0001568303-14-000007.txt : 20140813
0001568303-14-000007.hdr.sgml : 20140813
20140813152913
ACCESSION NUMBER: 0001568303-14-000007
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140630
FILED AS OF DATE: 20140813
DATE AS OF CHANGE: 20140813
EFFECTIVENESS DATE: 20140813
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: 141037322
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
06-30-2014
06-30-2014
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
08-13-2014
0
105
482488
false
INFORMATION TABLE
2
westfamily13frpt2qtr2014.xml
ABBOTT LABS
COM
002824100
900
22000
SH
SOLE
0
22000
0
0
ABBVIE INC
COM
00287Y109
1242
22000
SH
SOLE
0
22000
0
0
AEROPOSTALE
COM
007865108
175
50000
SH
SOLE
0
50000
0
0
ALLIED WRLD ASSUR COM HLDG A
SHS
H01531104
6670
175440
SH
SOLE
0
175440
0
0
AMERICAN CAP SR FLOATING LTD
COM
02504D108
7
500
SH
SOLE
0
500
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
1161
49600
SH
SOLE
0
49600
0
0
ANNALY CAP MGMT INC
COM
035710409
15566
1361822
SH
SOLE
0
1361822
0
0
APOLLO COML REAL EST FIN INC
COM
03762U105
6482
393084
SH
SOLE
0
393084
0
0
APOLLO INVT CORP
COM
03761U106
730
84800
SH
SOLE
0
84800
0
0
APPLE INC
COM
037833100
1376
875
SH
Call
SOLE
0
0
0
0
BARRICK GOLD CORP
COM
067901108
6025
329250
SH
SOLE
0
329250
0
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
921
49796
SH
SOLE
0
49796
0
0
BROOKDALE SR LIVING INC
COM
112463104
26477
794140
SH
SOLE
0
794140
0
0
BROOKDALE SR LIVING INC
COM
112463104
11
300
SH
Put
SOLE
0
300
0
0
BUCKEYE PARTNERS L P
UNIT LTD PARTN
118230101
2240
26963
SH
SOLE
0
26963
0
0
CALUMET SPECIALTY PRODS PTNR
UT LTD PARTNER
131476103
2212
69547
SH
SOLE
0
69547
0
0
CHIMERA INVT CORP
COM
16934Q109
50845
15938854
SH
SOLE
0
15938854
0
0
CISCO SYS INC
COM
17275R102
2982
120000
SH
SOLE
0
120000
0
0
CITIGROUP INC
COM NEW
172967424
73
250
SH
Call
SOLE
0
0
0
0
COMCAST CORP NEW
CL A SPL
20030N200
3200
60000
SH
SOLE
0
60000
0
0
CONOCOPHILLIPS
COM
20825C104
617
7200
SH
SOLE
0
7200
0
0
CYS INVTS INC
COM
12673A108
18223
2020310
SH
SOLE
0
2020310
0
0
E M C CORP MASS
COM
268648102
1054
40000
SH
SOLE
0
40000
0
0
EATON VANCE MUN BD FD
COM
27827X101
317
25500
SH
SOLE
0
25500
0
0
ELLINGTON FINANCIAL LLC
COM
288522303
7137
297374
SH
SOLE
0
297374
0
0
ELLINGTON RESIDENTIAL MTG RE
COM SHS BEN INT
288578107
572
33607
SH
SOLE
0
33607
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
26580
339511
SH
SOLE
0
339511
0
0
ESSENT GROUP LTD
COM
G3198U102
474
23600
SH
SOLE
0
23600
0
0
EXELON CORP
COM
30161N101
2554
70000
SH
SOLE
0
70000
0
0
EXXON MOBIL CORP
COM
30231G102
