0000904454-12-000627.txt : 20121114 0000904454-12-000627.hdr.sgml : 20121114 20121114165009 ACCESSION NUMBER: 0000904454-12-000627 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Westchester Capital Management, LLC CENTRAL INDEX KEY: 0001512805 IRS NUMBER: 273790558 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14257 FILM NUMBER: 121205492 BUSINESS ADDRESS: STREET 1: 100 SUMMIT LAKE DRIVE CITY: VALHALLA STATE: NY ZIP: 10595 BUSINESS PHONE: 914-741-5600 MAIL ADDRESS: STREET 1: 100 SUMMIT LAKE DRIVE CITY: VALHALLA STATE: NY ZIP: 10595 13F-HR 1 f13hr_111412-westchestercap.txt FORM 13F-HR FOR WESTCHESTER CAPITAL MANAGEMENT LLC FOR QUARTER ENDED 09-30-12 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2012 ------------------ Check here if Amendment [ ]; Amendment Number: ---------- This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: WESTCHESTER CAPITAL MANAGEMENT, LLC ----------------------------------- Address: 100 Summit Lake Drive ----------------------------------- Valhalla, NY 10595 ----------------------------------- Form 13F File Number: 028-14257 --------- 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: Bruce Rubin ---------------------------------------------------- Title: Chief Operating Officer and Chief Compliance Officer ---------------------------------------------------- Phone: 914-741-5600 ---------------------------------------------------- Signature, Place, and Date of Signing: /s/ Bruce Rubin Valhalla, New York November 14, 2012 --------------- ------------------ ----------------- 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 are 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).) List of Other Managers Reporting for this Manager: Form 13F File Number Name 28- -------------------- --------------------- Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 211 ---------- Form 13F Information Table Value Total: $4,504,762 ---------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 1 28-11493 Green & Smith Investment Management L.L.C. WESTCHESTER CAPITAL MANAGEMENT, LLC FORM 13F INFORMATION TABLE AS OF SEPTEMBER 30, 2012 VOTING AUTHORITY --------------------- VALUE X SHARES/ SH/ PUT/ INVSTMT NAME OF ISSUER TITLE OF CLASS CUSIP ($1000) PRN AMT PRN CALL DISCRETN MGRS SOLE SHARED NONE -------------- -------------- --------- ------- --------- --- ---- -------- ----- --------- ------ ---- ABBOTT LABS COM 002824100 34,732 506,600 SH Put (a) Sole 506,600 0 0 ABBOTT LABS COM 002824100 610 8,900 SH Put (b) Other 1 8,900 0 0 ABBOTT LABS COM 002824100 34,732 506,600 SH (a) Sole 506,600 0 0 ABBOTT LABS COM 002824100 610 8,900 SH (b) Other 1 8,900 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 49,841 1,520,000 SH Put (a) Sole 1,520,000 0 0 AMERICAN INTERNATIONAL GROUP INC COM NEW 026874784 869 26,500 SH Put (b) Other 1 26,500 0 0 AMERICAN INTERNATIONAL GROUP INC COM NEW 026874784 49,844 1,520,100 SH (a) Sole 1,520,100 0 0 AMERICAN INTERNATIONAL GROUP INC COM