0001568303-16-000012.txt : 20160512
0001568303-16-000012.hdr.sgml : 20160512
20160512093623
ACCESSION NUMBER: 0001568303-16-000012
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160331
FILED AS OF DATE: 20160512
DATE AS OF CHANGE: 20160512
EFFECTIVENESS DATE: 20160512
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: 161641868
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
true
false
0001568303
XXXXXXXX
03-31-2016
03-31-2016
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
05-11-2016
0
121
609800
false
INFORMATION TABLE
2
westfamily13frpt1qtr2016.xml
ABBOTT LABS
COM
002824100
920
22000
SH
SOLE
0
22000
0
0
ABBVIE INC
COM
00287Y109
1257
22000
SH
SOLE
0
22000
0
0
ALLIED WRLD ASSUR COM HLDG A
SHS
H01531104
5256
150440
SH
SOLE
0
150440
0
0
AMERICAN CAP LTD
COM
02503Y103
328
1800
SH
Call
SOLE
0
0
0
0
AMERICAN CAP LTD
COM
02503Y103
579
38000
SH
SOLE
0
38000
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
1633
87633
SH
SOLE
0
87633
0
0
AMERICAN EXPRESS CO
COM
025816109
1842
30000
SH
SOLE
0
30000
0
0
AMERICAN EXPRESS CO
COM
025816109
142
300
SH
Put
SOLE
0
300
0
0
ANNALY CAP MGMT INC
COM
035710409
13972
1361822
SH
SOLE
0
1361822
0
0
APOLLO COML REAL EST FIN INC
COM
03762U105
6345
389286
SH
SOLE
0
389286
0
0
APOLLO INVT CORP
COM
03761U106
448
80800
SH
SOLE
0
80800
0
0
APPLE INC
COM
037833100
1440
1500
SH
Call
SOLE
0
0
0
0
ARES CAP CORP
COM
04010L103
205
13800
SH
SOLE
0
13800
0
0
BARRICK GOLD CORP
COM
067901108
7906
582197
SH
SOLE
0
582197
0
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
2988
111249
SH
SOLE
0
111249
0
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
734
49796
SH
SOLE
0
49796
0
0
BROOKDALE SR LIVING INC
COM
112463104
195
600
SH
Call
SOLE
0
0
0
0
BROOKDALE SR LIVING INC
COM
112463104
12878
810940
SH
SOLE
0
810940
0
0
BUCKEYE PARTNERS L P
UNIT LTD PARTN
118230101
1832
26963
SH
SOLE
0
26963
0
0
CALUMET SPECIALTY PRODS PTNR
UT LTD PARTNER
131476103
817
69547
SH
SOLE
0
69547
0
0
CHIMERA INVT CORP
COM NEW
16934Q208
58354
4293875
SH
SOLE
0
4293875
0
0
CISCO SYS INC
COM
17275R102
3416
120000
SH
SOLE
0
120000
0
0
CITIGROUP INC
COM NEW
172967424
3315
79400
SH
SOLE
0
79400
0
0
CITIZENS FINL GROUP INC
COM
174610105
503
24000
SH
SOLE
0
24000
0
0
COLONY STARWOOD HOMES
COM
19625X102
553
22350
SH
SOLE
0
22350
0
0
COMCAST CORP NEW
CL A
20030N101
3665
60000
SH
SOLE
0
60000
0
0
CONOCOPHILLIPS
COM
20825C104
290
7200
SH
SOLE
0
7200
0
0
CORNING INC
COM
219350105
246
1500
SH
Call
SOLE
0
0
0
0
CYS INVTS INC
COM
12673A108
17416
2139532
SH
SOLE
0
2139532
0
0
DOW CHEM CO
COM
260543103
2289
45000
SH
SOLE
0
45000
0
0
E M C CORP MASS
COM
268648102
1066
40000
SH
SOLE
0
40000
0
0
EATON VANCE MUN BD FD
COM
27827X101
339
25500
SH
SOLE
0
25500
0
0
ELLINGTON FINANCIAL LLC
COM
288522303
7706
442344
SH
SOLE
0
442344
0
0
ELLINGTON RESIDENTIAL MTG RE
COM SHS BEN INT
288578107
438
36573
SH
SOLE
0
36573
0
0
ENERGY TRANSFER PRTNRS L P
