Civic Intelligence

Gary and Mary West Foundation

990PF • Fiscal year 2014 • EIN 47-0793015

Jan 01, 2014 to Dec 31, 2014 • Filed on Nov 09, 2015

Organization Profile

View Organization Page

505 Lomas Santa Fe Drive No 230Solana Beach, CA 92075

(760) 602-0195

Siviq Scores

Precomputed percentiles for this filing year versus similar nonprofits in the same peer cohort.

Liabilities / Assets

19th percentile

0.02x

Higher debt load relative to assets than 19% of similar nonprofits.

2014 filings • $100M-$250M nonprofits • Source year 2014

Liabilities / Revenue

41st percentile

0.36x

Higher debt load relative to revenue than 41% of similar nonprofits.

2014 filings • $100M-$250M nonprofits • Source year 2014

Net Margin

2nd percentile

-123%

Higher net margin than 2% of similar nonprofits.

2014 filings • $100M-$250M nonprofits • Source year 2014

Top Officer Pay

14th percentile

$147,152

Higher top officer pay than 14% of similar nonprofits.

Top officer pay equals 2.1% of source-year revenue.

2014 filings • $100M-$250M nonprofits • Source year 2014

Asset Growth

4th percentile

-13%

Faster asset growth than 4% of similar nonprofits.

2014 filings • $100M-$250M nonprofits • Annualized from 2013 to 2014

Revenue Growth

14th percentile

-12%

Faster revenue growth than 14% of similar nonprofits.

2014 filings • $100M-$250M nonprofits • Annualized from 2013 to 2014

Balance Sheet
Liabilities / Assets19th percentile

Assets

Down

$137,701,276

Down $20,376,635 (-13%) from 2013

Net Assets

Down

$135,123,260

Down $5,207,663 (-3.7%) from 2013

Liabilities

Down

$2,578,016

Down $15,168,972 (-85%) from 2013

Revenue And Expenses
Liabilities / Revenue41st percentileNet Margin2nd percentile

Revenue

Down

$7,150,973

Down $944,919 (-12%) from 2013

Expenses

Up

$15,974,115

Up $8,511,878 (+114%) from 2013

Net Income

Down

-$8,823,142

Down $9,456,797 (-1492%) from 2013

Historical Trend

Balance Sheet Trend

Asset Growth4th percentile

The highlighted filing sits inside the broader history for assets, liabilities, and net assets.

$200M$150M$100M$50M$0Assets 2011: $167,529,824Liabilities 2011: $45,136,4322011Assets 2012: $166,140,959Liabilities 2012: $29,996,972Net Assets 2012: $136,143,9872012Assets 2013: $158,077,911Liabilities 2013: $17,746,988Net Assets 2013: $140,330,9232013Assets 2014: $137,701,276Liabilities 2014: $2,578,016Net Assets 2014: $135,123,2602014Assets 2015: $125,282,166Liabilities 2015: $4,379,352Net Assets 2015: $120,902,8142015Assets 2016: $135,456,322Liabilities 2016: $3,453,972Net Assets 2016: $132,002,3502016Assets 2017: $157,378,090Liabilities 2017: $6,650,257Net Assets 2017: $150,727,8332017Assets 2018: $140,115,924Liabilities 2018: $2,006,455Net Assets 2018: $138,109,4692018Assets 2019: $145,102,325Liabilities 2019: $2,107,148Net Assets 2019: $142,995,1772019Assets 2020: $127,685,246Liabilities 2020: $1,518,931Net Assets 2020: $126,166,3152020Assets 2021: $155,029,230Liabilities 2021: $565,638Net Assets 2021: $154,463,5922021Assets 2022: $0Liabilities 2022: $0Net Assets 2022: $02022

Highlighted filing

2014

Assets$137,701,276
Liabilities$2,578,016
Net Assets$135,123,260
Open 2014 Filing

Operations Trend

Revenue Growth14th percentile

Revenue, expenses, and net income across loaded years, with this filing highlighted.

