0001135428-11-000621.txt : 20111101
0001135428-11-000621.hdr.sgml : 20111101
20111101115423
ACCESSION NUMBER: 0001135428-11-000621
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111101
DATE AS OF CHANGE: 20111101
EFFECTIVENESS DATE: 20111101
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: 111170281
BUSINESS ADDRESS:
STREET 1: 41 MADISON AVENUE
STREET 2: 42ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10010
BUSINESS PHONE: 212-584-2367
MAIL ADDRESS:
STREET 1: 41 MADISON AVENUE
STREET 2: 42ND FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10010
13F-HR
1
waterisland_13f.txt
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: September 30, 2011
Check here if Amendment [ ] ; Amendment Number:
This Amendment (Check one only): [ ] 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 10/27/2011
[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: 86
Form 13F Information Table Value Total: $ 1,847,117
(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
-------------- -------- ------ ----------- --------- --- ---- ---------- -------- ---- ------ -----
GLOBAL CROSSING LTD SHS NEW G3921A175 38967 1634436 SH SOLE 1634436
VALIDUS HOLDINGS LTD COM SHS G9319H102 168 6741 SH SOLE 6741
TYCO INTERNATIONAL LTD SHS H89128104 236 5800 SH SOLE 5800
TYCO INTERNATIONAL LTD SHS H89128104 20 42 SH PUT SOLE 42
TYCO INTERNATIONAL LTD SHS H89128104 6 16 SH PUT SOLE 16
FUNDTECH LTD ORD M47095100 5221 226208 SH SOLE 226208
APAC CUSTOMER SERVICES INC COM 00185E106 26900 3272577 SH SOLE 3272577
ABINGTON BANCORP COM 00350L109 6534 1061761 SH SOLE 1061761
ACI WORLDWIDE INC COM 004498101 58 3429 SH CALL SOLE 3429
ADVANCED ANALOGIC
TECHNOLOGI COM 00752J108 21815 5038115 SH SOLE 5038115
ALPHA NATURAL RESOURCES
INC COM 02076X102 275 15550 SH SOLE 15550
AMERON INTL INC COM 030710107 75535 889269 SH SOLE 889269
ARCH CHEMICALS INC COM 03937R102 91414 1948304 SH SOLE 1948304
BJS WHOLESALE CLUB INC COM 05548J106 117081 2284530 SH SOLE 2284530
BLACKBOARD INC COM 091935502 115237 1261945 SH SOLE 1261945
BLACKBOARD INC COM 091935502 20100 2010 SH PUT SOLE 2010
BLACKBOARD INC COM 091935502 11 122 SH CALL SOLE 122
CALIPER LIFE SCIENCES INC COM 130872104 25514 2436829 SH SOLE 2436829
CENTRAL VT PUB SVC CORP COM 155771108 7970 226355 SH SOLE 226355
CENTURYLINK INC COM 156700106 3044 91918 SH SOLE 91918
CEPHALON INC COM 156708109 116845 1447896 SH SOLE 1447896
CLOROX CO DEL COM 189054109 4646 70044 SH SOLE 70044
COLFAX CORP COM 194014106 494 24400 SH SOLE 24400
COLFAX CORP COM 194014106 125 998 SH CALL SOLE 998
COLFAX CORP COM 194014106 241 250 SH PUT SOLE 250
COMERICA INC COM 200340107 5654 246127 SH SOLE 246127
CONSTELLATION ENERGY
GROUP I COM 210371100 43338 1139541 SH SOLE 1139541
DPL INC COM 233293109 75994 2521355 SH SOLE 2521355
DUKE ENERGY CORP NEW COM 26441C105 1163 9691 SH CALL SOLE 9691
ECOLAB INC COM 278865100 300 6129 SH SOLE 6129
ECOLAB INC COM 278865100 12 1127 SH CALL SOLE 1127
EMDEON INC CL A 29084T104 75593 2578445 SH SOLE 2578445
EXPRESS SCRIPTS COM 302182100 45 1000 SH CALL SOLE 1000
FPIC INS GROUP INC COM 302563101 14833 354520 SH SOLE 1496158
