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) 331

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

Sector Weighting

Basic Materials 7.89%
Capital Goods 0.38%
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical 2.61%
Energy 0%
Financial 68.23%
Healthcare 0.12%
Services 16.38%
Technology 0.8%
Transportation 0%
Utilities 0.82%

51 DECREASED 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 30,482 -5,030 (14.16) 4,075,188
WESTERN ASSET CLYM INFL OPP IN COM 25,464 -3,378 (11.71) 2,269,544
HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 14,467 -2,445 (14.46) 1,051,353
GAIAM INC CL A 12,399 -45 (0.36) 1,771,355
BLACKROCK RES & COMM STRAT TR SHS 8,679 -2,050 (19.11) 867,871
MONTGOMERY STR INCOME SECS INC COM 7,436 -79 (1.05) 449,843
MEDICAL PPTYS TRUST INC COM 5,566 -559 (9.13) 412,881
WELLS FARGO ADVANTAGE MULTI COM SHS 5,069 -18 (0.35) 376,601
HANCOCK JOHN TAX-ADV DIV INCM COM 3,612 -4,196 (53.74) 164,762
FIRST TR INTER DUR PFD & IN FD COM 3,325 -7 (0.21) 151,844
FEDERATED ENHANC TREAS INCM FD COM SH BEN INT 2,990 -188 (5.92) 226,478
FORT DEARBORN INCOME SECS INC COM 2,420 -35 (1.41) 172,507
INVESCO BD FD COM 2,219 -13 (0.57) 122,137
CUTWATER SELECT INCOME FD COM 2,131 -18 (0.82) 109,361
NUVEEN GLOBAL HIGH INCOME FD SHS 2,024 -24 (1.16) 115,649
NUVEEN INT DUR QUAL MUN TRM FD COM 1,847 -6 (0.34) 145,460
DIGITAL RLTY TR INC COM 1,572 -1,214 (43.58) 23,855
LEGG MASON BW GLB INC OPP FD COM 1,405 -11 (0.79) 85,971
MORGAN STANLEY TRUSTS INCOME SECS INC 1,307 -2 (0.13) 74,272
VIRTUS TOTAL RETURN FD COM 1,222 -2,262 (64.92) 272,268


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