$306 Million is the total value of FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD's 96 reported holdings in Q3 2016. The portfolio turnover from Q2 2016 to Q3 2016 was 21.9% .
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| WIW | Buy | WESTERN ASSET CLYM INFL OPP | $43,808,000 | +0.8% | 3,914,948 | +0.1% | 14.34% | +8.2% |
| JQC | Sell | NUVEEN CR STRATEGIES INCM FD | $13,219,000 | +3.8% | 1,558,875 | -1.1% | 4.33% | +11.4% |
| SLW | Sell | SILVER WHEATON CORP | $12,308,000 | +13.3% | 455,346 | -1.3% | 4.03% | +21.7% |
| RGLD | Buy | ROYAL GOLD INC | $9,878,000 | +9.3% | 127,573 | +1.6% | 3.23% | +17.3% |
| AFT | Sell | APOLLO SR FLOATING RATE FD I | $9,638,000 | +6.2% | 569,264 | -0.9% | 3.15% | +13.9% |
| WIA | Sell | WESTERN ASSET CLYM INFL SEC | $8,782,000 | -14.7% | 766,988 | -14.4% | 2.87% | -8.4% |
| SAND | Sell | SANDSTORM GOLD LTD | $8,044,000 | +8.5% | 1,599,234 | -3.8% | 2.63% | +16.5% |
| VTA | Sell | INVESCO DYNAMIC CR OPP FD | $7,974,000 | +6.3% | 678,092 | -0.4% | 2.61% | +14.1% |
| FT | Sell | FRANKLIN UNVL TRsh ben int | $7,703,000 | -30.1% | 1,132,740 | -29.3% | 2.52% | -25.0% |
| VVR | Sell | INVESCO SR INCOME TR | $7,514,000 | +2.9% | 1,735,277 | -0.7% | 2.46% | +10.4% |
| BSCH | New | CLAYMORE EXCHANGE TRD FD TRgugg crp bd 2017 | $6,956,000 | – | 306,717 | +100.0% | 2.28% | – |
| EFF | Sell | EATON VANCE FLTG RATE INCOM | $6,665,000 | +3.8% | 426,174 | -0.6% | 2.18% | +11.4% |
| FRA | Sell | BLACKROCK FLOAT RATE OME STR | $6,522,000 | +4.3% | 470,567 | -1.0% | 2.13% | +12.0% |
| SNR | Buy | NEW SR INVT GROUP INC | $6,444,000 | +42.0% | 558,389 | +31.4% | 2.11% | +52.4% |
| MPW | Sell | MEDICAL PPTYS TRUST INC | $6,200,000 | -16.1% | 419,768 | -13.6% | 2.03% | -9.9% |
| PHD | Sell | PIONEER FLOATING RATE TR | $5,603,000 | +3.7% | 474,791 | -1.0% | 1.83% | +11.3% |
| GIM | Sell | TEMPLETON GLOBAL INCOME FD | $5,598,000 | -16.5% | 897,075 | -14.9% | 1.83% | -10.3% |
| STJ | New | ST JUDE MED INC | $5,242,000 | – | 65,720 | +100.0% | 1.72% | – |
| SELF | Sell | GLOBAL SELF STORAGE INC | $5,212,000 | -4.6% | 990,888 | -2.2% | 1.71% | +2.5% |
| UTF | Sell | COHEN & STEERS INFRASTRUCTUR | $4,947,000 | -30.2% | 229,661 | -30.6% | 1.62% | -25.1% |
| DPG | Sell | DUFF & PHELPS GLB UTL INC FD | $4,881,000 | -32.7% | 285,769 | -32.4% | 1.60% | -27.8% |
| NOK | New | NOKIA CORPsponsored adr | $4,788,000 | – | 826,969 | +100.0% | 1.57% | – |
| PPR | Sell | VOYA PRIME RATE TRsh ben int | $4,739,000 | +2.3% | 897,625 | -0.8% | 1.55% | +9.8% |
| SCHR | Buy | SCHWAB STRATEGIC TRintrm trm tres | $4,670,000 | +949.4% | 84,044 | +956.6% | 1.53% | +1023.5% |
