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CANYON RD BURLINGAME CA 94010 RESEARCH PROJECT 336738 WEST MANAGEMENT COMPANY INC 15 EMBARCADERO COVE OAKLAND CA 94606 PROFESSIONAL AND MANAGERIAL SERVICES 247293 MATHEMATICA POLICY RESEARCH INC PO BOX 2393 PRINCETON NJ 08543 RESEARCH PROJECT 123112 KAREN BACERRA DDS 1525 4TH AVE SAN DIEGO CA 92101 DENTAL PROJECT 117500 0 A MULTI-DIMENSIONAL RESEARCH PROJECT TO: 1) CREATE A MODEL FOR CARE COORDINATION AT A LOW-INCOME SENIOR WELLNESS CENTER BETWEEN VARIOUS CO-LOCATED NON-PROFITS AND PRIMARY CARE PHYSICIANS; 2) USE THE COORDINATED SYSTEM TO RESEARCH IMPACT OF PARTICIPATING SERVICES ON THE HEALTH OUTCOMES ON SENIORS, 3) FINDINGS MAY BE USED TO REPLICATE SIMILAR SERVICE MODELS IN OTHER COMMUNITIES. 334625 AN INITIAL RESEARCH STUDY TO EVALUATE CO-LOCATED, MULTI-DIMENSIONAL SENIOR SERVICES ON HEALTH CARE UTILIZATION AND COSTS. 123763 RESEARCH PROJECT TO ASSESS THE SENIOR ORAL HEALTHCARE LANDSCAPE IN ORDER TO TARGET FUNDING AND POLICY PRIORITIES. 35010 EDUCATIONAL EVENTS AT SENIOR WELLNESS CENTER. 4953 0 112040353 14055962 3131711 129228026 0 0 129228026 1938420 127289606 6364480 6364480 141371 141371 6223109 0 6223109 0 6223109 10169809 0 10169809 0 10169809 6223109 0 0 18238481 15081824 16091591 12115073 19573324 81100293 10169809 0 0 0 6223109 3946700 0 0 85046993 0 0 0 0 0 0 18238481 66808512 15081824 16091591 12115073 19573324 3946700 GARY L WEST MARY E WEST GARY L WEST MARY E WEST X CANINE COMPANIONS FOR INDEPENDENCE 124 RANCHO DEL ORO DRIVE OCEANSIDE CA 92057 NONE PC TO SUPPORT THE DEVELOPMENT AND EXPANSION OF THE MILITARY VETERANS PROJECT. 50000 CENTER FOR MEDICAL INTEROPERABILITY 618 CHURCH STREET 220 NASHVILLE TN 37219 NONE PC TO SUPPORT THE START-UP OF THE CENTER FOR MEDICAL INTEROPERABILITY. 1509835 CHALLENGE CENTER 5540 LAKE PARK WAY LA MESA CA 91942 NONE PC TO SUPPORT THE CAPACITY BUILDING PROJECT. 20000 CHALLENGE CENTER 5540 LAKE PARK WAY LA MESA CA 91942 NONE PC TO SUPPORT THE HEALTH, WELLNESS, AND INDEPENDENCE PROGRAM FOR SENIORS. 25000 CREIGHTON UNIVERSITY PO BOX 30282 OMAHA NE 68103 NONE PC TO SUPPORT GENERAL OPERATIONS. 10000 CREIGHTON UNIVERSITY PO BOX 30282 OMAHA NE 68103 NONE PC TO SUPPORT GENERAL OPERATIONS. 5000 FIRST RESPONDERS FOUNDATION 14916 MIAMI STREET OMAHA NE 68116 NONE PC TO SUPPORT THE REPLACEMENT OF TWO RETIRING K9 UNITS IN THE OMAHA POLICE DEPARTMENT AND AN OBSTACLE COURSE FOR THE GARY AND MARY WEST REGIONAL CANINE TRAINING FACILITY. 38000 GARY AND MARY WEST HEALTH POLICY CENTER INC 1909 K STREET NW SUITE 730 WASHINGTON DC 20006 NONE POF TO SUPPORT THE EXPENSES THE WEST HEALTH POLICY CENTER INCURS IN CARRYING OUT ITS CHARITABLE, EDUCATIONAL AND SCIENTIFIC PURPOSES. 