UNIT LTD PARTN
29273R109
1985
61380
SH
SOLE
0
61380
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
16718
679022
SH
SOLE
0
679022
0
0
EPR PPTYS
COM SH BEN INT
26884U109
293
4400
SH
SOLE
0
4400
0
0
EXELON CORP
COM
30161N101
2510
70000
SH
SOLE
0
70000
0
0
EXXON MOBIL CORP
COM
30231G102
1943
23240
SH
SOLE
0
23240
0
0
FACTORSHARES TR
ISE CYBER SEC
30304R407
2795
116600
SH
SOLE
0
116600
0
0
FIDUS INVT CORP
COM
316500107
3833
247129
SH
SOLE
0
247129
0
0
FIFTH STREET FINANCE CORP
COM
31678A103
200
40000
SH
SOLE
0
40000
0
0
FIREEYE INC
COM
31816Q101
2155
119800
SH
SOLE
0
119800
0
0
FIRST SOLAR INC
COM
336433107
543
400
SH
Call
SOLE
0
0
0
0
FS INVT CORP
COM
302635107
831
90600
SH
SOLE
0
90600
0
0
GENERAL ELECTRIC CO
COM
369604103
2542
79952
SH
SOLE
0
79952
0
0
GENERAL GROWTH PPTYS INC NEW
COM
370023103
615
20719
SH
SOLE
0
20719
0
0
GENERAL MTRS CO
COM
37045V100
2467
78479
SH
SOLE
0
78479
0
0
GOLDMAN SACHS BDC INC
SHS
38147U107
4800
244902
SH
SOLE
0
244902
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
10894
69400
SH
SOLE
0
69400
0
0
HERCULES CAPITAL INC
COM
427096508
1711
142502
SH
SOLE
0
142502
0
0
HI-CRUSH PARTNERS LP
COM UNIT LTD
428337109
50
10000
SH
SOLE
0
10000
0
0
HORIZON TECHNOLOGY FIN CORP
COM
44045A102
2396
206354
SH
SOLE
0
206354
0
0
INVESCO ADVANTAGE MUNICIPAL
SH BEN INT
46132E103
351
28300
SH
SOLE
0
28300
0
0
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
741
60834
SH
SOLE
0
60834
0
0
INVESCO MUN OPPORTUNITY TR
COM
46132C107
388
27800
SH
SOLE
0
27800
0
0
INVESCO MUN TR
COM
46131J103
358
26900
SH
SOLE
0
26900
0
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
406
30674
SH
SOLE
0
30674
0
0
INVESCO TR INVT GRADE MUNS
COM
46131M106
341
24400
SH
SOLE
0
24400
0
0
ISTAR INC
COM
45031U101
725
75000
SH
SOLE
0
75000
0
0
JPMORGAN CHASE & CO
*W EXP 10/28/201
46634E114
1243
70200
SH
SOLE
0
70200
0
0
KBR INC
COM
48242W106
418
27000
SH
SOLE
0
27000
0
0
KINROSS GOLD CORP
COM NO PAR
496902404
1575
463352
SH
SOLE
0
463352
0
0
LAYNE CHRISTENSEN CO
NOTE 4.250%11/1
521050AB0
724
1000000
SH
SOLE
0
1000000
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
9
100
SH
Put
SOLE
0
100
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
380
500
SH
Call
SOLE
0
0
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
165504
1930211
SH
SOLE
0
1930211
0
0
LILLY ELI & CO
COM
532457108
1296
18000
SH
SOLE
0
18000
0
0
MAGELLAN MIDSTREAM PRTNRS LP
COM UNIT RP LP
559080106
1692
24600
SH
SOLE
0
24600
0
0
MB FINANCIAL INC NEW
COM
55264U108
1623
50000
SH
SOLE
0
50000
0
0
MCDONALDS CORP
COM
580135101
687
250
SH
Call
SOLE
0
0
0
0
MEDLEY CAP CORP
COM
58503F106
2936
444851
SH
SOLE
0
444851
0
0
MFA FINL INC
COM
55272X102
8345
1218300
SH
SOLE
0
1218300
0
0
MICROSOFT CORP
COM
594918104
2342
42400
SH
SOLE
0
42400
0
0
MONDELEZ INTL INC
CL A
609207105
802
20000
SH
SOLE
0
20000
0
0
MVC CAPITAL INC
COM
553829102
7387
990223
SH
SOLE
0
990223
0
0
NEW MTN FIN CORP
COM
