0001140361-14-041212.txt : 20141112
0001140361-14-041212.hdr.sgml : 20141111
20141112130957
ACCESSION NUMBER: 0001140361-14-041212
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141112
DATE AS OF CHANGE: 20141112
EFFECTIVENESS DATE: 20141112
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10693
FILM NUMBER: 141212884
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/A
1
primary_doc.xml
13F-HR/A
LIVE
false
true
false
0001222765
XXXXXXXX
09-30-2014
09-30-2014
true
1
RESTATEMENT
WATER ISLAND CAPITAL LLC
41 MADISON AVENUE
42ND FLOOR
NEW YORK
NY
10010
13F HOLDINGS REPORT
028-10693
N
Joseph Kolinsky
Compliance Officer
917-475-9259
Joseph Kolinsky
New York
NY
11-11-2014
0
191
2936202
false
INFORMATION TABLE
2
form13fInfoTable.xml
AbbVie Inc.
COM
00287y959
40650
108400
SH
Put
SOLE
108400
0
0
AbbVie Inc.
COM
00287y959
148235
257800
SH
Put
SOLE
257800
0
0
AbbVie Inc.
COM
00287y959
17755
13400
SH
Put
SOLE
13400
0
0
Actavis Inc.
SHS
G0083B958
177840
34200
SH
Put
SOLE
34200
0
0
Actavis Inc.
SHS
G0083B108
8251776
34200
SH
SOLE
34200
0
0
Agilent Technologies Inc.
COM
00846U951
53509
146600
SH
Put
SOLE
146600
0
0
Agilent Technologies Inc.
COM
00846U951
31354
24400
SH
Put
SOLE
24400
0
0
Agilent Technologies Inc.
COM
00846U101
5567744
97714
SH
SOLE
97714
0
0
Albemarle Corporation
COM
012653951
265875
141800
SH
Put
SOLE
141800
0
0
Albemarle Corporation
COM
012653951
58560
19200
SH
Put
SOLE
19200
0
0
Allergan Inc.
COM
018490952
67915
159800
SH
Put
SOLE
159800
0
0
Allergan Inc.
COM
018490952
63750
75000
SH
Put
SOLE
75000
0
0
Allergan Inc.
COM
018490952
249805
106300
SH
Put
SOLE
106300
0
0
Allergan Inc.
COM
018490902
210750
15000
SH
Call
SOLE
15000
0
0
Allergan Inc.
COM
018490902
268750
25000
SH
Call
SOLE
25000
0
0
Allergan Inc.
COM
018490102
32484037
182300
SH
SOLE
182300
0
0
Alliance Data Systems Corp.
PUT
018581958
57090
17300
SH
Put
SOLE
17300
0
0
Alliance Data Systems Corp.
PUT
018581958
135150
25500
SH
Put
SOLE
25500
0
0
Alpha Natural Resources Inc.
COM
02076X102
62248
25100
SH
SOLE
25100
0
0
Ambit Biosciences Corp.
COM
02318x100
1946791
126415
SH
SOLE
126415
0
0
American Realty Cap Healthcare Trust
COM
02917r108
134524288
12836287
SH
SOLE
12836287
0
0
Annaly Cap Management Inc
NOTE 4.000% 2/1
035710aa0
8680860
8352000
PRN
SOLE
721416
0
0
Annies Inc.
COM
03600t104
44667126
973140
SH
SOLE
973140
0
0
Assured Guaranty Ltd.
COM
G0585R106
8466782
382075
SH
SOLE
382075
0
0
AT&T
COM
00206r952
2794220
1954000
SH
Put
SOLE
1954000
0
0
Athlon Energy Inc.
COM
047477104
70819559
1216204
SH
SOLE
1216204
0
0
Bally Technologies Inc.
COM
05874b907
144375
55000
SH
Call
SOLE
55000
0
0
Bally Technologies Inc.
COM
05874b957
64625
55000
SH
Put
SOLE
55000
0
0
Bally Technologies Inc.
COM
05874b107
4438500
55000
SH
SOLE
55000
0
0
Bank of Kentucky Financial Corporation
COM
062896105
6762201
146273
SH
SOLE
146273
0
0
Barclays Bank PLC
IPATH S&P500 VIX
06742e711
1224856
39296
SH
SOLE
39296
0
0
B/E Aerospace Inc.
