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 7.53%
Capital Goods 0.34%
Conglomerates
Consumer Cyclical
Consumer/Non-Cyclical 2.39%
Energy 0%
Financial 68.31%
Healthcare 0.14%
Services 17.72%
Technology 0.72%
Transportation 0%
Utilities 0.75%

120 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▲ Change in Value ($1,000s) Change (%) Shares Held
APACHE CORP COM -187 Sold Out 0
ASSOCIATED ESTATES RLTY CORP COM -1,362 Sold Out 0
BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN -2,807 Sold Out 0
DIVERSIFIED REAL ASSET INC FD COM SHS -7,061 Sold Out 0
FEDERATED PREM INTR MUN INC FD COM -566 Sold Out 0
MOBILE TELESYSTEMS OJSC SPONSORED ADR -3,225 Sold Out 0
PFIZER INC COM -229 Sold Out 0
UNITED PARCEL SERVICE INC CL B -242 Sold Out 0
VIASYSTEMS GROUP INC COM PAR$.01 -171 Sold Out 0
WALGREEN CO COM -281 Sold Out 0
EARTHLINK HLDGS CORP COM 52 52 New 15,346
REAL GOODS SOLAR INC CL A 58 -157 (73.14) 49,178
AEGON N V NY REGISTRY SH 100 1 1.42 12,623
WESTERN ASSET INTM MUNI FD INC COM 106 New 11,000
CBRE CLARION GLOBAL REAL ESTAT COM 113 113 New 13,093
POWER REIT COM 141 New 14,289
LAZARD WORLD DIVID & INCOME FD COM 156 New 10,875
TEMPLETON RUS AND EAST EUR FD COM 174 174 New 14,705
CALAMOS STRATEGIC TOTL RETN FD COM SH BEN INT 174 -75 (30.08) 15,067
NUVEEN PFD INCOME OPPRTNY FD COM 203 New 21,725


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