0001568303-16-000013.txt : 20160812
0001568303-16-000013.hdr.sgml : 20160812
20160812131908
ACCESSION NUMBER: 0001568303-16-000013
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160630
FILED AS OF DATE: 20160812
DATE AS OF CHANGE: 20160812
EFFECTIVENESS DATE: 20160812
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: 161827440
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
06-30-2016
06-30-2016
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
08-11-2016
0
118
548506
false
INFORMATION TABLE
2
westfamily13frpt2qtr2016.xml
INFORMATION TABLE
ABBOTT LABS
COM
002824100
865
22000
SH
SOLE
0
22000
0
0
ABBVIE INC
COM
00287Y109
1362
22000
SH
SOLE
0
22000
0
0
ALLIED WRLD ASSUR COM HLDG A
SHS
H01531104
5286
150440
SH
SOLE
0
150440
0
0
AMERICAN CAP LTD
COM
02503Y103
212
1800
SH
Call
SOLE
0
0
0
0
AMERICAN CAP LTD
COM
02503Y103
602
38500
SH
SOLE
0
38500
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
1737
87633
SH
SOLE
0
87633
0
0
AMERICAN EXPRESS CO
COM
025816109
1823
30000
SH
SOLE
0
30000
0
0
AMERICAN EXPRESS CO
COM
025816109
125
300
SH
Put
SOLE
0
300
0
0
ANNALY CAP MGMT INC
COM
035710409
15075
1361822
SH
SOLE
0
1361822
0
0
APOLLO COML REAL EST FIN INC
COM
03762U105
6256
389286
SH
SOLE
0
389286
0
0
APOLLO INVT CORP
COM
03761U106
448
80800
SH
SOLE
0
80800
0
0
APPLE INC
COM
037833100
433
1700
SH
Call
SOLE
0
0
0
0
ARES CAP CORP
COM
04010L103
368
25928
SH
SOLE
0
25928
0
0
BARRICK GOLD CORP
COM
067901108
12430
582197
SH
SOLE
0
582197
0
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
3078
111249
SH
SOLE
0
111249
0
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
869
49796
SH
SOLE
0
49796
0
0
BRISTOL MYERS SQUIBB CO
COM
110122108
304
250
SH
Call
SOLE
0
0
0
0
BROOKDALE SR LIVING INC
COM
112463104
151
669
SH
Call
SOLE
0
0
0
0
BROOKDALE SR LIVING INC
COM
112463104
12521
810940
SH
SOLE
0
810940
0
0
BUCKEYE PARTNERS L P
UNIT LTD PARTN
118230101
1896
26963
SH
SOLE
0
26963
0
0
CALUMET SPECIALTY PRODS PTNR
UT LTD PARTNER
131476103
341
69547
SH
SOLE
0
69547
0
0
CHIMERA INVT CORP
COM NEW
16934Q208
67414
4293875
SH
SOLE
0
4293875
0
0
CISCO SYS INC
COM
17275R102
3443
120000
SH
SOLE
0
120000
0
0
CITIGROUP INC
COM NEW
172967424
3366
79400
SH
SOLE
0
79400
0
0
CITIZENS FINL GROUP INC
COM
174610105
480
24000
SH
SOLE
0
24000
0
0
COLONY STARWOOD HOMES
COM
19625X102
680
22350
SH
SOLE
0
22350
0
0
COMCAST CORP NEW
CL A
20030N101
3911
60000
SH
SOLE
0
60000
0
0
CONOCOPHILLIPS
COM
20825C104
314
7200
SH
SOLE
0
7200
0
0
CYS INVTS INC
COM
12673A108
17908
2139532
SH
SOLE
0
2139532
0
0
DOW CHEM CO
COM
260543103
1740
35000
SH
SOLE
0
35000
0
0
E M C CORP MASS
COM
268648102
1087
40000
SH
SOLE
0
40000
0
0
EATON VANCE MUN BD FD
COM
27827X101
361
25500
SH
SOLE
0
25500
0
0
ELLINGTON FINANCIAL LLC
COM
288522303
7577
442344
SH
SOLE
0
442344
0
0
ELLINGTON RESIDENTIAL MTG RE
COM SHS BEN INT