| GROW | Sell | U S GLOBAL INVS INCcl a | $4,609,000 | +6.4% | 2,505,162 | -1.7% | 1.51% | +14.2% |
| GAIA | Sell | GAIAM INCcl a | $4,536,000 | -64.3% | 629,984 | -61.6% | 1.48% | -61.7% |
| STKL | Sell | SUNOPTA INC | $4,298,000 | +51.5% | 608,752 | -10.1% | 1.41% | +62.5% |
| MMT | Sell | MFS MULTIMARKET INCOME TRsh ben int | $4,152,000 | -48.2% | 681,787 | -48.6% | 1.36% | -44.4% |
| LXP | Sell | LEXINGTON REALTY TRUST | $3,993,000 | +0.6% | 387,660 | -1.3% | 1.31% | +8.0% |
| BWG | Sell | LEGG MASON BW GLB INC OPP FD | $3,848,000 | +2.8% | 283,371 | -1.9% | 1.26% | +10.3% |
| RMT | Sell | ROYCE MICRO-CAP TR INC | $3,569,000 | -32.0% | 457,036 | -36.1% | 1.17% | -27.0% |
| BSCG | New | CLAYMORE EXCHANGE TRD FD TRgugg crp bd 2016 | $3,552,000 | – | 161,022 | +100.0% | 1.16% | – |
| GOOG | Sell | ALPHABET INCcap stk cl c | $3,481,000 | +8.0% | 4,479 | -3.9% | 1.14% | +15.9% |
| CVA | Sell | COVANTA HLDG CORP | $3,454,000 | -7.5% | 224,430 | -1.2% | 1.13% | -0.8% |
| GWRS | New | GLOBAL WTR RES INC | $2,995,000 | – | 373,929 | +100.0% | 0.98% | – |
| FOF | Sell | COHEN & STEERS CLOSED END OP | $2,681,000 | -81.3% | 218,171 | -82.4% | 0.88% | -79.9% |
| SHY | Buy | ISHARES TR1-3 yr tr bd etf | $2,473,000 | +447.1% | 29,075 | +448.6% | 0.81% | +486.2% |
| GDL | Buy | GDL FUND | $2,433,000 | +35.0% | 244,558 | +34.7% | 0.80% | +45.0% |
| SNH | Sell | SENIOR HSG PPTYS TRsh ben int | $2,420,000 | -65.1% | 106,543 | -68.0% | 0.79% | -62.5% |
| DIS | New | DISNEY WALT CO | $2,095,000 | – | 22,564 | +100.0% | 0.69% | – |
| TINY | Sell | HARRIS & HARRIS GROUP INC | $1,925,000 | -16.8% | 1,385,168 | -3.6% | 0.63% | -10.6% |
| LOR | Sell | LAZARD WORLD DIVID & INCOME | $1,886,000 | +11.1% | 186,709 | -0.7% | 0.62% | +19.3% |
| GLO | New | CLOUGH GLOBAL OPPORTUNITIESsh ben int | $1,782,000 | – | 184,307 | +100.0% | 0.58% | – |
| TIVO | Sell | TIVO INC | $1,726,000 | +2.4% | 88,586 | -48.0% | 0.56% | +9.9% |
| SPE | Sell | SPECIAL OPPORTUNITIES FD INC | $1,648,000 | -15.5% | 110,541 | -22.1% | 0.54% | -9.4% |
| COT | Sell | COTT CORP QUE | $1,619,000 | -38.2% | 113,619 | -39.4% | 0.53% | -33.6% |
| ES | EVERSOURCE ENERGY | $1,618,000 | -9.6% | 29,860 | 0.0% | 0.53% | -2.9% | |
| BTZ | Sell | BLACKROCK CR ALLCTN INC TR | $1,583,000 | +2.1% | 118,594 | -0.4% | 0.52% | +9.5% |
| ERC | Sell | WELLS FARGO MULTI SECTOR INCwf mlt sectr inc | $1,509,000 | +1.3% | 116,326 | -1.3% | 0.49% | +8.8% |
| EMI | Sell | EATON VANCE MI MUNI INCOME Tsh ben int | $1,313,000 | -13.6% | 92,810 | -11.9% | 0.43% | -7.1% |
| CHW | Sell | CALAMOS GBL DYN INCOME FUND | $1,278,000 | -0.9% | 170,124 | -7.4% | 0.42% | +6.4% |
