-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Gl/YZDXF6PjOiIsPCkypXjzZTjLQZnKg/4eXzc821qkENICDy8ln4Gnyb4CC+7SL H5yc2WqI0f4xJbOxQ24tDA== 0001135428-11-000062.txt : 20110204 0001135428-11-000062.hdr.sgml : 20110204 20110204141406 ACCESSION NUMBER: 0001135428-11-000062 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110204 DATE AS OF CHANGE: 20110204 EFFECTIVENESS DATE: 20110204 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WATER ISLAND CAPITAL LLC CENTRAL INDEX KEY: 0001222765 IRS NUMBER: 134100544 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10693 FILM NUMBER: 11573922 BUSINESS ADDRESS: STREET 1: 650 FIFTH AVENUE STREET 2: 6TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-259-2656 MAIL ADDRESS: STREET 1: 650 FIFTH AVENUE, 6 FL CITY: NEW YORK STATE: NY ZIP: 11215 13F-HR 1 waterisland_13f.txt FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2010 Check here if Amendment [X]; Amendment Number: 1 This Amendment (Check one only): [X] is a restatement [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Water Island Capital, LLC Address: 41 Madison Avenue New York, New York 10010 Form 13F File Number: 28-10693 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Matthew Hemberger Title: Chief Compliance Officer Phone: (212) 584-2367 Signature, Place, and Date of Signing: /s/ Matthew Hemberger New York, New York 2/2/2011 - ------------------------- ------------------ -------- [Signature] [City, State] [Date] Report Type: (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 66 Form 13F Information Table Value Total: $ 1,621,412 (thousands) List of Other Included Managers: NONE
FAIR MARKET SHARES OR VOTING AUTHORITY TITLE OF CUSIP VALUE PRINCIPAL SH/ PUT/ INVESTMENT OTHER ---------------- NAME OF ISSUER CLASS NUMBER (000'S) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- -------- ------ ----------- --------- --- ---- ---------- -------- ---- ------ ----- ALCON INC COM SHS H01301102 120561 737830 SH SOLE 737830 TTI TEAM TELECOM INTL LTD COM M88258104 1954 671582 SH SOLE 671582 VOLTAIRE LTD ORD SHS M97601120 12441 1438220 SH SOLE 1438220 EURAND N V SHS N31010106 30611 2587568 SH SOLE 2587568 VERIGY LTD SHS Y93691106 835 64152 SH SOLE 64152 AIRGAS INC COM 009363102 53702 859786 SH SOLE 859786 AIRGAS INC COM 009363102 245 8154 SH PUT SOLE 8154 AIRGAS INC COM 009363102 1055 1000 SH PUT SOLE 1000 ALBERTO CULVER CO NEW COM 013078100 98680 2664156 SH SOLE 2664156 ALLEGHENY ENERGY INC COM 017361106 77313 3189487 SH SOLE 3189487 ALLIED DEFENSE GROUP COM 019118108 1334 398319 SH SOLE 398319 APPLIED SIGNAL TECHNOLOGY IN COM 038237103 30131 795216 SH SOLE 795216 ART TECHNOLOGY GROUP INC COM 04289L107 26569 4443022 SH SOLE 4443022 AVON PRODS INC COM 054303102 14 500 SH SOLE 500 BP PLC SPONS ADR 055622104 10 30 SH CALL SOLE 30 BMP SUNSTONE CORP COM 05569C105 18338 1850495 SH SOLE 1850495 BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 3 100 SH SOLE 100 BUCYRUS INTL INC NEW COM 118759109 85258 953672 SH SOLE 953672 