Civic Intelligence

Gary and Mary West Foundation

990PF • Fiscal year 2016 • EIN 47-0793015

Jan 01, 2016 to Dec 31, 2016 • Filed on Sep 15, 2017

Organization Profile

View Organization Page

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

(858) 369-3160

Siviq Scores

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

Liabilities / Assets

18th percentile

0.03x

Higher debt load relative to assets than 18% of similar nonprofits.

2016 filings • $100M-$250M nonprofits • Source year 2016

Liabilities / Revenue

29th percentile

0.21x

Higher debt load relative to revenue than 29% of similar nonprofits.

2016 filings • $100M-$250M nonprofits • Source year 2016

Net Margin

67th percentile

8.7%

Higher net margin than 67% of similar nonprofits.

2016 filings • $100M-$250M nonprofits • Source year 2016

Top Officer Pay

33rd percentile

$253,000

Higher top officer pay than 33% of similar nonprofits.

Top officer pay equals 1.5% of source-year revenue.

2016 filings • $100M-$250M nonprofits • Source year 2016

Asset Growth

76th percentile

8.1%

Faster asset growth than 76% of similar nonprofits.

2016 filings • $100M-$250M nonprofits • Annualized from 2015 to 2016

Revenue Growth

96th percentile

84%

Faster revenue growth than 96% of similar nonprofits.

2016 filings • $100M-$250M nonprofits • Annualized from 2015 to 2016

Balance Sheet
Liabilities / Assets18th percentile

Assets

Up

$135,456,322

Up $10,174,156 (+8.1%) from 2015

Net Assets

Up

$132,002,350

Up $11,099,536 (+9.2%) from 2015

Liabilities

Down

$3,453,972

Down $925,380 (-21%) from 2015

Revenue And Expenses
Liabilities / Revenue29th percentileNet Margin67th percentile

Revenue

Up

$16,328,729

Up $7,460,909 (+84%) from 2015

Expenses

Up

$14,903,895

Up $1,829,171 (+14%) from 2015

Net Income

Up

$1,424,834

Up $5,631,738 (+134%) from 2015

Historical Trend

Balance Sheet Trend

Asset Growth76th 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

2016

Assets$135,456,322
Liabilities$3,453,972
Net Assets$132,002,350
Open 2016 Filing

Operations Trend

Revenue Growth96th 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

2016

Revenue$16,328,729
Expenses$14,903,895
Net Income$1,424,834
Open 2016 Filing
Jump To
Filing Snapshot
Filing Period
Jan 1, 2016 to Dec 31, 2016
Signed
Sep 15, 2017
Return Version
2016v3.0
Compensation and Service Providers
Top Officer Pay33rd percentile

Employees

NameTitleFull / Part TimeBaseOtherTotal
SHELLEY LYFORDPresident & CEO & TreasurerPT$245,000$8,000$253,000
TIM LASHExecutive Vice PresidentPT$137,500$4,583$142,083
DR ZIA AGHA START SEP 2016Chief Medical OfficerPT$16,667-$16,667
GARY L WESTCo-Chairman-$0--
MARY E WESTCo-Chairman-$0--
ROLAND J SANTONIManaging Director-$0--
DENNIS M O'BRIENDirector & Secretary-$0--
MARC HARPERDirector-$0--
DR JOSEPH SMITH RES MAR 2016Chief Medical OfficerPT$0--
Grants and Assistance

