Director of Compliance

0001140361-16-087034.txt : 20161117 0001140361-16-087034.hdr.sgml : 20161117 20161117103824 ACCESSION NUMBER: 0001140361-16-087034 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161117 DATE AS OF CHANGE: 20161117 EFFECTIVENESS DATE: 20161117 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: 162004158 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 09-30-2016 09-30-2016 WATER ISLAND CAPITAL LLC

41 MADISON AVENUE 42ND FLOOR NEW YORK NY 10010

13F HOLDINGS REPORT 028-10693 N Chris Plunkett Director of Compliance 917-475-9249 Chris Plunkett New York NY 11-16-2016 0 148 1574856 false INFORMATION TABLE 2 form13fInfoTable.xml Advance Auto Parts Inc Equity 00751Y106 123 826 SH SOLE 826 0 0 Accenture PLC Equity G1151C101 635 5196 SH SOLE 3477 0 1719 Analog Devices Inc Equity 032654105 434 6734 SH SOLE 6734 0 0 AEP Industries Inc Equity 001031103 6352 58077 SH SOLE 58077 0 0 Astoria Financial Corp Equity 046265104 12230 837665 SH SOLE 837665 0 0 Allergan plc Equity G0177J108 26 115 SH SOLE 115 0 0 Air Products & Chemicals Inc Equity 009158106 6367 42350 SH SOLE 28261 0 14089 Apigee Corp Equity 03765N108 8220 472399 SH SOLE 472399 0 0 Broadcom Ltd Equity Y09827109 242 1400 SH SOLE 1400 0 0 Alibaba Group Holding Ltd Exch Traded Option 01609W102 168 25000 SH Put SOLE 16700 0 8300 Blackberry Ltd Exch Traded Option 09228F103 2 5000 SH Call SOLE 5000 0 0 Blackberry Ltd Exch Traded Option 09228F103 11 10000 SH Call SOLE 10000 0 0 Blackberry Ltd Equity 09228F103 20 2500 SH SOLE 2500 0 0 Infoblox Inc Equity 45672H104 20958 794756 SH SOLE 721148 0 73608 CA Inc Equity 12673P105 939 28399 SH SOLE 18874 0 9525 Cabela's Inc Equity 126804301 1648 30000 SH SOLE 20053 0 9947 Canon Inc Equity 138006309 2318 79865 SH SOLE 53255 0 26610 CBOE Holdings Inc Exch Traded Option 12503M108 288 100000 SH Put SOLE 100000 0 0 CBOE Holdings Inc Equity 12503M108 3243 50000 SH SOLE 33449 0 16551 CBS Corp Equity 124857202 4379 80000 SH SOLE 53533 0 26467 Cameco Corp Equity 13321L108 111 13000 SH SOLE 13000 0 0 Cabot Microelectronics Corp Equity 12709P103 2646 50000 SH SOLE 33458 0 16542 Church & Dwight Co Inc Equity 171340102 879 18349 SH SOLE 12262 0 6087 Chemtura Corp Equity 163893209 21943 668792 SH SOLE 668792 0 0 Charter Communications Inc Exch Traded Option 16119P108 59 17500 SH Call SOLE 11800 0 5700 Colgate-Palmolive Co Equity 194162103 892 12027 SH SOLE 8037 0 3990 Clorox Co Equity 189054109 883 7057 SH SOLE 4716 0 2341 Comcast Corp Equity 20030N101 7779 117264 SH SOLE 73366 0 43898 Cone Midstream Partners LP Equity 206812109 240 13250 SH SOLE 13250 0 0 Consol Energy Inc Exch Traded Option 20854P109 11 2100 SH Call SOLE 2100 0 0 Consol Energy Inc Equity 20854P109 130 6750 SH SOLE 6750 0 0 Cepheid Equity 15670R107 48157 913974 SH