CADENCE FINL CORP COM 12738A101 499 202655 SH SOLE 202655 CAPITAL GOLD CORP COM NEW 14018Y205 5068 999539 SH SOLE 999539 CELLDEX THERAPEUTICS INC NEW COM 15117B103 321 77798 SH SOLE 77798 CNA SURETY CORP COM 12612L108 11003 464672 SH SOLE 464672 CPI INTERNATIONAL INC COM 12618M100 14375 742877 SH SOLE 742877 COMM BANCORP INC COM 200468106 57 1304 SH SOLE 1304 COMMSCOPE INC COM 203372107 68332 2188724 SH SOLE 2188724 COMPELLENT TECHNOLOGIES INC COM 20452A108 6783 245874 SH SOLE 245874 CYPRESS BIOSCIENCES INC COM PAR $.02 232674507 8293 1279752 SH SOLE 1279752 DEL MONTE FOODS CO COM 24522P103 68366 3636502 SH SOLE 3636502 DIONEX CORP COM 254546104 52376 443829 SH SOLE 443829 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 27481 581498 SH SOLE 581498 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 9 501 SH PUT SOLE 501 DYNAMEX INC COM 26784F103 15424 622950 SH SOLE 622950 FIRST FRANKLIN CORP COM 320272107 1297 88008 SH SOLE 88008 FIRST MERCURY FINANCIAL CORP COM 320841109 23932 1459239 SH SOLE 1459239 GENZYME CORP COM 372917104 35877 503888 SH SOLE 1496158 GENZYME CORP COM 372917104 241 3712 SH PUT SOLE 1496158 HYPERCOM CORP COM 44913M105 28980 3462400 SH SOLE 3462400 J CREW GROUP INC COM 46612H402 18790 435552 SH SOLE 435552 JO-ANN STORES INC COM 47758P307 44774 743512 SH SOLE 743512 KING PHARMACEUTICALS INC COM 495582108 122334 8714198 SH SOLE 8714198 L-1 IDENTITY SOLUTIONS INC COM 50212A106 54764 4598152 SH SOLE 4598152 LADISH INC COM NEW 505754200 59479 1223588 SH SOLE 1223588 LASERCARD CORP COM 51807U101 485 77777 SH SOLE 77777 MARSHALL & ILSLEY CORP NEW COM 571837103 20570 2972593 SH SOLE 2972593 MARTEK BIOSCIENCES CORP COM 572901106 36166 1155459 SH SOLE 1155459 MCAFEE INC COM 579064106 67959 1467478 SH SOLE 1467478 NGAS RESOURCES INC COM 62912T103 19 34016 SH SOLE 34016 NEWALLIANCE BANCSHARES INC COM 650203102 42929 2865721 SH SOLE 2865721 NOVARTIS A G SPONSORED ADR 66987V109 274 1546 SH CALL SOLE 1546 NOVARTIS A G SPONSORED ADR 66987V109 551 2504 SH PUT SOLE 2504 NU HORIZONS ELECTRS CORP COM 669908105 7280 1044423 SH SOLE 1044423 NOVELL INC COM 670006105 58109 9815819 SH SOLE 9815819 POTASH CORP SASK INC COM 73755L107 6 37200 SH SOLE 37200 ROCK OF AGES CORP VT CL A 772632105 1845 352737 SH SOLE 352737 ROME BANCORP INC NEW COM 77587P103 5023 417872 SH SOLE 417872 ROVI CORP COM 779376102 70 1121 SH SOLE 1121 ROVI CORP COM 779376102 3 300 SH PUT SOLE 300 SONIC SOLUTIONS COM 835460106 7934 528965 SH SOLE 528965 SYNIVERSE HLDGS INC COM 87163F106 80485 2608923 SH SOLE 2608923 T-3 ENERGY SRVCS INC COM 87306E107 36037 904785 SH SOLE 904785 TERRA NOVA RTY CORP COM 88102D103 3148 403033 SH SOLE 403033 VERIFONE SYS INC COM 92342Y109 13813 358231 SH SOLE 358231 WALTER ENERGY INC COM 93317Q105 43 222 SH PUT SOLE 222 WALTER ENERGY INC COM 93317Q105 11 118 SH PUT SOLE 118 WILBER CORP COM 967797101 40 3987 SH SOLE 3987 WILMINGTON TRUST CORP COM 971807102 10703 2466175 SH SOLE 2466175
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