Foundation Grants and Related Investments

TypeRecipientPurposeStatusLocationAmount
Paid GrantUC SAN DIEGO FOUNDATIONTO SUPPORT THE BUILDING OF THE GARY AND MARY WEST SENIOR EMERGENCY DEPARTMENT AT UC SAN DIEGO HEALTH, LA JOLLA.PCLA JOLLA, CA, US$6,307,659
Paid GrantGARY AND MARY WEST HEALTH POLICY CENTER INCTO SUPPORT SUCCESSFUL AGING OBJECTIVES IN THE AREAS OF HOME-BASED PRIMARY CARE, VALUE-BASED INSURANCE DESIGN, LONG-TERM SERVICES AND SUPPORTS, AND CARE COORDINATION.POFWASHINGTON, DC, US$3,124,260
Paid GrantGARY AND MARY WEST SENIOR DENTAL CENTER INCGENERAL OPERATING GRANT TO PROVIDE LOW-INCOME SENIORS ORAL HEALTHCARE AT AN INTEGRATED, SENIOR WELLNESS FACILITY.PCSAN DIEGO, CA, US$761,000
Paid GrantSERVING SENIORSTO SUPPORT GENERAL OPERATIONS FOR FY 2017 AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER.PCSAN DIEGO, CA, US$254,500
Paid GrantICAHN SCHOOL OF MEDICINE AT MOUNT SINAI - CENTER TO ADVANCE PALLIATIVE CARETO SUPPORT ACCESS TO HIGH QUALITY PALLIATIVE CARE.PCNEW YORK, NY, US$250,000
Paid GrantSERVING SENIORSTO SUPPORT GENERAL OPERATIONS FOR FY 2016 AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER.PCSAN DIEGO, CA, US$209,500
Paid GrantSERVING SENIORSCHALLENGE GRANT TO SUPPLEMENT THE FY 2017 OPERATING GRANT.PCSAN DIEGO, CA, US$150,000
Paid GrantUNIVERSITY OF ROCHESTER CHETTO SUPPORT 2017 DENTAL HEALTH SUMMIT CONFERENCE.PCROCHESTER, NY, US$150,000
Paid GrantLEGAL AID SOCIETY OF SAN DIEGO INCTO SUPPORT THE HEALTH ADVOCACY PROJECT AND CYBER CAFE AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER.PCSAN DIEGO, CA, US$100,000
Paid GrantMEALS ON WHEELS ASSOCIATION OF AMERICA INCTO SUPPORT THE MORE THAN A MEAL PHASE II MEDICARE CLAIMS ANALYSIS STUDY.PCARLINGTON, VA, US$100,000
Paid GrantUNIVERSITY OF SOUTHERN CALIFORNIA - SCHAEFFER CENTER FOR HEALTH POLICYTO SUPPORT AN ADVOCACY SERIES: THE OTHER CALIFORNIA - HEALTH POLICY CHALLENGES FACING OLDER CALIFORNIANS.PCLOS ANGELES, CA, US$100,000
Paid GrantGARY AND MARY WEST SENIOR DENTAL CENTER INCTO SUPPORT START UP ACTIVITIES.PCSAN DIEGO, CA, US$89,578
Paid GrantOMAHA COMMUNITY FOUNDATIONTO SUPPORT GENERAL OPERATIONS.PCOMAHA, NE, US$61,500
Paid GrantREBUILDING TOGETHER OMAHATO SUPPORT HEALTHY AT HOME PROGRAM, SENIOR HOUSING REPAIRS.PCOMAHA, NE, US$50,000
Paid GrantREBUILDING TOGETHER OMAHATO SUPPORT HEALTHY AT HOME PROGRAM, SENIOR HOUSING REPAIRS.PCOMAHA, NE, US$50,000
Paid GrantINTERNATIONAL DOCUMENTARYTO SUPPORT A TELEVISION SERIES ENTITLED, "REFLECT: OLD ISN'T WHAT YOU THINK IT IS".PCLOS ANGELES, CA, US$48,405
Paid GrantCHALLENGE CENTERTO SUPPORT THE HEALTH, WELLNESS, AND INDEPENDENCE INITIATIVE FOR SENIORS.PCLA MESA, CA, US$34,000
Paid GrantNOTRE DAME HOUSING INCTO SUPPORT A LIFE ENRICHMENT POSITION.PCOMAHA, NE, US$30,000