647551100
4859
384462
SH
SOLE
0
384462
0
0
NEW RESIDENTIAL INVT CORP
COM NEW
64828T201
228
19646
SH
SOLE
0
19646
0
0
NEWMONT MINING CORP
COM
651639106
5124
192763
SH
SOLE
0
192763
0
0
NEWTEK BUSINESS SVCS CORP
COM NEW
652526203
2769
221547
SH
SOLE
0
221547
0
0
NUSTAR ENERGY LP
UNIT COM
67058H102
2844
70406
SH
SOLE
0
70406
0
0
NUVEEN PREM INCOME MUN FD
COM
67062T100
543
37251
SH
SOLE
0
37251
0
0
OCWEN FINL CORP
COM NEW
675746309
3
400
SH
Call
SOLE
0
0
0
0
OCWEN FINL CORP
COM NEW
675746309
189
76400
SH
SOLE
0
76400
0
0
PENNANTPARK FLOATING RATE CA
COM
70806A106
3617
309184
SH
SOLE
0
309184
0
0
PENNANTPARK INVT CORP
COM
708062104
5243
748056
SH
SOLE
0
748056
0
0
PENNEY J C INC
COM
708160106
277
25000
SH
SOLE
0
25000
0
0
PENNYMAC MTG INVT TR
COM
70931T103
484
35500
SH
SOLE
0
35500
0
0
PFIZER INC
COM
717081103
2527
84247
SH
SOLE
0
84247
0
0
PLAINS GP HLDGS L P
SHS A REP LTPN
72651A108
713
82000
SH
SOLE
0
82000
0
0
PUTNAM MANAGED MUN INCOM TR
COM
746823103
251
32800
SH
SOLE
0
32800
0
0
QUALCOMM INC
COM
747525103
72
150
SH
Call
SOLE
0
0
0
0
QUALCOMM INC
COM
747525103
1279
25000
SH
SOLE
0
25000
0
0
SILVER BAY RLTY TR CORP
COM
82735Q102
546
36791
SH
SOLE
0
36791
0
0
SOLAR CAP LTD
COM
83413U100
8277
479013
SH
SOLE
0
479013
0
0
SOLAR SR CAP LTD
COM
83416M105
6745
462645
SH
SOLE
0
462645
0
0
SOLARCITY CORP
COM
83416T100
1030
500
SH
Put
SOLE
0
500
0
0
STARWOOD PPTY TR INC
COM
85571B105
3045
160853
SH
SOLE
0
160853
0
0
STRYKER CORP
COM
863667101
14078
131220
SH
SOLE
0
131220
0
0
SPX CORP
COM
784635104
15812
600
SH
Call
SOLE
0
0
0
0
SPX CORP
COM
784635104
23953
3250
SH
Put
SOLE
0
3250
0
0
SUN CMNTYS INC
COM
866674104
19345
270148
SH
SOLE
0
270148
0
0
SYNAPTICS INC
COM
87157D109
1999
25073
SH
SOLE
0
25073
0
0
SYNCHRONY FINL
COM
87165B103
4023
140362
SH
SOLE
0
140362
0
0
TARGA RES CORP
COM
87612G101
1409
47178
SH
SOLE
0
47178
0
0
TC PIPELINES LP
UT COM LTD PRT
87233Q108
1832
38000
SH
SOLE
0
38000
0
0
TCP CAP CORP
COM
87238Q103
2492
167136
SH
SOLE
0
167136
0
0
THL CR INC
COM
872438106
4800
443215
SH
SOLE
0
443215
0
0
TOOTSIE ROLL INDS INC
COM
890516107
1394
39898
SH
SOLE
0
39898
0
0
TOTAL S A
SPONSORED ADR
89151E109
568
12500
SH
SOLE
0
12500
0
0
TPG SPECIALTY LENDING INC
COM
87265K102
891
55220
SH
SOLE
0
55220
0
0
TRANSATLANTIC PETROLEUM LTD
SHS NEW
G89982113
515
686528
SH
SOLE
0
686528
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
1107
121138
SH
SOLE
0
121138
0
0
TWO HBRS INVT CORP
COM
90187B101
10383
1307654
SH
SOLE
0
1307654
0
0
VALE S A
ADR REPSTG PFD
91912E204
117
37500
SH
SOLE
0
37500
0
0
VALE S A
ADR
91912E105
224
53100
SH
SOLE
0
53100
0
0
WEST CORP
COM
952355204
23604
1034345
SH
SOLE
0
1034345
0
0
ZAIS FINL CORP
COM
98886K108
5629
377284
SH
SOLE
0
377284
0
0
ZAIS GROUP HLDGS INC
COM
98887G106
264
54355
SH
SOLE
0
54355
0
0
ZIMMER BIOMET HLDGS INC
COM
98956P102
2890
27100
SH
SOLE
0
27100
0
0
ZOETIS INC
CL A
98978V103
939
21174
SH
SOLE
0
21174
0
0