0001568303-15-000002.txt : 20150213
0001568303-15-000002.hdr.sgml : 20150213
20150213164853
ACCESSION NUMBER: 0001568303-15-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20141231
FILED AS OF DATE: 20150213
DATE AS OF CHANGE: 20150213
EFFECTIVENESS DATE: 20150213
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: 15615675
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
12-31-2014
12-31-2014
West Family Investments, Inc.
1603 ORRINGTON AVE, SUITE 810
EVANSTON
IL
60201
13F HOLDINGS REPORT
028-15352
N
Randy Rochman
CEO
847-328-0711
Randy Rochman
Chicago
IL
02-13-2015
0
111
36280266
false
INFORMATION TABLE
2
westfamily13frpt4qtr2014.xml
ABBOTT LABS
COM
002824100
990
22000
SH
SOLE
0
22000
0
0
ABBVIE INC
COM
00287Y109
1440
22000
SH
SOLE
0
22000
0
0
AEROPOSTALE
COM
007865108
116
50000
SH
SOLE
0
50000
0
0
ALLIED WRLD ASSUR COM HLDG A
SHS
H01531104
6084
160440
SH
SOLE
0
160440
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
1083
49600
SH
SOLE
0
49600
0
0
ANNALY CAP MGMT INC
COM
035710409
14721
1361822
SH
SOLE
0
1361822
0
0
APOLLO INVT CORP
COM
03761U106
629
84800
SH
SOLE
0
84800
0
0
APOLLO COML REAL EST FIN INC
COM
03762U105
6431
393084
SH
SOLE
0
393084
0
0
APPLE INC
COM
037833100
3049
2099
SH
Call
SOLE
0
0
0
0
BARRICK GOLD CORP
COM
067901108
6109
568250
SH
SOLE
0
568250
0
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
2388
81949
SH
SOLE
0
81949
0
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
885
49796
SH
SOLE
0
49796
0
0
BROOKDALE SR LIVING INC
COM
112463104
22146
603940
SH
SOLE
0
603940
0
0
BROOKDALE SR LIVING INC
COM
112463104
52
400
SH
Put
SOLE
0
400
0
0
BUCKEYE PARTNERS L P
UNIT LTD PARTN
118230101
2040
26963
SH
SOLE
0
26963
0
0
CALUMET SPECIALTY PRODS PTNR
UT LTD PARTNER
131476103
1559
69547
SH
SOLE
0
69547
0
0
CHENIERE ENERGY PARTNERS LP
COM UNIT
16411Q101
282
8816
SH
SOLE
0
8816
0
0
CHIMERA INVT CORP
COM
16934Q109
50686
15938854
SH
SOLE
0
15938854
0
0
CISCO SYS INC
COM
17275R102
3338
120000
SH
SOLE
0
120000
0
0
CITIGROUP INC
COM NEW
172967424
181
250
SH
Call
SOLE
0
0
0
0
COMCAST CORP NEW
CL A SPL
20030N200
3454
60000
SH
SOLE
0
60000
0
0
CONOCOPHILLIPS
COM
20825C104
497
7200
SH
SOLE
0
7200
0
0
CYS INVTS INC
COM
12673A108
17965
2060310
SH
SOLE
0
2060310
0
0
DOW CHEM CO
COM
260543103
238
500
SH
Call
SOLE
0
0
0
0
EATON VANCE MUN BD FD
COM
27827X101
327
25500
SH
SOLE
0
25500
0
0
ELLINGTON FINANCIAL LLC
COM
288522303
8829
442344
SH
SOLE
0
442344
0
0
ELLINGTON RESIDENTIAL MTG RE
COM SHS BEN INT
288578107
547
33607
SH
SOLE
0
33607
0
0
E M C CORP MASS
COM
268648102
1190
40000
SH
SOLE
0
40000
0
0
EPR PPTYS
COM SH BEN INT
26884U109
259
4500
SH
SOLE
0
4500
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
24526
679022
SH
SOLE
0
679022
0
0
ESSENT GROUP LTD
COM
G3198U102
