0001568303-16-000014.txt : 20161114
0001568303-16-000014.hdr.sgml : 20161111
20161114115133
ACCESSION NUMBER: 0001568303-16-000014
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20161114
DATE AS OF CHANGE: 20161114
EFFECTIVENESS DATE: 20161114
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: 161992394
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
09-30-2016
09-30-2016
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
11-14-2016
0
109
538467
false
INFORMATION TABLE
2
westfamily13frpt3qtr2016.xml
AMERICAN EXPRESS CO
COM
025816109
1921
30000
SH
SOLE
0
30000
0
0
ABBOTT LABS
COM
002824100
930
22000
SH
SOLE
0
22000
0
0
ABBVIE INC
COM
00287Y109
1388
22000
SH
SOLE
0
22000
0
0
ALLIED WRLD ASSUR COM HLDG A
SHS
H01531104
5188
128340
SH
SOLE
0
128340
0
0
AMERICAN CAP LTD
COM
02503Y103
374
1800
SH
Call
SOLE
0
0
0
0
AMERICAN CAPITAL AGENCY CORP
COM
02503X105
839
42933
SH
SOLE
0
42933
0
0
ANNALY CAP MGMT INC
COM
035710409
14299
1361822
SH
SOLE
0
1361822
0
0
APOLLO COML REAL EST FIN INC
COM
03762U105
6373
389286
SH
SOLE
0
389286
0
0
APOLLO INVT CORP
COM
03761U106
469
80800
SH
SOLE
0
80800
0
0
APPLE INC
COM
037833100
1433
1700
SH
Call
SOLE
0
0
0
0
BARRICK GOLD CORP
COM
067901108
10317
582197
SH
SOLE
0
582197
0
0
BLACKSTONE MTG TR INC
COM CL A
09257W100
3276
111249
SH
SOLE
0
111249
0
0
BOARDWALK PIPELINE PARTNERS
UT LTD PARTNER
096627104
854
49796
SH
SOLE
0
49796
0
0
BROOKDALE SR LIVING INC
COM
112463104
192
669
SH
Call
SOLE
0
0
0
0
BROOKDALE SR LIVING INC
COM
112463104
14151
810940
SH
SOLE
0
810940
0
0
BUCKEYE PARTNERS L P
UNIT LTD PARTN
118230101
1931
26963
SH
SOLE
0
26963
0
0
CALUMET SPECIALTY PRODS PTNR
UT LTD PARTNER
131476103
314
69547
SH
SOLE
0
69547
0
0
CHIMERA INVT CORP
COM NEW
16934Q208
62911
3944275
SH
SOLE
0
3944275
0
0
CISCO SYS INC
COM
17275R102
3806
120000
SH
SOLE
0
120000
0
0
CITIGROUP INC
COM NEW
172967424
3750
79400
SH
SOLE
0
79400
0
0
CITIZENS FINL GROUP INC
COM
174610105
593
24000
SH
SOLE
0
24000
0
0
COLONY STARWOOD HOMES
COM
19625X102
641
22350
SH
SOLE
0
22350
0
0
COMCAST CORP NEW
CL A
20030N101
3980
60000
SH
SOLE
0
60000
0
0
CONOCOPHILLIPS
COM
20825C104
313
7200
SH
SOLE
0
7200
0
0
CORNING INC
COM
219350105
425
1500
SH
Call
SOLE
0
0
0
0
CYS INVTS INC
COM
12673A108
18657
2139532
SH
SOLE
0
2139532
0
0
DELL TECHNOLOGIES INC.