| EOD | Sell | WELLS FARGO GLOBAL DIVIDENDwf global oppty | $1,240,000 | -67.7% | 213,412 | -66.8% | 0.41% | -65.3% |
| VER | Sell | VEREIT INC | $1,219,000 | -73.8% | 117,516 | -74.4% | 0.40% | -71.8% |
| RGT | Sell | ROYCE GLOBAL VALUE TR INC | $1,141,000 | -17.9% | 140,418 | -23.2% | 0.37% | -12.0% |
| BTG | Sell | B2GOLD CORP | $1,087,000 | +1.7% | 413,315 | -3.0% | 0.36% | +9.2% |
| AC | New | ASSOCIATED CAP GROUP INCcl a | $1,081,000 | – | 30,485 | +100.0% | 0.35% | – |
| BRKB | Buy | BERKSHIRE HATHAWAY INC DELcl b new | $1,062,000 | +0.3% | 7,352 | +0.5% | 0.35% | +7.7% |
| FAST | Sell | FASTENAL CO | $1,005,000 | -11.4% | 24,062 | -5.8% | 0.33% | -4.9% |
| CL | COLGATE PALMOLIVE CO | $905,000 | +1.3% | 12,200 | 0.0% | 0.30% | +8.8% | |
| CGO | Buy | CALAMOS GLOBAL TOTAL RETURN | $894,000 | +42.4% | 78,143 | +35.5% | 0.29% | +53.4% |
| NUM | Sell | NUVEEN MICH QUALITY INCOME M | $894,000 | -4.9% | 60,653 | -1.0% | 0.29% | +2.1% |
| PG | Sell | PROCTER AND GAMBLE CO | $811,000 | +4.2% | 9,039 | -1.6% | 0.26% | +11.8% |
| RVT | Sell | ROYCE VALUE TR INC | $795,000 | -12.3% | 62,834 | -20.4% | 0.26% | -5.8% |
| RNP | Sell | COHEN & STEERS REIT & PFD IN | $786,000 | -26.3% | 39,014 | -24.8% | 0.26% | -20.9% |
| AAPL | Sell | APPLE INC | $770,000 | +12.9% | 6,807 | -4.5% | 0.25% | +21.2% |
| SBW | Sell | WESTERN ASSET WORLDWIDE INCO | $767,000 | +5.2% | 66,075 | -0.4% | 0.25% | +13.1% |
| GGZ | Buy | GABELLI GLB SML & MD CP VAL | $710,000 | +4.7% | 65,672 | +0.6% | 0.23% | +12.1% |
| LOV | Sell | SPARK NETWORKS INC | $698,000 | -3.7% | 441,477 | -3.8% | 0.23% | +3.2% |
| DTE | DTE ENERGY CO | $675,000 | -5.5% | 7,201 | 0.0% | 0.22% | +1.4% | |
| NSL | NUVEEN SR INCOME FD | $658,000 | +8.2% | 100,629 | 0.0% | 0.22% | +16.2% | |
| GLV | Buy | CLOUGH GLOBAL DIVND AND INC | $646,000 | +12.0% | 53,268 | +8.0% | 0.21% | +19.9% |
| ED | CONSOLIDATED EDISON INC | $628,000 | -6.4% | 8,343 | 0.0% | 0.21% | +0.5% | |
| FNGN | Sell | FINANCIAL ENGINES INC | $610,000 | +6.1% | 20,520 | -7.8% | 0.20% | +14.3% |
| SPEPRB | New | SPECIAL OPPORTUNITIES FD INCpfd conv se b | $571,000 | – | 22,142 | +100.0% | 0.19% | – |
| AWP | Sell | ALPINE GLOBAL PREMIER PPTYS | $552,000 | -72.3% | 99,510 | -72.6% | 0.18% | -70.2% |
| GLU | Sell | GABELLI GLOBL UTIL & INCOME | $476,000 | -2.3% | 25,998 | -0.7% | 0.16% | +5.4% |
| EVG | Sell | EATON VANCE SH TM DR DIVR IN | $452,000 | +0.4% | 32,973 | -1.2% | 0.15% | +8.0% |
| BIF | Sell | BOULDER GROWTH & INCOME FD I | $418,000 | -0.2% | 49,934 | -3.0% | 0.14% | +7.0% |
| WBA | WALGREENS BOOTS ALLIANCE INC | $404,000 | -3.1% | 5,011 | 0.0% | 0.13% | +3.9% | |
| Sell | ROYAL GOLD INCnote 2.875% 6/1 | $374,000 | +2.7% | 334,000 | -1.5% | 0.12% | +9.9% | |
