Chief Compliance Officer

0001140361-16-076381.txt : 20160815 0001140361-16-076381.hdr.sgml : 20160815 20160815105838 ACCESSION NUMBER: 0001140361-16-076381 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160815 DATE AS OF CHANGE: 20160815 EFFECTIVENESS DATE: 20160815 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: 161830765 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 primary_doc.xml 13F-HR LIVE false true false 0001222765 XXXXXXXX 06-30-2016 06-30-2016 WATER ISLAND CAPITAL LLC

41 MADISON AVENUE 42ND FLOOR NEW YORK NY 10010

13F HOLDINGS REPORT 028-10693 N Laura Wajs Chief Compliance Officer 917-475-9252 Laura Wajs New York NY 08-15-2016 0 192 2019167 false INFORMATION TABLE 2 form13fInfoTable.xml ALCOA INC Equity 013817101 19 2000 SH SOLE 2000 0 0 American Airlines Group Inc Equity 02376R102 50 1750 SH SOLE 1750 0 0 Advance Auto Parts Inc Equity 00751Y106 175 1085 SH SOLE 1085 0 0 Accenture PLC Equity 045008479 1119 9881 SH SOLE 6605 0 3276 Astoria Financial Corp Equity 046265104 11305 737465 SH SOLE 737465 0 0 Allergan plc Equity G0177J108 3 15 SH SOLE 15 0 0 Ambac Financial Group Inc Equity 023139884 91 5500 SH SOLE 5500 0 0 ARRIS International PLC Equity 04270V106 7 325 SH SOLE 325 0 0 Axiall Corp Equity 05463D100 29682 910209 SH SOLE 825800 0 84409 Blackberry Ltd Equity 09228F103 111 16500 SH SOLE 16500 0 0 BB&T Corp Equity 054937107 11 300 SH SOLE 300 0 0 Infoblox Inc Equity 45672H104 397 21158 SH SOLE 13990 0 7168 CA Inc Equity 12673P105 717 21828 SH SOLE 14447 0 7381 Cabela's Inc Exch Traded Option 126804301 49 150000 SH Put SOLE 100300 0 49700 Cabela's Inc Equity 126804301 8794 175663 SH SOLE 116146 0 59517 Canon Inc Equity 138006309 3365 117601 SH SOLE 78621 0 38980 Cameco Corp Equity 13321L108 115 10500 SH SOLE 10500 0 0 Citizens Financial Group Inc Equity 174610105 10 500 SH SOLE 500 0 0 Continental Resources Inc/OK Equity 212015101 140 3100 SH SOLE 3100 0 0 Comerica Inc Equity 200340107 12 300 SH SOLE 300 0 0 Comcast Corp Equity 20030N101 6268 96153 SH SOLE 58678 0 37475 Cone Midstream Partners LP Equity 206812109 183 10536 SH SOLE 10536 0 0 Consol Energy Inc Exch Traded Option 20854P109 7 2100 SH Call SOLE 2100 0 0 Consol Energy Inc Equity 20854P109 235 14625 SH SOLE 14625 0 0 Columbia Pipeline Group Inc Exch Traded Option 198280109 11 451200 SH Put SOLE 451200 0 0 Columbia Pipeline Group Inc Equity 198280109 36825 1444116 SH SOLE 1444116 0 0 Celator Pharmaceuticals Inc Exch Traded Option 15089R102 1 35400 SH Put SOLE 32100 0 3300 Celator Pharmaceuticals Inc Exch Traded Option 15089R102 4 179200 SH Put SOLE 158100 0 21100 Celator Pharmaceuticals Inc Exch Traded Option 15089R102 14 180100 SH Put SOLE 163400 0 16700 Celator Pharmaceuticals Inc Exch Traded Option 15089R102 0 2200 SH Put SOLE 2000 0 200 Celator Pharmaceuticals Inc Exch Traded Option 15089R102 1 15900 SH Put SOLE 14400 0 1500 Celator Pharmaceuticals Inc Equity 15089R102 16889 559600 SH SOLE 501653 0 57947 CSRA Inc Equity 12650T104 12 500 SH SOLE 500 0 0 Cognizant Technology Solutions Corp Equity 192446102 1070 18700 SH SOLE 12500 0 6200 Cvent Inc Exch Traded Option 23247G109 2 10200 SH Put SOLE 9300 0 900 Cvent Inc Equity 23247G109 76055 2129186 SH SOLE 1928882 0 200304 Delta Air Lines Inc Equity 247361702 64 1750 SH SOLE 1750 0 0 Depomed Inc Exch Traded Option 249908104 3 2000 SH Call SOLE 2000 0 0 Depomed Inc Equity 249908104 59 3000 SH SOLE 3000 0 0 DreamWorks Animation SKG Inc Equity 26153C103 38639 945416 SH SOLE 873761 0 71655 Demandware Inc Exch Traded Option 24802Y105 6 123000 SH Put SOLE 111600 0 11400 Demandware Inc Equity 24802Y105 65354 872551 SH SOLE 791464 