD | $2,293,000 | -80.0% | 127,163 | -79.7% | 0.64% | -80.0% |
| CVA | New | COVANTA HLDG CORP | $2,277,000 | – | 147,012 | +100.0% | 0.63% | – |
| SGL | Sell | STRATEGIC GLOBAL INCOME FD | $2,263,000 | -62.2% | 258,287 | -65.8% | 0.63% | -62.2% |
| EVG | Sell | EATON VANCE SH TM DR DIVR IN | $2,124,000 | -2.1% | 158,403 | -3.4% | 0.59% | -2.2% |
| DCA | Buy | VIRTUS TOTAL RETURN FD | $2,082,000 | +433.8% | 546,579 | +429.3% | 0.58% | +432.1% |
| TIVO | Buy | TIVO INC | $1,980,000 | +5.4% | 229,465 | +5.8% | 0.55% | +5.4% |
| IGR | Buy | CBRE CLARION GLOBAL REAL EST | $1,948,000 | +514.5% | 254,962 | +493.9% | 0.54% | +515.9% |
| RVT | Buy | ROYCE VALUE TR INC | $1,882,000 | +25.0% | 159,882 | +22.1% | 0.52% | +25.1% |
| KST | Buy | DEUTSCHE STRATEGIC INCOME TR | $1,672,000 | +7.6% | 159,067 | +5.2% | 0.46% | +7.4% |
| RGT | Buy | ROYCE GLOBAL VALUE TR INC | $1,541,000 | +32.0% | 206,832 | +24.3% | 0.43% | +32.0% |
| ES | EVERSOURCE ENERGY | $1,525,000 | +0.9% | 29,860 | 0.0% | 0.42% | +1.0% | |
| IQI | Sell | INVESCO QUALITY MUNI INC TRS | $1,488,000 | -35.6% | 117,240 | -38.3% | 0.41% | -35.6% |
| SPE | Buy | SPECIAL OPPORTUNITIES FD INC | $1,463,000 | +104.9% | 110,805 | +118.4% | 0.41% | +104.5% |
| EMI | Sell | EATON VANCE MI MUNI INCOME Tsh ben int | $1,437,000 | +4.4% | 109,410 | -0.9% | 0.40% | +4.4% |
| LOV | Sell | SPARK NETWORKS INC | $1,331,000 | +24.9% | 345,733 | -6.6% | 0.37% | +24.9% |
| RNP | New | COHEN & STEERS REIT & PFD IN | $1,290,000 | – | 69,939 | +100.0% | 0.36% | – |
| ETX | Sell | EATON VANCE MUN INCOME 2028 | $1,218,000 | -18.9% | 65,858 | -24.0% | 0.34% | -18.9% |
| LOR | Buy | LAZARD WORLD DIVID & INCOME | $1,060,000 | +101.9% | 116,313 | +101.8% | 0.30% | +102.1% |
| ZTR | Sell | ZWEIG TOTAL RETURN FD INC | $1,048,000 | +4.4% | 86,068 | -2.1% | 0.29% | +4.7% |
| GIM | Buy | TEMPLETON GLOBAL INCOME FD | $1,023,000 | +471.5% | 161,151 | +447.3% | 0.28% | +470.0% |
| FAST | Sell | FASTENAL CO | $975,000 | -1.1% | 23,891 | -11.3% | 0.27% | -1.1% |
| BRKB | BERKSHIRE HATHAWAY INC DELcl b new | $946,000 | +1.3% | 7,162 | 0.0% | 0.26% | +1.2% | |
| PDT | Sell | HANCOCK JOHN PREMUIM DIV FD | $919,000 | -5.5% | 67,063 | -13.5% | 0.26% | -5.5% |
| NUM | Buy | NUVEEN MICH QUALITY INCOME M | $904,000 | +12.9% | 66,053 | +8.7% | 0.25% | +13.0% |
| BDMS | Sell | BIRNER DENTAL MGMT SERVICES | $852,000 | -15.0% | 75,690 | -3.7% | 0.24% | -15.1% |
| VFL | Sell | DELAWARE INVT NAT MUNI INC Fsh ben int | $810,000 | -3.9% | 62,338 | -5.4% | 0.23% | -3.8% |
| CL | COLGATE PALMOLIVE CO | $813,000 | +5.0% | 12,200 | 0.0% | 0.23% | +5.1% | |
| JHP | Sell | NUVEEN QUALITY PFD INC FD 3 | $734,000 | -82.0% | 86,404 | -83.0% | 0.20% | -82.1% |
| PG | Sell | PROCTER & GAMBLE CO | $727,000 | +1.5% | 9,155 | -8.0% | 0.20% | +1.5% |
