0001568303-14-000008.txt : 20141114
0001568303-14-000008.hdr.sgml : 20141114
20141114103021
ACCESSION NUMBER: 0001568303-14-000008
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141114
DATE AS OF CHANGE: 20141114
EFFECTIVENESS DATE: 20141114
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: 141221265
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
09-30-2014
09-30-2014
West Family Investments, Inc.
1603 ORRINGTON AVE, SUITE 810
EVANSTON
IL
60201
13F HOLDINGS REPORT
028-15352
N
Randy Rochman
CEO
847-328-0711
Randy Rochman
Chicago
IL
11-13-2014
0
106
478810
false
INFORMATION TABLE
2
westfamily13frpt3qtr2014.xml
ABBOTT LABS
COM
002824100
915
22000
SH
SOLE
0
22000
0
0
ABBVIE INC
COM
00287Y109
1271
22000
SH
SOLE
0
22000
0
0
AEROPOSTALE
COM
007865108
165
50000
SH
SOLE
0
50000
0
0
ALLIED WRLD ASSUR COM HLDG A
SHS
H01531104
5911
160440
SH
SOLE
0
160440
0
0
AMERICAN CAP SR FLOATING LTD
COM
02504D108
7
500
SH
SOLE
0
500
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
1054
49600
SH
SOLE
0
49600
0
0
ANNALY CAP MGMT INC
COM
035710409
14544
1361822
SH
SOLE
0
1361822
0
0
APOLLO COML REAL EST FIN INC
COM
03762U105
6175
393084
SH
SOLE
0
393084
0
0
APOLLO INVT CORP
COM
03761U106
693
84800
SH
SOLE
0
84800
0
0
APPLE INC
COM
037833100
3713
2875
SH
Call
SOLE
0
0
0
0
BARRICK GOLD CORP
COM
067901108
4827
329250
SH
SOLE
0
329250
0
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
981
36200
SH
SOLE
0
36200
0
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
931
49796
SH
SOLE
0
49796
0
0
BROOKDALE SR LIVING INC
COM
112463104
19459
603940
SH
SOLE
0
603940
0
0
BROOKDALE SR LIVING INC
COM
112463104
156
400
SH
Put
SOLE
0
400
0
0
BUCKEYE PARTNERS L P
UNIT LTD PARTN
118230101
2147
26963
SH
SOLE
0
26963
0
0
CALUMET SPECIALTY PRODS PTNR
UT LTD PARTNER
131476103
1909
69547
SH
SOLE
0
69547
0
0
CHIMERA INVT CORP
COM
16934Q109
48454
15938854
SH
SOLE
0
15938854
0
0
CISCO SYS INC
COM
17275R102
3020
120000
SH
SOLE
0
120000
0
0
CITIGROUP INC
COM NEW
172967424
145
250
SH
Call
SOLE
0
0
0
0
CLUBCORP HLDGS INC
COM
18948M108
20
800
SH
Put
SOLE
0
800
0
0
COMCAST CORP NEW
CL A SPL
20030N200
3210
60000
SH
SOLE
0
60000
0
0
CONOCOPHILLIPS
COM
20825C104
551
7200
SH
SOLE
0
7200
0
0
CYS INVTS INC
COM
12673A108
16977
2060310
SH
SOLE
0
2060310
0
0
E M C CORP MASS
COM
268648102
1170
40000
SH
SOLE
0
40000
0
0
EATON VANCE MUN BD FD
COM
27827X101
319
25500
SH
SOLE
0
25500
0
0
ELLINGTON FINANCIAL LLC
COM
288522303
9829
442344
SH
SOLE
0
442344
0
0
ELLINGTON RESIDENTIAL MTG RE
COM SHS BEN INT
288578107
544
33607
SH
SOLE
0
33607
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