3885878 GARY AND MARY WEST SENIOR DENTAL CENTER INC 1525 4TH AVENUE SAN DIEGO CA 92101 NONE PC GENERAL OPERATING GRANT FOR START-UP OF THE GARY AND MARY WEST SENIOR DENTAL CENTER, INC. 292189 GARY AND MARY WEST SENIOR DENTAL CENTER INC 1525 4TH AVENUE SAN DIEGO CA 92101 NONE PC CAPITAL GRANT FOR THE PURCHASE OF DENTAL RELATED EQUIPMENT FOR THE GARY AND MARY WEST SENIOR DENTAL CENTER, INC. 377015 GARY AND MARY WEST SENIOR DENTAL CENTER INC 1525 4TH AVENUE SAN DIEGO CA 92101 NONE PC TO SUPPORT START UP ACTIVITIES. 231256 GIFFORD MEDICAL CENTER INC PO BOX 2000 RANDOLPH VT 05060 NONE PC TO SUPPORT THE ASSISTED LIVING CAPITAL PROJECT IN THE RANDOLPH CENTER. 10000 HOME INSTEAD SENIOR CARE FOUNDATION 13323 CALIFORNIA STREET OMAHA NE 68154 NONE PC TO SUPPORT THE GIVING TUESDAY CAMPAIGN. 5000 INTERCULTURAL SENIOR CENTER 3010 R STREET OMAHA NE 68107 NONE PC TO SUPPORT A CHALLENGE GRANT FOR ISC'S PROGRAM DIRECTOR/SOCIAL WORKER POSITION. 15000 INVEST FOR KIDS INC 875 NORTH MICHIGAN AVENUE SUITE 3400 CHICAGO IL 60611 NONE PC TO SUPPORT GENERAL OPERATIONS. 1000 JEWISH NATIONAL FUND 60 REVERE DRIVE 840 NORTHBROOK IL 60062 NONE PC TO SUPPORT GENERAL OPERATIONS. 1000 JEWISH UNITED FUND OF METROPOLITAN CHICAGO 30 S WELLS STREET CHICAGO IL 60606 NONE PC TO SUPPORT GENERAL OPERATIONS. 3000 LEGAL AID SOCIETY OF SAN DIEGO INC 110 SOUTH EUCLID AVENUE SAN DIEGO CA 92114 NONE PC TO SUPPORT THE HEALTH ADVOCACY PROJECT AND CYBER CAFE AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER. 286000 LEGAL AID SOCIETY OF SAN DIEGO INC 110 SOUTH EUCLID AVENUE SAN DIEGO CA 92114 NONE PC TO SUPPORT THE REPLACEMENT OF COMPUTERS IN THE CYBER CAFE (COMPUTER LAB) AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER. 15866 LONG-TERM QUALITY ALLIANCE 1233 20TH STREET NW SUITE 303 WASHINGTON DC 20036 NONE PC TO SUPPORT A MATCHING GRANT ADVANCING PERSON-CENTERED INTEGRATION OF LONG TERM SUPPORT SERVICES AND HEALTH CARE. 200000 MEALS ON WHEELS ASSOCIATION OF AMERICA 1550 CRYSTAL DRIVE SUITE 1004 ARLINGTON VA 22202 NONE PC TO SUPPORT THE MORE THAN A MEAL PHASE II - MEDICARE CLAIMS ANALYSIS STUDY. 100000 MERRYMAKERS ASSOCIATION 12020 SHAMROCK PLAZA SUITE 200 OMAHA NE 68154 NONE PC TO SUPPORT THE SENIOR MUSIC PROJECT. 10000 NETWORK FOR GOOD 1140 CONNECTICUT AVENUE NW 700 WASHINGTON DC 20036 NONE PC TO SUPPORT GENERAL OPERATIONS. 250 NORTH COUNTY TRADE TECH HIGH SCHOOL 1126 N MELROSE DRIVE VISTA CA 92083 NONE PC SCIENTIFIC & COMPUTER EQUIPMENT DONATED TO NORTH COUNTY TRADE TECH HIGH. 10314 OMAHA COMMUNITY FOUNDATION 302 SOUTH 36TH STREET SUITE 100 OMAHA NE 68131 NONE POF TO SUPPORT GENERAL OPERATIONS. 