| TZOO | Sell | TRAVELZOO INC | $702,000 | -7.1% | 83,846 | -8.3% | 0.20% | -7.1% |
| SBW | Sell | WESTERN ASSET WORLDWIDE INCO | $700,000 | +0.6% | 69,469 | -1.9% | 0.20% | +0.5% |
| GGZ | Sell | GABELLI GLB SML & MD CP VAL | $694,000 | -4.9% | 66,746 | -9.3% | 0.19% | -4.9% |
| LF | Sell | LEAPFROG ENTERPRISES INCcl a | $680,000 | -49.2% | 957,059 | -48.9% | 0.19% | -49.2% |
| NVG | Sell | NUVEEN DIVID ADVANTAGE MUN I | $649,000 | +0.3% | 44,850 | -3.4% | 0.18% | +0.6% |
| DTE | Buy | DTE ENERGY CO | $577,000 | +1.4% | 7,201 | +1.8% | 0.16% | +1.9% |
| BLW | Buy | BLACKROCK LTD DURATION INC T | $562,000 | +9.1% | 38,551 | +8.1% | 0.16% | +9.1% |
| VIPS | Buy | VIPSHOP HLDGS LTDsponsored adr | $538,000 | -5.8% | 35,224 | +3.6% | 0.15% | -5.7% |
| ED | CONSOLIDATED EDISON INC | $536,000 | -3.9% | 8,343 | 0.0% | 0.15% | -3.9% | |
| MIN | Sell | MFS INTER INCOME TRsh ben int | $490,000 | -34.8% | 107,268 | -35.1% | 0.14% | -34.9% |
| V | New | VISA INC | $450,000 | – | 5,805 | +100.0% | 0.12% | – |
| WBA | WALGREENS BOOTS ALLIANCE INC | $424,000 | +2.4% | 4,980 | 0.0% | 0.12% | +2.6% | |
| JGH | Sell | NUVEEN GLOBAL HIGH INCOME FD | $425,000 | -50.2% | 30,944 | -47.7% | 0.12% | -50.2% |
| BIF | Sell | BOULDER GROWTH & INCOME FD I | $415,000 | -1.7% | 53,667 | -5.2% | 0.12% | -0.9% |
| MCN | Sell | MADISON CVRED CALL & EQ STR | $399,000 | +0.3% | 54,093 | -3.9% | 0.11% | 0.0% |
| GLU | New | GABELLI GLOBL UTIL & INCOME | $391,000 | – | 23,500 | +100.0% | 0.11% | – |
| ACG | Sell | ALLIANCEBERNSTEIN INCOME FUN | $361,000 | -29.6% | 47,048 | -27.9% | 0.10% | -29.4% |
| New | ROYAL GOLD INCnote 2.875% 6/1 | $330,000 | – | 363,000 | +100.0% | 0.09% | – | |
| TDF | Sell | TEMPLETON DRAGON FD INC | $316,000 | -4.8% | 17,728 | -0.2% | 0.09% | -4.3% |
| BOE | Sell | BLACKROCK GLOBAL OPP EQTY TR | $286,000 | +1.8% | 22,421 | -3.5% | 0.08% | +2.6% |
| IBM | Buy | INTERNATIONAL BUSINESS MACHS | $283,000 | -4.4% | 2,058 | +0.7% | 0.08% | -3.7% |
| T | Sell | AT&T INC | $285,000 | +2.9% | 8,273 | -2.7% | 0.08% | +2.6% |
| ZF | Sell | ZWEIG FD | $260,000 | -3.3% | 19,767 | -5.8% | 0.07% | -4.0% |
| BUI | Sell | BLACKROCK UTIL & INFRASTRCTU | $256,000 | 0.0% | 15,247 | -3.0% | 0.07% | 0.0% |
| PFE | PFIZER INC | $253,000 | +2.4% | 7,851 | 0.0% | 0.07% | +1.4% | |
| APF | Sell | MORGAN STANLEY ASIA PAC FD I | $235,000 | +5.4% | 16,983 | -1.4% | 0.06% | +4.8% |
| MSF | Sell | MORGAN STANLEY EMER MKTS FD | $230,000 | -3.8% | 17,929 | -5.0% | 0.06% | -4.5% |
| NIQ | Sell | NUVEEN INT DUR QUAL MUN TRM | $227,000 | -58.3% | 17,600 | -59.8% | 0.06% | -58.6% |
| MSFT | New | MICROSOFT CORP | $221,000 | – | 3,988 | +100.0% | 0.06% | – |
| DRA | Sell | DIVERSIFIED REAL ASSET INC F | $213,000 | -5.3% | 13,704 | -2.2% | 0.06% | -6.3% |
| NSL | New | NUVEEN SR INCOME FD | $210,000 | – | 36,403 | +100.0% | 0.06% | – |