607
23600
SH
SOLE
0
23600
0
0
EXELON CORP
COM
30161N101
2596
70000
SH
SOLE
0
70000
0
0
EXXON MOBIL CORP
COM
30231G102
2149
23240
SH
SOLE
0
23240
0
0
FACTORSHARES TR
ISE CYBER SEC
30304R407
1717
64800
SH
SOLE
0
64800
0
0
FIDUS INVT CORP
COM
316500107
198
13328
SH
SOLE
0
13328
0
0
GENERAL ELECTRIC CO
COM
369604103
10792
427069
SH
SOLE
0
427069
0
0
GENERAL ELECTRIC CO
COM
369604103
55
2260
SH
Put
SOLE
0
2260
0
0
GENERAL GROWTH PPTYS INC NEW
COM
370023103
583
20719
SH
SOLE
0
20719
0
0
GENERAL MTRS CO
COM
37045V100
3079
88211
SH
SOLE
0
88211
0
0
GENERAL MTRS CO
COM
37045V100
39
1876
SH
Call
SOLE
0
0
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
15391
79400
SH
SOLE
0
79400
0
0
HOME LN SERVICING SOLUTIONS
ORD SHS
G6648D109
6275
321482
SH
SOLE
0
321482
0
0
HORIZON TECHNOLOGY FIN CORP
COM
44045A102
340
24294
SH
SOLE
0
24294
0
0
INTERNATIONAL BUSINESS MACHS
COM
459200101
377
300
SH
Call
SOLE
0
0
0
0
ISTAR FINL INC
COM
45031U101
1024
75000
SH
SOLE
0
75000
0
0
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
940
60834
SH
SOLE
0
60834
0
0
INVESCO MUN TR
COM
46131J103
341
26900
SH
SOLE
0
26900
0
0
INVESCO TR INVT GRADE MUNS
COM
46131M106
324
24400
SH
SOLE
0
24400
0
0
INVESCO MUN OPPORTUNITY TR
COM
46132C107
358
27800
SH
SOLE
0
27800
0
0
INVESCO ADVANTAGE MUNICIPAL
SH BEN INT
46132E103
328
28300
SH
SOLE
0
28300
0
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
383
30674
SH
SOLE
0
30674
0
0
JPMORGAN CHASE & CO
*W EXP 10/28/201
46634E114
2263
108800
SH
Call
SOLE
0
0
0
0
KBR INC
COM
48242W106
458
27000
SH
SOLE
0
27000
0
0
KINDER MORGAN INC DEL
COM
49456B101
322
7600
SH
SOLE
0
7600
0
0
KINROSS GOLD CORP
COM NO PAR
496902404
1307
463352
SH
SOLE
0
463352
0
0
KRAFT FOODS GROUP INC
COM
50076Q106
418
6666
SH
SOLE
0
6666
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
139672
2828511
SH
SOLE
0
2828511
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
31
5957
SH
Put
SOLE
0
5957
0
0
LILLY ELI & CO
COM
532457108
1242
18000
SH
SOLE
0
18000
0
0
MAGELLAN MIDSTREAM PRTNRS LP
COM UNIT RP LP
559080106
2033
24600
SH
SOLE
0
24600
0
0
MAXWELL TECHNOLOGIES INC
COM
577767106
840
92100
SH
SOLE
0
92100
0
0
MB FINANCIAL INC NEW
COM
55264U108
1643
50000
SH
SOLE
0
50000
0
0
MCDONALDS CORP
COM
580135101
1005
1500
SH
Call
SOLE
0
0
0
0
MEDLEY CAP CORP
COM
58503F106
1140
123334
SH
SOLE
0
123334
0
0
MFA FINL INC
COM
55272X102
9735
1218300
SH
SOLE
0
1218300
0
0
MVC CAPITAL INC
COM
553829102
8472
861868
SH
SOLE
0
861868
0
0
MICROSOFT CORP
COM
594918104
1969
42400
SH
SOLE
0
42400
0
0
MONDELEZ INTL INC
CL A
609207105
727
20000
SH
SOLE
0
20000
0
0
MONDELEZ INTL INC
CL A
609207105
157
1000
SH
Call
SOLE
0
0
0
0
NEW MTN FIN CORP
COM
647551100
5047
337800
SH
SOLE
0
337800
0
0
NEWMONT MINING CORP
COM
651639106
3643
192763
