Civic Intelligence

Gary and Mary West Foundation

990PF • Fiscal year 2019 • EIN 47-0793015

Jan 01, 2019 to Dec 31, 2019 • Filed on Oct 21, 2020

Organization Profile

View Organization Page

505 Lomas Santa Fe Drive Suite 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

20th percentile

0.01x

Higher debt load relative to assets than 20% of similar nonprofits.

2019 filings • $100M-$250M nonprofits • Source year 2019

Liabilities / Revenue

28th percentile

0.14x

Higher debt load relative to revenue than 28% of similar nonprofits.

2019 filings • $100M-$250M nonprofits • Source year 2019

Net Margin

40th percentile

1.3%

Higher net margin than 40% of similar nonprofits.

2019 filings • $100M-$250M nonprofits • Source year 2019

Top Officer Pay

41st percentile

$307,539

Higher top officer pay than 41% of similar nonprofits.

Top officer pay equals 2.0% of source-year revenue.

2019 filings • $100M-$250M nonprofits • Source year 2019

Asset Growth

44th percentile

3.6%

Faster asset growth than 44% of similar nonprofits.

2019 filings • $100M-$250M nonprofits • Annualized from 2018 to 2019

Revenue Growth

95th percentile

87%

Faster revenue growth than 95% of similar nonprofits.

2019 filings • $100M-$250M nonprofits • Annualized from 2018 to 2019

Balance Sheet
Liabilities / Assets20th percentile

Assets

Up

$145,102,325

Up $4,986,401 (+3.6%) from 2018

Net Assets

Up

$142,995,177

Up $4,885,708 (+3.5%) from 2018

Liabilities

Up

$2,107,148

Up $100,693 (+5.0%) from 2018

Revenue And Expenses
Liabilities / Revenue28th percentileNet Margin40th percentile

Revenue

Up

$15,029,377

Up $6,976,056 (+87%) from 2018

Expenses

Down

$14,835,248

Down $1,023,592 (-6.5%) from 2018

Net Income

Up

$194,129

Up $7,999,648 (+102%) from 2018

Historical Trend

Balance Sheet Trend

Asset Growth44th 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

2019

Assets$145,102,325
Liabilities$2,107,148
Net Assets$142,995,177
Open 2019 Filing

Operations Trend

Revenue Growth95th 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

2019

Revenue$15,029,377
Expenses$14,835,248
Net Income$194,129
Open 2019 Filing
Jump To
Filing Snapshot
Filing Period
Jan 1, 2019 to Dec 31, 2019
Signed
Oct 21, 2020
Return Version
2019v5.1
Compensation and Service Providers
Top Officer Pay41st percentile

Employees

NameTitleFull / Part TimeBaseOtherTotal
SHELLEY LYFORDPresident, CEO, & TreasurePT$288,850$18,689$307,539
TIM LASHExecutive Vice PresidentPT$178,375$11,700$190,075
DR ZIA AGHAChief Medical OfficerPT$51,250-$51,250
GARY L WESTCo-Chairman-$0--
MARY E WESTCo-Chairman-$0--
MARC HARPERDirector & Secretary-$0--
Filing and Contact Details

Filer

Filer Name
Gary and Mary West Foundation
EIN
47-0793015
Phone
8583693160
Address
505 LOMAS SANTA FE DRIVE SUITE 230, SOLANA BEACH, CA 92075