SOLE 913974 0 0 CSRA Inc Equity 12650T104 13 500 SH SOLE 500 0 0 CST Brands Inc Equity 12646R105 56986 1184980 SH SOLE 1074317 0 110663 Cognizant Technology Solutions Corp Equity 192446102 24 500 SH SOLE 500 0 0 Citrix Systems Inc Equity 177376100 1770 20775 SH SOLE 13862 0 6913 Cvent Inc Exch Traded Option 23247G109 7 10200 SH Put SOLE 9300 0 900 Cvent Inc Equity 23247G109 62821 1981111 SH SOLE 1793117 0 187994 Cynapsus Therapeutics Inc Equity 23257Y859 20804 517247 SH SOLE 468519 0 48728 Depomed Inc Convertible Bond 249908AA2 1424 1000000 PRN SOLE 1000000 0 0 DTS Inc/CA Equity 23335C101 4501 105800 SH SOLE 105800 0 0 Dynegy Inc Equity 26817R108 170 13750 SH SOLE 13750 0 0 Empire District Electric Co/The Equity 291641108 14400 421788 SH SOLE 421788 0 0 Electronics For Imaging Inc Equity 286082102 2605 53244 SH SOLE 35504 0 17740 Equity Commonwealth Equity 294628102 91 3000 SH SOLE 3000 0 0 EverBank Financial Corp Equity 29977G102 18973 980000 SH SOLE 980000 0 0 Envision Healthcare Holdings Inc Equity 29413U103 8496 381481 SH SOLE 381481 0 0 Forest City Realty Trust Inc Equity 345605109 197 8509 SH SOLE 8509 0 0 Forest City Realty Trust Inc Equity 345605208 361 15605 SH SOLE 15605 0 0 FireEye Inc Convertible Bond 31816QAD3 1367 1500000 PRN SOLE 1500000 0 0 FireEye Inc Equity 31816Q101 2799 190000 SH SOLE 128550 0 61450 Fleetmatics Group PLC Equity G35569105 29012 483698 SH SOLE 483698 0 0 Genpact Ltd Equity G3922B107 592 24722 SH SOLE 16485 0 8237 EndoChoice Holdings Inc Equity 29272U103 385 48200 SH SOLE 48200 0 0 CGI Group Inc Equity 39945C109 1328 27878 SH SOLE 18619 0 9259 Great Plains Energy Inc Exch Traded Option 391164100 16 91000 SH Call SOLE 82800 0 8200 Hewlett Packard Enterprise Co Equity 42824C109 6222 273481 SH SOLE 182808 0 90673 Herc Holdings Inc Equity 42704L104 135 4000 SH SOLE 4000 0 0 International Business Machines Corp Equity 459200101 977 6149 SH SOLE 4086 0 2063 Imperva Inc Equity 45321L100 5912 110068 SH SOLE 73600 0 36468 Interactive Intelligence Group Inc Equity 45841V109 8286 137786 SH SOLE 137786 0 0 Intel Corp Equity 458140100 1104 29242 SH SOLE 19434 0 9808 InterOil Corp Equity 460951106 16535 324727 SH SOLE 294024 0 30703 Intersil Corp Exch Traded Option 46069S109 2 87000 SH Put SOLE 58000 0 29000 Intersil Corp Equity 46069S109 5390 245800 SH SOLE 245800 0 0 ITC Holdings Corp Equity 465685105 171612 3692171 SH SOLE 3346669 0 345502 iShares Russell 2000 Growth ETF Equity 464287648 2464 16548 SH SOLE 11040 0 5508 Johnson Controls International plc Exch Traded Option G51502105 2 33500 SH Call SOLE 22300 0 11200 Joy Global Inc Equity 481165108 9929 357930 SH SOLE 324370 0 33560 Kimberly-Clark Corp Equity 494368103 886 7027 SH SOLE 4696 0 2331 Leidos Holdings Inc Equity 525327102 227 5250 SH SOLE 5250 0 0 Lions