27365
679022
SH
SOLE
0
679022
0
0
ESSENT GROUP LTD
COM
G3198U102
505
23600
SH
SOLE
0
23600
0
0
EXELON CORP
COM
30161N101
2386
70000
SH
SOLE
0
70000
0
0
EXXON MOBIL CORP
COM
30231G102
2186
23240
SH
SOLE
0
23240
0
0
FIRST SOLAR INC
COM
336433107
165
2500
SH
SOLE
0
2500
0
0
GENERAL ELECTRIC CO
COM
369604103
10942
427069
SH
SOLE
0
427069
0
0
GENERAL ELECTRIC CO
COM
369604103
201
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
2784
87178
SH
SOLE
0
87178
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
14575
79400
SH
SOLE
0
79400
0
0
HOME LN SERVICING SOLUTIONS
ORD SHS
G6648D109
5666
267382
SH
SOLE
0
267382
0
0
HORIZON TECHNOLOGY FIN CORP
COM
44045A102
125
9314
SH
SOLE
0
9314
0
0
INTREPID POTASH INC
COM
46121Y102
141
9100
SH
SOLE
0
9100
0
0
INVESCO ADVANTAGE MUNICIPAL
SH BEN INT
46132E103
322
28300
SH
SOLE
0
28300
0
0
INVESCO CALIF VALUE MUN INC
COM
46132H106
61
5000
SH
SOLE
0
5000
0
0
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
956
60834
SH
SOLE
0
60834
0
0
INVESCO MUN OPPORTUNITY TR
COM
46132C107
348
27800
SH
SOLE
0
27800
0
0
INVESCO MUN TR
COM
46131J103
338
26900
SH
SOLE
0
26900
0
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
372
30674
SH
SOLE
0
30674
0
0
INVESCO TR INVT GRADE MUNS
COM
46131M106
320
24400
SH
SOLE
0
24400
0
0
ISTAR FINL INC
COM
45031U101
1013
75000
SH
SOLE
0
75000
0
0
JPMORGAN CHASE & CO
*W EXP 10/28/201
46634E114
2188
108800
SH
SOLE
0
108800
0
0
KBR INC
COM
48242W106
508
27000
SH
SOLE
0
27000
0
0
KINDER MORGAN INC DEL
COM
49456B101
291
7600
SH
SOLE
0
7600
0
0
KINROSS GOLD CORP
COM NO PAR
496902404
1529
463352
SH
SOLE
0
463352
0
0
KRAFT FOODS GROUP INC
COM
50076Q106
376
6666
SH
SOLE
0
6666
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
130326
2849911
SH
SOLE
0
2849911
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
257
6090
SH
Put
SOLE
0
690
0
0
LILLY ELI & CO
COM
532457108
1167
18000
SH
SOLE
0
18000
0
0
MAGELLAN MIDSTREAM PRTNRS LP
COM UNIT RP LP
559080106
2071
24600
SH
SOLE
0
24600
0
0
MAXWELL TECHNOLOGIES INC
COM
577767106
1196
137100
SH
SOLE
0
137100
0
0
MB FINANCIAL INC NEW
COM
55264U108
1384
50000
SH
SOLE
0
50000
0
0
MEDLEY CAP CORP
COM
58503F106
1237
104711
SH
SOLE
0
104711
0
0
MFA FINL INC
COM
55272X102
9478
1218300
SH
SOLE
0
1218300
0
0
MICROSOFT CORP
COM
594918104
1966
42400
SH
SOLE
0
42400
0
0
MONDELEZ INTL INC
CL A
609207105
685
20000
SH
SOLE
0
20000
0
0
MONDELEZ INTL INC
CL A
609207105
95
1000
SH
Call
SOLE
0
0
0
0
MVC CAPITAL INC
COM
553829102
7537
700474
SH
SOLE
0
700474
0
0
NEW MEDIA INVT GROUP INC
COM
64704V106
14
866
SH
SOLE
0
866
0
0
NEW MTN FIN CORP