2500 OMAHA COMMUNITY FOUNDATION 302 SOUTH 36TH STREET SUITE 100 OMAHA NE 68131 NONE POF TO SUPPORT GENERAL OPERATIONS. 5000 OMAHA COMMUNITY FOUNDATION 302 SOUTH 36TH STREET SUITE 100 OMAHA NE 68131 NONE POF TO SUPPORT GENERAL OPERATIONS. 7500 OMAHA COMMUNITY FOUNDATION 302 SOUTH 36TH STREET SUITE 100 OMAHA NE 68131 NONE PC TO SUPPORT GENERAL OPERATIONS. 1000 PAWS'ITIVE TEAMS 7031 CARROLL ROAD SAN DIEGO CA 92121 NONE PC TO SUPPORT THE EXECUTIVE DIRECTOR'S SALARY. 25000 PLAYWRIGHTS PROJECT 3675 RUFFIN ROAD SAN DIEGO CA 92123 NONE PC TO SUPPORT GENERAL OPERATIONS. 5000 REBUILDING TOGETHER OMAHA 2316 SOUTH 24TH STREET OMAHA NE 68108 NONE PC TO SUPPORT THE NEW EXECUTIVE DIRECTOR AND THE DEVELOPMENT OF AN EFFECTIVE FUNDRAISING PROGRAM. 75000 REBUILDING TOGETHER OMAHA 2316 SOUTH 24TH STREET OMAHA NE 68108 NONE PC TO SUPPORT THE HEALTHY AT HOME AND ROOF AND REPAIR PROGRAMS. 50000 SAN DIEGO PUBLIC LIBRARY FOUNDATION 395 11TH AVENUE SAN DIEGO CA 92101 NONE PC SCIENTIFIC & COMPUTER EQUIPMENT DONATED TO E3 CIVIC HIGH. 12862 SAN DIEGO REGIONAL ECONOMIC DEVELOPMENT FOUNDATION 530 B STREET 7TH FLOOR SAN DIEGO CA 92101 NONE PC TO SUPPORT THE RESEARCH INSTITUTIONS STUDY. 25000 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT A SIX MONTH CAPACITY BUILDING GRANT FOR PHASE II OF THE COORDINATED CARE INITIATIVE. 80375 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC CHALLENGE GRANT TO SUPPLEMENT THE GENERAL OPERATING GRANT FOR FY 2016. 200000 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT GENERAL OPERATIONS FOR FY16 AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER. 209500 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT DESIGN AND CONSULTING TO ADVANCE THE DEVELOPMENT OF A DENTAL CLINIC AT GARY AND MARY WEST SENIOR WELLNESS CENTER. 5000 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC CAPITAL GRANT FOR THE CONSTRUCTION AND TENANT IMPROVEMENT OF THE GARY AND MARY WEST SENIOR WELLNESS CENTER FOR THE LAUNCHING OF THE GARY AND MARY WEST SENIOR DENTAL CENTER, INC. 525000 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT THE CARE COORDINATOR POSITION. 37500 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC GARY AND MARY WEST SENIOR WELLNESS CENTER FY15 GENERAL OPERATING SUPPORT. 112500 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC CHALLENGE GRANT TO SUPPLEMENT THE GENERAL OPERATING GRANT FOR FY 2015. 99445 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT A MATCHING GRANT FOR HIDDEN HUNGRY CAMPAIGN TO BENEFIT SERVING SENIORS. 5245 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT MEDIA UPGRADES TO IMPROVE THE AUDIO AND VISUAL EXPERIENCE IN THE DINING ROOM, GATHERING SPACE, AND LIFE LONG LEARNING ROOM AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER. 19590 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC FURNITURE DONATION TO SERVING SENIORS. 