0001568303-13-000005.txt : 20130814
0001568303-13-000005.hdr.sgml : 20130814
20130814172817
ACCESSION NUMBER: 0001568303-13-000005
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20130630
FILED AS OF DATE: 20130814
DATE AS OF CHANGE: 20130814
EFFECTIVENESS DATE: 20130814
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15352
FILM NUMBER: 131037856
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/A
1
primary_doc.xml
13F-HR/A
LIVE
false
false
false
0001568303
XXXXXXXX
06-30-2013
06-30-2013
true
1
RESTATEMENT
West Family Investments, Inc.
1603 ORRINGTON AVE, SUITE 810
EVANSTON
IL
60201
13F HOLDINGS REPORT
028-15352
N
Jeff Klunzinger
CFO
847-328-0747
/s/ Jeff Klunzinger
Chicago
IL
08-14-2013
0
105
377576
false
INFORMATION TABLE
2
westfamily13frpt2qtr2013.xml
ABBOTT LABS
COM
002824100
767
22000
SH
SOLE
0
22000
0
0
ABBVIE INC
COM
00287Y109
910
22000
SH
SOLE
0
22000
0
0
ALLIED WRLD ASSUR COM HLDG A
SHS
H01531104
5352
58480
SH
SOLE
0
58480
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
693
30100
SH
SOLE
0
30100
0
0
ANNALY CAP MGMT INC
COM
035710409
16867
1341822
SH
SOLE
0
1341822
0
0
APOLLO COML REAL EST FIN INC
COM
03762U105
6956
438006
SH
SOLE
0
438006
0
0
APPLE INC
COM
037833100
198
500
SH
SOLE
0
500
0
0
APPLE INC
COM
037833100
126
50
SH
Put
SOLE
0
50
0
0
APPLE INC
COM
037833100
27
245
SH
Call
SOLE
0
245
0
0
BARRICK GOLD CORP
COM
067901108
303
19250
SH
SOLE
0
19250
0
0
BARRICK GOLD CORP
COM
067901108
15
2000
SH
Call
SOLE
0
2000
0
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
1504
49796
SH
SOLE
0
49796
0
0
BROOKDALE SR LIVING INC
COM
112463104
20997
794140
SH
SOLE
0
794140
0
0
BROOKDALE SR LIVING INC
COM
112463104
70
2000
SH
Put
SOLE
0
2000
0
0
BUCKEYE PARTNERS L P
UNIT LTD PARTN
118230101
1862
26963
SH
SOLE
0
26963
0
0
CABELAS INC
COM
126804301
806
2459
SH
Put
SOLE
0
2459
0
0
CALUMET SPECIALTY PRODS PTNR
UT LTD PARTNER
131476103
2530
69547
SH
SOLE
0
69547
0
0
CHIMERA INVT CORP
COM
16934Q109
44756
14918452
SH
SOLE
0
14918452
0
0
CISCO SYS INC
COM
17275R102
2920
120000
SH
SOLE
0
120000
0
0
COMCAST CORP NEW
CL A SPL
20030N200
2380
60000
SH
SOLE
0
60000
0
0
CONOCOPHILLIPS
COM
20825C104
436
7200
SH
SOLE
0
7200
0
0
CORNING INC
COM
219350105
413
5200
SH
Call
SOLE
0
5200
0
0
CUSTOMERS BANCORP INC
COM
23204G100
1056
65000
SH
SOLE
0
65000
0
0
CYS INVTS INC
COM
12673A108
10468
1136626
SH
SOLE
0
1136626
0
0
E M C CORP MASS
COM
268648102
945
40000
SH
SOLE
0
40000
0
0
ELLINGTON FINANCIAL LLC
COM
288522303
6783
297374
SH
SOLE
0
297374
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
21101
339511
SH
SOLE
0
339511
0
0
EXELIS INC
COM