COM
073302951
248880
146400
SH
Put
SOLE
146400
0
0
B/E Aerospace Inc.
COM
073302101
12295531
146480
SH
SOLE
146480
0
0
BCE Inc
COM NEW
05534b760
70678596
1652881
SH
SOLE
1652881
0
0
Berry Plastics Group Inc
COM
08579w953
26868
97700
SH
Put
SOLE
97700
0
0
Berry Plastics Group Inc
COM
08579w103
1095113
43388
SH
SOLE
43388
0
0
Bolt Technology Corp
COM
097698104
12936285
589621
SH
SOLE
589621
0
0
BPZ Resources Inc.
NOTE 8.500% 10/0
055639AC2
6943820
7072000
PRN
SOLE
1765076
0
0
Burger King Worldwide Inc.
COM
121220957
59000
20000
SH
Put
SOLE
20000
0
0
Burger King Worldwide Inc.
COM
121220957
90000
20000
SH
Put
SOLE
20000
0
0
Burger King Worldwide Inc.
COM
121220957
2134080
395200
SH
Put
SOLE
395200
0
0
Burger King Worldwide Inc.
COM
121220957
368490
51900
SH
Put
SOLE
51900
0
0
Cal Dive International Inc Del
NOTE 5.000% 7/1
12802tab7
3738826
5741000
PRN
SOLE
2558378
0
0
Carefusion Corp.
COM
14170t101
1425420
31501
SH
SOLE
31501
0
0
CF Industries Holdings Inc
COM
125269950
82388
19500
SH
Put
SOLE
19500
0
0
CF Industries Holdings Inc
COM
125269100
4092528
14657
SH
SOLE
14657
0
0
Charter Communications Inc.
CL A NEW
16117M955
25838
19500
SH
Put
SOLE
19500
0
0
Charter Communications Inc.
CL A NEW
16117m305
2757507
18217
SH
Put
SOLE
18217
0
0
Chiquita Brands International Inc.
COM
170032809
1686960
118800
SH
SOLE
118800
0
0
Civeo Corp.
COM
178787957
1679150
156200
SH
Put
SOLE
156200
0
0
Civeo Corp.
COM
178787957
48850
195400
SH
Put
SOLE
195400
0
0
Civeo Corp.
COM
178787907
3360
134400
SH
Call
SOLE
134400
0
0
Civeo Corp.
COM
178787907
148
5900
SH
Call
SOLE
5900
0
0
Civeo Corp.
COM
178787107
4029088
347036
SH
SOLE
347036
0
0
Compuware Corp.
COM
205638109
47637096
4489830
SH
SOLE
4489830
0
0
Concur Technologies Inc.
COM
206708959
513
4100
SH
Put
SOLE
4100
0
0
Concur Technologies Inc.
COM
206708959
57860
105200
SH
Put
SOLE
105200
0
0
Concur Technologies Inc.
NOTE 0.500% 6/1
206708AC3
652500
500000
PRN
SOLE
4769
0
0
Concur Technologies Inc.
COM
206708109
79657544
628115
SH
SOLE
628115
0
0
Consol Energy Inc
COM
20854p109
16657756
439983
SH
SOLE
439983
0
0
Conversant Inc.
COM
21249j105
31585864
922215
SH
SOLE
922215
0
0
Covidien PLC
SHS
g2554f953
1400
4000
SH
Put
SOLE
4000
0
0
Covidien PLC
SHS
g2554f953
57720
96200
SH
Put
SOLE
96200
0
0
Covidien PLC
SHS
g2554f953
591120
656800
SH
Put
SOLE
656800
0
0
Covidien PLC
SHS
g2554f953
70125
55000
SH
Put
SOLE
55000
0
0
Covidien PLC
SHS
g2554f953
126945
65100
SH
Put
SOLE
65100
0
0
Covidien PLC
SHS
G2554F113
102270824
1182185
SH
SOLE
1182185
0
0
Cubist Pharmaceuticals Inc. (CVR)
RIGHT
229678123
354104
2950869
SH
SOLE
2950869
0
0
Directv
COM
25490A309
126147198
1458012
SH
SOLE
1458012
0
0
Dish Network Corp.
CL A
25470m959
106140
73200
SH
Put
SOLE
73200
0
0
Dish Network Corp.
CL A
25470m959
81133
39100
SH
Put
SOLE
39100
0
0
Dish Network Corp.
