0001567233-14-000004.txt : 20140211 0001567233-14-000004.hdr.sgml : 20140211 20140211133909 ACCESSION NUMBER: 0001567233-14-000004 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140211 DATE AS OF CHANGE: 20140211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: JWEST, LLC CENTRAL INDEX KEY: 0001567233 IRS NUMBER: 460729465 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-87910 FILM NUMBER: 14593019 BUSINESS ADDRESS: STREET 1: 501 CONGRESSIONAL BLVD. CITY: CARMEL STATE: IN ZIP: 46032 BUSINESS PHONE: 317-819-6200 MAIL ADDRESS: STREET 1: 501 CONGRESSIONAL BLVD. CITY: CARMEL STATE: IN ZIP: 46032 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JWEST, LLC CENTRAL INDEX KEY: 0001567233 IRS NUMBER: 460729465 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 501 CONGRESSIONAL BLVD. CITY: CARMEL STATE: IN ZIP: 46032 BUSINESS PHONE: 317-819-6200 MAIL ADDRESS: STREET 1: 501 CONGRESSIONAL BLVD. CITY: CARMEL STATE: IN ZIP: 46032 SC 13G 1 newcastleinvestmentcpcumpfdb.txt JW SC 13G INITIAL FILING FOR NCTPRB SC 13G 1 newcastleinvestmentprb SECURITIES AND EXCHANGE COMMISSION Washing on, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (New) Newcastle Investment Corp. (Name of Issuer) Preferred Stock (Title of Class of Securities) 65105M207 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 65105M207 --------- ------------------------------------------------------------------------------ (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). JWest LLC, 46-0729465 ------------------------------------------------------------------------------ (2) Check the appropriate box if a member of a Group* (a) / / (b) / / ------------------------------------------------------------------------------ (3) SEC Use Only ------------------------------------------------------------------------------ (4) Citizenship or Place of Organization U.S.A. ------------------------------------------------------------------------------ Number of Shares (5) Sole Voting Power Beneficially Owned - by Each Reporting ------------------------------ Person With (6) Shared Voting Power - ------------------------------ (7) Sole Dispositive Power 79,382 ----------------------------- (8) Shared Dispositive Power - ------------------------------------------------------------------------------ (9) Aggregate Amount Beneficially Owned by Each Reporting Person 79,382 ------------------------------------------------------------------------------ (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* ------------------------------------------------------------------------------ (11) Percent of Class Represented by Amount in Row (9) 5.89% ------------------------------------------------------------------------------ (12) Type of Reporting Person* IA ------------------------------------------------------------------------------ ITEM 1(A). NAME OF ISSUER Newcastle Investment Corp. ------------------------------------------------------------------------------ ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 1345 Avenue of the Americas, 46th Floor, New York, NY 10105 ------------------------------------------------------------------------------ ITEM 2(A). NAME OF PERSON(S) FILING JWest LLC ------------------------------------------------------------------------------ ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 501 Congressional Boulevard, Suite 300, Carmel, IN 46032 ------------------------------------------------------------------------------ ITEM 2(C). CITIZENSHIP U.S.A ------------------------------------------------------------------------------ ITEM 2(D). TITLE OF CLASS OF SECURITIES Preferred Stock ITEM 2(E). CUSIP NUMBER 65105M207 ------------------------------------------------------------------------------ ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A (a) // Broker or Dealer registered under Section 15 of the Act(15 U.S.C. 78o). (b) // Bank as defined in section 3(a) (6) of the Act (15 U.S.C. 78c). (c) // Insurance Company as defined in section 3(a) (19) of the Act (15 U.S.C. 78c). (d) // Investment Company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) /X/ Investment Adviser in accordance with section 240.13d(b)(1)(ii)(E). (f) // Employee Benefit Plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F). (g) // Parent Holding Company or control person in accordance with section 240.13d-1(b)(1)(ii)(G). (h) // A savings association as defined in section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) // A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15U.S.C. 80a-3). (j) // Non-U.S. institution, in accordance with section 240.13d-1(b)(1)(ii)(J) (k) // Group, in accordance with section 240.13d-1(b)(1)(ii)(K) ITEM 4. OWNERSHIP Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount Beneficially Owned: 79,382 ------------------------------------------------------------------------------ (b) Percent of Class: 5.89% ------------------------------------------------------------------------------ (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote - ---------------------------------------------------------------- (ii) shared power to vote or to direct the vote - ---------------------------------------------------------------- (iii) sole power to dispose or to direct the disposition of 79,382 ---------------------------------------------------------------- (iv) shared power to dispose or to direct the disposition of - ---------------------------------------------------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. // ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Not applicable ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY Not applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not applicable ITEM 10. CERTIFICATION By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. By signing below, I further certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. JANUARY 9, 2014 --------------------------------------- Date --------------------------------------- Signature Steve M. Dauby CHIEF COMPLIANCE OFFICER --------------------------------------- Name/Title