0 81087 Dynegy Inc Equity 26817R108 281 16300 SH SOLE 16300 0 0 Empire District Electric Co/The Equity 291641108 9779 287866 SH SOLE 287866 0 0 Electronics For Imaging Inc Equity 286082102 3374 78401 SH SOLE 52415 0 25986 Electro Rent Corp Equity 285218103 3440 223236 SH SOLE 223236 0 0 Equity Commonwealth Equity 294628102 189 6500 SH SOLE 6500 0 0 ExamWorks Group Inc Equity 30066A105 61298 1758914 SH SOLE 1616726 0 142188 Forest City Realty Trust Inc Equity 345605109 186 8342 SH SOLE 8342 0 0 Forest City Realty Trust Inc Equity 345605208 155 6993 SH SOLE 6993 0 0 Fairchild Semiconductor International Inc Equity 303726103 4919 247800 SH SOLE 247800 0 0 FEI Co Equity 30241L109 44913 420219 SH SOLE 392453 0 27766 F5 Networks Inc Equity 315616102 558 4905 SH SOLE 3243 0 1662 Fifth Third Bancorp Equity 316773100 11 600 SH SOLE 600 0 0 FirstMerit Corp Equity 337915102 79945 3943989 SH SOLE 3600724 0 343265 First Niagara Financial Group Inc Equity 33582V108 13470 1382955 SH SOLE 1382955 0 0 Ferro Corp Equity 315405100 511 38189 SH SOLE 25241 0 12948 Genpact Ltd Equity 031412382 977 36402 SH SOLE 24336 0 12066 AGL Resources Inc Equity 001204106 158225 2398438 SH SOLE 2209041 0 189397 CGI Group Inc Equity 39945C109 1977 46279 SH SOLE 30937 0 15342 Great Plains Energy Inc Exch Traded Option 391164100 147 106600 SH Call SOLE 96800 0 9800 Great Plains Energy Inc Exch Traded Option 391164100 141 91000 SH Call SOLE 82800 0 8200 Huntington Bancshares Inc/OH Exch Traded Option 446150104 60 4022600 SH Call SOLE 3493700 0 528900 Starwood Hotels & Resorts Worldwide Inc Equity 85590A401 164652 2226532 SH SOLE 2027246 0 199286 Hewlett Packard Enterprise Co Equity 42824C109 11932 653069 SH SOLE 432227 0 220842 Harris Corp Equity 413875105 8 100 SH SOLE 100 0 0 Hatteras Financial Corp Equity 41902R103 5527 337004 SH SOLE 337004 0 0 HeartWare International Inc Convertible Bond 422368AC4 1979 2000000 PRN SOLE 2000000 0 0 HeartWare International Inc Equity 422368100 13485 233514 SH SOLE 233514 0 0 Horizon Pharma Plc Equity 057484659 33 2000 SH SOLE 2000 0 0 International Business Machines Corp Equity 459200101 717 4726 SH SOLE 3128 0 1598 Imperva Inc Equity 45321L100 86 2000 SH SOLE 2000 0 0 Intel Corp Equity 458140100 737 22475 SH SOLE 14875 0 7600 ITC Holdings Corp Equity 465685105 105101 2244796 SH SOLE 2035721 0 209075 Johnson Controls Inc Exch Traded Option 478366107 20 203000 SH Call SOLE 184300 0 18700 KeyCorp Equity 493267108 9 800 SH SOLE 800 0 0 Krispy Kreme Doughnuts Inc Exch Traded Option 501014104 1 13600 SH Call SOLE 12300 0 1300 Krispy Kreme Doughnuts Inc Equity 501014104 24439 1165978 SH SOLE 1066667 0 99311 KLA-Tencor Corp Equity 482480100 48089 656509 SH SOLE 599217 0 57292 LDR Holding Corp Equity 50185U105 34252 926977 SH SOLE 840921 0 86056 Lions Gate Entertainment Corp Exch Traded Option 53578A108 141 39300 SH Put SOLE 39300 0 0 LinkedIn Corp Exch Traded Option 53578A108 101 63300 SH Put SOLE 57500 0 5800 LinkedIn Corp Equity 53578A108 60863 321600 SH SOLE 291758 0 29842 LogMeIn Inc Equity 54142L109 509 8024 SH SOLE 5305 0 2719 LSB Industries Inc Exch Traded Option 502160104 2 2500 SH Call SOLE 2500 0 0 LSB Industries Inc Equity 502160104 203 16800 SH SOLE 16800 0 0 Medivation Inc Equity 58501N101 1206 20000 SH SOLE 13219 0 6781 Media General Inc Equity 58441K100 16348 951044 SH SOLE 951044 0 0 Xura Inc Exch Traded Option 98420V107 7 70500 SH Call SOLE 64000 0 6500 Xura Inc Equity 98420V107 29681 1214935 SH SOLE 1102017 0 112918 Mitel Networks Corp Equity 60671Q104 351 55800 SH SOLE 36894 0 18906 Marketo Inc Exch Traded Option 57063L107 40 8300 SH Call SOLE 8300 0 0 Marketo