$40M$20M$0-$20MRevenue 2011: $13,008,879Expenses 2011: $14,694,946Net Income 2011: -$1,686,0672011Expenses 2012: $8,710,6482012Revenue 2013: $8,095,892Expenses 2013: $7,462,237Net Income 2013: $633,6552013Revenue 2014: $7,150,973Expenses 2014: $15,974,115Net Income 2014: -$8,823,1422014Revenue 2015: $8,867,820Expenses 2015: $13,074,724Net Income 2015: -$4,206,9042015Revenue 2016: $16,328,729Expenses 2016: $14,903,895Net Income 2016: $1,424,8342016Revenue 2017: $35,294,252Expenses 2017: $15,732,743Net Income 2017: $19,561,5092017Revenue 2018: $8,053,321Expenses 2018: $15,858,840Net Income 2018: -$7,805,5192018Revenue 2019: $15,029,377Expenses 2019: $14,835,248Net Income 2019: $194,1292019Revenue 2020: -$5,762,075Expenses 2020: $13,164,267Net Income 2020: -$18,926,3422020Revenue 2021: $33,544,767Expenses 2021: $11,383,526Net Income 2021: $22,161,2412021Revenue 2022: $3,327,973Expenses 2022: $9,049,576Net Income 2022: -$5,721,6032022

Highlighted filing

2014

Revenue$7,150,973
Expenses$15,974,115
Net Income-$8,823,142
Open 2014 Filing
Jump To
Filing Snapshot
Filing Period
Jan 1, 2014 to Dec 31, 2014
Signed
Nov 9, 2015
Return Version
2014v5.0
Compensation and Service Providers
Top Officer Pay14th percentile

Employees

NameTitleFull / Part TimeBaseOtherTotal
VIRGINIA MERRIFIELD RES 93014Exec. Director, Secretary & TreasurerFT$136,252$10,900$147,152
SHELLEY LYFORDPresident & TreasurerPT$110,000$8,000$118,000
GARY L WESTCo-Chairman-$0--
MARY E WESTCo-Chairman-$0--
ROLAND J SANTONIManaging Director-$0--
DENNIS M O'BRIENDirector & Secretary-$0--
MARC HARPERDirector-$0--
Filing and Contact Details

Filer

Filer Name
Gary and Mary West Foundation
EIN
47-0793015
Phone
7606020195
Address
505 LOMAS SANTA FE DRIVE NO 230, SOLANA BEACH, CA 92075

Signing Officer

Name
Shelley Lyford
Title
President and CEO
Phone
7606020195
Signed
2015-11-09
Discuss with paid preparer
Yes

Preparer

Firm
Lindsay & Brownell Llp
Address
4225 EXECUTIVE SQUARE SUITE 1150, LA JOLLA, CA 92037
Preparer
Stephen J Brownell
Phone
8585589200
Raw XML AppendixShowing 400 of 1,625 raw XML fields

This appendix keeps the raw XML leaves available for debugging and edge-case review. The human report above is the primary experience.