NEW 026874784 866 26,400 SH (b) Other 1 26,400 0 0 American Rlty Cap Tr Inc COM 02917L101 2,057 175,400 SH (a) Sole 175,400 0 0 American Rlty Cap Tr Inc COM 02917L101 875 74,600 SH (b) Other 1 74,600 0 0 AMERIGROUP Corp COM 03073T102 209,907 2,295,827 SH (a) Sole 2,295,827 0 0 AMERIGROUP Corp COM 03073T102 3,858 42,197 SH (b) Other 1 42,197 0 0 Anadarko Pete Corp COM 032511107 37,974 543,100 SH Put (a) Sole 543,100 0 0 Anadarko Pete Corp COM 032511107 699 10,000 SH Put (b) Other 1 10,000 0 0 Anadarko Pete Corp COM 032511107 37,974 543,100 SH (a) Sole 543,100 0 0 Anadarko Pete Corp COM 032511107 699 10,000 SH (b) Other 1 10,000 0 0 ARIBA INC COM NEW 04033V203 194,238 4,335,668 SH (a) Sole 4,335,668 0 0 ARIBA INC COM NEW 04033V203 3,529 78,765 SH (b) Other 1 78,765 0 0 BP PLC SPONSORED ADR 055622104 82,784 1,954,300 SH Put (a) Sole 1,954,300 0 0 BP PLC SPONSORED ADR 055622104 1,453 34,300 SH Put (b) Other 1 3,4300 0 0 BP PLC SPONSORED ADR 055622104 82,784 1,954,300 SH (a) Sole 1,954,300 0 0 BP PLC SPONSORED ADR 055622104 1,453 34,300 SH (b) Other 1 34,300 0 0 BRIGHTPOINT INC COM NEW 109473405 8,934 994,822 SH (a) Sole 994,822 0 0 BRIGHTPOINT INC COM NEW 109473405 418 46,600 SH (b) Other 1 46,600 0 0 CENTURYLINK INC COM 156700106 25,137 622,200 SH Put (a) Sole 622,200 0 0 CENTURYLINK INC COM 156700106 424 10,500 SH Put (b) Other 1 10,500 0 0 CENTURYLINK INC COM 156700106 699 17,300 SH Put (a) Sole 17,300 0 0 CENTURYLINK INC COM 156700106 12 300 SH Put (b) Other 1 300 0 0 CENTURYLINK INC COM 156700106 5,894 145,900 SH Put (a) Sole 145,900 0 0 CENTURYLINK INC COM 156700106 48 1,200 SH Put (b) Other 1 1,200 0 0 CENTURYLINK INC COM 156700106 34,538 854,900 SH Put (a) Sole 854,900 0 0 CENTURYLINK INC COM 156700106 848 21,000 SH Put (b) Other 1 21,000 0 0 CENTURYLINK INC COM 156700106 50,287 1,244,740 SH (a) Sole 1,244,740 0 0 CENTURYLINK INC COM 156700106 844 20,900 SH (b) Other 1 20,900 0 0 CHESAPEAKE ENERGY CORP COM 165167107 28,686 1,520,200 SH Put (a) Sole 1,520,200 0 0 CHESAPEAKE ENERGY CORP COM 165167107 502 26,600 SH Put (b) Other 1 26,600 0 0 CHESAPEAKE ENERGY CORP COM 165167107 47 2,500 SH Put (a) Sole 2,500 0 0 CHESAPEAKE ENERGY CORP COM 165167107 28,733 1,522,700 SH (a) Sole 1,522,700 0 0 CHESAPEAKE ENERGY CORP COM 165167107 502 26,600 SH (b) Other 1 26,600 0 0 CHICAGO BRIDGE & IRON CO N V NY REGISTRY SH 167250109 41,210 1,081,900 SH (a) Sole 1,081,900 0 0 CHICAGO BRIDGE & IRON CO N V NY REGISTRY SH 167250109 1,013 26,600 SH (b) Other 1 26,600 0 0 CITIGROUP INC COM NEW 172967424 2,160 66,000 SH Put (a) Sole 66,000 0 0 CITIGROUP INC COM NEW 172967424 965 29,500 SH Put (b) Other 1 29,500 0 0 CITIGROUP INC COM NEW 172967424 2,160 66,025 SH (a) Sole 66,025 0 0 CITIGROUP INC COM NEW 172967424 965 29,500 SH (b) Other 1 29,500 0 0 CITIZENS REPUBLIC BANCORP IN COM NEW 174420307 4,985 257,600 SH (a) Sole 257,600 0 0 CITIZENS REPUBLIC BANCORP INC COM NEW 174420307 700 36,150 SH (b) Other 1 36,150 0 0 COLLECTIVE BRANDS