0001568303-14-000006.txt : 20140514
0001568303-14-000006.hdr.sgml : 20140514
20140514112417
ACCESSION NUMBER: 0001568303-14-000006
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140331
FILED AS OF DATE: 20140514
DATE AS OF CHANGE: 20140514
EFFECTIVENESS DATE: 20140514
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: West Family Investments, Inc.
CENTRAL INDEX KEY: 0001568303
IRS NUMBER: 451291185
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15352
FILM NUMBER: 14839981
BUSINESS ADDRESS:
STREET 1: 1603 ORRINGTON AVE, SUITE 810
CITY: EVANSTON
STATE: IL
ZIP: 60201
BUSINESS PHONE: (847) 328-0747
MAIL ADDRESS:
STREET 1: 1603 ORRINGTON AVE, SUITE 810
CITY: EVANSTON
STATE: IL
ZIP: 60201
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001568303
XXXXXXXX
03-31-2014
03-31-2014
West Family Investments, Inc.
1603 ORRINGTON AVE, SUITE 810
EVANSTON
IL
60201
13F HOLDINGS REPORT
028-15352
N
Randy Rochman
CEO
847-328-0711
/s/ Randy Rochman
Chicago
IL
05-09-2014
0
105
456872
false
INFORMATION TABLE
2
westfamily13frpt1qtr2014.xml
AEROPOSTALE
COM
007865108
753
150000
SH
SOLE
0
150000
0
0
ABBOTT LABS
COM
002824100
847
22000
SH
SOLE
0
22000
0
0
ABBVIE INC
COM
00287Y109
1131
22000
SH
SOLE
0
22000
0
0
ALLIANCEBERNSTEIN NATL MUNI
COM
01864U106
298
22450
SH
SOLE
0
22450
0
0
ALLIED WRLD ASSUR COM HLDG A
SHS
H01531104
6035
58480
SH
SOLE
0
58480
0
0
ALTISOURCE PORTFOLIO SOLNS S
REG SHS
L0175J104
2
121
SH
Call
SOLE
0
0
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
1077
50100
SH
SOLE
0
50100
0
0
AMERICAN CAP SR FLOATING LTD
COM
02504D108
7
500
SH
SOLE
0
500
0
0
ANNALY CAP MGMT INC
COM
035710409
14939
1361822
SH
SOLE
0
1361822
0
0
APOLLO INVT CORP
COM
03761U106
289
34800
SH
SOLE
0
34800
0
0
APOLLO COML REAL EST FIN INC
COM
03762U105
7119
428084
SH
SOLE
0
428084
0
0
APPLE INC
COM
037833100
441
125
SH
Call
SOLE
0
0
0
0
BARRICK GOLD CORP
COM
067901108
5068
284250
SH
SOLE
0
284250
0
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
668
49796
SH
SOLE
0
49796
0
0
BROOKDALE SR LIVING INC
COM
112463104
26612
794140
SH
SOLE
0
794140
0
0
BROOKDALE SR LIVING INC
COM
112463104
81
500
SH
Put
SOLE
0
500
0
0
BUCKEYE PARTNERS L P
UNIT LTD PARTN
118230101
2024
26963
SH
SOLE
0
26963
0
0
BURGER KING WORLDWIDE INC
COM
121220107
1
400
SH
Put
SOLE
0
400
0
0
CALUMET SPECIALTY PRODS PTNR
UT LTD PARTNER
131476103
1797
69547
SH
SOLE
0
69547
0
0
CHIMERA INVT CORP
COM
16934Q109
48773
15938854
SH
SOLE
0
15938854
0
0
CISCO SYS INC
COM
17275R102
2690
120000
SH
SOLE
0
120000
0
0
CITIGROUP INC
COM NEW
172967424
44
100
SH
Call
SOLE
0
0
0
0
COMCAST CORP NEW
CL A SPL
20030N200
2926
60000
SH
SOLE
0
60000
0
0
CONOCOPHILLIPS
COM
20825C104
507
7200
SH
SOLE
0
7200
0
0
CYS INVTS INC
COM
12673A108
16688
2020310