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AccountingFeesSchedule/AccountingFeesDetail/CategoryTxt0ACCOUNTING FEES
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AccountingFeesSchedule/AccountingFeesDetail/NetInvestmentIncomeAmt048892
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/AnyDiversionByGranteeTxt0TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/AnyDiversionByGranteeTxt1TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/AnyDiversionByGranteeTxt2TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/AnyDiversionByGranteeTxt3TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/BusinessName/BusinessNameLine1Txt0GARY AND MARY WEST HEALTH POLICY CENTER INC (EIN 27-5388874)
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/BusinessName/BusinessNameLine1Txt1CENTER FOR MEDICAL INTEROPERABILITY (EIN 46-3191908)
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/BusinessName/BusinessNameLine1Txt2GARY AND MARY WEST HEALTH POLICY CENTER INC (EIN 27-5388874)
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/BusinessName/BusinessNameLine1Txt3GARY AND MARY WEST HEALTH POLICY CENTER INC (EIN 27-5388874)
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/DatesOfReportsByGranteeTxt001/29/2014 AND 02/02/2015
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/DatesOfReportsByGranteeTxt110/11/2013, 01/15/2014, AND 01/30/2015
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/DatesOfReportsByGranteeTxt201/29/2014 AND 02/02/2015
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/DatesOfReportsByGranteeTxt302/02/2015
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ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/GrantDt02013-12-01
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/GrantDt12013-07-18
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/GrantDt22014-01-01
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/GrantDt32014-03-24
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/PurposeOfGrantTxt0TO SUPPORT THE GARY AND MARY WEST HEALTH POLICY CENTER (THE "POLICY CENTER") IN RESEARCH OBJECTIVES IN THE AREAS OF MEDICARE REFORM AND VALUE-BASED INSURANCE DESIGN. THE AMOUNT EXPENDED BY THE POLICY CENTER IN 2014 WAS $180,000. THE AMOUNT DISTRIBUTED BY THE GARY AND MARY WEST FOUNDATION IN 2014 WAS $180,000. THERE WERE NO EXPENDITURES BY THE POLICY CENTER IN 2013. THERE WERE NO DISTRIBUTIONS BY THE GARY AND MARY WEST FOUNDATION IN 2013.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/PurposeOfGrantTxt1THE PURPOSE OF THE CENTER IS TO SEEK TO OPTIMIZE PATIENT CARE BY ADVANCING THE SAFETY, QUALITY, AND AFFORDABILITY OF U.S. HEALTHCARE DELIVERY EXCLUSIVELY FOR CHARITABLE, RELIGIOUS, SCIENTIFIC, LITERARY OR EDUCATIONAL PURPOSES UNDER SECTION 501(C)(3) OF THE TAX CODE.THE AMOUNT EXPENDED IN 2014 WAS $2,951,398. THE AMOUNT DISTRIBUTED BY THE GARY AND MARY WEST FOUNDATION IN 2014 WAS $2,951,398.THE AMOUNT EXPENDED IN 2013 WAS $752,757. THE AMOUNT DISTRIBUTED BY THE GARY AND MARY WEST FOUNDATION IN 2013 WAS $752,757.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/PurposeOfGrantTxt2TO SUPPORT THE GARY AND MARY WEST HEALTH POLICY CENTER (THE "POLICY CENTER") IN RESEARCH OBJECTIVES IN THE AREAS OF MEDICARE COST-SHARING REFORM, VALUE-BASED INSURANCE DESIGN, TRANSPARENCY, AND DISEASE MANAGEMENT AND CARE COORDINATION. THE AMOUNT EXPENDED BY THE POLICY CENTER IN 2014 WAS $2,320,000. THE AMOUNT DISTRIBUTED BY THE GARY AND MARY WEST FOUNDATION IS 2014 WAS $2,320,000.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/PurposeOfGrantTxt3TO SUPPORT THE GARY AND MARY WEST HEALTH POLICY CENTER (THE "POLICY CENTER") IN RESEARCH OBJECTIVES IN THE AREAS OF MEDICARE COST-SHARING REFORM, VALUE-BASED INSURANCE DESIGN, TRANSPARENCY, AND DISEASE MANAGEMENT AND CARE COORDINATION. THE AMOUNT EXPENDED BY THE POLICY CENTER IN 2014 WAS $2,922,526. THE AMOUNT DISTRIBUTED BY THE GARY AND MARY WEST FOUNDATION IS 2014 WAS $2,922,526.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/ResultsOfVerificationTxt0THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OR RELIABILITY OF THE REPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THE REPORT WAS MADE.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/ResultsOfVerificationTxt1THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OR RELIABILITY OF THE REPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THE REPORT WAS MADE.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/ResultsOfVerificationTxt2THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OR RELIABILITY OF THE REPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THE REPORT WAS MADE.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/ResultsOfVerificationTxt3THE GRANTOR HAS NO REASON TO DOUBT THE ACCURACY OR RELIABILITY OF THE REPORT FROM THE GRANTEE; THEREFORE, NO INDEPENDENT VERIFICATION OF THE REPORT WAS MADE.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/AddressLine1Txt01909 K STREET NW SUITE 730
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/AddressLine1Txt13344 NORTH TORREY PINES COURT PLAZA
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/AddressLine1Txt21909 K STREET NW SUITE 730
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/AddressLine1Txt31909 K STREET NW SUITE 730
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/AddressLine2Txt0LEVEL
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/CityNm0WASHINGTON
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/CityNm1LA JOLLA
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/CityNm2WASHINGTON
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/CityNm3WASHINGTON
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/StateAbbreviationCd0DC
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/StateAbbreviationCd1CA
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GeneralExplanationAttachment/GeneralExplanationGrp/FormAndLineReferenceDesc0FORM 990-PF; PART VII-B; QUESTION 1A(4)
GeneralExplanationAttachment/GeneralExplanationGrp/FormAndLineReferenceDesc1FORM 990-PF; PART VII-A; QUESTION 11
GeneralExplanationAttachment/GeneralExplanationGrp/MediumExplanationTxt0WEST FAMILY INVESTMENTS, INC. PROVIDED INVESTMENT MANAGEMENT SERVICES TO THE GARY AND MARY WEST FOUNDATION DURING 2014 FOR A MARKET BASED FEE. WEST FAMILY INVESTMENTS, INC. IS OWNED 100% BY GARY AND MARY WEST, SUBSTANTIAL CONTRIBUTORS TO THE FOUNDATION. THIS IS EXCEPTED FROM SELF-DEALING BY IRC SECTION 4941(D).WEST DEVELOPMENT, LLC PROVIDED PROFESSIONAL INFORMATION TECHNOLOGY SERVICES TO THE GARY AND MARY WEST FOUNDATION DURING 2014 FOR A MARKET BASED FEE. WEST FAMILY HOLDINGS, LLC IS THE SOLE MEMBER OF WEST DEVELOPMENT, LLC. THE TWO MEMBERS OF WEST FAMILY HOLDINGS, LLC ARE THE GARY L. WEST 2010 REVOCABLE LIVING TRUST AND THE MARY E. WEST 2010 REVOCABLE LIVING TRUST. BOTH MEMBERS OWN 50% OF WEST FAMILY HOLDINGS, LLC. THIS IS EXCEPTED FROM SELF-DEALING BY IRC SECTION 4941(D).
GeneralExplanationAttachment/GeneralExplanationGrp/MediumExplanationTxt1THE GARY AND MARY WEST FOUNDATION IS THE SOLE PERMANENT MEMBER OF THE CENTER FOR MEDICAL INTEROPERABILITY, INC. ("THE CENTER"), A SEPARATE NON-PROFIT, NON-STOCK CORPORATION ORGANIZED FOR CHARITABLE PURPOSES CONSISTENT WITH, BUT DIFFERENT FROM, THOSE OF THE FOUNDATION. THE CONTROLLING ENTITY MEANING OF SECTION 512(B)(13) WAS APPLICABLE UNTIL OCTOBER 31, 2014. IN SEPTEMBER 2015, THE FOUNDATION WITHDREW AS PERMANENT MEMBER OF THE CENTER. THE FOUNDATION RECEIVED NO PAYMENTS FROM THE CENTER FOR MEDICAL INTEROPERABILITY, INC. IN 2014 AND DOES NOT ANTICIPATE RECEIVING ANY SUCH PAYMENTS IN THE FUTURE.