12060 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC HEALTH SCREENING SUPPLIES DONATED TO SERVING SENIORS. 11045 UNIVERSITY OF ILLINOIS FOUNDATION 515 EAST GREGORY DRIVE CHAMPAIGN IL 61820 NONE PC TO SUPPORT GENERAL OPERATIONS OF THE UNIVERSITY OF ILLINOIS COLLEGE OF BUSINESS. 10000 VOLUNTEERS ASSISTING SENIORS 1941 SOUTH 42ND STREET SUITE 312 OMAHA NE 68105 NONE PC TO SUPPORT THE MEDICARE COUNSELING, PROPERTY TAX RELIEF, AND GUARDIAN & CONSERVATOR TRAINING PROGRAMS. 20000 YMCA OF GREATER OMAHA 430 SOUTH 20TH STREET OMAHA NE 68102 NONE PC TO SUPPORT THE MEDICALLY BASED WELLNESS PROGRAMS FOR SENIORS. 25000 8682725 CHALLENGE CENTER 5540 LAKE PARK WAY LA MESA CA 91942 NONE PC TO SUPPORT THE HEALTH, WELLNESS, AND INDEPENDENCE PROGRAM FOR SENIORS. 25000 ELDERHELP OF SAN DIEGO 3860 CALLE FORTUNADA 101 SAN DIEGO CA 92123 NONE PC TO SUPPORT STRATEGIC PLANNING AND CAPACITY BUILDING. 15000 LEGAL AID SOCIETY OF SAN DIEGO INC 110 SOUTH EUCLID AVENUE SAN DIEGO CA 92114 NONE PC TO SUPPORT THE HEALTH ADVOCACY PROJECT AND CYBER CAFE AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER. 100000 MEALS ON WHEELS ASSOCIATION OF AMERICA 1550 CRYSTAL DRIVE SUITE 1004 ARLINGTON VA 22202 NONE PC TO SUPPORT THE MORE THAN A MEAL PHASE II MEDICARE CLAIMS ANALYSIS STUDY. 100000 REBUILDING TOGETHER OMAHA 2316 SOUTH 24TH STREET OMAHA NE 68108 NONE PC TO SUPPORT THE HEALTHY AT HOME AND ROOF AND REPAIR PROGRAMS. 50000 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT GENERAL OPERATIONS FOR FY16 AT THE GARY AND MARY WEST SENIOR WELLNESS CENTER. 209500 SERVING SENIORS 525 14TH STREET SUITE 200 SAN DIEGO CA 92101 NONE PC TO SUPPORT THE CARE COORDINATOR POSITION. 37500 UC SAN DIEGO FOUNDATION 9800 GILMAN DRIVE LA JOLLA CA 92093 NONE PC TO SUPPORT THE THE BUILDING OF THE GARY AND MARY WEST SENIOR EMERGENCY DEPARTMENT AT UC SAN DIEGO HEALTH, LA JOLLA. 3000000 3537000 14 6360392 14 182840 18 1523918 0 8067150 0 8067150 0 0 0 0 0 0 0 0 0 0 X X 1 WEST FAMILY HOLDINGS LLC 5796 ARMADA DRIVE SUITE 300 CARLSBAD CA 92008 35000 X 2 GARY L WEST 2013 DE TRUST 5796 ARMADA DRIVE SUITE 300 CARLSBAD CA 92008 353804 X 3 MARY E WEST 2013 DE TRUST 5796 ARMADA DRIVE SUITE 300 CARLSBAD CA 92008 353804 X 4 WEST DEVELOPMENT LLC 5796 ARMADA DRIVE SUITE 300 CARLSBAD CA 92008 11920 X 5 WEST HEALTH INSTITUTE 10350 N TORREY PINES RD LA JOLLA CA 92037 34222 X 6 WEST DEVELOPMENT LLC 5796 ARMADA DRIVE SUITE 300 CARLSBAD CA 92008 11920 X 4 FREE RENT FOR MAY. 11920 2015-05-31 5 DONATED MISCELLANEOUS EQUIPMENT 34222 