Paid GrantDENTAL LIFELINE NETWORKTO SUPPORT SAN DIEGO COUNTY DONATED DENTAL SERVICES (DDS) PROGRAM.PCDENVER, CO, US$26,125
Paid GrantCHALLENGE CENTERTO SUPPORT THE HEALTH, WELLNESS, AND INDEPENDENCE PROGRAM FOR SENIORS.PCLA MESA, CA, US$25,000
Paid GrantINTERCULTURAL SENIOR CENTERTO SUPPORT GENERAL OPERATIONS, HOME VISITATION PILOT, AND LANGUAGE CAPACITY BUILDING.PCOMAHA, NE, US$25,000
Paid GrantPAWS'ITIVE TEAMSTO SUPPORT PERSONNEL COSTS.PCSAN DIEGO, CA, US$25,000
Paid GrantPROJECT HOPE THE PEOPLE TO PEOPLE HEALTH FOUNDATION INCTO SUPPORT HEALTH AFFAIRS ORAL HEALTH ISSUE AND POLICY BRIEFING.PCBETHESDA, MD, US$25,000
Paid GrantSAN DIEGO REGIONAL ECONOMIC DEVELOPMENT FOUNDATIONTO SUPPORT AWARENESS FOR SAN DIEGO'S SENIOR ORAL HEALTH PROJECTS AND TO ATTRACT TOP TALENT TO THE REGION FOR SUCCESSFUL AGING INITIATIVES.PCSAN DIEGO, CA, US$25,000
Paid GrantAMERICAN SOCIETY ON AGINGTO SUPPORT THE AGING AND ORAL HEALTH ADVOCACY.PCSAN FRANCISCO, CA, US$22,500
Paid GrantSERVING SENIORSCAPITAL GRANT FOR BUILDOUT OF SENIOR DENTAL CENTER SPACE.PCSAN DIEGO, CA, US$22,033
Paid GrantGRANTMAKERS IN AGINGTO SUPPORT GENERAL OPERATIONS.PCARLINGTON, VA, US$20,000
Paid GrantOUTLOOK NEBRASKA INCTO SUPPORT PROGRAMS TO IMPROVE THE QUALITY OF LIFE FOR BLIND AND VISUALLY IMPAIRED SENIORS.PCOMAHA, NE, US$19,600
Paid GrantVOLUNTEERS ASSISTING SENIORSTO SUPPORT AN INTAKE COORDINATOR.PCOMAHA, NE, US$19,000
Paid GrantAMERICAN SOCIETY ON AGINGTO SUPPORT BROAD DISSEMINATION OF RESOURCES AND EDUCATIONAL MATERIALS TO IMPROVE THE BUSINESS ACUMEN OF NON-PROFIT ORGANIZATIONS THAT SERVE OLDER ADULTS.PCSAN FRANCISCO, CA, US$15,000
Paid GrantELDERHELP OF SAN DIEGOTO SUPPORT STRATEGIC PLANNING AND CAPACITY BUILDING.PCSAN DIEGO, CA, US$15,000
Paid GrantMERRYMAKERS ASSOCIATIONTO SUPPORT A SENIOR MUSIC PROJECT.PCOMAHA, NE, US$15,000
Paid GrantSERVING SENIORSTO SUPPORT CARE COORDINATION AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER.PCSAN DIEGO, CA, US$15,000
Paid GrantCALIFORNIA STATE UNIVERSITY SAN MARCOS FOUNDATIONTO SUPPORT THE PALLIATIVE CARE RESEARCH GRANTS.PCSAN MARCOS, CA, US$10,000
Paid GrantUNIVERSITY OF ROCHESTER CHETTO ADVANCE PROGRAMS FOR INNOVATIVE HEALTH CARE MODELS AND TECHNOLOGY-ENABLED SOLUTIONS TO IMPROVE THE HEALTH OF SENIORS.PCROCHESTER, NY, US$10,000
Paid GrantGRANTMAKERS IN HEALTHTO SUPPORT GENERAL OPERATIONS.PCWASHINGTON, DC, US$5,750
Paid GrantUC SAN DIEGO FOUNDATIONTO SUPPORT GENERAL OPERATIONS.PCLA JOLLA, CA, US$3,000
Paid GrantSERVING SENIORSTO SUPPORT STAFF DEVELOPMENT AND INTEGRATION.PCSAN DIEGO, CA, US$2,500
Paid GrantFIRST RESPONDERS FOUNDATIONTO SUPPORT GENERAL OPERATIONS.PCOMAHA, NE, US$1,000
Paid GrantREBUILDING TOGETHER OMAHATO SUPPORT GENERAL OPERATIONS.PCOMAHA, NE, US$500
Filing and Contact Details

