FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD Information

111 CASS STREET, TRAVERSE CITY, Michigan, 49684, (231) 929-4500

Report Date: 09/30/2014

Position Statistics

Total Positions 120
New Positions 19
Increased Positions 56
Decreased Positions 51
Positions with Activity 107
Sold Out Positions 10
Total Mkt Value (in $ millions) 324

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 7.7%
Capital Goods 0.37%
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical 2.56%
Energy 0%
Financial 68.47%
Healthcare 0.12%
Services 16.43%
Technology 0.76%
Transportation 0%
Utilities 0.81%

107 Activity Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ALLIANCEBERNSTEIN INCOME FUND COM 30,319 -5,003 (14.16) 4,075,188
WESTERN ASSET CLYM INFL OPP IN COM 25,510 -3,384 (11.71) 2,269,544
BLACKROCK CR ALLCTN INC TR COM 15,523 484 3.22 1,190,385
HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 13,930 -2,355 (14.46) 1,051,353
GAIAM INC CL A 12,842 -47 (0.36) 1,771,355
AMERICAN RLTY CAP PPTYS INC COM 9,855 1,007 11.38 1,279,934
BLACKROCK RES & COMM STRAT TR SHS 8,115 -1,917 (19.11) 867,871
DOMINION DIAMOND CORP COM 7,931 70 .90 447,800
NUVEEN QUALITY PFD INC FD 3 COM 7,483 195 2.68 898,373
MONTGOMERY STR INCOME SECS INC COM 7,445 -79 (1.05) 449,843
FRANKLIN UNVL TR SH BEN INT 7,372 282 3.98 1,095,324
JANUS CAP GROUP INC COM 7,221 7,221 New 483,350
U S GLOBAL INVS INC CL A 6,980 190 2.80 2,575,652
LIFE TIME FITNESS INC COM 6,218 6,218 New 115,575
VODAFONE GROUP PLC NEW SPNSR ADR NO PAR 5,826 5,826 New 171,608
SILVER WHEATON CORP COM 5,418 28 .53 287,265
MEDICAL PPTYS TRUST INC COM 5,392 -542 (9.13) 412,881
WELLS FARGO ADVANTAGE MULTI COM SHS 4,918 -17 (0.35) 376,601
COHEN & STEERS CLOSED END OPPO COM 4,754 370 8.44 375,244
STRATEGIC GLOBAL INCOME FD COM 4,707 143 3.14 560,384