2015-12-31 6 FREE RENT FOR JUNE. 11920 2015-06-30 ACCOUNTING FEES 41125 32900 0 8225 GARY AND MARY WEST HEALTH POLICY CENTER INC (EIN 27-5388874) 1909 K STREET NW SUITE 730 WASHINGTON DC 20006 2015-01-27 3803721 TO 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 2015 WAS $3,803,721. THE AMOUNT DISTRIBUTED BY THE GARY AND MARY WEST FOUNDATION WAS $3,885,878. THE ADDITIONAL $82,157 OF FUNDS DISTRIBUTED BY THE GARY AND MARY WEST FOUNDATION WAS IN EXCESS OF NECESSARY FUNDS AND WAS RETURNED TO THE FOUNDATION IN 2016. 3803721 TO THE KNOWLEDGE OF THE GRANTOR, NO FUNDS HAVE BEEN DIVERTED. MIDTERM 07/30/2015, FINAL 01/28/16. MONTHLY EXPENSE REPORTS RECEIVED. THE 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. FORM 990-PF; PART VII-B; QUESTION 1A(4) WEST FAMILY INVESTMENTS, INC. PROVIDED INVESTMENT MANAGEMENT SERVICES TO THE GARY AND MARY WEST FOUNDATION DURING 2015 FOR A MARKET BASED FEE. WEST FAMILY INVESTMENTS, INC. IS MAJORITY OWNED 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 2015 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).THROUGH JUNE 2015, THE FOUNDATION'S AND WEST DEVELOPMENT'S OFFICES WERE CO-LOCATED FOR UTILITIES AND CONNECTIVITY SERVICES. DURING 2015 AND 2014, THE FOUNDATION BILLED WEST DEVELOPMENT ON A PRO-RATA BASIS FOR ITS SHARE OF THE UTILITIES AND CONNECTIVITY SERVICES WHICH TOTALED $37,409 AND $65,640, RESPECTIVELY. AS OF DECEMBER 31, 2015 AND 2014, $23,375 AND $703 WERE OUTSTANDING IN ACCOUNTS PAYABLE AND ACCRUED EXPENSES, RESPECTIVELY, AND $1,843 AND $5,131 WERE OUTSTANDING IN RECEIVABLES, RESPECTIVELY. IN 2015, THE FOUNDATION RECEIVED TWO MONTHS OF FREE RENT FROM WEST DEVELOPMENT WITH A FAIR VALUE TOTALING $23,840. THIS AMOUNT IS INCLUDED IN CONTRIBUTION INCOME AND FACILITIES AND EQUIPMENT EXPENSE IN THE STATEMENT OF ACTIVITIES. THIS IS EXCEPTED FROM SELF-DEALING BY IRC SECTION 4941(D). PART XV QUESTION 1B GARY WEST AND MARY WEST COLLECTIVELY OWN 10% OR MORE OF PASSIVE INVESTMENT PARTNERSHIPS. 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CMN 3989963 3989963 CHIMERA INVESTMENT CORPORATION CMN 11565697 11565697 CHINA FLAVORS & FRAGRANCES COMPANY LTD CMN 0 0 CISCO SYSTEMS, INC. CMN 2715500 2715500 COMCAST CORPORATION CMN CLASS A NON VOTING 3385800 3385800 CONN LT & PWR SER 1949 PFD STK CALL 03/01/90 @50.50 0 0 CYS INVESTMENTS, INC. CMN 2282762 2282762 ELLINGTON RESIDENTIAL MORT. REIT CMN 17698 17698 EMC CORPORATION MASS CMN 1027200 1027200 ENERGY TRANSFER PARTNERS, LP CMN 119640 119640 EPR PROPERTIES CMN 128590 128590 ESSENT GROUP LTD. CMN 0 0 EXCHANGE BK SANTA ROSA CALIF CMN 595584 595584 EXELON CORPORATION CMN 499860 499860 FIDUS INVESTMENT CORPORATION CMN 846247 