Gate Entertainment Corp Exch Traded Option 535919203 110 39300 SH Put SOLE 39300 0 0 LinkedIn Corp Exch Traded Option 53578A108 42 63300 SH Put SOLE 57500 0 5800 LinkedIn Corp Convertible Bond 53578AAB4 1981 2000000 PRN SOLE 2000000 0 0 LinkedIn Corp Equity 53578A108 111060 581103 SH SOLE 527005 0 54098 LSB Industries Inc Equity 502160104 127 14750 SH SOLE 14750 0 0 Media General Inc Equity 58441K100 22107 1199521 SH SOLE 1199521 0 0 Altria Group Inc Equity 02209S103 874 13827 SH SOLE 9240 0 4587 Micron Technology Inc Exch Traded Option 595112103 38 10000 SH Call SOLE 10000 0 0 Monster Worldwide Inc Convertible Bond 611742AB3 1497 1500000 PRN SOLE 1500000 0 0 Monster Worldwide Inc Equity 611742107 3619 1002500 SH SOLE 1002500 0 0 NetSuite Inc Exch Traded Option 64118Q107 6 26400 SH Put SOLE 24100 0 2300 NetSuite Inc Exch Traded Option 64118Q107 3 10800 SH Put SOLE 9800 0 1000 NetSuite Inc Convertible Bond 64118QAB3 2208 2000000 PRN SOLE 2000000 0 0 NetSuite Inc Equity 64118Q107 76875 694510 SH SOLE 629363 0 65147 Noble Energy Inc Exch Traded Option 655044105 5 2500 SH Call SOLE 2500 0 0 Noble Energy Inc Equity 655044105 241 6750 SH SOLE 6750 0 0 NII Holdings Inc Equity 62913F508 180 54000 SH SOLE 54000 0 0 Nomad Foods Ltd Equity G6564A105 3002 254009 SH SOLE 177048 0 76961 NXP Semiconductors NV Exch Traded Option N6596X109 170 50000 SH Put SOLE 33500 0 16500 NXP Semiconductors NV Equity N6596X109 5611 55000 SH SOLE 36818 0 18182 Oracle Corp Equity 68389X105 950 24182 SH SOLE 16071 0 8111 VeriFone Systems Inc Equity 92342Y109 141 8950 SH SOLE 8950 0 0 Procter & Gamble Co/The Exch Traded Option 742718109 12220 400000 SH Put SOLE 267300 0 132700 Procter & Gamble Co/The Equity 742718109 35980 400000 SH SOLE 267300 0 132700 Press Ganey Holdings Inc Equity 74113L102 31035 768182 SH SOLE 768182 0 0 Piedmont Natural Gas Co Inc Equity 720186105 77546 1291565 SH SOLE 1172316 0 119249 Post Properties Inc Equity 737464107 5888 89033 SH SOLE 80635 0 8398 PrivateBancorp Inc Equity 742962103 40899 890654 SH SOLE 890654 0 0 QUALCOMM Inc Equity 747525103 2398 35000 SH SOLE 23421 0 11579 Quorum Health Corp Exch Traded Option 74909E106 6 20000 SH Call SOLE 20000 0 0 Reynolds American Inc Equity 761713106 855 18126 SH SOLE 12112 0 6014 Rackspace Hosting Inc Equity 750086100 19594 618300 SH SOLE 618300 0 0 Rice Energy Inc Equity 762760106 78 3000 SH SOLE 3000 0 0 Transocean Partners LLC Equity Y8977Y100 11578 938979 SH SOLE 938979 0 0 Raptor Pharmaceutical Corp Equity 75382F106 30131 3359140 SH SOLE 3359140 0 0 Range Resources Corp Equity 75281A109 78 2000 SH SOLE 2000 0 0 Rofin-Sinar Technologies Inc Equity 775043102 41244 1281651 SH SOLE 1162319 0 119332 inContact Inc Convertible Bond 45336EAB5 1203 1000000 PRN SOLE 1000000 0 0 Shutterfly Inc Convertible