0001568303-13-000003.txt : 20130515
0001568303-13-000003.hdr.sgml : 20130515
20130514180141
ACCESSION NUMBER: 0001568303-13-000003
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130331
FILED AS OF DATE: 20130515
DATE AS OF CHANGE: 20130514
EFFECTIVENESS DATE: 20130515
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: 13843074
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
westfamily13frpt1qtr2013.txt
1ST QUARTER 2013 13F-HR REPORT
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
Form 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 2013
Check here if Amendment [ ]; Amendment Number: ______ This Amendment
Check only one.): [ ] is a restatement. [ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: West Family Investments, Inc.
Address: 1603 Orrington Avenue
Suite 810
Evanston, IL 60201
Form 13F File Number: 028-15352
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: Jeff Klunzinger
Title: CFO
Phone: 847-328-0747
Signature, Place and Date of Signing:
/s/ Jeff Klunzinger Chicago, IL May 14, 2013
Report Type:
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager
are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all
holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this
reporting manager are reported in this report and a portion are reported by
other reporting manager(s).)
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: None
Form 13F Information Table Entry Total: 111
Form 13F Information Table Value Total: 397,778(thousands)
Form 13F Information Table
Name of Issuer Class CUSIP Value Shrs SH/PUT/InvestmOther Sole SharedNone
ABBOTT LABS COM 002824100 777 22,000 SH SOLE No 22,000 0 0
ABBVIE INC COM 00287Y109 897 22,000 SH SOLE No 22,000 0 0
ALLIED WRLD ASSUR COM HLDG A SHS H01531104 5,422 58,480 SH SOLE No 58,480 0 0
AMERICAN CAPITAL AGENCY CORP COM 02503X105 987 30,100 SH SOLE No 30,100 0 0
AMERICAN EXPRESS CO COM 025816109 1,201 17,800 SH SOLE No 17,800 0 0
AMERICAN INTL GROUP INC COM NEW 026874784 1,422 36,650 SH SOLE No 36,650 0 0
AMGEN INC COM 031162100 1,640 16,000 SH SOLE No 16,000 0 0
ANNALY CAP MGMT INC COM 035710409 21,249 1,337,222 SH SOLE No 1,337,222 0 0
APOLLO COML REAL EST FIN INC COM 03762U105 8,056 458,012 SH SOLE No 458,012 0 0
APPLE INC COM 037833100 221 500 SH SOLE No 500 0 0
APPLE INC COM 037833100 270 245 SH CALLSOLE No 245 0 0
ARBOR RLTY TR INC COM 038923108 1 100 SH SOLE No 100 0 0
BARRICK GOLD CORP COM 067901108 566 19,250 SH SOLE No 19,250 0 0
BARRICK GOLD CORP COM 067901108 227 2,000 SH CALLSOLE No 2,000 0 0
BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 1,460 49,796 SH SOLE No 49,796 0 0
BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 1,811 21,686 SH SOLE No 21,686 0 0
BROOKDALE SR LIVING INC COM 112463104 22,141 794,140 SH SOLE No 794,140 0 0
BROOKDALE SR LIVING INC COM 112463104 220 3,000 SH PUT SOLE No 3,000 0 0
BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 1,649 26,963 SH SOLE No 26,963 0 0
CABELAS INC COM 126804301 629 1,209 SH PUT SOLE No 1,209 0 0
CALUMET SPECIALTY PRODS PTNR UT LTD PARTNER 131476103 2,590 69,547 SH SOLE No 69,547 0 0
CHIMERA INVT CORP COM 16934Q109 48,148 15,093,452 SH SOLE No 15,093,452 0 0