SH
SOLE
0
2020310
0
0
E M C CORP MASS
COM
268648102
1096
40000
SH
SOLE
0
40000
0
0
EATON VANCE MUN BD FD
COM
27827X101
303
25500
SH
SOLE
0
25500
0
0
ELLINGTON FINANCIAL LLC
COM
288522303
7083
297374
SH
SOLE
0
297374
0
0
ELLINGTON RESIDENTIAL MTG RE
COM SHS BEN INT
288578107
380
22478
SH
SOLE
0
22478
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
23549
339511
SH
SOLE
0
339511
0
0
ESSENT GROUP LTD
COM
G3198U102
530
23600
SH
SOLE
0
23600
0
0
EXELON CORP
COM
30161N101
2349
70000
SH
SOLE
0
70000
0
0
EXXON MOBIL CORP
COM
30231G102
2270
23240
SH
SOLE
0
23240
0
0
FIRST SOLAR INC
COM
336433107
698
10000
SH
SOLE
0
10000
0
0
GENERAL ELECTRIC CO
COM
369604103
11057
427069
SH
SOLE
0
427069
0
0
GENERAL ELECTRIC CO
COM
369604103
429
2760
SH
Put
SOLE
0
2760
0
0
GENERAL GROWTH PPTYS INC NEW
COM
370023103
896
40719
SH
SOLE
0
40719
0
0
GENERAL MTRS CO
COM
37045V100
3001
87178
SH
SOLE
0
87178
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
13010
79400
SH
SOLE
0
79400
0
0
HOME LN SERVICING SOLUTIONS
ORD SHS
G6648D109
3631
168100
SH
SOLE
0
168100
0
0
HORIZON TECHNOLOGY FIN CORP
COM
44045A102
1173
93750
SH
SOLE
0
93750
0
0
INTREPID POTASH INC
COM
46121Y102
141
9100
SH
SOLE
0
9100
0
0
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
1002
60834
SH
SOLE
0
60834
0
0
INVESCO MUN TR
COM
46131J103
325
26900
SH
SOLE
0
26900
0
0
INVESCO TR INVT GRADE MUNS
COM
46131M106
312
24400
SH
SOLE
0
24400
0
0
INVESCO MUN OPPORTUNITY TR
COM
46132C107
339
27800
SH
SOLE
0
27800
0
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
362
30674
SH
SOLE
0
30674
0
0
INVESCO ADVANTAGE MUNICIPAL
SH BEN INT
46132E103
311
28300
SH
SOLE
0
28300
0
0
INVESCO CALIF VALUE MUN INC
COM
46132H106
59
5000
SH
SOLE
0
5000
0
0
ISTAR FINL INC
COM
45031U101
1107
75000
SH
SOLE
0
75000
0
0
JPMORGAN CHASE & CO
*W EXP 10/28/201
46634E114
2198
108800
SH
Call
SOLE
0
0
0
0
KBR INC
COM
48242W106
720
27000
SH
SOLE
0
27000
0
0
KINDER MORGAN INC DEL
COM
49456B101
247
7600
SH
SOLE
0
7600
0
0
KINROSS GOLD CORP
COM NO PAR
496902404
1463
353352
SH
SOLE
0
353352
0
0
KRAFT FOODS GROUP INC
COM
50076Q106
374
6666
SH
SOLE
0
6666
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
111545
2849911
SH
SOLE
0
2849911
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
578
5170
SH
Put
SOLE
0
5170
0
0
LILLY ELI & CO
COM
532457108
1059
18000
SH
SOLE
0
18000
0
0
MAGELLAN MIDSTREAM PRTNRS LP
COM UNIT RP LP
559080106
1716
24600
SH
SOLE
0
24600
0
0
MAXWELL TECHNOLOGIES INC
COM
577767106
1061
82100
SH
SOLE
0
82100
0
0
MB FINANCIAL INC NEW
COM
55264U108
1548
50000
SH
SOLE
0
50000
0
0
MEDLEY CAP CORP
COM
58503F106
2172
159611
SH
SOLE
0
159611
0
0
MFA FINL INC
COM
55272X102
9442
1218300
SH
SOLE
0
1218300
0
0
MICROSOFT CORP
COM
594918104
12756
311200
SH