2340
23240
SH
SOLE
0
23240
0
0
FIRST SOLAR INC
COM
336433107
711
10000
SH
SOLE
0
10000
0
0
GENERAL ELECTRIC CO
COM
369604103
11223
427069
SH
SOLE
0
427069
0
0
GENERAL ELECTRIC CO
COM
369604103
240
2760
SH
Put
SOLE
0
2760
0
0
GENERAL GROWTH PPTYS INC NEW
COM
370023103
488
20719
SH
SOLE
0
20719
0
0
GENERAL MTRS CO
COM
37045V100
3165
87178
SH
SOLE
0
87178
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
13295
79400
SH
SOLE
0
79400
0
0
HOME LN SERVICING SOLUTIONS
ORD SHS
G6648D109
3821
168100
SH
SOLE
0
168100
0
0
HORIZON TECHNOLOGY FIN CORP
COM
44045A102
136
9314
SH
SOLE
0
9314
0
0
INTREPID POTASH INC
COM
46121Y102
153
9100
SH
SOLE
0
9100
0
0
INVESCO ADVANTAGE MUNICIPAL
SH BEN INT
46132E103
321
28300
SH
SOLE
0
28300
0
0
INVESCO CALIF VALUE MUN INC
COM
46132H106
62
5000
SH
SOLE
0
5000
0
0
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
1056
60834
SH
SOLE
0
60834
0
0
INVESCO MUN OPPORTUNITY TR
COM
46132C107
350
27800
SH
SOLE
0
27800
0
0
INVESCO MUN TR
COM
46131J103
337
26900
SH
SOLE
0
26900
0
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
377
30674
SH
SOLE
0
30674
0
0
INVESCO TR INVT GRADE MUNS
COM
46131M106
318
24400
SH
SOLE
0
24400
0
0
ISTAR FINL INC
COM
45031U101
1124
75000
SH
SOLE
0
75000
0
0
JPMORGAN CHASE & CO
*W EXP 10/28/201
46634E114
2103
108800
SH
SOLE
0
108800
0
0
KBR INC
COM
48242W106
644
27000
SH
SOLE
0
27000
0
0
KINDER MORGAN INC DEL
COM
49456B101
276
7600
SH
SOLE
0
7600
0
0
KINROSS GOLD CORP
COM NO PAR
496902404
1918
463352
SH
SOLE
0
463352
0
0
KRAFT FOODS GROUP INC
COM
50076Q106
400
6666
SH
SOLE
0
6666
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
125140
2849911
SH
SOLE
0
2849911
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
683
6090
SH
Put
SOLE
0
6090
0
0
LILLY ELI & CO
COM
532457108
1119
18000
SH
SOLE
0
18000
0
0
MAGELLAN MIDSTREAM PRTNRS LP
COM UNIT RP LP
559080106
2067
24600
SH
SOLE
0
24600
0
0
MAXWELL TECHNOLOGIES INC
COM
577767106
1242
82100
SH
SOLE
0
82100
0
0
MB FINANCIAL INC NEW
COM
55264U108
1353
50000
SH
SOLE
0
50000
0
0
MEDLEY CAP CORP
COM
58503F106
1433
109711
SH
SOLE
0
109711
0
0
MFA FINL INC
COM
55272X102
10002
1218300
SH
SOLE
0
1218300
0
0
MICROSOFT CORP
COM
594918104
4087
98000
SH
SOLE
0
98000
0
0
MICROSOFT CORP
COM
594918104
1
650
SH
Put
SOLE
0
650
0
0
MONDELEZ INTL INC
CL A
609207105
752
20000
SH
SOLE
0
20000
0
0
MONDELEZ INTL INC
CL A
609207105
340
1000
SH
Call
SOLE
0
0
0
0
MVC CAPITAL INC
COM
553829102
6964
537747
SH
SOLE
0
537747
0
0
NEW MEDIA INVT GROUP INC
COM
64704V106
12
866
SH
SOLE
0
866
0
0
NEW MTN FIN CORP
COM
647551100