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm0INTERNATIONAL LEASE FINANCE CORPORATION 09/15/2015 SR LIEN 8.625% 05/04/11
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm1REDDY ICE CORP TERM LOAN
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm2THORNBURG MORTGAGE, INC. 18.0% 03/31/2015 SER PVT 144A SUB LIEN
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm3THORNBURG MORTGAGE, INC. 18.0% 03/31/2015 USD PVT 144A SUB LIEN
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm4ZAIS FINANCIAL CORP 144A 8% 11/15/2016 CONV MN
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InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt22393089
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt23878964
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt244458090
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt25890112
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InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt30101065
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InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt362327647
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InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt45369000
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InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt50153006
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt5144317
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt52206400
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt5323813
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt54418507
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt5583032
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt56545000
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt571727717
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt581094127
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt59649604
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt60147408
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt61604781
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt6271680
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt63295200
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt64304278
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt6594398
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt661430966
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt67254114
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt68180500
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt6951750
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt70226840
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt71911117
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm0AFRICAN BARRICK GOLD LTD CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm1AMERICAN CAPITAL AGENCY CORP. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm2ANNALY CAPITAL MANAGEMENT, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm3APOLLO COML REAL EST FIN, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm4APOLLO INVESTMENT CORPORATION MUTUAL FUND
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm5BANCO LATINOAMERICANO EXPORT CMN CLASS E
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm6BROOKDALE SENIOR LIVING, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm7CHIMERA INVESTMENT CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm8CHINA FLAVORS & FRAGRANCES COMPANY LTD CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm9CISCO SYSTEMS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm10COMCAST CORPORATION CMN CLASS A NON VOTING
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm11COMPANHIA VALE DO RIO DOCE ADR
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm12CONN LT & PWR SER 1949 PFD STK CALL 03/01/90 @50.50
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm13CYS INVESTMENTS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm14ELLINGTON RESIDENTIAL MORT. REIT CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm15EMC CORPORATION MASS CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm16EPR PROPERTIES CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm17ESSENT GROUP LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm18EXCHANGE BK SANTA ROSA CALIF CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm19EXELON CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm20FIDUS INVESTMENT CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm21GENERAL ELECTRIC CO. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm22GENERAL GROWTH PROPERTIES, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm23GENERAL MOTORS COMPANY CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm24GOLDMAN SACHS GROUP, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm25HOME LN SERVICING SOLUTIONS LT. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm26HORIZON TECHNOLOGY FINANCE CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm27INTREPID POTASH, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm28INVESCO MORTGAGE CAPITAL, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm29ISTAR FINANCIAL INC. PFD 7.5% SERIES I CALLABLE 3/1/09
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm30ISTAR FINANCIAL INC. PFD USD 1.9500(7.80%) SERIES F
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm31KBR, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm32KINDER MORGAN INC CMN CLASS P
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm33KRAFT FOODS GROUP, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm34LEVEL 3 COMMUNICATIONS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm35MEDLEY CAPITAL CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm36MFA FINANCIAL, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm37MONDELEZ INTERNATIONAL, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm38MOTORS LIQUIDATION COMPANY GUC TRUST
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm39MVC CAPITAL, INC. CLOSED END FUND
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm40NEW MEDIA INVESTMENT GROUP, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm41NEW MOUNTAIN FINANCE CORP. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm42NEW RESIDENTIAL INVESTMENT CORP. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm43NEW SENIOR INVESTMENT GRP, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm44NEWCASTLE INVESTMENT CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm45NEWTEK BUSINESS SVCS CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm46NSTAR ELECTRIC COMPANY PFD USD4.2500(4.25%)
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm47PENNANTPARK INVESTMENT CORP. MUTUAL FUND
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm48PETROLEO BRASILEIRO S.A. - PETROBRAS SPONSORED ADR CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm49PFIZER, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm50REDDY ICE HOLDINGS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm51REDDY ICE HOLDINGS, INC. CONV PFD USD0.0000 CLASS A