INC COM 19421W100 48,880 2,251,486 SH (a) Sole 2,251,486 0 0 COLLECTIVE BRANDS INC COM 19421W100 1,140 52,500 SH (b) Other 1 52,500 0 0 COMCAST CORP NEW CL A SPL 20030N200 86,620 2,489,088 SH (a) Sole 2,489,088 0 0 COMCAST CORP NEW CL A SPL 20030N200 1,583 45,480 SH (b) Other 1 45,480 0 0 CONSTELLATION BRANDS INC CL A 21036P108 22,694 701,500 SH Put (a) Sole 701,500 0 0 CONSTELLATION BRANDS INC CL A 21036P108 398 12,300 SH Put (b) Other 1 12,300 0 0 CONSTELLATION BRANDS INC CL A 21036P108 12,697 392,500 SH Put (a) Sole 392,500 0 0 CONSTELLATION BRANDS INC CL A 21036P108 223 6,900 SH Put (b) Other 1 6,900 0 0 CONSTELLATION BRANDS INC CL A 21036P108 35,391 1,094,000 SH (a) Sole 1,094,000 0 0 CONSTELLATION BRANDS INC CL A 21036P108 621 19,200 SH (b) Other 1 19,200 0 0 COOPER INDUSTRIES PLC SHS G24140108 270,795 3,607,718 SH (a) Sole 3,607,718 0 0 COOPER INDUSTRIES PLC SHS G24140108 4,909 65,400 SH (b) Other 1 65,400 0 0 CORRECTIONS CORP AMERICA NEW COM NEW 22025Y407 24,659 737,200 SH Put (a) Sole 737,200 0 0 CORRECTIONS CORP AMERICA NEW COM NEW 22025Y407 428 12,800 SH Put (b) Other 1 12,800 0 0 CORRECTIONS CORP AMERICA NEW COM NEW 22025Y407 24,659 737,200 SH (a) Sole 737,200 0 0 CORRECTIONS CORP AMERICA NEW COM NEW 22025Y407 428 12,800 SH (b) Other 1 12,800 0 0 COVENTRY HEALTH CARE INC COM 222862104 159,548 3,827,000 SH (a) Sole 3,827,000 0 0 COVENTRY HEALTH CARE INC COM 222862104 3,006 72,100 SH (b) Other 1 72,100 0 0 DISCOVERY COMMUNICATIONS NEW COM SER C 25470F302 13,775 245,800 SH (a) Sole 245,800 0 0 DISCOVERY COMMUNICATIONS NEW COM SER C 25470F302 684 12,200 SH (b) Other 1 12,200 0 0 DOLE FOOD CO INC NEW COM 256603101 10,246 730,300 SH Put (a) Sole 730,300 0 0 DOLE FOOD CO INC NEW COM 256603101 276 19,700 SH Put (b) Other 1 19,700 0 0 DOLE FOOD CO INC NEW COM 256603101 20,489 1,460,400 SH (a) Sole 1,460,400 0 0 DOLE FOOD CO INC NEW COM 256603101 556 39,600 SH (b) Other 1 39,600 0 0 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 236,056 2,715,469 SH (a) Sole 2,715,469 0 0 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 4,735 54,464 SH (b) Other 1 54,464 0 0 EATON VANCE FLTING-RATE INC COM 278279104 1,552 92,807 SH (a) Sole 92,807 0 0 FIFTH THIRD BANCORP COM 316773100 4,129 266,200 SH (a) Sole 266,200 0 0 FIFTH THIRD BANCORP COM 316773100 893 57,600 SH (b) Other 1 57,600 0 0 BLOCK H & R INC COM 093671105 8,516 491,400 SH Put (a) Sole 491,400 0 0 BLOCK H & R INC COM 093671105 149 8,600 SH Put (b) Other 1 8,600 0 0 BLOCK H & R INC COM 093671105 16,945 977,800 SH (a) Sole 977,800 0 0 BLOCK H & R INC COM 093671105 298 17,200 SH (b) Other 1 17,200 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 9,389 683,800 SH Put (a) Sole 683,800 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 119 8,700 SH Put (b) Other 1 8,700 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 10,148 739,100 SH Put (a) Sole 739,100 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 178 13,000 SH Put (b) Other 1 