Inc Exch Traded Option 57063L107 0 5000 SH Put SOLE 5000 0 0 Marketo Inc Exch Traded Option 57063L107 0 2600 SH Put SOLE 2400 0 200 Marketo Inc Equity 57063L107 45400 1303845 SH SOLE 1182292 0 121553 Monsanto Co Equity 61166W101 155 1500 SH SOLE 1500 0 0 MRC Global Inc Equity 55345K103 142 10000 SH SOLE 10000 0 0 Micron Technology Inc Exch Traded Option 595112103 14 10000 SH Call SOLE 10000 0 0 Micron Technology Inc Equity 595112103 263 19100 SH SOLE 19100 0 0 Mylan NV Exch Traded Option N59465109 1 15000 SH Call SOLE 13700 0 1300 NetSuite Inc Convertible Bond 64118QAB3 979 1000000 PRN SOLE 1000000 0 0 Noble Energy Inc Exch Traded Option 655044105 9 2500 SH Call SOLE 2500 0 0 Noble Energy Inc Equity 655044105 147 4100 SH SOLE 4100 0 0 NextEra Energy Inc Equity 65339F101 0 0 SH SOLE 0 0 0 NII Holdings Inc Equity 62913F508 115 36250 SH SOLE 36250 0 0 Nomad Foods Ltd Equity G6564A105 2070 259365 SH SOLE 182404 0 76961 Nexstar Broadcasting Group Inc Equity 65336K103 6698 140772 SH SOLE 93653 0 47119 Office Depot Inc Equity 676220106 915 276353 SH SOLE 185003 0 91350 Oracle Corp Equity 68389X105 761 18588 SH SOLE 12302 0 6286 VeriFone Systems Inc Equity 92342Y109 121 6500 SH SOLE 6500 0 0 Parkway Properties Inc/Md Equity 70159Q104 8730 521841 SH SOLE 485821 0 36020 Polycom Inc Equity 73172K104 4500 400000 SH SOLE 264822 0 135178 Piedmont Natural Gas Co Inc Equity 720186105 73384 1220625 SH SOLE 1114197 0 106428 PrivateBancorp Inc Equity 742962103 9070 206000 SH SOLE 206000 0 0 Qlik Technologies Inc Equity 74733T105 77486 2619550 SH SOLE 2375938 0 243612 Elizabeth Arden Inc Equity 28660G106 9182 667282 SH SOLE 667282 0 0 Regions Financial Corp Equity 7591EP100 9 1000 SH SOLE 1000 0 0 Rovi Corp Exch Traded Option 779376102 32 143000 SH Call SOLE 142400 0 600 Rovi Corp Exch Traded Option 779376102 117 233300 SH Put SOLE 222000 0 11300 Rovi Corp Exch Traded Option 779376102 364 280000 SH Call SOLE 251900 0 28100 Rovi Corp Exch Traded Option 779376102 265 147300 SH Put SOLE 134600 0 12700 Rovi Corp Equity 779376102 9 550 SH SOLE 550 0 0 Rouse Properties Inc Equity 779287101 4699 257454 SH SOLE 257454 0 0 Rofin-Sinar Technologies Inc Exch Traded Option 775043102 253 103300 SH Put SOLE 94700 0 8600 Rofin-Sinar Technologies Inc Exch Traded Option 775043102 222 118300 SH Put SOLE 104800 0 13500 Rofin-Sinar Technologies Inc Equity 775043102 32733 1024824 SH SOLE 929541 0 95283 inContact Inc Convertible Bond 45336EAB5 1196 1000000 PRN SOLE 1000000 0 0 Santander Consumer USA Holdings Inc Equity 80283M101 41 4000 SH SOLE 4000 0 0 SolarCity Corp Equity 83416T100 34 1400 SH SOLE 1400 0 0 Shutterfly Inc Convertible Bond 82568PAB2 1486 1500000 PRN SOLE 1500000 0 0 Scientific Games Corp Exch Traded Option 80874P109 13 10000 SH Put SOLE 10000 0 0 Skullcandy Inc Equity 83083J104 2294 373582 SH SOLE 338861 0 34721 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 0 700 SH Put SOLE 700 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 1 3000 SH Put SOLE 3000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 1 3000 SH Put SOLE 3000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 2 3000 SH Put SOLE 3000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 1 1000 SH Put SOLE 1000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 2 1000 SH Put SOLE 1000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 4 2000 SH Put SOLE 2000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 2 1000 SH Put SOLE 1000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 2 2500 SH Put SOLE 2500 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 2 2000 SH Put SOLE 