FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 121
New Positions 38
Increased Positions 72
Decreased Positions 41
Positions with Activity 113
Sold Out Positions 4
Total Mkt Value (in $ millions) 328

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

Sector Weighting

Basic Materials 5.96%
Capital Goods 1.38%
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical 1.31%
Energy 0.17%
Financial 75.34%
Healthcare 0.48%
Services 9.81%
Technology 0.45%
Transportation 0.08%
Utilities 1.85%

121 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
NUVEEN REAL ASSET INC & GROWTH COM 2,149 2,149 New 113,085
COHEN & STEERS INFRASTRUCTURE COM 2,109 -22 (1.02) 95,200
EATON VANCE MUN INCOME TERM TR SHS 2,059 2,059 New 127,000
LEGG MASON BW GLB INC OPP FD COM 2,038 -1,052 (34.03) 115,682
EATON VANCE NATL MUN OPPORT TR COM SHS 1,967 1,967 New 100,796
DOVER SADDLERY INC COM 1,920 -17 (0.87) 363,600
BLACKROCK INCOME OPP TRUST INC COM 1,918 -33 (1.67) 184,289
NUVEEN GBL INCOME OPPORTUN FD COM 1,872 24 1.27 159,323
GOLDCORP INC NEW COM 1,872 1,872 New 78,603
INVESCO TR INVT GRADE MUNS COM 1,826 1,826 New 143,000
NUVEEN INT DUR QUAL MUN TRM FD COM 1,770 1,770 New 142,360
MAINSTAY DEFINEDTERM MN OPP FD COM 1,706 1,706 New 99,873
AMERICAN STRATEGIC INCM PTFL COM 1,686 90 5.64 173,780
LIFEWAY FOODS INC COM 1,509 11 .74 104,826
B2GOLD CORP COM 1,480 201 15.69 544,090
NORTHEAST UTILS COM 1,390 New 29,860
WESTERN ASST MN PRT FD INC COM 1,383 1,383 New 97,162
MORGAN STANLEY TRUSTS INCOME SECS INC 1,346 -398 (22.82) 76,612
TEMPLETON DRAGON FD INC COM 1,234 -20 (1.62) 49,847
TEVA PHARMACEUTICAL INDS LTD ADR 1,205 889 281.81 24,138