SOLE
0
311200
0
0
MICROSOFT CORP
COM
594918104
22
650
SH
Put
SOLE
0
650
0
0
MONDELEZ INTL INC
CL A
609207105
691
20000
SH
SOLE
0
20000
0
0
MONDELEZ INTL INC
CL A
609207105
201
1000
SH
Call
SOLE
0
0
0
0
MVC CAPITAL INC
COM
553829102
5744
423887
SH
SOLE
0
423887
0
0
NEW MEDIA INVT GROUP INC
COM
64704V106
13
866
SH
SOLE
0
866
0
0
NEW MTN FIN CORP
COM
647551100
4945
339800
SH
SOLE
0
339800
0
0
NEWCASTLE INVT CORP
COM
65105M108
56
12000
SH
SOLE
0
12000
0
0
NEWMONT MINING CORP
COM
651639106
2297
98000
SH
SOLE
0
98000
0
0
NEW RESIDENTIAL INVT CORP
COM
64828T102
78
12000
SH
SOLE
0
12000
0
0
NUSTAR ENERGY LP
UNIT COM
67058H102
3869
70406
SH
SOLE
0
70406
0
0
NUVEEN PREM INCOME MUN FD
COM
67062T100
488
37251
SH
SOLE
0
37251
0
0
PENNANTPARK FLOATING RATE CA
COM
70806A106
1292
93520
SH
SOLE
0
93520
0
0
PENNANTPARK INVT CORP
COM
708062104
3399
307624
SH
SOLE
0
307624
0
0
PENNEY J C INC
COM
708160106
431
50000
SH
SOLE
0
50000
0
0
PETROLEO BRASILEIRO SA PETRO
SPONSORED ADR
71654V408
1249
95000
SH
SOLE
0
95000
0
0
PFIZER INC
COM
717081103
2706
84247
SH
SOLE
0
84247
0
0
PUTNAM MANAGED MUN INCOM TR
COM
746823103
228
32800
SH
SOLE
0
32800
0
0
REGENCY ENERGY PARTNERS L P
COM UNITS L P
75885Y107
4051
148835
SH
SOLE
0
148835
0
0
SANDRIDGE ENERGY INC
COM
80007P307
376
61162
SH
SOLE
0
61162
0
0
SILVER BAY RLTY TR CORP
COM
82735Q102
571
36791
SH
SOLE
0
36791
0
0
SOLAR CAP LTD
COM
83413U100
2645
121462
SH
SOLE
0
121462
0
0
SOLAR SR CAP LTD
COM
83416M105
2258
131980
SH
SOLE
0
131980
0
0
SONY CORP
ADR NEW
835699307
38
2000
SH
SOLE
0
2000
0
0
STARWOOD PPTY TR INC
COM
85571B105
2636
111753
SH
SOLE
0
111753
0
0
STARWOOD WAYPOINT RESIDENTL
COM SHS
85571W109
643
22350
SH
SOLE
0
22350
0
0
STRYKER CORP
COM
863667101
10690
131220
SH
SOLE
0
131220
0
0
TARGA RESOURCES PARTNERS LP
COM UNIT
87611X105
4281
76095
SH
SOLE
0
76095
0
0
TC PIPELINES LP
UT COM LTD PRT
87233Q108
1821
38000
SH
SOLE
0
38000
0
0
THL CR INC
COM
872438106
99
7167
SH
SOLE
0
7167
0
0
TOTAL S A
SPONSORED ADR
89151E109
892
13600
SH
SOLE
0
13600
0
0
TRANSATLANTIC PETROLEUM LTD
SHS NEW
G89982113
3527
407749
SH
SOLE
0
407749
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
3768
91138
SH
SOLE
0
91138
0
0
TRAVELCENTERS OF AMERICA LLC
COM
894174101
1695
208000
SH
SOLE
0
208000
0
0
TWO HBRS INVT CORP
COM
90187B101
13045
1272654
SH
SOLE
0
1272654
0
0
VALE S A
ADR
91912E105
1460
105600
SH
SOLE
0
105600
0
0
VALE S A
ADR REPSTG PFD
91912E204
467
37500
SH
SOLE
0
37500
0
0
WEST CORP
COM
952355204
2712
113347
SH
SOLE
0
113347
0
0
YUME INC
COM
98872B104
42
5700
SH
SOLE
0
5700
0
0
ZAIS FINL CORP
COM
98886K108
5161
309811
SH
SOLE
0
309811
0
0
ZOETIS INC
CL A
98978V103
613
21174
SH
SOLE
0
21174
0
0
ZIMMER HLDGS INC
COM
98956P102
2563
27100
SH
SOLE
0
27100
0
0