2000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 3 2500 SH Put SOLE 2500 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 2 2000 SH Put SOLE 2000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 3 2500 SH Put SOLE 2500 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 1 1000 SH Put SOLE 1000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 2 1500 SH Put SOLE 1500 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 3 2000 SH Put SOLE 2000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 3 2000 SH Put SOLE 2000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 3 2000 SH Put SOLE 2000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 3 2000 SH Put SOLE 2000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 3 2000 SH Put SOLE 2000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 4 2000 SH Put SOLE 2000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 5 2500 SH Put SOLE 2500 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 6 2500 SH Put SOLE 2500 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 6 2500 SH Put SOLE 2500 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 7 2500 SH Put SOLE 2500 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 7 2500 SH Put SOLE 2500 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 7 2500 SH Put SOLE 2500 0 0 SciQuest Inc Equity 80908T101 15706 889329 SH SOLE 889329 0 0 SunTrust Banks Inc Equity 867914103 12 300 SH SOLE 300 0 0 St Jude Medical Inc Equity 790849103 55294 708893 SH SOLE 642914 0 65979 Questar Corp Equity 748356102 66064 2604018 SH SOLE 2604018 0 0 Starz Equity 85571Q102 4336 145000 SH SOLE 145000 0 0 Syngenta AG Equity 87160A100 19706 256624 SH SOLE 232936 0 23688 TECO Energy Inc Equity 872375100 69000 2496376 SH SOLE 2496376 0 0 TiVo Inc Convertible Bond 888706AF5 12203 12500000 PRN SOLE 9677000 0 2823000 TiVo Inc Equity 888706108 62032 6265836 SH SOLE 5685176 0 580660 Talen Energy Corp Equity 87422J105 9500 701118 SH SOLE 657460 0 43658 Tutor Perini Corp Exch Traded Option 89703P107 8 5000 SH Call SOLE 5000 0 0 tronc Inc Exch Traded Option 89703P107 6 5500 SH Put SOLE 5500 0 0 Turquoise Hill Resources Ltd Equity 900435108 51 15000 SH SOLE 15000 0 0 Tumi Holdings Inc Equity 89969Q104 36160 1352275 SH SOLE 1226154 0 126121 Twitter Inc Convertible Bond 90184LAD4 1335 1500000 PRN SOLE 1500000 0 0 Tyco International Plc Equity 115057260 35693 837857 SH SOLE 759837 0 78020 United Continental Holdings Inc Equity 910047109 72 1750 SH SOLE 1750 0 0 United States Oil Fund LP Equity 91232N108 40 3500 SH SOLE 3500 0 0 Valspar Corp/The Equity 920355104 66115 612009 SH SOLE 555103 0 56906 Viacom Inc Equity 92553P201 24 575 SH SOLE 575 0 0 VMware Inc Equity 928563402 1786 31209 SH SOLE 20635 0 10574 Weatherford International Ltd/Switzerland Equity G48833100 54 9750 SH SOLE 9750 0 0 Westar Energy Inc Exch Traded Option 95709T100 50 48000 SH Put SOLE 43300 0 4700 Westar Energy Inc Equity 95709T100 39269 700100 SH SOLE 635195 0 64905 SPDR S&P Homebuilders ETF Equity 78464A888 2716 80971 SH SOLE 53590 0 27381 Financial Select Sector SPDR Fund Equity 81369Y605 183 8000 SH SOLE 8000 0 0 Industrial Select Sector SPDR Fund Equity 81369Y704 3828 68401 SH SOLE 45379 0 23022 Technology Select Sector SPDR Fund Equity 81369Y803 1602 36950 SH SOLE 24431 0 12519 Consumer Staples Select Sector SPDR Fund Equity 81369Y308 2485 45054 SH SOLE 29828 0 15226 XenoPort Inc Equity 98411C100 11391 1618007 SH SOLE 1467463 0 150544 Yahoo! Inc Convertible Bond 984332AF3 993 1000000 PRN SOLE 1000000 0 0 Yahoo! Inc Equity 984332106 14497 385961 SH SOLE 255100 0 130861 Zions Bancorporation Equity 989701107 13 500 SH SOLE 500 0 0