CL A
25470m109
7285270
112810
SH
SOLE
112810
0
0
Dresser-Rand Group Inc.
COM
261608103
43901093
533687
SH
SOLE
533687
0
0
Dryships Inc.
NOTE 5.000% 12/0
262498AB4
14508918
14674000
PRN
SOLE
2126666
0
0
Einstein Noah Rest Group Inc
COM
28257u104
12737290
631810
SH
SOLE
631810
0
0
El Paso Pipeline Partners
COM UNIT LPI
283702108
16032796
399223
SH
SOLE
399223
0
0
EMC Corp Mas
COM
268648952
126477
122200
SH
Put
SOLE
122200
0
0
EMC Corp Mas
COM
268648952
117240
195400
SH
Put
SOLE
195400
0
0
EMC Corp Mas
COM
268648102
5003460
171000
SH
SOLE
171000
0
0
Energizer Holdings Inc
COM
29266r958
64515
39100
SH
Put
SOLE
39100
0
0
Energizer Holdings Inc
COM
29266r108
4213782
34200
SH
SOLE
34200
0
0
Express Inc
COM
30219e953
48840
244200
SH
Put
SOLE
244200
0
0
Express Inc
COM
30219e953
2145
2600
SH
Put
SOLE
2600
0
0
Express Inc
COM
30219e103
1927804
123498
SH
SOLE
123498
0
0
Family Dollar Stores Inc
COM
307000959
2995
119800
SH
Put
SOLE
119800
0
0
Family Dollar Stores Inc
COM
307000109
112430853
1455604
SH
SOLE
1455604
0
0
First United Bancorp Inc FLA
COM
33740n105
12225970
1434973
SH
SOLE
1434973
0
0
Foster Wheeler AG
COM
h27178104
152465759
4821814
SH
SOLE
4821814
0
0
General Motors Co.
COM
37045v100
15521946
485972
SH
SOLE
485972
0
0
Gentiva Health Services Inc
COM
37247a952
83088
195500
SH
Put
SOLE
195500
0
0
Gentiva Health Services Inc
COM
37247a102
3321668
197954
SH
SOLE
197954
0
0
Genworth Financial Inc.
COM CL A
37247d106
14851195
1133679
SH
SOLE
1133679
0
0
Glimcher Realty Trust
SH BEN INT
379302952
973
38900
SH
Put
SOLE
38900
0
0
Glimcher Realty Trust
SH BEN INT
379302952
2170
43400
SH
Put
SOLE
43400
0
0
Glimcher Realty Trust
SH BEN INT
379302102
31666729
2338754
SH
SOLE
2338754
0
0
Globalstar Inc.
NOTE 8.000% 4/0
378973AD3
4613337
754661
PRN
SOLE
1254111
0
0
Hudson City Bancorp
COM
443683107
16139438
1660436
SH
SOLE
1660436
0
0
Illumina Inc
COM
452327959
8910
19800
SH
Put
SOLE
19800
0
0
Illumina Inc
COM
452327109
98352
600
SH
SOLE
600
0
0
Integrys Energy Group Inc
COM
45822p105
58953207
909491
SH
SOLE
909491
0
0
International Rectifier Corp
COM
460254955
8620
172400
SH
Put
SOLE
172400
0
0
International Rectifier Corp
COM
460254955
4095
23400
SH
Put
SOLE
23400
0
0
International Rectifier Corp
COM
460254105
47511674
1210797
SH
SOLE
1210797
0
0
Iron Mountain Inc
COM
462846956
25673
48900
SH
Put
SOLE
48900
0
0
Iron Mountain Inc
COM
462846106
797672
24431
SH
SOLE
24431
0
0
Juniper Networks Inc.
COM
48203R104
8549546
385984
SH
SOLE
385984
0
0
Juniper Networks Inc.
COM
48203R954
271210
293200
SH
Put
SOLE
293200
0
0
Juniper Networks Inc.
COM
48203R954
65934
488400
SH
Put
SOLE
488400
0
0
Kinder Morgan Inc Del
COM
49456b951
7269285
589800
SH
Put
SOLE
589800
0
0
Kinder Morgan Inc Del
COM
49456b101
22612932
589800
SH
SOLE
589800
0
0
Kinder Morgan Energy Partners
UT LTD PARTNER
494550106
16199191
173662
SH
SOLE
173662
0
0
Kinder Morgan Management LLC
SHS
49455u100
15974431
169670
SH
SOLE
169670
0
0
Kindred Healthcare Inc
COM
494580953
161975
294500
SH
Put
SOLE
294500
0
0
Kindred Healthcare Inc
COM
494580103
5502694
283644
SH
SOLE
283644
0
0
Kodiak Oil & Gas Corp.