Signing Officer

Name
Shelley Lyford
Title
President/CEO/ Treasurer
Phone
8583693160
Signed
2020-10-21
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 1,714 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
AccountingFeesSchedule/AccountingFeesDetail/DisbursementsCharitablePrpsAmt018712
AccountingFeesSchedule/AccountingFeesDetail/NetInvestmentIncomeAmt020413
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/BusinessName/BusinessNameLine1Txt0GARY AND MARY WEST HEALTH POLICY CENTER INC
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/BusinessName/BusinessNameLine1Txt1CIVICA RX
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/BusinessName/BusinessNameLine1Txt2CIVICA RX
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/DatesOfReportsByGranteeTxt0MIDTERM 07/31/19, FINAL 01/30/20. MONTHLY EXPENSE REPORTS
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/DatesOfReportsByGranteeTxt1SEE STATEMENT 28
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/DatesOfReportsByGranteeTxt2SEE STATEMENT 29
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ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/GrantAmt22559940
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/GrantDt02019-01-03
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/GrantDt12018-09-04
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/GrantDt22019-10-23
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 2019 WAS $5,816,205. THE AMOUNT DISTRIBUTED BY THE GARY AND MARY WEST FOUNDATION WAS $6,140,000. $323,795 OF FUNDS, IN EXCESS OF EXPENDITURES IN 2019, WAS RETURNED TO THE FOUNDATION IN 2020. SIMILARLY, $321,109 WAS REFUNDED IN 2019 FOR EXCESS DISTRIBUTIONS IN 2018.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/PurposeOfGrantTxt1MEMBERSHIP GRANT - TO PROMOTE HEALTHCARE FOR DISADVANTAGED PERSONS BY MAKING ESSENTIAL GENERIC DRUGS BROADLY AVAILABLE TO INDIVIDUALS SERVICED BY ITS MEMBER HOSPITALS AND HEALTH SYSTEMS, INCLUDING HIGH-NEEDS POPULATIONS IN THE FEDERAL GOVERNMENT'S 340B PROGRAM FOR DISCOUNTED DRUG PRICING FOR UNINSURED AND LOW INCOME INDIVIDUALS. - CONTINUED ON STATEMENT 26
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/PurposeOfGrantTxt2PROGRAM RELATED INVESTMENT, LINE OF CREDIT - TO PROMOTE HEALTHCARE FOR DISADVANTAGED PERSONS BY MAKING ESSENTIAL GENERIC DRUGS BROADLY AVAILABLE TO INDIVIDUALS SERVICED BY ITS MEMBER HOSPITALS AND HEALTH SYSTEMS, INCLUDING HIGH-NEEDS POPULATIONS IN THE FEDERAL GOVERNMENT'S 340B PROGRAM FOR DISCOUNTED DRUG PRICING FOR UNINSURED AND LOW INCOME INDIVIDUALS. - CONTINUED ON STATEMENT 27
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, BEYOND THE RECEIPT AND REVIEW OF THE RECONCILIATION TO THE GRANTEE'S AUDITED FINANCIAL STATEMENTS.
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, BEYOND THE RECEIPT AND REVIEW OF THE GRANTEE'S AUDITED FINANCIAL STATEMENTS.
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, BEYOND THE RECEIPT AND REVIEW OF THE GRANTEE'S AUDITED FINANCIAL STATEMENTS.
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/AddressLine1Txt01909 K STREET NW SUITE 730
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/AddressLine1Txt12912 EXECUTIVE PARKWAY SUITE 325
ExpenditureResponsibilityStmt/ExpenditureResponsibilityGrp/USAddress/AddressLine1Txt22912 EXECUTIVE PARKWAY SUITE 325
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GeneralExplanationAttachment/GeneralExplanationGrp/FormAndLineReferenceDesc0FORM 990-PF; PART VII-B; QUESTION 1A(4)
GeneralExplanationAttachment/GeneralExplanationGrp/FormAndLineReferenceDesc1FORM 990-PF
GeneralExplanationAttachment/GeneralExplanationGrp/FormAndLineReferenceDesc2FORM 990-PF, PART VII-B, LINE 5C, NO. 2 - PURPOSE OF GRANT
GeneralExplanationAttachment/GeneralExplanationGrp/FormAndLineReferenceDesc3FORM 990-PF, PART VII-B, LINE 5C, NO. 3 - PURPOSE OF GRANT
GeneralExplanationAttachment/GeneralExplanationGrp/FormAndLineReferenceDesc4FORM 990-PF, PART VII-B, LINE 5C, NO. 2 - DATE OF REPORTS BY GRANTEE
GeneralExplanationAttachment/GeneralExplanationGrp/FormAndLineReferenceDesc5FORM 990-PF, PART VII-B, LINE 5C, NO. 3 - DATE OF REPORTS BY GRANTEE
GeneralExplanationAttachment/GeneralExplanationGrp/MediumExplanationTxt0WEST FAMILY INVESTMENTS, INC. PROVIDED INVESTMENT MANAGEMENT SERVICES TO THE GARY AND MARY WEST FOUNDATION DURING 2019 FOR A MARKET BASED FEE. WEST FAMILY INVESTMENTS, INC. IS OWNED BY GARY AND MARY WEST, SUBSTANTIAL CONTRIBUTORS TO THE FOUNDATION AND ONE ADDITIONAL BOARD MEMBER 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 2019 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/MediumExplanationTxt1THE FOUNDATION'S FINANCIAL STATEMENTS ARE PREPARED IN ACCORDANCE WITHACCOUNTING PRINCIPLES GENERALLY ACCEPTED IN THE UNITED STATES OFAMERICA (U.S. GAAP). ACCORDINGLY, THE FOUNDATION'S BOOKS ARE ON THEACCRUAL BASIS AND IT RECORDS FIXED-INCOME, EQUITY SECURITIES,DERIVATIVE CONTRACTS, MUTUAL FUNDS, AND ALTERNATIVE INVESTMENTS AT FAIRVALUE IN THE FINANCIAL STATEMENTS AND THE TAX RETURN IN ACCORDANCE WITHFINANCIAL ACCOUNTING STANDARDS BOARD, ASC 820, FAIR VALUE MEASUREMENTS.