FELCOR LODGING TR INC COM 31430F507 338 261 SH SOLE 1496158
GLOBAL INDS LTD COM 379336100 57716 7287440 SH SOLE 7287440
GOODRICH CORP COM 382388106 42014 348140 SH SOLE 348140
HARLEYSVILLE GROUP INC COM 412824104 12446 199670 SH SOLE 199670
HEWLETT PACKARD CO COM 428236103 130 5800 SH SOLE 5800
ITT CORP NEW COM 450911102 991 23593 SH SOLE 23593
ITT CORP NEW COM 450911102 17 80 SH CALL SOLE 80
ITT CORP NEW COM 450911102 1 41 SH CALL SOLE 41
ITT CORP NEW COM 450911102 1 20 SH CALL SOLE 20
INTERDIGITAL INC COM 45867G101 59 1267 SH SOLE 1267
INTERDIGITAL INC COM 45867G101 24 147 SH CALL SOLE 147
INTERMUNE INC COM 45884X103 80 3959 SH SOLE 3959
JAKKS PAC INC COM 47012E106 11172 589550 SH SOLE 589550
JOHNSON & JOHNSON COM 478160104 22 400 SH PUT SOLE 400
KINETIC CONCEPTS COM NEW 49460W208 80757 1225640 SH SOLE1 225640
KINETIC CONCEPTS COM NEW 49460W208 0 33 SH CALL SOLE 33
LOOPNET INC COM 543524300 15069 879664 SH SOLE 879664
MANITOWOC INC COM 563571108 157 23422 SH SOLE 23422
MARATHON OIL CORP COM 565849106 52 2395 SH SOLE 2395
MARATHON PETE CORP COM 56585A102 471 17421 SH SOLE 17421
MEDCO HEALTH SOLUTIONS INC COM 58405U102 54300 1158021 SH SOLE 1158021
MOTOROLA MOBILITY HLDGS
INC COM 620097105 63245 1674050 SH SOLE 1674050
NALCO HOLDING COMPANY COM 62985Q101 74926 2141963 SH SOLE 2141963
NESS TECHNOLOGIES INC COM 64104X108 14615 1908012 SH SOLE 1908012
NETLOGIC MICROSYSTEMS INC COM 64118B100 62122 1291249 SH SOLE 1291249
OSHKOSH CORP COM 688239201 44 2768 SH SOLE 2768
PAETEC HOLDING CORP COM 695459107 36491 6898081 SH SOLE 6898081
PROGRESS ENERGY INC COM 743263105 113603 2196506 SH SOLE 2196506
RALCORP HLDGS INC NEW COM 751028101 453 5910 SH SOLE 5910
RALCORP HLDGS INC NEW COM 751028101 11 24 SH PUT SOLE 24
RESEARCH IN MOTION LTD COM 760975102 241 11879 SH SOLE 11879
ROCK-TENN CO CL A 772739207 919 18885 SH SOLE 18885
S1 CORPORATION COM 78463B101 29239 3188515 SH SOLE 3188515
SPDR S&P 500 ETF TR TR UNIT 78462F103 60645 535881 SH SOLE 535881
SPDR S&P 500 ETF TR TR UNIT 78462F103 691 897 SH PUT SOLE 897
SPDR S&P 500 ETF TR TR UNIT 78462F103 669 797 SH PUT SOLE 797
SPDR S&P 500 ETF TR TR UNIT 78462F103 420 598 SH PUT SOLE 598
SPDR S&P 500 ETF TR TR UNIT 78462F103 411 647 SH PUT SOLE 647
SPDR S&P 500 ETF TR TR UNIT 78462F103 91 249 SH PUT SOLE 249
SPDR S&P 500 ETF TR TR UNIT 78462F103 1 249 SH PUT SOLE 249
SPDR S&P 500 ETF TR TR UNIT 78462F103 182 199 SH PUT SOLE 199
SPDR SERIES TRUST S&P
OILLGAS
EXP 78464A730 21 58 SH PUT SOLE 58
SCHWAB CHARLES CORP NEW COM 808513105 1 7 SH CALL SOLE 7
SEALED AIR CORP NEW COM 81211K100 63 3800 SH SOLE 3800
SEALED AIR CORP NEW COM 81211K100 1 56 SH CALL SOLE 56
SOUTHERN UN CO NEW COM 844030106 62898 1550375 SH SOLE 1550375
STILLWATER MNG CO COM 86074Q102 12312 1448419 SH SOLE 1448419
TEMPLE INLAND INC COM 879868107 62548 1993876 SH SOLE 1993876
TEMPLE INLAND INC COM 879868107 74 181 SH CALL SOLE 181
VARIAN SEMICONDUCTOR
EQUIPMN COM 922207105 78298 1280425 SH SOLE 1280425
WALTER ENERGY INC COM 93317Q105 604 10073 SH SOLE 10073
WAUSAU PAPER CORP COM 943315101 72 11274 SH SOLE 11274