288578107
478
36573
SH
SOLE
0
36573
0
0
ENERGY TRANSFER PRTNRS L P
UNIT LTD PARTN
29273R109
2337
61380
SH
SOLE
0
61380
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
19868
679022
SH
SOLE
0
679022
0
0
EPR PPTYS
COM SH BEN INT
26884U109
355
4400
SH
SOLE
0
4400
0
0
EXELON CORP
COM
30161N101
2545
70000
SH
SOLE
0
70000
0
0
EXXON MOBIL CORP
COM
30231G102
2179
23240
SH
SOLE
0
23240
0
0
FACTORSHARES TR
ISE CYBER SEC
30304R407
2786
116600
SH
SOLE
0
116600
0
0
FIDUS INVT CORP
COM
316500107
4569
299230
SH
SOLE
0
299230
0
0
FIREEYE INC
COM
31816Q101
1973
119800
SH
SOLE
0
119800
0
0
FS INVT CORP
COM
302635107
820
90600
SH
SOLE
0
90600
0
0
GENERAL ELECTRIC CO
COM
369604103
2517
79952
SH
SOLE
0
79952
0
0
GENERAL GROWTH PPTYS INC NEW
COM
370023103
618
20719
SH
SOLE
0
20719
0
0
GENERAL MTRS CO
COM
37045V100
2221
78479
SH
SOLE
0
78479
0
0
GENERAL MTRS CO
COM
37045V100
27
300
SH
Call
SOLE
0
0
0
0
GOLDMAN SACHS BDC INC
SHS
38147U107
4896
244902
SH
SOLE
0
244902
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
10311
69400
SH
SOLE
0
69400
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
246
200
SH
Put
SOLE
0
200
0
0
HERCULES CAPITAL INC
COM
427096508
1770
142502
SH
SOLE
0
142502
0
0
HORIZON TECHNOLOGY FIN CORP
COM
44045A102
2518
206354
SH
SOLE
0
206354
0
0
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
833
60834
SH
SOLE
0
60834
0
0
INVESCO MUN TR
COM
46131J103
254
17900
SH
SOLE
0
17900
0
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
424
30674
SH
SOLE
0
30674
0
0
ISTAR INC
COM
45031U101
719
75000
SH
SOLE
0
75000
0
0
JPMORGAN CHASE & CO
*W EXP 10/28/201
46634E114
1422
70200
SH
SOLE
0
70200
0
0
KBR INC
COM
48242W106
357
27000
SH
SOLE
0
27000
0
0
KINROSS GOLD CORP
COM NO PAR
496902404
2266
463352
SH
SOLE
0
463352
0
0
LAYNE CHRISTENSEN CO
NOTE 4.250%11/1
521050AB0
869
1000000
SH
SOLE
0
1000000
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
3
100
SH
Put
SOLE
0
100
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
416
800
SH
Call
SOLE
0
0
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
99387
1930211
SH
SOLE
0
1930211
0
0
LILLY ELI & CO
COM
532457108
1418
18000
SH
SOLE
0
18000
0
0
MAGELLAN MIDSTREAM PRTNRS LP
COM UNIT RP LP
559080106
1870
24600
SH
SOLE
0
24600
0
0
MB FINANCIAL INC NEW
COM
55264U108
1814
50000
SH
SOLE
0
50000
0
0
MCDONALDS CORP
COM
580135101
520
250
SH
Call
SOLE
0
0
0
0
MEDLEY CAP CORP
COM
58503F106
2981
444851
SH
SOLE
0
444851
0
0
MFA FINL INC
COM
55272X102
8857
1218300
SH
SOLE
0
1218300
0
0
MICROSOFT CORP
COM
594918104
120
300
SH
Call
SOLE
0
0
0
0
MICROSOFT CORP
COM
594918104
2170
42400
SH
SOLE
0
42400
0
0
MONDELEZ INTL INC
CL A
609207105
910
20000
SH
SOLE
0
20000
0
0
MVC CAPITAL INC
COM
553829102
8003
995423
SH
SOLE
0
995423
0
0
NEW MTN FIN CORP
COM
647551100
4960
384462
SH
SOLE
0
384462
0
0
NEW RESIDENTIAL INVT CORP