| UNH | New | UNITEDHEALTH GROUP INC | $202,000 | – | 1,721 | +100.0% | 0.06% | – |
| MUI | Sell | BLACKROCK MUNI INTER DR FD I | $196,000 | -91.1% | 13,836 | -91.3% | 0.06% | -91.0% |
| BGT | Sell | BLACKROCK FLOATING RATE INCO | $187,000 | -71.2% | 14,989 | -71.3% | 0.05% | -71.3% |
| MNP | Sell | WESTERN ASST MN PRT FD INC | $186,000 | -70.9% | 11,902 | -72.3% | 0.05% | -70.8% |
| CSQ | Sell | CALAMOS STRATEGIC TOTL RETN | $178,000 | +3.5% | 18,003 | -2.8% | 0.05% | +4.2% |
| F | Sell | FORD MTR CO DEL | $143,000 | -2.7% | 10,132 | -6.5% | 0.04% | -2.4% |
| PIM | PUTNAM MASTER INTER INCOME Tsh ben int | $114,000 | +0.9% | 25,155 | 0.0% | 0.03% | +3.2% | |
| MGF | New | MFS GOVT MKTS INCOME TRsh ben int | $110,000 | – | 20,840 | +100.0% | 0.03% | – |
| DDC | Sell | DOMINION DIAMOND CORP | $105,000 | -93.3% | 10,308 | -92.9% | 0.03% | -93.3% |
| JVA | Buy | COFFEE HLDGS INC | $72,000 | +10.8% | 18,775 | +12.3% | 0.02% | +11.1% |
| AEG | AEGON N Vny registry sh | $67,000 | -1.5% | 11,888 | 0.0% | 0.02% | 0.0% | |
| AVP | Exit | AVON PRODS INC | $0 | – | -10,600 | -100.0% | -0.01% | – |
| 4305PS | Exit | ALCATEL-LUCENTsponsored adr | $0 | – | -13,513 | -100.0% | -0.01% | – |
| BKT | Exit | BLACKROCK INCOME TR INC | $0 | – | -16,794 | -100.0% | -0.03% | – |
| BHK | Exit | BLACKROCK CORE BD TR | $0 | – | -10,803 | -100.0% | -0.04% | – |
| BCX | Exit | BLACKROCK RES & COMM STRAT T | $0 | – | -21,697 | -100.0% | -0.04% | – |
| VBF | Exit | INVESCO BD FD | $0 | – | -14,101 | -100.0% | -0.07% | – |
| Exit | ROYAL GOLD INCnote 2.875% 6/1 | $0 | – | -363,000 | -100.0% | -0.10% | – | |
| NPP | Exit | NUVEEN PERFORMANCE PLUS MUN | $0 | – | -28,700 | -100.0% | -0.11% | – |
| STAG | Exit | STAG INDL INC | $0 | – | -27,250 | -100.0% | -0.14% | – |
| CIDM | Exit | CINEDIGM CORP | $0 | – | -902,331 | -100.0% | -0.14% | – |
| RCAPQ | Exit | RCS CAP CORP | $0 | – | -720,980 | -100.0% | -0.16% | – |
| PMO | Exit | PUTNAM MUN OPPORTUNITIES TRsh ben int | $0 | – | -51,151 | -100.0% | -0.17% | – |
| VGM | Exit | INVESCO TR INVT GRADE MUNS | $0 | – | -49,524 | -100.0% | -0.18% | – |
| BCV | Exit | BANCROFT FUND LTD | $0 | – | -43,881 | -100.0% | -0.23% | – |
| DMB | Exit | DREYFUS MUN BD INFRSTRCTR FD | $0 | – | -85,815 | -100.0% | -0.28% | – |
| GNW | Exit | GENWORTH FINL INC | $0 | – | -240,115 | -100.0% | -0.31% | – |
| DSL | Exit | DOUBLELINE INCOME SOLUTIONS | $0 | – | -73,175 | -100.0% | -0.35% | – |
| GATX | Exit | GATX CORP | $0 | – | -92,700 | -100.0% | -0.54% | – |
| KMI | Exit | KINDER MORGAN INC DEL | $0 | – | -95,690 | -100.0% | -0.74% | – |
| CSG | Exit | CHAMBERS STR PPTYS | $0 | – | -815,305 | -100.0% | -1.47% | – |
| JNS | Exit | JANUS CAP GROUP INC | $0 | – | -526,364 | -100.0% | -1.99% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2016-02-03
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.