COM
647551100
4962
337800
SH
SOLE
0
337800
0
0
NEW RESIDENTIAL INVT CORP
COM
64828T102
70
12000
SH
SOLE
0
12000
0
0
NEWCASTLE INVT CORP NEW
COM NEW
65105M504
51
4000
SH
SOLE
0
4000
0
0
NEWMONT MINING CORP
COM
651639106
2259
98000
SH
SOLE
0
98000
0
0
NUSTAR ENERGY LP
UNIT COM
67058H102
4643
70406
SH
SOLE
0
70406
0
0
NUVEEN PREM INCOME MUN FD
COM
67062T100
499
37251
SH
SOLE
0
37251
0
0
OCWEN FINL CORP
COM NEW
675746309
953
36400
SH
SOLE
0
36400
0
0
PENNANTPARK FLOATING RATE CA
COM
70806A106
1420
103024
SH
SOLE
0
103024
0
0
PENNANTPARK INVT CORP
COM
708062104
3877
355374
SH
SOLE
0
355374
0
0
PENNEY J C INC
COM
708160106
251
25000
SH
SOLE
0
25000
0
0
PETROLEO BRASILEIRO SA PETRO
SPONSORED ADR
71654V408
1348
95000
SH
SOLE
0
95000
0
0
PFIZER INC
COM
717081103
2491
84247
SH
SOLE
0
84247
0
0
PUTNAM MANAGED MUN INCOM TR
COM
746823103
232
32800
SH
SOLE
0
32800
0
0
REGENCY ENERGY PARTNERS L P
COM UNITS L P
75885Y107
4855
148835
SH
SOLE
0
148835
0
0
SANDRIDGE ENERGY INC
COM
80007P307
262
61162
SH
SOLE
0
61162
0
0
SILVER BAY RLTY TR CORP
COM
82735Q102
596
36791
SH
SOLE
0
36791
0
0
SOLAR CAP LTD
COM
83413U100
3258
174431
SH
SOLE
0
174431
0
0
SOLAR SR CAP LTD
COM
83416M105
3570
231979
SH
SOLE
0
231979
0
0
SONY CORP
ADR NEW
835699307
36
2000
SH
SOLE
0
2000
0
0
STARWOOD PPTY TR INC
COM
85571B105
2454
111753
SH
SOLE
0
111753
0
0
STARWOOD WAYPOINT RESIDENTL
COM SHS
85571W109
581
22350
SH
SOLE
0
22350
0
0
STRYKER CORP
COM
863667101
10596
131220
SH
SOLE
0
131220
0
0
TARGA RESOURCES PARTNERS LP
COM UNIT
87611X105
5505
76095
SH
SOLE
0
76095
0
0
TC PIPELINES LP
UT COM LTD PRT
87233Q108
2573
38000
SH
SOLE
0
38000
0
0
THL CR INC
COM
872438106
672
52100
SH
SOLE
0
52100
0
0
TOOTSIE ROLL INDS INC
COM
890516107
1531
54708
SH
SOLE
0
54708
0
0
TOTAL S A
SPONSORED ADR
89151E109
806
12500
SH
SOLE
0
12500
0
0
TPG SPECIALTY LENDING INC
COM
87265K102
48
3000
SH
SOLE
0
3000
0
0
TRANSATLANTIC PETROLEUM LTD
SHS NEW
G89982113
5422
603142
SH
SOLE
0
603142
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
2914
91138
SH
SOLE
0
91138
0
0
TRAVELCENTERS OF AMERICA LLC
COM
894174101
1358
137400
SH
SOLE
0
137400
0
0
TWO HBRS INVT CORP
COM
90187B101
12307
1272654
SH
SOLE
0
1272654
0
0
VALE S A
ADR
91912E105
1163
105600
SH
SOLE
0
105600
0
0
VALE S A
ADR REPSTG PFD
91912E204
364
37500
SH
SOLE
0
37500
0
0
WEST CORP
COM
952355204
3339
113347
SH
SOLE
0
113347
0
0
YUME INC
COM
98872B104
29
5700
SH
SOLE
0
5700
0
0
ZAIS FINL CORP
COM
98886K108
5347
309811
SH
SOLE
0
309811
0
0
ZIMMER HLDGS INC
COM
98956P102
2725
27100
SH
SOLE
0
27100
0
0
ZOETIS INC
CL A
98978V103
782
21174
SH
SOLE
0
21174
0
0