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm52REGENCY ENERGY PARTNERS, LP CMN LTD PARTNER INTERESTS
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm53SANDRIDGE ENERGY, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm54SIERRA METALS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm55SILVER BAY REALTY TRUST CORP. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm56SO.CALIF.EDISON 4.24% PFD
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm57SOLAR CAPITAL LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm58SOLAR SENIOR CAPITAL LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm59STARWOOD PROPERTY TRUST INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm60STARWOOD WAYPOINT RESIDENTIAL TRUST CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm61TETRAGON FINANCIAL GROUP LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm62TOTAL SA SPONSORED ADR CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm63TRANSATLANTIC PETROLEUM LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm64TRANSOCEAN LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm65TRAVELCENTERS OF AMERICA, LLC CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm66TWO HARBORS INVESTMENT CORP. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm67URANIUM PARTICIPATION CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm68WASHINGTON GAS LT CO PFD USD4.2500(4.25%)
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm69ZAIS FINL CORP. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm70ZIMMER HLDGS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm71ZOETIS, INC. CMN CLASS A
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InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt1745563
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt23786533
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt31525069
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt41876295
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt5641999
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt6603948
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt726650
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt82560611
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt9533845
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt10798852
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt112348007
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt121958453
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt13355893
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt1451192
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt151071821
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt16683939
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt17583662
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt1865483
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt19743306
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt20633990
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt2174509
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt222047018
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt23434919
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt24227558
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt2558796
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt262213011
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt27750000
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt28761014
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt296721
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt304556
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt31917477
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt0ARENA-PLASTIC VENTURES
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt1ARIAS RESOURCE CAPITAL
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt2BLUE RIVER ARBITRAGE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt3CONATUS CAPITAL OVERSEAS
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt4CUMBERLAND BENCHMARKED
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt5DIALECTIC ANTITHESIS OFF
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt6EMERGING EUROPE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt7EQUITY AND INDEX OPTION CONTRACTS
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt8ETON PARK OVERSEAS FUND
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt9FORTRESS LIFE SETTLEMENTS
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt10FORTRESS MSR
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt11GCP FUND III REIT & CORP
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt12GLOBAL PARTNERS
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt13GS ANCHORAGE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt14GS LIBERTY HARBOR
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt15GS MEZZANINE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt16INVESCO MORTG RECOVERY
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt17MARATHON EUROPEAN CREDIT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt18OAKTREE RE DEBT FUND CAYMAN
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt19OHA EUROPEAN SCF OFFSHORE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt20OHA SCF PARALLEL
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt21PASSPORT MATERIAL
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt22PONDFIELD CAPITAL, LLC
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt23SENATOR SIDECAR OFFSHORE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt24SILVER POINT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt25SKELLIG OFFSHORE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt26SUMMIT WATER DEVELOPMENT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt27SUTHERLAND ASSET MANAGEMENT CORPORATION CMN REIT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt28VIRGO-WALNUT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt29WTS/GENERAL MOTORS COMPANY 10.0000 EXP 07/10/2016
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt30WTS/GENERAL MOTORS COMPANY 18.3300 EXP 07/10/2019
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt31XPV WATER FUND
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt01351037
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt1745563
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt23786533
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt31525069
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt41876295
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt5641999
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt6603948
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt726650
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt82560611
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InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd3FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd4FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd5FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd6FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd7FMV
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InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd9FMV
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Filings