Filer

Filer Name
Gary and Mary West Foundation
EIN
47-0793015
Phone
8583693160
Address
505 LOMAS SANTA FE DRIVE NO 230, SOLANA BEACH, CA 92075

Signing Officer

Name
Shelley Lyford
Title
President & CEO & Treasurer
Phone
8583693160
Signed
2017-09-15
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 1,707 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.

Path#Value
AccountingFeesSchedule/AccountingFeesDetail/Amt041646
AccountingFeesSchedule/AccountingFeesDetail/CategoryTxt0ACCOUNTING FEES
AccountingFeesSchedule/AccountingFeesDetail/DisbursementsCharitablePrpsAmt08329
AccountingFeesSchedule/AccountingFeesDetail/NetInvestmentIncomeAmt033317
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/AnyDiversionByGranteeTxt0TO 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/DatesOfReportsByGranteeTxt0MIDTERM 07/28/16, FINAL 01/30/17. MONTHLY EXPENSE REPORTS
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/ExpendedByGranteeAmt03090913
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/GrantAmt03206417
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/GrantDt02016-01-07
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/PurposeOfGrantTxt0TO SUPPORT THE GARY AND MARY WEST HEALTH POLICY CENTER (THE "POLICY CENTER") IN CARRYING OUT ITS CHARITABLE PURPOSES RELATED TO RESEARCH OBJECTIVES IN THE AREAS OF MEDICARE REFORM AND VALUE-BASED INSURANCE DESIGN. THE AMOUNT EXPENDED BY THE POLICY CENTER IN 2016 WAS $3,090,913. THE AMOUNT DISTRIBUTED BY THE GARY AND MARY WEST FOUNDATION WAS $3,206,417. $115,504 OF FUNDS, IN EXCESS OF EXPENDITURES IN 2016, WAS RETURNED TO THE FOUNDATION IN 2017. SIMILARLY, $82,157 WAS REFUNDED IN 2016 FOR EXCESS DISTRIBUTIONS IN 2015.
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/USAddress/AddressLine1Txt01909 K STREET NW SUITE 730
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/CityNm0WASHINGTON
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/StateAbbreviationCd0DC
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/ZIPCd020006
GeneralExplanationAttachment/GeneralExplanationGrp/FormAndLineReferenceDesc0FORM 990-PF; PART VII-B; QUESTION 1A(4)
GeneralExplanationAttachment/GeneralExplanationGrp/FormAndLineReferenceDesc1PART XV, QUESTION 1B
GeneralExplanationAttachment/GeneralExplanationGrp/FormAndLineReferenceDesc2FORM 990-PF
GeneralExplanationAttachment/GeneralExplanationGrp/IdentifierTxt0EXPLANATION
GeneralExplanationAttachment/GeneralExplanationGrp/MediumExplanationTxt0WEST FAMILY INVESTMENTS, INC. PROVIDED INVESTMENT MANAGEMENT SERVICES TO THE GARY AND MARY WEST FOUNDATION DURING 2016 FOR A MARKET BASED FEE. WEST FAMILY INVESTMENTS, INC. IS OWNED BY GARY AND MARY WEST, SUBSTANTIAL CONTRIBUTORS TO THE FOUNDATION AND TWO ADDITIONAL MEMBERS OF THE FOUNDATION. THIS IS EXCEPTED FROM SELF-DEALING BY IRC SECTION 4941(D)(2)(E).WEST DEVELOPMENT, LLC PROVIDED PROFESSIONAL INFORMATION TECHNOLOGY SERVICES TO THE GARY AND MARY WEST FOUNDATION DURING 2016 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)(2)(E).
GeneralExplanationAttachment/GeneralExplanationGrp/MediumExplanationTxt1GARY WEST AND MARY WEST COLLECTIVELY OWN 10% OR MORE OF PASSIVE INVESTMENT PARTNERSHIPS.
GeneralExplanationAttachment/GeneralExplanationGrp/MediumExplanationTxt2THE FOUNDATION'S FINANCIAL STATEMENTS ARE PREPARED IN ACCORDANCE WITH ACCOUNTING PRINCIPLES GENERALLY ACCEPTED IN THE UNITED STATES OF AMERICA (U.S. GAAP). ACCORDINGLY, THE FOUNDATION'S BOOKS ARE ON THE ACCRUAL BASIS AND IT RECORDS FIXED-INCOME, EQUITY SECURITIES, DERIVATIVE CONTRACTS, MUTUAL FUNDS, AND ALTERNATIVE INVESTMENTS AT FAIR VALUE IN THE FINANCIAL STATEMENTS AND THE TAX RETURN IN ACCORDANCE WITH FINANCIAL ACCOUNTING STANDARDS BOARD, ASC 820, FAIR VALUE MEASUREMENTS.
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm0GREAT CIRCLE TERM LOAN
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm1PVTPL ALESCO PREFERRED FUNDING LTD SER 4A CL A2 FLTG RT 07-30-2034
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm2PVTPL PFD TERM SECS XVII LTD/PFD TERM NT CL A-2 144A 3C7 3.92063 6-23-2035
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm3PVTPL TRAPEZA CDO XIII LTD SR SECD NT FLTG CL A-3 VAR DUE 11-09-2042
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm4REDDY ICE CORP TERM LOAN
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm5SEADRILL LTD STEP 9/15/17 LIEN 6.125%
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm6THORNBURG MORTGAGE, INC. 18.0% 03/31/2015 SER PVT 144A SUB LIEN
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm7THORNBURG MORTGAGE, INC. 18.0% 03/31/2015 USD PVT 144A SUB LIEN
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm8TRANSATLANTIC PETE LTD RT 13%
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/BondNm9TRAPEZA CDO XII FLTG RT .9801% DUE 04-06-2042
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYBookValueAmt01051572
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYBookValueAmt1295000
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYBookValueAmt254000
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYBookValueAmt351000
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYBookValueAmt4421861
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYBookValueAmt5260000
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYBookValueAmt61
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYBookValueAmt712
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYBookValueAmt81800000
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYBookValueAmt9211650
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYFMVAmt01051572
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYFMVAmt1295000
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYFMVAmt254000
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYFMVAmt351000
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYFMVAmt4421861
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYFMVAmt5260000
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYFMVAmt61
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYFMVAmt712
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYFMVAmt81800000
InvestmentsCorpBondsSchedule/InvestmentsCorporateBondsGrp/EOYFMVAmt9211650
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt0228379
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt1475006
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt23173491
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt31645829
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt4385588
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt53242639
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt62684471
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt714431684
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt83022000
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt9594300
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt10161048
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt114143000
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt122484306
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt13245056
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt147520
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt1518643
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt16127018
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt17802008
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt18638820
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt19964485