GeneralExplanationAttachment/GeneralExplanationGrp/MediumExplanationTxt2(CONTINUED) THIS POPULATION INCLUDES UNINSURED PATIENTS, PATIENTS AT OR BELOW 150% OF POVERTY LEVELS, PATIENTS WITH HIGH HEALTH CARE SPENDING (E.G., TOP 10%), AND IMPOVERISHED OR OTHERWISE VULNERABLE OR DISADVANTAGED PATIENTS SUCH AS THE DISABLED, THE FRAIL ELDERLY, AND THOSE WITH MULTIPLE CHRONIC CONDITIONS.
GeneralExplanationAttachment/GeneralExplanationGrp/MediumExplanationTxt3(CONTINUED) THIS POPULATION INCLUDES UNINSURED PATIENTS, PATIENTS AT OR BELOW 150% OF POVERTY LEVELS, PATIENTS WITH HIGH HEALTH CARE SPENDING (E.G., TOP 10%), AND IMPOVERISHED OR OTHERWISE VULNERABLE OR DISADVANTAGED PATIENTS SUCH AS THE DISABLED, THE FRAIL ELDERLY, AND THOSE WITH MULTIPLE CHRONIC CONDITIONS.
GeneralExplanationAttachment/GeneralExplanationGrp/MediumExplanationTxt4ANNUAL REPORT 4/10/20, ANNUAL AUDIT 4/22/20, WEEKLY REPORTS TO THE BOARD OF DIRECTORS.
GeneralExplanationAttachment/GeneralExplanationGrp/MediumExplanationTxt5ANNUAL REPORT 4/10/20, ANNUAL AUDIT 4/22/20, ANNUAL BUDGET 4/9/19, WEEKLY REPORTS TO THE BOARD OF DIRECTORS.
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InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt401350000
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt414966
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt42542247
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt432155759
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt441688139
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt451802400
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt46405716
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt47790311
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt48311339
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt49235745
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InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt542584260
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt5559400
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InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt57299360
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/EOYFMVAmt582802379
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm0AGNC INVT CORP. COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm1ANNALY CAPITAL MANAGEMENT, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm2BANCO LATINOAMERICANO EXPORT CMN CLASS E
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm3BARRICK GOLD COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm4BROOKDALE SENIOR LIVING, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm5CAUTIVO MINING INC COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm6CENTURYLINK INC COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm7CHIMERA INVESTMENT CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm8CISCO SYSTEMS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm9COMCAST CORPORATION CMN CLASS A NON VOTING
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm10ELLINGTON RESIDENTIAL MORT. REIT CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm11EQUUS TOTAL RETURN INC
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm12EXCHANGE BK SANTA ROSA CALIF CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm13EXELON CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm14FIDUS INVESTMENT CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm15FS KKR CAPITAL CORP
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm16GENERAL ELECTRIC CO. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm17GENERAL MOTORS COMPANY CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm18GOLDMAN SACHS GROUP, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm19GOLUB CAPITAL BDC INC
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm20GRANITE PT MTG TR INC COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm21ISTAR FINANCIAL INC. PFD 7.5% SERIES I
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm22KINDER MORGAN INC CMN CLASS P
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm23LARGO RESOURCES COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm24LARGO RESOURCES LTD COMMON STOCK
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm25MAINGATE MLP FUND
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm26MEDLEY CAPITAL CORPORATION CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm27MFA FINANCIAL, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm28MFC ALPS ETF TR ALERIAN MLP ETF
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm29MLP ENERGY TRANSFER PARTNERS LP
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm30MONDELEZ INTERNATIONAL, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm31MOTORS LIQUIDATION COMPANY GUC TRUST
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm32MVC CAPITAL, INC. CLOSED END FUND
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm33NEW MOUNTAIN FINANCE CORP. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm34NSTAR ELEC CO PFD 4.25%
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm35NUSTAR ENERGY LP PFD SER C
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm36OAKTREE SPECIALTY LENDING CORP COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm37OAKTREE STRATEGIC INCOME CORP COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm38PENNANTPARK FLOATING RATE CAT LTD