COM
50015q950
424645
653300
SH
Put
SOLE
653300
0
0
Kodiak Oil & Gas Corp.
COM
50015q100
8820052
649967
SH
SOLE
649967
0
0
LIN Media LLC
CL A COM
532771102
15472312
696951
SH
SOLE
696951
0
0
Manitowoc Inc
COM
563571108
11063968
471811
SH
SOLE
471811
0
0
Medical Action Industries Inc.
COM
58449L100
15407583
1118112
SH
SOLE
1118112
0
0
Medtronic Inc.
COM
585055106
402675
6500
SH
SOLE
6500
0
0
Molson Coors Brewing Co
CL B
60871r209
1818495
24429
SH
SOLE
24429
0
0
Molson Coors Brewing Co
CL B
60871r959
68750
50000
SH
Put
SOLE
50000
0
0
Morgans Hotel Group Co
NOTE 2.375% 10/1
61748wab4
8728125
8750000
PRN
SOLE
325415
0
0
Move Inc
COM NEW
62458m207
19047714
908765
SH
SOLE
908765
0
0
Multimedia Games Holdings Co Inc
COM
625453105
5962320
165574
SH
SOLE
165574
0
0
Mylan Inc.
COM
628530957
328584
244300
SH
Put
SOLE
244300
0
0
Mylan Inc.
COM
628530957
40343
48900
SH
Put
SOLE
48900
0
0
Mylan Inc.
COM
628530107
13957515
306826
SH
SOLE
306826
0
0
Now Inc.
COM
67011p950
92768
195300
SH
Put
SOLE
195300
0
0
Now Inc.
COM
67011p950
166090
97700
SH
Put
SOLE
97700
0
0
Now Inc.
COM
67011p100
5785077
190236
SH
SOLE
190236
0
0
Omniamerican Bancorp Inc
COM
68216r107
14487151
571264
SH
SOLE
571264
0
0
Omnicare Inc
DBCV 3.250% 12/1
681904al2
515938
500000
PRN
SOLE
6420
0
0
Outerwall Inc.
COM
690070107
10963679
195431
SH
SOLE
195431
0
0
Outerwall Inc.
COM
690070957
581315
195400
SH
Put
SOLE
195400
0
0
Peabody Energy Corp.
COM
704549104
8979177
725297
SH
SOLE
725297
0
0
Pepco Holdings Inc
COM
713291102
103247278
3858269
SH
SOLE
3858269
0
0
Petsmart Inc
COM
716768956
33338
63500
SH
Put
SOLE
63500
0
0
Petsmart Inc
COM
716768106
4429618
63199
SH
SOLE
63199
0
0
Pike Corp
COM
721283959
1895
75800
SH
Put
SOLE
75800
0
0
Pike Corp
COM
721283109
1902400
160000
SH
SOLE
160000
0
0
Protective Life Corp.
COM
743674103
126386726
1820872
SH
SOLE
1820872
0
0
Protective Life Corp.
COM
743674953
2463
19700
SH
Put
SOLE
19700
0
0
Rockwood Holdings Inc
COM
774415103
71458732
934712
SH
SOLE
934712
0
0
Safeway Inc.
COM NEW
786514208
134278841
3914835
SH
SOLE
3914835
0
0
Salesforce Com Inc.
COM
79466L302
120813
2100
SH
SOLE
2100
0
0
Shire PLC
SPONSORED ADR
82481r956
131760
292800
SH
Put
SOLE
292800
0
0
Shire PLC
SPONSORED ADR
82481r956
37355
48200
SH
Put
SOLE
48200
0
0
Shire PLC
SPONSORED ADR
82481r956
3825
3000
SH
Put
SOLE
3000
0
0
Shire PLC
SPONSORED ADR
82481r956
97020
58800
SH
Put
SOLE
58800
0
0
Shire PLC
SPONSORED ADR
82481r106
115969173
447671
SH
SOLE
447671
0
0
Sigma Aldrich Corp
COM
826552951
473
2100
SH
Put
SOLE
2100
0
0
Sigma Aldrich Corp
COM
826552101
42087750
309446
SH
SOLE
309446
0
0
Sirius XM Holdings Inc.