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt20665085
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt211234939
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt22237364
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt234549550
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt24133036
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt25177600
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt2699958
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt2750070
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt2857988
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt295763
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt30737830
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt319985414
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt32611810
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt332222772
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt34886600
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt3521269
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt36970853
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt3713847
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt381697654
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt39251520
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt4019580
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt41713449
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt42720000
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt43936170
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt441336019
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt452285682
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt4610929
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt4731655
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt48900000
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt49495472
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt5085940
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt512176668
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt521385317
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt531152419
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt54360221
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt55673374
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt561340068
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt57744648
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt58751395
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt59866245
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt6071358
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt6160792
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt62244684
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt63281766
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt641288912
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt6534290
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt66206400
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYBookValueAmt671133444
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt0228379
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt1475006
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt23173491
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt31645829
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt4385588
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt53242639
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt62684471
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt714431684
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt83022000
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt9594300
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt10161048
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt114143000
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt122484306
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt13245056
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt147520
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt1518643
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt16127018
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt17802008
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt18638820
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt19964485
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt20665085
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt211234939
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt22237364
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt234549550
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt24133036
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt25177600
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt2699958
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt2750070
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt2857988
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt295763
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt30737830
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt319985414
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt32611810
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt332222772
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt34886600
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt3521269
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt36970853
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt3713847
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt381697654
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt39251520
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt4019580
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt41713449
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt42720000
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt43936170
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt441336019
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt452285682
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt4610929
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt4731655
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt48900000
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt49495472
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt5085940
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt512176668
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt521385317
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt531152419
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt54360221
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt55673374
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt561340068
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt57744648
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt58751395
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt59866245
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt6071358
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt6160792
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt62244684
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt63281766
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt641288912
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt6534290
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt66206400
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt671133444
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm0ACACIA MINING CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm1AGNC INVT CORP. COM