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm39PENNANTPARK INVESTMENT CORP. MUTUAL FUND
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm40REVERSE MORTGAGE INVESTMENT TR INC COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm41SEADRILL LTD
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm42SIERRA METALS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm43SOLAR CAPITAL LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm44SOLAR SENIOR CAPITAL LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm45STARWOOD PROPERTY TRUST INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm46SUTHERLAND ASSET MANAGEMENT CORPORA COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm47SYNCHRONY FINANCIAL CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm48TCG BDC INC COM
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm49TCP CAP CORP
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm50TETRAGON FINANCIAL GROUP LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm51THL CREDIT INC CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm52TRANSATLANTIC PETROLEUM LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm53TRANSOCEAN LTD. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm54TWO HARBORS INVESMENT CORP
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm55VALE SA ADR
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm56WABTEC CORP
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm57ZIMMER HLDGS, INC. CMN
InvestmentsCorpStockSchedule/InvestmentsCorporateStockGrp/StockNm58ZOETIS, INC. CMN CLASS A
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InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt11157178
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InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt2645780
InvestmentsOtherSchedule2/InvestmentsOtherGrp/BookValueAmt27465287
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InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt2DIALECTIC ANTITHESIS OFF
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt3ELM PARK CREDIT III
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt4ELM PARK CREDIT OPP FUND II
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt5EMERGING EUROPE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt6ETON PARK OVERSEAS FUND
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt7FORTRESS MSR
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt8GCP FUND III REIT & CORP
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt9GCP FUND IV REIT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt10GS MEZZANINE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt11GS MIDDLE MARKET LENDING CORP
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt12INVESCO MORTG RECOVERY
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt13KAYNE ANDERSON RE DEBT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt14KAYNE RENEWABLE OPPORTUNITIES
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt15LARGO RES LTD WARRANT CERT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt16MARATHON EUROPEAN CREDIT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt17MARTIS PARTNERS III
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt18NEWLAKE REIT
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt19OAKTREE RE DEBT FUND CAYMAN
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt20OAKTREE RE DEBT II FEED CAYMAN
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt21OHA EUROPEAN SCF OFFSHORE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt22OLEA SPECIAL OPP
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt23PENNANTPARK SENIOR CREDIT CAYMAN
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt24PONDFIELD CAPITAL, LLC
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt25SCG ATLAS
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt26SKELLIG OFFSHORE
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt27STARWOOD OPPORTUNITY FUND
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt28TACONIC CRE DISLOCATION
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt29TACONIC EUROPEAN FUND II
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt30TACONIC SIDECAR OFFSHORE III
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt31TAIGA SPECIAL OPP
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt32VWH OFFSHORE FUND LP
InvestmentsOtherSchedule2/InvestmentsOtherGrp/CategoryOrItemTxt33XPV WATER FUND
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt0594944
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt11157178
InvestmentsOtherSchedule2/InvestmentsOtherGrp/EOYFMVAmt2362463
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InvestmentsOtherSchedule2/InvestmentsOtherGrp/ListedAtCostOrFMVCd32FMV
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Filings

Displayed year

2019 • Form 990PFDetailed filing. Detailed filing data is available for this year.

Open filing
Assets
$145,102,325
Liabilities
$2,107,148
Net assets
$142,995,177
Revenue
$15,029,377
Expenses
$14,835,248
Net income
$194,129
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
2019Detailed filing. Detailed filing data is available for this year.$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