5049
339800
SH
SOLE
0
339800
0
0
NEW RESIDENTIAL INVT CORP
COM
64828T102
76
12000
SH
SOLE
0
12000
0
0
NEWCASTLE INVT CORP
COM
65105M108
57
12000
SH
SOLE
0
12000
0
0
NEWMONT MINING CORP
COM
651639106
2493
98000
SH
SOLE
0
98000
0
0
NUSTAR ENERGY LP
UNIT COM
67058H102
4366
70406
SH
SOLE
0
70406
0
0
NUVEEN PREM INCOME MUN FD
COM
67062T100
506
37251
SH
SOLE
0
37251
0
0
PENNANTPARK FLOATING RATE CA
COM
70806A106
1336
93520
SH
SOLE
0
93520
0
0
PENNANTPARK INVT CORP
COM
708062104
3525
307624
SH
SOLE
0
307624
0
0
PENNEY J C INC
COM
708160106
453
50000
SH
SOLE
0
50000
0
0
PETROLEO BRASILEIRO SA PETRO
SPONSORED ADR
71654V408
1390
95000
SH
SOLE
0
95000
0
0
PFIZER INC
COM
717081103
2500
84247
SH
SOLE
0
84247
0
0
PUTNAM MANAGED MUN INCOM TR
COM
746823103
235
32800
SH
SOLE
0
32800
0
0
REGENCY ENERGY PARTNERS L P
COM UNITS L P
75885Y107
4794
148835
SH
SOLE
0
148835
0
0
SPX CORP
COM
784635104
237
200
SH
Put
SOLE
0
200
0
0
SANDRIDGE ENERGY INC
COM
80007P307
437
61162
SH
SOLE
0
61162
0
0
SILVER BAY RLTY TR CORP
COM
82735Q102
600
36791
SH
SOLE
0
36791
0
0
SOLAR CAP LTD
COM
83413U100
2585
121462
SH
SOLE
0
121462
0
0
SOLAR SR CAP LTD
COM
83416M105
2466
146089
SH
SOLE
0
146089
0
0
SONY CORP
ADR NEW
835699307
34
2000
SH
SOLE
0
2000
0
0
STARWOOD PPTY TR INC
COM
85571B105
2656
111753
SH
SOLE
0
111753
0
0
STARWOOD WAYPOINT RESIDENTL
COM SHS
85571W109
586
22350
SH
SOLE
0
22350
0
0
STRYKER CORP
COM
863667101
11064
131220
SH
SOLE
0
131220
0
0
TARGA RESOURCES PARTNERS LP
COM UNIT
87611X105
5473
76095
SH
SOLE
0
76095
0
0
TC PIPELINES LP
UT COM LTD PRT
87233Q108
1963
38000
SH
SOLE
0
38000
0
0
THL CR INC
COM
872438106
700
50000
SH
SOLE
0
50000
0
0
TOOTSIE ROLL INDS INC
COM
890516107
1608
54616
SH
SOLE
0
54616
0
0
TOTAL S A
SPONSORED ADR
89151E109
903
12500
SH
SOLE
0
12500
0
0
TRANSATLANTIC PETROLEUM LTD
SHS NEW
G89982113
4644
407749
SH
SOLE
0
407749
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
4104
91138
SH
SOLE
0
91138
0
0
TRAVELCENTERS OF AMERICA LLC
COM
894174101
1847
208000
SH
SOLE
0
208000
0
0
TWO HBRS INVT CORP
COM
90187B101
13337
1272654
SH
SOLE
0
1272654
0
0
VALE S A
ADR
91912E105
1397
105600
SH
SOLE
0
105600
0
0
VALE S A
ADR REPSTG PFD
91912E204
446
37500
SH
SOLE
0
37500
0
0
WEST CORP
COM
952355204
3038
113347
SH
SOLE
0
113347
0
0
YUME INC
COM
98872B104
34
5700
SH
SOLE
0
5700
0
0
ZAIS FINL CORP
COM
98886K108
5149
309811
SH
SOLE
0
309811
0
0
ZIMMER HLDGS INC
COM
98956P102
2815
27100
SH
SOLE
0
27100
0
0
ZIMMER HLDGS INC
COM
98956P102
26
209
SH
Put
SOLE
0
209
0
0
ZOETIS INC
CL A
98978V103
683
21174
SH
SOLE
0
21174
0
0