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/StockNm8CISCO SYSTEMS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm9CITIGROUP INC COM NEW COM NEW
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm10COLONY STARWOOD HOMES COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm11COMCAST CORPORATION CMN CLASS A NON VOTING
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm12CYS INVESTMENTS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm13DELL TECHNOLOGIES INC COM CL V COM CL V
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm14DRIVE SHACK INC COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm15ELLINGTON RESIDENTIAL MORT. REIT CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm16ENERGY TRANSFER PARTNERS, LP CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm17EXCHANGE BK SANTA ROSA CALIF CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm18EXELON CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm19FIDUS INVESTMENT CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm20GENERAL ELECTRIC CO. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm21GENERAL MOTORS COMPANY CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm22GOLDMAN SACHS BDC, INC. CLOSED ENDED FUND
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm23GOLDMAN SACHS GROUP, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm24HORIZON TECHNOLOGY FINANCE CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm25ISTAR FINANCIAL INC. PFD 7.5% SERIES I CALLABLE 3/1/09
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm26ISTAR FINANCIAL INC. PFD USD 1.9500(7.80%) SERIES F
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm27KBR, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm28KINDER MORGAN INC CMN CLASS P
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm29KRAFT HEINZ CO CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm30LARGO RESOURCES COMMON STOCK
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm31LEVEL 3 COMMUNICATIONS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm32MEDLEY CAPITAL CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm33MFA FINANCIAL, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm34MONDELEZ INTERNATIONAL, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm35MOTORS LIQUIDATION COMPANY GUC TRUST
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm36MVC CAPITAL, INC. CLOSED END FUND
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm37NEW MEDIA INVESTMENT GROUP, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm38NEW MOUNTAIN FINANCE CORP. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm39NEW RESIDENTIAL INVESTMENT CORP. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm40NEW SENIOR INVESTMENT GRP, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm41NEWTEK BUSINESS SVCS CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm42NSTAR ELEC CO PFD 4.25%
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm43PENNANTPARK FLOATING RATE CAT LTD
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm44PENNANTPARK INVESTMENT CORP. MUTUAL FUND
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm45PFIZER, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm46REDDY ICE HOLDINGS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm47REDDY ICE HOLDINGS, INC. CONV PFD USD0.0000 CLASS A
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm48REVERSE MORTGAGE INVESTMENT TR INC COM USD100 144A
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm49SIERRA METALS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm50SILVER BAY REALTY TRUST CORP. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm51SOLAR CAPITAL LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm52SOLAR SENIOR CAPITAL LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm53STARWOOD PROPERTY TRUST INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm54SUN COMMUNITIES INC COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm55SUTHERLAND ASSET MANAGEMENT CORPORA COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm56SYNCHRONY FINANCIAL CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm57TCP CAP CORP
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm58TETRAGON FINANCIAL GROUP LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm59THL CREDIT INC CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm60TOTAL SA SPONSORED ADR CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm61TRANSATLANTIC PETROLEUM LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm62TRANSOCEAN LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm63TRIPLEPOINT VENTURE GROWTH BDC CORP COMMON STOCK
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm64TWO HARBORS INVESTMENT CORP. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm65VALE SA ADR
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm66ZIMMER HLDGS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm67ZOETIS, INC. CMN CLASS A
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt0699919
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt1712472
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt22627264
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt31571777
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt4487160
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt5261463
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt6832215
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt72382384
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt8789719
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt9653457
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt103510371
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt11140939
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt121871677
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt1329833
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt14232
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt15457365
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt16295407
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt17150578
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt18282929
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt19272325
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt20394785
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt21252144
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt22111
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt232004625
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt24993080
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt2551587
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt26625068
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt27339264
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt28497216
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt294591
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt301058602
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt0ARENA-PLASTIC VENTURES
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt1ARIAS RESOURCE CAPITAL
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt2BLUE RIVER ARBITRAGE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt3CONATUS CAPITAL OVERSEAS
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt4DIALECTIC ANTITHESIS OFF
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt5ELM PARK CREDIT OPP FUND II
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt6EMERGING EUROPE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt7ETON PARK OVERSEAS FUND
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt8FORTRESS LIFE SETTLEMENTS
