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) 338

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

Sector Weighting

Basic Materials 7.87%
Capital Goods 0.34%
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical 2.4%
Energy 0%
Financial 68.16%
Healthcare 0.15%
Services 17.53%
Technology 0.73%
Transportation 0%
Utilities 0.74%

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 30,605 -5,050 (14.16) 4,075,188
WESTERN ASSET CLYM INFL OPP IN COM 26,327 -3,492 (11.71) 2,269,544
HANCOCK JOHN PREMUIM DIV FD COM SH BEN INT 14,015 -2,369 (14.46) 1,051,353
GAIAM INC CL A 13,639 -50 (0.36) 1,771,355
BLACKROCK REAL ASSET EQUITY TR COM 9,216 -2,177 (19.11) 1,147,674
MONTGOMERY STR INCOME SECS INC COM 7,422 -79 (1.05) 449,843
MEDICAL PPTYS TRUST INC COM 5,413 -544 (9.13) 412,881
WELLS FARGO ADVANTAGE MULTI COM SHS 5,306 -18 (0.35) 376,601
HANCOCK JOHN TAX-ADV DIV INCM COM 3,429 -3,984 (53.74) 164,762
FIRST TR INTER DUR PFD & IN FD COM 3,293 -7 (0.21) 151,844
FEDERATED ENHANC TREAS INCM FD COM SH BEN INT 2,967 -187 (5.92) 226,478
FORT DEARBORN INCOME SECS INC COM 2,503 -36 (1.41) 172,507
INVESCO BD FD COM 2,280 -13 (0.57) 122,137
CUTWATER SELECT INCOME FD COM 2,131 -18 (0.82) 109,361
NUVEEN GBL INCOME OPPORTUN FD COM 2,128 -25 (1.16) 178,851
NUVEEN INT DUR QUAL MUN TRM FD COM 1,882 -6 (0.34) 145,460
DIGITAL RLTY TR INC COM 1,583 -1,222 (43.58) 23,855
LEGG MASON BW GLB INC OPP FD COM 1,495 -12 (0.79) 85,971
MORGAN STANLEY TRUSTS INCOME SECS INC 1,309 -2 (0.13) 74,272
VIRTUS TOTAL RETURN FD COM 1,255 -2,322 (64.92) 272,268