846247 FS INVT CORP MUTUAL FUND 189689 189689 GENERAL ELECTRIC CO. CMN 655614 655614 GENERAL GROWTH PROPERTIES, INC. CMN 380233 380233 GENERAL MOTORS COMPANY CMN 856304 856304 GOLDMAN SACHS BDC, INC. CLOSED ENDED FUND 988000 988000 GOLDMAN SACHS GROUP, INC. CMN 3424370 3424370 HERCULES CAPITAL, INC. 251114 251114 HOME LN SERVICING SOLUTIONS LT. CMN 0 0 HORIZON TECHNOLOGY FINANCE CORPORATION CMN 350481 350481 INTREPID POTASH, INC. CMN 5310 5310 INVESCO MORTGAGE CAPITAL, INC. CMN 208833 208833 ISTAR FINANCIAL INC. PFD 7.5% SERIES I CALLABLE 3/1/09 169682 169682 ISTAR FINANCIAL INC. PFD USD 1.9500(7.80%) SERIES F 94710 94710 KBR, INC. CMN 50760 50760 KINDER MORGAN INC CMN CLASS P 41776 41776 KRAFT FOODS GROUP, INC. CMN 0 0 KRAFT HEINZ CO CMN 12078 12078 LEVEL 3 COMMUNICATIONS, INC. CMN 9631070 9631070 MEDLEY CAPITAL CORPORATION CMN 612624 612624 MFA FINANCIAL, INC. CMN 1922712 1922712 MONDELEZ INTERNATIONAL, INC. CMN 896800 896800 MOTORS LIQUIDATION COMPANY GUC TRUST 36841 36841 MVC CAPITAL, INC. CLOSED END FUND 755506 755506 NEW MEDIA INVESTMENT GROUP, INC. CMN 16852 16852 NEW MOUNTAIN FINANCE CORP. CMN 1775941 1775941 NEW RESIDENTIAL INVESTMENT CORP. CMN 194560 194560 NEW SENIOR INVESTMENT GRP, INC. CMN 19720 19720 NEWCASTLE INVESTMENT CORPORATION CMN 8160 8160 NEWTEK BUSINESS SVCS CORPORATION CMN 642556 642556 NSTAR ELEC CO PFD 4.25% 705000 705000 NSTAR ELECTRIC COMPANY PFD USD4.2500(4.25%) 0 0 PENNANTPARK FLOATING RATE CAT LTD 609401 609401 PENNANTPARK INVESTMENT CORP. MUTUAL FUND 1077885 1077885 PETROLEO BRASILEIRO S.A. - PETROBRAS SPONSORED ADR CMN 0 0 PFIZER, INC. CMN 2271608 2271608 REDDY ICE HOLDINGS, INC. CMN 24044 24044 REDDY ICE HOLDINGS, INC. CONV PFD USD0.0000 CLASS A 39569 39569 REGENCY ENERGY PARTNERS, LP CMN LTD PARTNER INTERESTS 0 0 SANDRIDGE ENERGY, INC. CMN 0 0 SIERRA METALS, INC. CMN 215967 215967 SILVER BAY REALTY TRUST CORP. CMN 78519 78519 SO.CALIF.EDISON 4.24% PFD 564000 564000 SOLAR CAPITAL LTD. CMN 1717707 1717707 SOLAR SENIOR CAPITAL LTD. CMN 1089011 1089011 STARWOOD PROPERTY TRUST INC. CMN 1079441 1079441 STARWOOD WAYPOINT RESIDENTIAL TRUST CMN 126558 126558 SYNCHRONY FINANCIAL CMN 1123558 1123558 TCP CAP CORP 593195 593195 TETRAGON FINANCIAL GROUP LTD. CMN 605392 605392 THL CREDIT INC CMN 644611 644611 TOTAL SA SPONSORED ADR CMN 62930 62930 TRANSATLANTIC PETROLEUM LTD. CMN 76128 76128 TRANSOCEAN LTD. CMN 205508 205508 TRAVELCENTERS OF AMERICA, LLC CMN 0 0 TWO HARBORS INVESTMENT CORP. CMN 1197269 1197269 URANIUM PARTICIPATION CORPORATION CMN 0 0 VALE SA ADR 14805 14805 WASHINGTON GAS LT CO PFD USD4.2500(4.25%) 0 0 ZAIS FINL CORP. CMN 62642 62642 ZIMMER HLDGS, INC. CMN 205180 205180 ZOETIS, INC. CMN