COM CL V
24703L103
213
4458
SH
SOLE
0
4458
0
0
EATON VANCE MUN BD FD
COM
27827X101
347
25500
SH
SOLE
0
25500
0
0
ELLINGTON FINANCIAL LLC
COM
288522303
7374
442344
SH
SOLE
0
442344
0
0
ELLINGTON RESIDENTIAL MTG RE
COM SHS BEN INT
288578107
475
36573
SH
SOLE
0
36573
0
0
ENERGY TRANSFER PRTNRS L P
UNIT LTD PARTN
29273R109
2271
61380
SH
SOLE
0
61380
0
0
ENTERPRISE PRODS PARTNERS L
COM
293792107
18761
679022
SH
SOLE
0
679022
0
0
EXELON CORP
COM
30161N101
2330
70000
SH
SOLE
0
70000
0
0
EXXON MOBIL CORP
COM
30231G102
2028
23240
SH
SOLE
0
23240
0
0
FACTORSHARES TR
ISE CYBER SEC
30304R407
3253
116600
SH
SOLE
0
116600
0
0
FIDUS INVT CORP
COM
316500107
4722
229830
SH
SOLE
0
229830
0
0
FIREEYE INC
COM
31816Q101
1765
119800
SH
SOLE
0
119800
0
0
GENERAL ELECTRIC CO
COM
369604103
2368
79952
SH
SOLE
0
79952
0
0
GENERAL MTRS CO
COM
37045V100
60
300
SH
Call
SOLE
0
0
0
0
GENERAL MTRS CO
COM
37045V100
2515
79149
SH
SOLE
0
79149
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
96
200
SH
Put
SOLE
0
200
0
0
GOLDMAN SACHS GROUP INC
COM
38141G104
11128
69000
SH
SOLE
0
69000
0
0
GOLDMAN SACHS BDC INC
SHS
38147U107
3663
168279
SH
SOLE
0
168279
0
0
HERCULES CAPITAL INC
COM
427096508
271
20000
SH
SOLE
0
20000
0
0
HORIZON TECHNOLOGY FIN CORP
COM
44045A102
1444
106472
SH
SOLE
0
106472
0
0
INVESCO MORTGAGE CAPITAL INC
COM
46131B100
152
10000
SH
SOLE
0
10000
0
0
INVESCO QUALITY MUNI INC TRS
COM
46133G107
423
30674
SH
SOLE
0
30674
0
0
ISTAR INC
COM
45031U101
805
75000
SH
SOLE
0
75000
0
0
JPMORGAN CHASE & CO
*W EXP 10/28/201
46634E114
1729
70200
SH
SOLE
0
70200
0
0
KBR INC
COM
48242W106
409
27000
SH
SOLE
0
27000
0
0
KINROSS GOLD CORP
COM NO PAR
496902404
1951
463352
SH
SOLE
0
463352
0
0
LAYNE CHRISTENSEN CO
NOTE 4.250%11/1
521050AB0
882
1000000
SH
SOLE
0
1000000
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
89523
1930211
SH
SOLE
0
1930211
0
0
LEVEL 3 COMMUNICATIONS INC
COM NEW
52729N308
126
800
SH
Call
SOLE
0
0
0
0
LILLY ELI & CO
COM
532457108
1445
18000
SH
SOLE
0
18000
0
0
MAGELLAN MIDSTREAM PRTNRS LP
COM UNIT RP LP
559080106
1740
24600
SH
SOLE
0
24600
0
0
MB FINANCIAL INC NEW
COM
55264U108
1331
35000
SH
SOLE
0
35000
0
0
MCDONALDS CORP
COM
580135101
398
250
SH
Call
SOLE
0
0
0
0
MEDLEY CAP CORP
COM
58503F106
3253
426351
SH
SOLE
0
426351
0
0
MFA FINL INC
COM
55272X102
9113
1218300
SH
SOLE
0
1218300
0
0
MICROSOFT CORP
COM
594918104
242
300
SH
Call
SOLE
0
0
0
0
MICROSOFT CORP
COM
594918104
2442
42400
SH
SOLE
0
42400
0
0
MONDELEZ INTL INC
CL A
609207105
878
20000
SH
SOLE
0
20000
0
0
MVC CAPITAL INC
COM
553829102
9052
1091953
SH
SOLE
0
1091953
0
0
NEW MTN FIN CORP
COM
647551100
4823
350515
SH
SOLE
0
350515
0
0
NEW RESIDENTIAL INVT CORP
COM NEW
64828T201
271
19646
SH
SOLE
0
19646
0
0
NEWMONT MINING CORP
COM