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt9FORTRESS MSR
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt10GCP FUND III REIT & CORP
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt11GCP FUND IV REIT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt12GLOBAL PARTNERS
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt13GS ANCHORAGE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt14GS LIBERTY HARBOR
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt15GS MEZZANINE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt16INVESCO MORTG RECOVERY
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt17LARGO RES LTD WARRANT CERT W-2016-63
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt18MARATHON EUROPEAN CREDIT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt19OAKTREE RE DEBT FUND CAYMAN
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt20OHA EUROPEAN SCF OFFSHORE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt21OHA SCF PARALLEL
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt22PASSPORT MATERIAL
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt23PONDFIELD CAPITAL, LLC
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt24SCG ATLAS
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt25SKELLIG OFFSHORE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt26STARWOOD OPPORTUNITY FUND
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt27SUMMIT WATER DEVELOPMENT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt28VIRGO-WALNUT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt29WTS/GENERAL MOTORS COMPANY 18.3300 EXP 07/10/2019
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt30XPV WATER FUND
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt0699919
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt1712472
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt22627264
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt31571777
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt4487160
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt5261463
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt6832215
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt72382384
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt8789719
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt9653457
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt103510371
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt11140939
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt121871677
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt1329833
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt14232
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt15457365
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt16295407
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt17150578
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt18282929
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt19272325
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt20394785
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt21252144
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt22111
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt232004625
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt24993080
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt2551587
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt26625068
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt27339264
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt28497216
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt294591
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt301058602
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd0FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd1FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd2FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd3FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd4FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd5FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd6FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd7FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd8FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd9FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd10FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd11FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd12FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd13FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd14FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd15FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd16FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd17FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd18FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd19FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd20FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd21FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd22FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd23FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd24FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd25FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd26FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd27FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd28FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd29FMV
InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd30FMV
IRS990PF/AnalysisIncomeProducingActyGrp/DivAndIntFromSecPartVIIGrp/ExclusionAmt06388040
IRS990PF/AnalysisIncomeProducingActyGrp/DivAndIntFromSecPartVIIGrp/ExclusionCd014
IRS990PF/AnalysisIncomeProducingActyGrp/GainSalesAstOthThanInvntryGrp/ExclusionAmt0967772
IRS990PF/AnalysisIncomeProducingActyGrp/GainSalesAstOthThanInvntryGrp/ExclusionCd018
IRS990PF/AnalysisIncomeProducingActyGrp/OtherInvestmentIncmPartVIIGrp/ExclusionAmt0572917
IRS990PF/AnalysisIncomeProducingActyGrp/OtherInvestmentIncmPartVIIGrp/ExclusionCd014
IRS990PF/AnalysisIncomeProducingActyGrp/SubtotalsIncmProducingActyGrp/ExclusionAmt07928729
IRS990PF/AnalysisIncomeProducingActyGrp/SubtotalsIncmProducingActyGrp/RelatedOrExemptFunctionIncmAmt00
IRS990PF/AnalysisIncomeProducingActyGrp/SubtotalsIncmProducingActyGrp/UnrelatedBusinessTaxblIncmAmt00
IRS990PF/AnalysisIncomeProducingActyGrp/TotalIncomeProducingActyAmt07928729
IRS990PF/AnalysisOfRevenueAndExpenses/AccountingFeesChrtblPrpsAmt08329
IRS990PF/AnalysisOfRevenueAndExpenses/AccountingFeesNetInvstIncmAmt033317
IRS990PF/AnalysisOfRevenueAndExpenses/AccountingFeesRevAndExpnssAmt041646
IRS990PF/AnalysisOfRevenueAndExpenses/CapGainNetIncmNetInvstIncmAmt0967772
IRS990PF/AnalysisOfRevenueAndExpenses/CompOfcrDirTrstDsbrsChrtblAmt0296994
IRS990PF/AnalysisOfRevenueAndExpenses/CompOfcrDirTrstNetInvstIncmAmt061250
IRS990PF/AnalysisOfRevenueAndExpenses/CompOfcrDirTrstRevAndExpnssAmt0399167
IRS990PF/AnalysisOfRevenueAndExpenses/ContriPaidDsbrsChrtblAmt012217410
IRS990PF/AnalysisOfRevenueAndExpenses/ContriPaidRevAndExpnssAmt010847508

Document Assets

No mirrored PDF or thumbnail assets are attached yet.

Filings

Displayed year

2016 • Form 990PFDetailed filing. Detailed filing data is available for this year.

Open filing
Assets
$135,456,322
Liabilities
$3,453,972
Net assets
$132,002,350
Revenue
$16,328,729
Expenses
$14,903,895
Net income
$1,424,834
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
2016Detailed filing. Detailed filing data is available for this year.$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