SH
SOLE
0
192763
0
0
NEWTEK BUSINESS SVCS CORP
COM NEW
652526203
872
59100
SH
SOLE
0
59100
0
0
NUSTAR ENERGY LP
UNIT COM
67058H102
4066
70406
SH
SOLE
0
70406
0
0
NUVEEN PREM INCOME MUN FD
COM
67062T100
516
37251
SH
SOLE
0
37251
0
0
OCWEN FINL CORP
COM NEW
675746309
550
36400
SH
SOLE
0
36400
0
0
OCWEN FINL CORP
COM NEW
675746309
90
1000
SH
Call
SOLE
0
0
0
0
PENNANTPARK INVT CORP
COM
708062104
4628
485654
SH
SOLE
0
485654
0
0
PENNANTPARK FLOATING RATE CA
COM
70806A106
1757
127994
SH
SOLE
0
127994
0
0
PENNEY J C INC
COM
708160106
162
25000
SH
SOLE
0
25000
0
0
PETROLEO BRASILEIRO SA PETRO
SPONSORED ADR
71654V408
694
95000
SH
SOLE
0
95000
0
0
PFIZER INC
COM
717081103
2624
84247
SH
SOLE
0
84247
0
0
PLAINS GP HLDGS L P
SHS A REP LTPN
72651A108
822
32000
SH
SOLE
0
32000
0
0
PLAINS GP HLDGS L P
SHS A REP LTPN
72651A108
75
500
SH
Call
SOLE
0
0
0
0
PUTNAM MANAGED MUN INCOM TR
COM
746823103
238
32800
SH
SOLE
0
32800
0
0
REGENCY ENERGY PARTNERS L P
COM UNITS L P
75885Y107
3572
148835
SH
SOLE
0
148835
0
0
SANDRIDGE ENERGY INC
COM
80007P307
111
61162
SH
SOLE
0
61162
0
0
SILVER BAY RLTY TR CORP
COM
82735Q102
609
36791
SH
SOLE
0
36791
0
0
SOLAR CAP LTD
COM
83413U100
5776
320713
SH
SOLE
0
320713
0
0
SOLAR SR CAP LTD
COM
83416M105
6522
435659
SH
SOLE
0
435659
0
0
STARWOOD PPTY TR INC
COM
85571B105
2597
111753
SH
SOLE
0
111753
0
0
STARWOOD WAYPOINT RESIDENTL
COM SHS
85571W109
589
22350
SH
SOLE
0
22350
0
0
STRYKER CORP
COM
863667101
12378
131220
SH
SOLE
0
131220
0
0
SYNAPTICS INC
COM
87157D109
1726
25073
SH
SOLE
0
25073
0
0
SYNAPTICS INC
COM
87157D109
328
250
SH
Call
SOLE
0
0
0
0
TARGA RESOURCES PARTNERS LP
COM UNIT
87611X105
3643
76095
SH
SOLE
0
76095
0
0
TC PIPELINES LP
UT COM LTD PRT
87233Q108
2706
38000
SH
SOLE
0
38000
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
592
750
SH
Call
SOLE
0
0
0
0
THL CR INC
COM
872438106
1778
151172
SH
SOLE
0
151172
0
0
TOOTSIE ROLL INDS INC
COM
890516107
1677
54708
SH
SOLE
0
54708
0
0
TOTAL S A
SPONSORED ADR
89151E109
640
12500
SH
SOLE
0
12500
0
0
TRAVELCENTERS OF AMERICA LLC
COM
894174101
472
37400
SH
SOLE
0
37400
0
0
TRANSATLANTIC PETROLEUM LTD
SHS NEW
G89982113
3700
686528
SH
SOLE
0
686528
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
547
29838
SH
SOLE
0
29838
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
1674
91300
SH
Call
SOLE
0
0
0
0
TWO HBRS INVT CORP
COM
90187B101
12752
1272654
SH
SOLE
0
1272654
0
0
VALE S A
ADR
91912E105
864
105600
SH
SOLE
0
105600
0
0
VALE S A
ADR REPSTG PFD
91912E204
272
37500
SH
SOLE
0
37500
0
0
WEST CORP
COM
952355204
3740
113347
SH
SOLE
0
15111431
0
0
ZAIS FINL CORP
COM
98886K108
5344
309811
SH
SOLE
0
309811
0
0
ZIMMER HLDGS INC
COM
98956P102
3074
27100
SH
SOLE
0
27100
0
0
ZOETIS INC
CL A
98978V103
911
21174
SH
SOLE
0
21174
0
0