FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD Information

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

Report Date: 12/31/2014

Position Statistics

Total Positions 130
New Positions 20
Increased Positions 53
Decreased Positions 74
Positions with Activity 127
Sold Out Positions 18
Total Mkt Value (in $ millions) 375

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

Sector Weighting

Basic Materials 5.79%
Capital Goods 0.53%
Conglomerates 1.32%
Consumer Cyclical 0.17%
Consumer/Non-Cyclical 2.42%
Energy
Financial 68.78%
Healthcare 0.19%
Services 16.51%
Technology 0.77%
Transportation
Utilities 0.69%

74 DECREASED Positions as of 12/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
BLACKROCK CR ALLCTN INC TR COM 15,725 -369 (2.29) 1,163,121
GAIAM INC CL A 11,222 -79 (0.7) 1,758,970
ALLIANCEBERNSTEIN INCOME FUND COM 9,523 -22,468 (70.23) 1,213,086
NUVEEN QUALITY PFD INC FD 3 COM 7,646 -152 (1.95) 880,876
U S GLOBAL INVS INC CL A 7,587 -114 (1.48) 2,537,531
MONTGOMERY STR INCOME SECS INC COM 7,245 -322 (4.25) 430,726
DOMINION DIAMOND CORP COM 6,732 -1,539 (18.6) 364,500
MEDICAL PPTYS TRUST INC COM 5,998 -100 (1.64) 406,117
HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 5,547 -9,140 (62.23) 397,060
COHEN & STEERS CLOSED END OPPO COM 4,873 -5 (0.1) 374,858
PUTNAM MUN OPPORTUNITIES TR SH BEN INT 2,898 -56 (1.91) 236,745
BLACKROCK MUNI INTER DR FD INC COM 2,567 -74 (2.81) 176,286
INVESCO QUALITY MUNI INC TRST COM 2,441 -110 (4.32) 195,600
FORT DEARBORN INCOME SECS INC COM 2,431 -88 (3.5) 166,477
EATON VANCE MUN INCOME 2028 TE SHS 2,231 -27 (1.19) 124,500
EATON VANCE NATL MUN OPPORT TR COM SHS 2,075 -99 (4.54) 96,691
INVESCO TR INVT GRADE MUNS COM 2,072 -82 (3.79) 155,000
FIRST TR INTER DUR PFD & IN FD COM 1,811 -1,632 (47.4) 79,869
NUVEEN INT DUR QUAL MUN TRM FD COM 1,794 -87 (4.64) 138,710
NUVEEN GLOBAL HIGH INCOME FD SHS 1,687 -305 (15.33) 97,919