CLASS A 1014658 1014658 ARENA-PLASTIC VENTURES FMV 933225 933225 ARIAS RESOURCE CAPITAL FMV 368590 368590 BLUE RIVER ARBITRAGE FMV 2718394 2718394 CONATUS CAPITAL OVERSEAS FMV 1681668 1681668 CUMBERLAND BENCHMARKED FMV 0 0 DIALECTIC ANTITHESIS OFF FMV 639215 639215 EMERGING EUROPE FMV 672044 672044 EQUITY AND INDEX OPTION CONTRACTS FMV 0 0 ETON PARK OVERSEAS FUND FMV 2688800 2688800 FORTRESS LIFE SETTLEMENTS FMV 518789 518789 FORTRESS MSR FMV 746660 746660 GCP FUND III REIT & CORP FMV 3762267 3762267 GCP FUND IV REIT FMV 103215 103215 GLOBAL PARTNERS FMV 1726510 1726510 GS ANCHORAGE FMV 97034 97034 GS LIBERTY HARBOR FMV 237 237 GS MEZZANINE FMV 453549 453549 INVESCO MORTG RECOVERY FMV 446711 446711 L&B ONSHORE FUND FMV 533660 533660 MARATHON EUROPEAN CREDIT FMV 337090 337090 OAKTREE RE DEBT FUND CAYMAN FMV 151178 151178 OHA EUROPEAN SCF OFFSHORE FMV 653642 653642 OHA SCF PARALLEL FMV 756433 756433 PASSPORT MATERIAL FMV 10410 10410 PONDFIELD CAPITAL, LLC FMV 2020282 2020282 SENATOR SIDECAR OFFSHORE FMV 29287 29287 SILVER POINT FMV 0 0 SKELLIG OFFSHORE FMV 54590 54590 STARWOOD OPPORTUNITY FUND FMV 143034 143034 SUMMIT WATER DEVELOPMENT FMV 805028 805028 SUTHERLAND ASSET MANAGEMENT CORPORATION CMN REIT FMV 537500 537500 VIRGO-WALNUT FMV 553436 553436 WTS/GENERAL MOTORS COMPANY 10.0000 EXP 07/10/2016 FMV 6534 6534 WTS/GENERAL MOTORS COMPANY 18.3300 EXP 07/10/2019 FMV 4384 4384 XPV WATER FUND FMV 1034505 1034505 FURNITURE & EQUIPMENT 274775 35699 239076 239076 COMPUTER EQUIPMENT 137622 61151 76471 76471 LEASEHOLD IMPROVEMENTS 533207 43222 489985 489985 LEGAL FEES 48454 0 0 47611 SECURITY DEPOSIT 25991 15096 15096 INTEREST RECEIVABLE 41932 190495 190495 DIVIDENDS RECEIVABLE 824287 950912 950912 PARTNERSHIP DISTRIBUTION RECEIVABLE 29200 1022908 1022908 STARWOOD OPPORTUNITY FUND X -3044 0 0 ELM PARK CREDIT OPP FUND II 0 -5204 -5204 UNREALIZED LOSS ON INVESTMENTS 10013535 UNREALIZED LOSS ON FOREIGN CURRENCY 7 GRANTEE PROJECT EXPENSES 627474 0 0 498351 COMPUTER EXPENSE 45026 11256 0 35056 DUES & SUBSCRIPTIONS 23785 0 0 24598 INSURANCE 18094 6562 0 12220 TELEPHONE 13494 3374 0 6056 SUPPLIES 13471 3368 0 9870 IT SUPPORT 6901 1725 0 5879 FEES 3901 975 0 2477 MINOR FURNITURE & EQUIPMENT 4691 1173 0 3518 POSTAGE 2108 527 0 1668 MISCELLANEOUS EXPENSES 2094 524 0 1731 PARTNERSHIP INCOME 185730 185730 0 LEGAL SETTLEMENT INCOME 15348 15348 0 FOREIGN CURRENCY LOSS -18238 -18238 0 LIABILITIES UNDER OPTION CONTRACTS 135058 27960 INVESTMENT FEES 579446 579446 0 0 PROFESSIONAL AND MANAGERIAL SERVICES 232485 13590 0 188189 FEDERAL EXCISE TAX 141338 0 0 0 PAYROLL TAXES 37552 13619 0 23347 USE TAX 194 49 0 145 OTHER TAXES 1468 367 0 1101