Bond 82568PAB2 1469 1500000 PRN SOLE 1500000 0 0 Silicon Graphics International Corp Equity 82706L108 8104 1052508 SH SOLE 1052508 0 0 Scientific Games Corp Exch Traded Option 80874P109 1 10000 SH Put SOLE 10000 0 0 Skullcandy Inc Equity 83083J104 7973 1255520 SH SOLE 1255520 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 43 50000 SH Put SOLE 50000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 6 5000 SH Put SOLE 5000 0 0 SPDR S&P500 ETF Trust Exch Traded Option 78462F103 7 5000 SH Put SOLE 5000 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 St Jude Medical Inc Exch Traded Option 790849103 226 139000 SH Put SOLE 125800 0 13200 St Jude Medical Inc Equity 790849103 92158 1155439 SH SOLE 1047360 0 108079 Starz Equity 85571Q102 32157 1031015 SH SOLE 1031015 0 0 SUPERVALU Inc Equity 868536103 2246 450000 SH SOLE 300138 0 149862 Symantec Corp Equity 871503108 612 24400 SH SOLE 24400 0 0 Syngenta AG Equity 87160A100 33956 387624 SH SOLE 351459 0 36165 Molson Coors Brewing Co Exch Traded Option 60871R209 1 8000 SH Put SOLE 5400 0 2600 Molson Coors Brewing Co Exch Traded Option 60871R209 387 30600 SH Call SOLE 20300 0 10300 TiVo Corp Exch Traded Option 88870P106 26 147300 SH Put SOLE 134600 0 12700 Talen Energy Corp Equity 87422J105 14817 1069784 SH SOLE 999452 0 70332 Team Health Holdings Inc Equity 87817A107 65 2000 SH SOLE 2000 0 0 T-Mobile US Inc Exch Traded Option 872590104 45 67200 SH Call SOLE 44900 0 22300 T-Mobile US Inc Exch Traded Option 872590104 82 56100 SH Call SOLE 37200 0 18900 Tutor Perini Corp Exch Traded Option 901109108 1 5000 SH Call SOLE 5000 0 0 tronc Inc Exch Traded Option 89703P107 0 5500 SH Put SOLE 5500 0 0 Twitter Inc Convertible Bond 90184LAD4 1894 2000000 PRN SOLE 2000000 0 0 Valspar Corp/The Equity 920355104 72586 684322 SH SOLE 620526 0 63796 Viacom Inc Equity 92553P201 2279 59819 SH SOLE 40053 0 19766 VMware Inc Equity 928563402 13 175 SH SOLE 175 0 0 Vitae Pharmaceuticals Inc Equity 92847N103 26273 1255878 SH SOLE 1138900 0 116978 Weatherford International Ltd/Switzerland Equity G48833100 34 6000 SH SOLE 6000 0 0 Westar Energy Inc Exch Traded Option 95709T100 107 159200 SH Put SOLE 143200 0 16000 Westar Energy Inc Equity 95709T100 62662 1104180 SH SOLE 1001402 0 102778 WhiteWave Foods Co/The Equity 966244105 38681 710648 SH SOLE 644500 0 66148 SPDR S&P Homebuilders ETF Equity 78464A888 3535 104147 SH SOLE 69030 0 35117 Financial Select Sector SPDR Fund Equity 81369Y605 232 12000 SH SOLE 12000 0 0 Industrial Select Sector SPDR Fund Equity 81369Y704 1160 19865 SH SOLE 13212 0 6653 Technology Select Sector SPDR Fund Equity 81369Y803 2488 52073 SH SOLE 34740 0 17333 Yadkin Financial Corp Equity 984305102 3537 134529 SH SOLE 134529 0 0 Yahoo! Inc Equity 984332106 12243 284060 SH SOLE 189879 0 94181