| GPT | Sell | GRAMERCY PPTY TR | $372,000 | -92.1% | 38,560 | -92.5% | 0.12% | -91.5% |
| GGN | Sell | GAMCO GLOBAL GOLD NAT RES & | $345,000 | -13.1% | 54,001 | -11.6% | 0.11% | -6.6% |
| BOE | Buy | BLACKROCK GLOBAL OPP EQTY TR | $334,000 | +9.2% | 27,297 | +5.9% | 0.11% | +17.2% |
| IBM | Buy | INTERNATIONAL BUSINESS MACHS | $307,000 | +5.1% | 1,934 | +0.7% | 0.10% | +12.4% |
| IGR | Sell | CBRE CLARION GLOBAL REAL EST | $286,000 | -12.5% | 34,087 | -14.3% | 0.09% | -6.0% |
| DRA | Sell | DIVERSIFIED REAL ASSET INC F | $240,000 | -12.1% | 13,935 | -15.6% | 0.08% | -4.8% |
| MSF | Sell | MORGAN STANLEY EMER MKTS FD | $241,000 | +7.1% | 16,568 | -2.2% | 0.08% | +14.5% |
| UNH | UNITEDHEALTH GROUP INC | $241,000 | -0.8% | 1,721 | 0.0% | 0.08% | +6.8% | |
| APF | Sell | MORGAN STANLEY ASIA PAC FD I | $238,000 | +6.7% | 15,767 | -2.4% | 0.08% | +14.7% |
| TDF | Sell | TEMPLETON DRAGON FD INC | $236,000 | -2.1% | 13,374 | -3.9% | 0.08% | +5.5% |
| JRO | New | NUVEEN FLTNG RTE INCM OPP FD | $169,000 | – | 15,275 | +100.0% | 0.06% | – |
| CSQ | Sell | CALAMOS STRATEGIC TOTL RETN | $165,000 | +0.6% | 16,022 | -3.3% | 0.05% | +8.0% |
| DDC | Sell | DOMINION DIAMOND CORP | $98,000 | +10.1% | 10,100 | -0.0% | 0.03% | +18.5% |
| JVA | Sell | COFFEE HLDGS INC | $65,000 | -12.2% | 11,675 | -11.4% | 0.02% | -8.7% |
| NGD | Sell | NEW GOLD INC CDA | $64,000 | -98.7% | 14,725 | -98.7% | 0.02% | -98.6% |
| AEG | Buy | AEGON N Vny registry sh | $49,000 | 0.0% | 12,651 | +3.3% | 0.02% | +6.7% |
| RMRM | Exit | RMR REAL ESTATE INCOME FUND | $0 | – | -183,174 | -100.0% | 0.00% | – |
| PIM | Exit | PUTNAM MASTER INTER INCOME Tsh ben int | $0 | – | -10,355 | -100.0% | -0.01% | – |
| MCR | Exit | MFS CHARTER INCOME TRsh ben int | $0 | – | -12,950 | -100.0% | -0.03% | – |
| PFE | Exit | PFIZER INC | $0 | – | -8,280 | -100.0% | -0.09% | – |
| VIPS | Exit | VIPSHOP HLDGS LTDsponsored adr | $0 | – | -33,940 | -100.0% | -0.12% | – |
| MCN | Exit | MADISON CVRED CALL & EQ STR | $0 | – | -50,327 | -100.0% | -0.12% | – |
| DCA | Exit | VIRTUS TOTAL RETURN FD | $0 | – | -85,650 | -100.0% | -0.12% | – |
| GDO | Exit | WESTERN ASSET GLOBAL CP DEFI | $0 | – | -29,980 | -100.0% | -0.16% | – |
| GOV | Exit | GOVERNMENT PPTYS INCOME TR | $0 | – | -27,605 | -100.0% | -0.19% | – |
| BDMS | Exit | BIRNER DENTAL MGMT SERVICES | $0 | – | -59,609 | -100.0% | -0.26% | – |
| TLI | Exit | LMP CORPORATE LN FD INC | $0 | – | -361,217 | -100.0% | -1.14% | – |
Original filings
The following EDGAR filing(s) were analyzed to create this report:
- View 13F-HR filed 2016-10-17
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.