651639106
7574
192763
SH
SOLE
0
192763
0
0
NEWTEK BUSINESS SVCS CORP
COM NEW
652526203
3232
226647
SH
SOLE
0
226647
0
0
NUSTAR ENERGY LP
UNIT COM
67058H102
3491
70406
SH
SOLE
0
70406
0
0
NUVEEN QUALITY MUNCP INCOME
COM
67066V101
563
37385
SH
SOLE
0
37385
0
0
OCWEN FINL CORP
COM NEW
675746309
2
400
SH
Call
SOLE
0
0
0
0
OCWEN FINL CORP
COM NEW
675746309
280
76400
SH
SOLE
0
76400
0
0
PENNANTPARK FLOATING RATE CA
COM
70806A106
4608
348278
SH
SOLE
0
348278
0
0
PENNANTPARK INVT CORP
COM
708062104
5625
748056
SH
SOLE
0
748056
0
0
PENNEY J C INC
COM
708160106
231
25000
SH
SOLE
0
25000
0
0
PENNYMAC MTG INVT TR
COM
70931T103
553
35500
SH
SOLE
0
35500
0
0
PFIZER INC
COM
717081103
2853
84247
SH
SOLE
0
84247
0
0
PLAINS GP HLDGS L P
SHS A REP LTPN
72651A108
1061
82000
SH
SOLE
0
82000
0
0
QUALCOMM INC
COM
747525103
281
150
SH
Call
SOLE
0
0
0
0
QUALCOMM INC
COM
747525103
1096
16000
SH
SOLE
0
16000
0
0
SEADRILL LIMITED
SHS
G7945E105
220
500000
SH
SOLE
0
500000
0
0
SILVER BAY RLTY TR CORP
COM
82735Q102
645
36791
SH
SOLE
0
36791
0
0
SOLAR CAP LTD
COM
83413U100
9829
479013
SH
SOLE
0
479013
0
0
SOLAR SR CAP LTD
COM
83416M105
7502
462777
SH
SOLE
0
462777
0
0
SOLARCITY CORP
COM
83416T100
1115
500
SH
Put
SOLE
0
500
0
0
SPX CORP
COM
784635104
4510
3515
SH
Put
SOLE
0
3515
0
0
SPX CORP
COM
784635104
19728
600
SH
Call
SOLE
0
0
0
0
STARWOOD PPTY TR INC
COM
85571B105
3622
160853
SH
SOLE
0
160853
0
0
STRYKER CORP
COM
863667101
14111
131220
SH
SOLE
0
121220
0
0
SUN CMNTYS INC
COM
866674104
23046
293657
SH
SOLE
0
293657
0
0
SYNAPTICS INC
COM
87157D109
1469
25073
SH
SOLE
0
25073
0
0
SYNCHRONY FINL
COM
87165B103
3930
140362
SH
SOLE
0
140362
0
0
TARGA RES CORP
COM
87612G101
2317
47178
SH
SOLE
0
47178
0
0
TC PIPELINES LP
UT COM LTD PRT
87233Q108
2167
38000
SH
SOLE
0
38000
0
0
TCP CAP CORP
COM
87238Q103
2738
167136
SH
SOLE
0
167136
0
0
TENET HEALTHCARE CORP
COM NEW
88033G407
1700
75000
SH
SOLE
0
75000
0
0
THL CR INC
COM
872438106
4649
487803
SH
SOLE
0
487803
0
0
TOTAL S A
SPONSORED ADR
89151E109
529
11100
SH
SOLE
0
11100
0
0
TPG SPECIALTY LENDING INC
COM
87265K102
1000
55220
SH
SOLE
0
55220
0
0
TRANSATLANTIC PETROLEUM LTD
SHS NEW
G89982113
1438
1179026
SH
SOLE
0
1179026
0
0
TRANSOCEAN LTD
REG SHS
H8817H100
1291
121138
SH
SOLE
0
121138
0
0
TWO HBRS INVT CORP
COM
90187B101
11154
1307654
SH
SOLE
0
1307654
0
0
VALE S A
ADR REPSTG PFD
91912E204
177
37500
SH
SOLE
0
37500
0
0
VALE S A
ADR
91912E105
292
53100
SH
SOLE
0
53100
0
0
WEST CORP
COM
952355204
22898
1034345
SH
SOLE
0
1034345
0
0
ZAIS FINL CORP
COM
98886K108
5444
377284
SH
SOLE
0
377284
0
0
ZAIS GROUP HLDGS INC
COM
98887G106
125
54355
SH
SOLE
0
54355
0
0
ZIMMER BIOMET HLDGS INC
COM
98956P102
2873
22100
SH
SOLE
0
22100
0
0
ZOETIS INC
CL A
98978V103
1101
21174
SH
SOLE
0
21174
0
0