Displayed year

2014 • Form 990PFDetailed filing. Detailed filing data is available for this year.

Open filing
Assets
$137,701,276
Liabilities
$2,578,016
Net assets
$135,123,260
Revenue
$7,150,973
Expenses
$15,974,115
Net income
-$8,823,142
Balance SheetOperations
YearAssetsLiabilitiesNet AssetsRevenueExpensesNet Income
2022Detailed filing. Detailed filing data is available for this year.$0.00$0.00$0.00$3.33$9.05$5.72
2021XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$155$0.57$154$33.5$11.4$22.2
2020XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$128$1.52$126$5.76$13.2$18.9
2019XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$145$2.11$143$15.0$14.8$0.19
2018XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$140$2.01$138$8.05$15.9$7.81
2017XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$157$6.65$151$35.3$15.7$19.6
2016XML pending. An XML filing is linked for this year, but detailed extraction is still pending.$135$3.45$132$16.3$14.9$1.42
2015Detailed filing. Detailed filing data is available for this year.$125$4.38$121$8.87$13.1$4.21
2014Detailed filing. Detailed filing data is available for this year.$138$2.58$135$7.15$16.0$8.82
2013Detailed filing. Detailed filing data is available for this year.$158$17.7$140$8.10$7.46$0.63
2012Detailed filing. Detailed filing data is available for this year.$166$30.0$136$8.71
2011Summary only. Only limited summary data is available for this year.$168$45.1$13.0$14.7$1.69