0001568303-20-000003.txt : 20200214 0001568303-20-000003.hdr.sgml : 20200214 20200214093331 ACCESSION NUMBER: 0001568303-20-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 EFFECTIVENESS DATE: 20200214 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: 20614653 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 12-31-2019 12-31-2019 West Family Investments, Inc.

1603 ORRINGTON AVE, SUITE 810 EVANSTON IL 60201

13F HOLDINGS REPORT 028-15352 N Randy Rochman 847-328-0711 Randy Rochman Chicago IL 02-13-2020 0 90 413702 false INFORMATION TABLE 2 13f4qtr2019wfi.xml AGNC INVT CORP COM 00123Q104 1555 87633 SH SOLE 0 87633 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 6462 760212 SH SOLE 0 760212 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 2 750 SH Call SOLE 0 0 0 0 ANNALY CAP MGMT INC COM 035710409 10540 1118922 SH SOLE 0 1118922 0 0 BARINGS BDC INC COM 06759L103 4530 440682 SH SOLE 0 440682 0 0 BARRICK GOLD CORPORATION COM 067901108 364 19562 SH SOLE 0 19562 0 0 BLACKROCK TCP CAP CORP COM 09259E108 690 49093 SH SOLE 0 49093 0 0 BOEING CO COM 097023105 407 250 SH Call SOLE 0 0 0 0 BROOKDALE SR LIVING INC COM 112463104 6841 940940 SH SOLE 0 940940 0 0 CENTURYLINK INC COM 156700106 34157 2585668 SH SOLE 0 2585668 0 0 CHIMERA INVT CORP COM NEW 16934Q208 53536 2599081 SH SOLE 0 2599081 0 0 CIDARA THERAPEUTICS INC COM 171757107 1152 300000 SH SOLE 0 300000 0 0 CISCO SYS INC COM 17275R102 5755 120000 SH SOLE 0 120000 0 0 COMCAST CORP NEW CL A 20030N101 5396 120000 SH SOLE 0 120000 0 0 CONOCOPHILLIPS COM 20825C104 468 7200 SH SOLE 0 7200 0 0 CONTURA ENERGY INC COM 21241B100 217 24032 SH SOLE 0 24032 0 0 CVS HEALTH CORP COM 126650100 431 300 SH Call SOLE 0 0 0 0 ELLINGTON FINANCIAL INC COM 28852N109 8981 489953 SH SOLE 0 489953 0 0 ELLINGTON RESIDENTIAL MTG RE COM SHS BEN INT 288578107 397 36573 SH SOLE 0 36573 0 0 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 6632 516909 SH SOLE 0 516909 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 19544 694022 SH SOLE 0 694022 0 0 EQUUS TOTAL RETURN INC COM 294766100 445 243803 SH SOLE 0 243803 0 0 ETF MANAGERS TR PRIME CYBR SCRTY 26924G201 4841 116600 SH SOLE 0 116600 0 0 EXELON CORP COM 30161N101 821 18000 SH SOLE 0 18000 0 0 EXXON MOBIL CORP COM 30231G102 1622 23240 SH SOLE 0 23240 0 0 FIDUS INVT CORP COM 316500107 9587 646024 SH SOLE 0 646024 0 0 FIFTH THIRD BANCORP COM 316773100 1560 50750 SH SOLE 0 50750 0 0 FS KKR CAPITAL CORP COM 302635107 13290 2167969 SH SOLE 0 2167969 0 0 GENERAL ELECTRIC CO COM 369604103 3124 279952 SH SOLE 0 279952 0 0 GENERAL MTRS CO COM 37045V100 1908 52126 SH SOLE 0 52126 0 0 GENERAL MTRS CO COM 37045V100 102 300 SH Call SOLE 0 0 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 9059 39400 SH SOLE 0 39400 0 0 GRANITE PT MTG TR INC COM 38741L107 4939 267518 SH SOLE 0 267518 0 0 GRUBHUB INC COM 400110102 1620 33300 SH SOLE 0 33300 0 0 GRUBHUB INC COM 400110102 1 350 SH Call SOLE 0 0 0 0 HUMANA INC COM 444859102 403 1100 SH SOLE 0 1100 0 0 HUMANA INC COM 444859102 1 100 SH Put SOLE 0 100 0 0 INNOVATIVE INDL PPTYS INC COM 45781V101 1168 15400 SH SOLE 0 15400 0 0 INNOVATIVE INDL PPTYS INC COM 45781V101 1987 450 SH Put SOLE 0 450 0 0 INVESCO QUALITY MUNI INC TRS COM 46133G107 386 30674 SH SOLE 0 30674 0 0 KAYNE ANDERSN MLP MIDS INVT COM 486606106 2999 215300 SH SOLE 0 215300 0 0 KINROSS