13,000 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 40,889 2,978,113 SH (a) Sole 2,978,113 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 571 41,600 SH (b) Other 1 41,600 0 0 HILLSHIRE BRANDS CO COM 432589109 103,960 3,882,000 SH Put (a) Sole 3,882,000 0 0 HILLSHIRE BRANDS CO COM 432589109 2,124 79,300 SH Put (b) Other 1 79,300 0 0 HILLSHIRE BRANDS CO COM 432589109 21,403 799,200 SH (a) Sole 799,200 0 0 HISOFT TECHNOLOGY INTL LTD SPONSORED ADR 43358R108 129 12,500 SH (a) Sole 12,500 0 0 HISOFT TECHNOLOGY INTL LTD SPONSORED ADR 43358R108 379 36,700 SH (b) Other 1 36,700 0 0 HUDSON CITY BANCORP COM 443683107 24,429 3,069,000 SH (a) Sole 3,069,000 0 0 HUDSON CITY BANCORP COM 443683107 920 115,600 SH (b) Other 1 115,600 0 0 HUNTSMAN CORP COM 447011107 34,217 2,291,800 SH Put (a) Sole 2,291,800 0 0 HUNTSMAN CORP COM 447011107 514 34,400 SH Put (b) Other 1 34,400 0 0 HUNTSMAN CORP COM 447011107 1,877 125,700 SH Put (a) Sole 125,700 0 0 HUNTSMAN CORP COM 447011107 42,889 2,872,700 SH (a) Sole 2,872,700 0 0 HUNTSMAN CORP COM 447011107 514 34,400 SH (b) Other 1 34,400 0 0 PENNEY J C INC COM 708160106 10,073 404,200 SH Put (a) Sole 404,200 0 0 PENNEY J C INC COM 708160106 177 7,100 SH Put (b) Other 1 7,100 0 0 PENNEY J C INC COM 708160106 31,843 1,277,800 SH Put (a) Sole 1,277,800 0 0 PENNEY J C INC COM 708160106 553 22,200 SH Put (b) Other 1 22,200 0 0 PENNEY J C INC COM 708160106 40,856 1,682,000 SH (a) Sole 1,682,000 0 0 PENNEY J C INC COM 708160106 712 29,300 SH (b) Other 1 29,300 0 0 JPMORGAN CHASE & CO COM 46625H100 996 24,600 SH Put (a) Sole 24,600 0 0 JPMORGAN CHASE & CO COM 46625H100 4,250 105,000 SH Put (a) Sole 105,000 0 0 JPMORGAN CHASE & CO COM 46625H100 5,246 129,600 SH (a) Sole 129,600 0 0 KEYCORP NEW COM 493267108 4,339 496,500 SH Put (a) Sole 496,500 0 0 KEYCORP NEW COM 493267108 254 29,100 SH Put (b) Other 1 29,100 0 0 KEYCORP NEW COM 493267108 8,678 992,900 SH (a) Sole 992,900 0 0 KEYCORP NEW COM 493267108 510 58,300 SH (b) Other 1 58,300 0 0 KEYCORP NEW PFD. 7.75% SR A 493267405 2,168 17,495 SH (a) Sole 17,495 0 0 KRAFT FOODS INC CL A 50075N104 41,945 1,014,400 SH Put (a) Sole 1,014,400 0 0 KRAFT FOODS INC CL A 50075N104 728 17,600 SH Put (b) Other 1 17,600 0 0 KRAFT FOODS INC CL A 50075N104 81,290 1,965,900 SH Put (a) Sole 1,965,900 0 0 KRAFT FOODS INC CL A 50075N104 1,410 34,100 SH Put (b) Other 1 34,100 0 0 KRAFT FOODS INC CL A 50075N104 123,235 2,980,300 SH (a) Sole 2,980,300 0 0 KRAFT FOODS INC CL A 50075N104 2,138 51,700 SH (b) Other 1 51,700 0 0 LAM RESEARCH CORP COM 512807108 24,576 773,201 SH (a) Sole 773,201 0 0 LAM RESEARCH CORP COM 512807108 628 19,766 SH (b) Other 1 19,766 0 0 LAMAR ADVERTISING CO CL A 512815101 79,116 2,134,800 SH Put (a) Sole 2,134,800 0 0 LAMAR ADVERTISING CO CL A 512815101 1,460 39,400 SH Put (b) Other 1 39,400 0 0 LAMAR ADVERTISING CO CL A 512815101 89,018 2,402,000 SH (a) Sole 2,402,000 0 0 LAMAR ADVERTISING CO CL A 512815101 1,749 47,200 SH (b) Other 