CISCO SYS INC COM 17275R102 2,507 120,000 SH SOLE No 120,000 0 0
COMCAST CORP NEW CL A SPL 20030N200 2,377 60,000 SH SOLE No 60,000 0 0
CONOCOPHILLIPS COM 20825C104 433 7,200 SH SOLE No 7,200 0 0
CORNING INC COM 219350105 276 5,200 SH CALLSOLE No 5,200 0 0
CREXUS INVT CORP COM 226553105 9,096 698,611 SH SOLE No 698,611 0 0
CYS INVTS INC COM 12673A108 9,976 849,726 SH SOLE No 849,726 0 0
E M C CORP MASS COM 268648102 956 40,000 SH SOLE No 40,000 0 0
ELLINGTON FINANCIAL LLC COM 288522303 3,324 134,300 SH SOLE No 134,300 0 0
ENTERPRISE PRODS PARTNERS L COM 293792107 20,470 339,511 SH SOLE No 339,511 0 0
EXELIS INC COM 30162A108 218 20,000 SH SOLE No 20,000 0 0
EXELON CORP COM 30161N101 2,414 70,000 SH SOLE No 70,000 0 0
EXXON MOBIL CORP COM 30231G102 2,094 23,240 SH SOLE No 23,240 0 0
FIDUS INVT CORP COM 316500107 399 20,826 SH SOLE No 20,826 0 0
FORD MTR CO DEL COM PAR $0.01 345370860 276 21,000 SH SOLE No 21,000 0 0
GENERAL ELECTRIC CO COM 369604103 10,452 452,069 SH SOLE No 452,069 0 0
GENERAL ELECTRIC CO COM 369604103 141 1,100 SH PUT SOLE No 1,100 0 0
GENERAL GROWTH PPTYS INC NEW COM 370023103 1,008 50,719 SH SOLE No 50,719 0 0
GENERAL MTRS CO *W EXP 07/10/201 37045V118 596 32,096 SH CALLSOLE No 32,096 0 0
GENERAL MTRS CO *W EXP 07/10/201 37045V126 378 32,096 SH CALLSOLE No 32,096 0 0
GENERAL MTRS CO COM 37045V100 982 35,306 SH SOLE No 35,306 0 0
GENERAL MTRS CO COM 37045V100 455 1,000 SH CALLSOLE No 1,000 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 13,155 89,400 SH SOLE No 89,400 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 210 300 SH PUT SOLE No 300 0 0
GOLUB CAP BDC INC COM 38173M102 4,854 293,992 SH SOLE No 293,992 0 0
HEWLETT PACKARD CO COM 428236103 977 41,000 SH SOLE No 41,000 0 0
HOME LN SERVICING SOLUTIONS ORD SHS G6648D109 1,540 66,000 SH SOLE No 66,000 0 0
HORIZON TECHNOLOGY FIN CORP COM 44045A102 1,769 121,109 SH SOLE No 121,109 0 0
INFINERA CORPORATION COM 45667G103 1,007 143,860 SH SOLE No 143,860 0 0
INTREPID POTASH INC COM 46121Y102 171 9,100 SH SOLE No 9,100 0 0
INVESCO MORTGAGE CAPITAL INC COM 46131B100 1,301 60,834 SH SOLE No 60,834 0 0
ISTAR FINL INC COM 45031U101 817 75,000 SH SOLE No 75,000 0 0
ITT CORP NEW COM NEW 450911201 284 10,000 SH SOLE No 10,000 0 0
JPMORGAN CHASE & CO *W EXP 10/28/201 46634E114 1,550 108,800 SH CALLSOLE No 108,800 0 0
KBR INC COM 48242W106 866 27,000 SH SOLE No 27,000 0 0
KINDER MORGAN INC DEL COM 49456B101 294 7,600 SH SOLE No 7,600 0 0
KKR FINL HLDGS LLC COM 48248A306 1,135 102,541 SH SOLE No 102,541 0 0
KRAFT FOODS GROUP INC COM 50076Q106 343 6,666 SH SOLE No 6,666 0 0
LEVEL 3 COMMUNICATIONS INC COM NEW 52729N308 54,935 2,707,506 SH SOLE No 2,707,506 0 0
LEVEL 3 COMMUNICATIONS INC COM NEW 52729N308 767 1,750 SH PUT SOLE No 1,750 0 0
LEVEL 3 COMMUNICATIONS INC NOTE 6.500%10/0 52729NBR0 6,622 5,000,000 PRN SOLE NO 5,000,000 0 0
LILLY ELI & CO COM 532457108 1,022 18,000 SH SOLE No 18,000 0 0
MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 1,314 24,600 SH SOLE No 24,600 0 0
MB FINANCIAL INC NEW COM 55264U108 1,209 50,000 SH SOLE No 50,000 0 0
MEDLEY CAP CORP COM 58503F106 2,530 159,611 SH SOLE No 159,611 0 0