GOLD CORP COM 496902404 2196 463352 SH SOLE 0 463352 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 1547 24600 SH SOLE 0 24600 0 0 MEDLEY CAP CORP COM 58503F106 524 240237 SH SOLE 0 240237 0 0 MEDLEY MGMT INC CL A COM 58503T106 118 40134 SH SOLE 0 40134 0 0 MFA FINL INC COM 55272X102 5569 727604 SH SOLE 0 727604 0 0 MICROSOFT CORP COM 594918104 6686 42400 SH SOLE 0 42400 0 0 MONDELEZ INTL INC CL A 609207105 1102 20000 SH SOLE 0 20000 0 0 MOVODA GROUP INC COM 624580106 328 15100 SH SOLE 0 15100 0 0 MVC CAPITAL INC COM 553829102 11202 1221628 SH SOLE 0 1221628 0 0 NEW MTN FIN CORP COM 647551100 1552 112968 SH SOLE 0 112968 0 0 NEWMONT GOLDCORP CORPORATION COM 651639106 8376 192763 SH SOLE 0 192763 0 0 NEWTEK BUSINESS SVCS CORP COM NEW 652526203 227 10005 SH SOLE 0 10005 0 0 NUSTAR ENERGY LP UNIT COM 67058H102 4665 180456 SH SOLE 0 180456 0 0 NUVEEN QUALITY MUNCP INCOME COM 67066V101 546 37385 SH SOLE 0 37385 0 0 OAKTREE SPECIALTY LENDING CO COM 67401P108 6123 1121457 SH SOLE 0 1121457 0 0 OAKTREE STRATEGIC INCOME COR COM 67402D104 2312 282329 SH SOLE 0 282329 0 0 PDL BIOPHARMA INC COM 69329Y104 1751 539450 SH SOLE 0 539450 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 1584 1850 SH Call SOLE 0 0 0 0 PENNANTPARK FLOATING RATE CA COM 70806A106 2829 232014 SH SOLE 0 232014 0 0 PENNANTPARK INVT CORP COM 708062104 6829 1042062 SH SOLE 0 1042062 0 0 PENNYMAC MTG INVT TR COM 70931T103 791 35500 SH SOLE 0 35500 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 920 50000 SH SOLE 0 50000 0 0 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A108 1000 52788 SH SOLE 0 52788 0 0 READY CAP CORP COM 75574U101 4720 299659 SH SOLE 0 299659 0 0 SANDRIDGE ENERGY INC COM NEW 80007P869 539 127100 SH SOLE 0 127100 0 0 SCHLUMBERGER LTD CALL 806857108 201 5000 SH SOLE 0 5000 0 0 SIERRA METALS INC COM 82639W106 4242 2556082 SH SOLE 0 2556082 0 0 SOLAR CAP LTD COM 83413U100 9924 479013 SH SOLE 0 479013 0 0 SOLAR SR CAP LTD COM 83416M105 8389 476059 SH SOLE 0 476059 0 0 STARWOOD PPTY TR INC COM 85571B105 6989 280853 SH SOLE 0 280853 0 0 STRYKER CORP COM 863667101 23857 113620 SH SOLE 0 113620 0 0 SUMMIT MIDSTREAM PARTNERS LP COM UNIT LTD 866142102 1111 335692 SH SOLE 0 335692 0 0 SYNCHRONY FINL COM 87165B103 3974 110362 SH SOLE 0 110362 0 0 TARGA RES CORP COM 87612G101 1926 47178 SH SOLE 0 47178 0 0 TC PIPELINES LP UT COM LTD PRT 87233Q108 4653 110000 SH SOLE 0 110000 0 0 TCG BDC INC COM 872280102 4149 310063 SH SOLE 0 310063 0 0 TENET HEALTHCARE CORP COM NEW 88033G407 1711 45000 SH SOLE 0 45000 0 0 TESLA INC COM 88160R101 1306 350 SH Put SOLE 0 350 0 0 THL CREDIT INC COM 872438106 5690 901763 SH SOLE 0 901763 0 0 TPG SPECIALTY LENDING INC COM 87265K102 1186 55220 SH SOLE 0 55220 0 0 TRANSATLANTIC PETROLEUM LTD SHS NEW G89982113 1073 2198040 SH SOLE 0 2198040 0 0 TRANSOCEAN LTD REG SHS H8817H100 833 121138 SH SOLE 0 121138 0 0 TWO HBRS INVT CORP COM NEW 90187B408 21055 1426085 SH SOLE 0 1426085 0 0 UBER TECHNOLOGIES INC COM 90353T100 555 1000 SH Call SOLE 0 0 0 0 VALE S A SPONSORED ADS 91912E105 1163 88132 SH SOLE 0 88132 0 0 VANECK VECTORS ETF TRUST CEF MUN INCOME E 92189F460 579 20995 SH SOLE 0 20995 0 0 YETI HLDGS INC COM 98585X104 1070 30775 SH SOLE 0 30775 0 0 ZIMMER BIOMET HLDGS INC COM 98956P102 3308 22100 SH SOLE 0 22100 0 0 ZOETIS INC CL A 98978V103 2802 21174 SH SOLE 0 21174 0 0