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) 336

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

Sector Weighting

Basic Materials 7.74%
Capital Goods 0.36%
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical 2.55%
Energy 0%
Financial 68.76%
Healthcare 0.13%
Services 16.76%
Technology 0.8%
Transportation 0%
Utilities 0.77%

120 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
TERADATA CORP DEL COM 2,237 2,237 New 50,187
EATON VANCE MUN INCOME TERM TR SHS 2,174 New 126,000
CUTWATER SELECT INCOME FD COM 2,160 -18 (0.82) 109,361
NUVEEN GBL INCOME OPPORTUN FD COM 2,116 -25 (1.16) 178,851
INVESCO TR INVT GRADE MUNS COM 2,101 205 10.80 161,100
HARRIS & HARRIS GROUP INC COM 2,086 316 17.88 745,077
EATON VANCE NATL MUN OPPORT TR COM SHS 2,050 New 101,291
GOLDCORP INC NEW COM 2,041 444 27.78 99,483
LIFEWAY FOODS INC COM 1,985 125 6.74 109,434
NUVEEN INT DUR QUAL MUN TRM FD COM 1,836 -6 (0.34) 145,460
COHEN & STEERS INFRASTRUCTURE COM 1,656 279 20.28 69,597
DIGITAL RLTY TR INC COM 1,655 -1,279 (43.58) 23,855
GDL FUND COM SH BEN IT 1,634 1,634 New 157,450
TIVO INC COM 1,621 1,621 New 125,210
CINEDIGM CORP COM 1,621 1,621 New 953,531
NORTHEAST UTILS COM 1,504 New 29,860
LEGG MASON BW GLB INC OPP FD COM 1,496 -12 (0.79) 85,971
WESTERN ASST MN PRT FD INC COM 1,417 New 97,162
MORGAN STANLEY TRUSTS INCOME SECS INC 1,312 -2 (0.13) 74,272
CHAMBERS STR PPTYS COM 1,306 1,306 New 165,540