30162A108
276
20000
SH
SOLE
0
20000
0
0
EXELON CORP
COM
30161N101
2162
70000
SH
SOLE
0
70000
0
0
EXXON MOBIL CORP
COM
30231G102
2100
23240
SH
SOLE
0
23240
0
0
FORD MTR CO DEL
COM PAR $0.01
345370860
325
21000
SH
SOLE
0
21000
0
0
GENERAL ELECTRIC CO
COM
369604103
10484
452069
SH
SOLE
0
452069
0
0
GENERAL ELECTRIC CO
COM
369604103
92
1100
SH
Put
SOLE
0
1100
0
0
GENERAL GROWTH PPTYS INC NEW
COM
370023103
1008
50719
SH
SOLE
0
50719
0
0
GENERAL MTRS CO
*W EXP 07/10/201
37045V118
770
32096
SH
Call
SOLE
0
32096
0
0
GENERAL MTRS CO
*W EXP 07/10/201
37045V126
525
32096
SH
Call
SOLE
0
32096
0
0
GENERAL MTRS CO
COM
37045V100
1176
35306
SH
SOLE
0
35306
0
0
GENERAL MTRS CO
COM
37045V100
956
1175
SH
Call
SOLE
0
1175
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
13522
89400
SH
SOLE
0
89400
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
163
300
SH
Put
SOLE
0
300
0
0
GOLUB CAP BDC INC
COM
38173M102
569
32536
SH
SOLE
0
32536
0
0
HEWLETT PACKARD CO
COM
428236103
174
7000
SH
SOLE
0
7000
0
0
HOME LN SERVICING SOLUTIONS
ORD SHS
G6648D109
4065
169600
SH
SOLE
0
169600
0
0
HORIZON TECHNOLOGY FIN CORP
COM
44045A102
1557
113334
SH
SOLE
0
113334
0
0
INTREPID POTASH INC
COM
46121Y102
173
9100
SH
SOLE
0
9100
0
0
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
1008
60834
SH
SOLE
0
60834
0
0
ISTAR FINL INC
COM
45031U101
847
75000
SH
SOLE
0
75000
0
0
ITT CORP NEW
COM NEW
450911201
294
10000
SH
SOLE
0
10000
0
0
JPMORGAN CHASE & CO
*W EXP 10/28/201
46634E114
1697
108800
SH
Call
SOLE
0
108800
0
0
KBR INC
COM
48242W106
878
27000
SH
SOLE
0
27000
0
0
KINDER MORGAN INC DEL
COM
49456B101
290
7600
SH
SOLE
0
7600
0
0
KKR FINL HLDGS LLC
COM
48248A306
1082
102541
SH
SOLE
0
102541
0
0
KRAFT FOODS GROUP INC
COM
50076Q106
372
6666
SH
SOLE
0
6666
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
55967
2655006
SH
SOLE
0
2655006
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
360
1000
SH
Put
SOLE
0
1000
0
0
LEVEL 3 COMMUNICATIONS INC
NOTE 6.500%10/0
52729NBR0
6822
5000000
PRN
SOLE
0
5000000
0
0
LILLY ELI & CO
COM
532457108
884
18000
SH
SOLE
0
18000
0
0
MAGELLAN MIDSTREAM PRTNRS LP
COM UNIT RP LP
559080106
1341
24600
SH
SOLE
0
24600
0
0
MB FINANCIAL INC NEW
COM
55264U108
1340
50000
SH
SOLE
0
50000
0
0
MEDLEY CAP CORP
COM
58503F106
2168
159611
SH
SOLE
0
159611
0
0
MFA FINL INC
COM
55272X102
6046
715500
SH
SOLE
0
715500
0
0
MFRI INC
COM
552721102
838
73704
SH
SOLE
0
73704
0
0
MICROSOFT CORP
COM
594918104
11400
330000
SH
SOLE
0
330000
0
0
MICROSOFT CORP
COM
594918104
213
2320
SH
Put
SOLE
0
2320
0
0
MONDELEZ INTL INC
CL A
609207105
571
20000
SH
SOLE
0
20000
0
0
MVC CAPITAL INC