COM NEW
64828T201
272
19646
SH
SOLE
0
19646
0
0
NEWMONT MINING CORP
COM
651639106
7541
192763
SH
SOLE
0
192763
0
0
NEWTEK BUSINESS SVCS CORP
COM NEW
652526203
2883
226647
SH
SOLE
0
226647
0
0
NUSTAR ENERGY LP
UNIT COM
67058H102
3506
70406
SH
SOLE
0
70406
0
0
NUVEEN PREM INCOME MUN FD
COM
67062T100
575
37251
SH
SOLE
0
37251
0
0
OCWEN FINL CORP
COM NEW
675746309
2
400
SH
Call
SOLE
0
0
0
0
OCWEN FINL CORP
COM NEW
675746309
131
76400
SH
SOLE
0
76400
0
0
PENNANTPARK FLOATING RATE CA
COM
70806A106
3834
309184
SH
SOLE
0
309184
0
0
PENNANTPARK INVT CORP
COM
708062104
5109
748056
SH
SOLE
0
748056
0
0
PENNEY J C INC
COM
708160106
222
25000
SH
SOLE
0
25000
0
0
PENNYMAC MTG INVT TR
COM
70931T103
576
35500
SH
SOLE
0
35500
0
0
PFIZER INC
COM
717081103
2966
84247
SH
SOLE
0
84247
0
0
PLAINS GP HLDGS L P
SHS A REP LTPN
72651A108
855
82000
SH
SOLE
0
82000
0
0
QUALCOMM INC
COM
747525103
87
150
SH
Call
SOLE
0
0
0
0
QUALCOMM INC
COM
747525103
1339
25000
SH
SOLE
0
25000
0
0
SEADRILL LIMITED
SHS
G7945E105
265
500000
SH
SOLE
0
500000
0
0
SILVER BAY RLTY TR CORP
COM
82735Q102
627
36791
SH
SOLE
0
36791
0
0
SOLAR CAP LTD
COM
83413U100
9125
479013
SH
SOLE
0
479013
0
0
SOLAR SR CAP LTD
COM
83416M105
7453
462645
SH
SOLE
0
462645
0
0
SOLARCITY CORP
COM
83416T100
1076
500
SH
Put
SOLE
0
500
0
0
SPX CORP
COM
784635104
17
600
SH
Call
SOLE
0
0
0
0
SPX CORP
COM
784635104
16730
3515
SH
Put
SOLE
0
3515
0
0
STARWOOD PPTY TR INC
COM
85571B105
3333
160853
SH
SOLE
0
160853
0
0
STRYKER CORP
COM
863667101
15724
131220
SH
SOLE
0
131220
0
0
SUN CMNTYS INC
COM
866674104
22506
293657
SH
SOLE
0
293657
0
0
SYNAPTICS INC
COM
87157D109
1348
25073
SH
SOLE
0
25073
0
0
SYNCHRONY FINL
COM
87165B103
3548
140362
SH
SOLE
0
140362
0
0
TARGA RES CORP
COM
87612G101
1988
47178
SH
SOLE
0
47178
0
0
TC PIPELINES LP
UT COM LTD PRT
87233Q108
2176
38000
SH
SOLE
0
38000
0
0
TCP CAP CORP
COM
87238Q103
2554
167136
SH
SOLE
0
167136
0
0
TENET HEALTHCARE CORP
COM NEW
8033G407
2073
75000
SH
SOLE
0
75000
0
0
THL CR INC
COM
872438106
4933
443215
SH
SOLE
0
443215
0
0
TOTAL S A
SPONSORED ADR
89151E109
601
12500
SH
SOLE
0
12500
0
0
TPG SPECIALTY LENDING INC
COM
87265K102
917
55220
SH
SOLE
0
55220
0
0
TRANSATLANTIC PETROLEUM LTD
SHS NEW
G89982113
563
686528
SH
SOLE
0
686528
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
1440
121138
SH
SOLE
0
121138
0
0
TWO HBRS INVT CORP
COM
90187B101
11194
1307654
SH
SOLE
0
1307654
0
0
VALE S A
ADR
91912E105
269
53100
SH
SOLE
0
53100
0
0
VALE S A
ADR REPSTG PFD
91912E204
150
37500
SH
SOLE
0
37500
0
0
WEST CORP
COM
952355204
20335
1034345
SH
SOLE
0
1034345
0
0
ZAIS FINL CORP
COM
98886K108
5173
377284
SH
SOLE
0
377284
0
0
ZAIS GROUP HLDGS INC
COM
98887G106
153
54355
SH
SOLE
0
54355
0
0
ZIMMER BIOMET HLDGS INC
COM
98956P102
3262
27100
SH
SOLE
0
27100
0
0
ZOETIS INC
CL A
98978V103
1005
21174
SH
SOLE
0
21174
0
0