COM
82968B953
70000
2000000
SH
Put
SOLE
2000000
0
0
Sirius XM Holdings Inc.
COM
82968B103
3156373
904405
SH
SOLE
904405
0
0
SPDR S&P 500
TR UNIT
78462F953
80032
97600
SH
Put
SOLE
97600
0
0
SPDR S&P 500
TR UNIT
78462F953
174346
97400
SH
Put
SOLE
97400
0
0
Shutterfly Inc
COM
82568p954
68320
97600
SH
Put
SOLE
97600
0
0
Shutterfly Inc
COM
82568p304
4817169
98834
SH
SOLE
98834
0
0
SWS Group Inc.
COM
78503N107
2298580
333611
SH
SOLE
333611
0
0
Talisman Energy Inc
COM
87425e103
3056157
353313
SH
SOLE
353313
0
0
Taminco
COM
87509u106
12900969
494290
SH
SOLE
494290
0
0
Tibco Software Inc
COM
88632q103
46687445
1975770
SH
SOLE
1975770
0
0
Time Warner Cable Inc
COM
88732j957
334890
109800
SH
Put
SOLE
109800
0
0
Time Warner Cable Inc
COM
88732j957
1094565
169700
SH
Put
SOLE
169700
0
0
Time Warner Cable Inc
COM
88732j957
124500
15000
SH
Put
SOLE
15000
0
0
Time Warner Cable Inc
COM
88732j207
60751227
423383
SH
SOLE
423383
0
0
Time Warner Inc
COM NEW
887317303
1827603
24300
SH
SOLE
24300
0
0
Tim Hortons Inc
COM
88706m103
47943799
608852
SH
SOLE
608852
0
0
T-Mobile US Inc.
COM
872590104
8792214
304545
SH
SOLE
304545
0
0
T-Mobile US Inc.
COM
872590954
225764
293200
SH
Put
SOLE
293200
0
0
TriQuint Semiconductor Inc.
COM
89674K103
102066492
5352202
SH
SOLE
5352202
0
0
TRW Automotive Holdings Corp
COM
87264s906
394210
99800
SH
Call
SOLE
99800
0
0
TRW Automotive Holdings Corp
COM
87264s106
66486926
656661
SH
SOLE
656661
0
0
TW Telecom Inc
COM
87311l904
150298
76100
SH
Call
SOLE
76100
0
0
TW Telecom Inc
COM
87311l954
82335
49900
SH
Put
SOLE
49900
0
0
TW Telecom Inc
COM
87311l104
146304255
3516084
SH
SOLE
3516084
0
0
Tyson Foods Inc.
CL A
902494953
10973
146300
SH
Put
SOLE
146300
0
0
Tyson Foods Inc.
CL A
902494953
87930
195400
SH
Put
SOLE
195400
0
0
Tyson Foods Inc.
CL A
902494103
9329627
236973
SH
SOLE
236973
0
0
Tyson Foods Inc.
UNIT 99/99/9999
902494301
4948464
98379
SH
SOLE
98379
0
0
URS Corp New
COM
903236107
126271384
2191831
SH
SOLE
2191831
0
0
Valeant Pharmaceuticals Intl
COM
91911k902
1635000
100000
SH
Call
SOLE
100000
0
0
Valeant Pharmaceuticals Intl
COM
91911k902
1444275
117900
SH
Call
SOLE
117900
0
0
Valeant Pharmaceuticals Intl
COM
91911k902
171750
15000
SH
Call
SOLE
15000
0
0
Viacom Inc New
CL B
92553p951
161205
97700
SH
Put
SOLE
97700
0
0
Viacom Inc New
CL B
92553p201
7518577
97720
SH
SOLE
97720
0
0
Weatherford International PLC
ORD SHS
g48833950
278649
341900
SH
Put
SOLE
341900
0
0
Weatherford International PLC
ORD SHS
g48833950
162224
390900
SH
Put
SOLE
390900
0
0
Weatherford International PLC
ORD SHS
g48833100
8637970
415287
SH
SOLE
415287
0
0
XRS Corp
COM
983845108
3790622
682995
SH
SOLE
682995
0
0