COM
553829102
4312
342520
SH
SOLE
0
342520
0
0
NEW MTN FIN CORP
COM
647551100
4811
339800
SH
SOLE
0
339800
0
0
NEWCASTLE INVT CORP
COM
65105M108
63
12000
SH
SOLE
0
12000
0
0
NEW RESIDENTIAL INVT CORP
COM
64828T102
81
12000
SH
SOLE
0
12000
0
0
NUSTAR ENERGY LP
UNIT COM
67058H102
3214
70406
SH
SOLE
0
70406
0
0
OCWEN FINL CORP
COM NEW
675746309
48
100
SH
SOLE
0
100
0
0
PENNANTPARK FLOATING RATE CA
COM
70806A106
843
59604
SH
SOLE
0
59604
0
0
PENNANTPARK INVT CORP
COM
708062104
3399
307624
SH
SOLE
0
307624
0
0
PENNEY J C INC
COM
708160106
80
500
SH
Call
SOLE
0
500
0
0
PETROLEO BRASILEIRO SA PETRO
SPONSORED ADR
71654V408
1274
95000
SH
SOLE
0
95000
0
0
PFIZER INC
COM
717081103
3427
122347
SH
SOLE
0
122347
0
0
PFIZER INC
COM
717081103
73
966
SH
Put
SOLE
0
966
0
0
REGENCY ENERGY PARTNERS L P
COM UNITS L P
75885Y107
4014
148835
SH
SOLE
0
148835
0
0
SANDRIDGE ENERGY INC
COM
80007P307
291
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
2920
126462
SH
SOLE
0
126462
0
0
SOLAR SR CAP LTD
COM
83416M105
2430
131980
SH
SOLE
0
131980
0
0
SONY CORP
ADR NEW
835699307
42
2000
SH
SOLE
0
2000
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
42
1000
SH
Call
SOLE
0
1000
0
0
STARWOOD PPTY TR INC
COM
85571B105
2766
111753
SH
SOLE
0
111753
0
0
STRYKER CORP
COM
863667101
13009
201120
SH
SOLE
0
201120
0
0
STRYKER CORP
COM
863667101
234
600
SH
Put
SOLE
0
600
0
0
TARGA RESOURCES PARTNERS LP
COM UNIT
87611X105
3839
76095
SH
SOLE
0
76095
0
0
TC PIPELINES LP
UT COM LTD PRT
87233Q108
1835
38000
SH
SOLE
0
38000
0
0
THL CR INC
COM
872438106
636
41882
SH
SOLE
0
41882
0
0
TOTAL S A
SPONSORED ADR
89151E109
2922
60000
SH
SOLE
0
60000
0
0
TRANSATLANTIC PETROLEUM LTD
SHS
G89982105
2051
2972018
SH
SOLE
0
2972018
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
4370
91138
SH
SOLE
0
91138
0
0
TRAVELCENTERS OF AMERICA LLC
COM
894174101
2276
208000
SH
SOLE
0
208000
0
0
TRIUS THERAPEUTICS INC
COM
89685K100
894
110424
SH
SOLE
0
110424
0
0
TWO HBRS INVT CORP
COM
90187B101
10492
1023554
SH
SOLE
0
1023554
0
0
VALE S A
ADR
91912E105
1389
105600
SH
SOLE
0
105600
0
0
VALE S A
ADR REPSTG PFD
91912E204
456
37500
SH
SOLE
0
37500
0
0
VEOLIA ENVIRONNEMENT
SPONSORED ADR
92334N103
628
55000
SH
SOLE
0
55000
0
0
VODAFONE GROUP PLC NEW
SPONS ADR NEW
92857W209
1150
40000
SH
SOLE
0
40000
0
0
XYLEM INC
COM
98419M100
539
20000
SH
SOLE
0
20000
0
0
YPF SOCIEDAD ANONIMA
SPON ADR CL D
984245100
849
57500
SH
SOLE
0
57500
0
0
ZAIS FINL CORP
COM
98886K108
3854
212082
SH
SOLE
0
212082
0
0
ZOETIS INC
CL A
98978V103
1192
38559
SH
SOLE
0
38559
0
0
ZIMMER HLDGS INC
COM
98956P102
4466
59600
SH
SOLE
0
59600
0
0