MFA FINANCIAL INC COM 55272X102 6,668 715,500 SH SOLE No 715,500 0 0
MFRI INC COM 552721102 621 85,698 SH SOLE No 85,698 0 0
MGIC INVT CORP WIS COM 552848103 602 121,700 SH SOLE No 121,700 0 0
MICROSOFT CORP COM 594918104 9,441 330,000 SH SOLE No 330,000 0 0
MICROSOFT CORP COM 594918104 409 1,320 SH PUT SOLE No 1,320 0 0
MONDELEZ INTL INC CL A 609207105 612 20,000 SH SOLE No 20,000 0 0
MVC CAPITAL INC COM 553829102 3,367 262,485 SH SOLE No 262,485 0 0
NATIONAL BK GREECE S A SPN ADR REP 1 SH 633643606 7 8,000 SH SOLE No 8,000 0 0
NEW MTN FIN CORP COM 647551100 2,979 203,764 SH SOLE No 203,764 0 0
NEWCASTLE INVT CORP COM 65105M108 134 12,000 SH SOLE No 12,000 0 0
NUSTAR ENERGY LP UNIT COM 67058H102 3,755 70,406 SH SOLE No 70,406 0 0
OAKTREE CAP GROUP LLC UNIT 99/99/9999 674001201 556 10,900 SH SOLE No 10,900 0 0
PENNANTPARK FLOATING RATE CA COM 70806A106 671 48,050 SH SOLE No 48,050 0 0
PENNANTPARK INVT CORP COM 708062104 3,451 305,524 SH SOLE No 305,524 0 0
PENNEY J C INC COM 708160106 81 500 SH CALLSOLE No 500 0 0
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 1,574 95,000 SH SOLE No 95,000 0 0
PFIZER INC COM 717081103 4,656 161,305 SH SOLE No 161,305 0 0
PFIZER INC COM 717081103 72 966 SH PUT SOLE No 966 0 0
REGENCY ENERGY PARTNERS L P COM UNITS L P 75885Y107 3,733 148,835 SH SOLE No 148,835 0 0
SANDRIDGE ENERGY INC COM 80007P307 322 61,162 SH SOLE No 61,162 0 0
SOLAR CAP LTD COM 83413U100 2,971 126,462 SH SOLE No 126,062 0 0
SOLAR SR CAP LTD COM 83416M105 2,534 131,980 SH SOLE No 131,980 0 0
SONY CORP ADR NEW 835699307 35 2,000 SH SOLE No 2,000 0 0
SPDR GOLD TRUST GOLD SHS 78463V107 523 1,000 SH CALLSOLE No 1,000 0 0
STARWOOD PPTY TR INC COM 85571B105 3,102 111,753 SH SOLE No 111,753 0 0
STRYKER CORP COM 863667101 13,121 201,120 SH SOLE No 201,120 0 0
TARGA RESOURCES PARTNERS LP COM UNIT 87611X105 3,502 76,095 SH SOLE No 76,095 0 0
TC PIPELINES LP UT COM LTD PRT 87233Q108 1,843 38,000 SH SOLE No 38,000 0 0
THL CR INC COM 872438106 1,449 96,729 SH SOLE No 96,729 0 0
TOTAL S A SPONSORED ADR 89151E109 2,879 60,000 SH SOLE No 60,000 0 0
TRANSATLANTIC PETROLEUM LTD SHS G89982105 2,840 2,853,837 SH SOLE No 2,853,837 0 0
TRANSOCEAN LTD REG SHS H8817H100 5,774 111,138 SH SOLE No 111,138 0 0
TRANSOCEAN LTD REG SHS H8817H100 145 200 SH CALLSOLE No 200 0 0
TRAVELCENTERS OF AMERICA LLC COM 894174101 2,187 228,000 SH SOLE No 228,000 0 0
TRIUS THERAPEUTICS INC COM 89685K100 684 100,000 SH SOLE No 100,000 0 0
TWO HBRS INVT CORP COM 90187B101 9,502 753,554 SH SOLE No 753,554 0 0
VALE S A ADR 91912E105 1,826 105,600 SH SOLE No 105,600 0 0
VALE S A ADR REPSTG PFD 91912E204 620 37,500 SH SOLE No 37,500 0 0
VEOLIA ENVIRONNEMENT SPONSORED ADR 92334N103 699 55,000 SH SOLE No 55,000 0 0
VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 1,136 40,000 SH SOLE No 40,000 0 0
WESTERN ASSET MTG CAP CORP COM 95790D105 951 40,900 SH SOLE No 40,900 0 0
XYLEM INC COM 98419M100 551 20,000 SH SOLE No 20,000 0 0
YPF SOCIEDAD ANONIMA SPON ADR CL D 984245100 822 57,500 SH SOLE No 57,500 0 0
ZAIS FINL CORP COM 98886K108 804 38,994 SH SOLE No 38,994 0 0
ZIMMER HLDGS INC COM 98956P102 4,483 59,600 SH SOLE No 59,600 0 0