1 47,200 0 0 MEAD JOHNSON NUTRITION CO COM 582839106 40,260 549,400 SH Put (a) Sole 549,400 0 0 MEAD JOHNSON NUTRITION CO COM 582839106 843 11,500 SH Put (b) Other 1 11,500 0 0 MEAD JOHNSON NUTRITION CO COM 582839106 40,260 549,400 SH (a) Sole 549,400 0 0 MEAD JOHNSON NUTRITION CO COM 582839106 843 11,500 SH (b) Other 1 11,500 0 0 MEDICIS PHARMACEUTICAL CORP CL A NEW 584690309 109,748 2,536,358 SH (a) Sole 2,536,358 0 0 MEDICIS PHARMACEUTICAL CORP CL A NEW 584690309 1,928 44,567 SH (b) Other 1 44,567 0 0 MOLSON COORS BREWING CO CL B 60871R209 26,007 577,300 SH Put (a) Sole 577,300 0 0 MOLSON COORS BREWING CO CL B 60871R209 617 13,700 SH Put (b) Other 1 13,700 0 0 MOLSON COORS BREWING CO CL B 60871R209 18,083 401,400 SH (a) Sole 401,400 0 0 MOLSON COORS BREWING CO CL B 60871R209 617 13,700 SH (b) Other 1 13,700 0 0 NAVISTAR INTL CORP NEW COM 63934E108 3,109 147,400 SH Put (a) Sole 1,47400 0 0 NAVISTAR INTL CORP NEW COM 63934E108 55 2,600 SH Put (b) Other 1 2,600 0 0 NAVISTAR INTL CORP NEW COM 63934E108 29,064 1,378,100 SH Put (a) Sole 1,378,100 0 0 NAVISTAR INTL CORP NEW COM 63934E108 494 23,400 SH Put (b) Other 1 23,400 0 0 NAVISTAR INTL CORP NEW COM 63934E108 32,173 1,525,500 SH (a) Sole 1,525,500 0 0 NAVISTAR INTL CORP NEW COM 63934E108 548 26,000 SH (b) Other 1 26,000 0 0 NEWS CORP CL A 65248E104 12,250 499,400 SH Put (a) Sole 499,400 0 0 NEWS CORP CL A 65248E104 505 20,600 SH Put (b) Other 1 20,600 0 0 NEWS CORP CL A 65248E104 12,265 500,000 SH Put (a) Sole 500,000 0 0 NEWS CORP CL A 65248E104 11,796 480,900 SH Put (a) Sole 480,900 0 0 NEWS CORP CL A 65248E104 505 20,600 SH Put (b) Other 1 20,600 0 0 NEWS CORP CL A 65248E104 748 30,500 SH (a) Sole 30,500 0 0 NEXEN INC COM 65334H102 33,171 1,309,051 SH (a) Sole 1,309,051 0 0 NEXEN INC COM 65334H102 2,402 94,800 SH (b) Other 1 94,800 0 0 PAR PHARMACEUTICAL COS INC COM 69888P106 26,454 529,300 SH (a) Sole 529,300 0 0 PAR PHARMACEUTICAL COS INC COM 69888P106 870 17,400 SH (b) Other 1 17,400 0 0 PFIZER INC COM 717081103 27,772 1,117,600 SH Put (a) Sole 1,117,600 0 0 PFIZER INC COM 717081103 723 29,100 SH Put (b) Other 1 29,100 0 0 PFIZER INC COM 717081103 41,664 1,676,600 SH (a) Sole 1,676,600 0 0 PFIZER INC COM 717081103 1,086 43,700 SH (b) Other 1 43,700 0 0 PROCTER & GAMBLE CO COM 742718109 20,343 293,300 SH Put (a) Sole 293,300 0 0 PROCTER & GAMBLE CO COM 742718109 465 6,700 SH Put (b) Other 1 6,700 0 0 PROCTER & GAMBLE CO COM 742718109 20,343 293,300 SH (a) Sole 293,300 0 0 PROCTER & GAMBLE CO COM 742718109 465 6,700 SH (b) Other 1 6,700 0 0 ROBBINS & MYERS INC COM 770196103 77,453 1,299,552 SH (a) Sole 1,299,552 0 0 ROBBINS & MYERS INC COM 770196103 1,830 30,702 SH (b) Other 1 30,702 0 0 ROYAL BK OF SCOTLAND GROUP PLC ADR PREF SER N 780097770 1,420 69,211 SH (a) Sole 69,211 0 0 ROYAL BK OF SCOTLAND GROUP PLC SP ADR PREF M 780097796 825 40,461 SH (a) Sole 40,461 0 0 ROYAL BK OF SCOTLAND GROUP PLC SP ADR PREF S 780097739 578 28,044 SH (a) Sole 28,044 0 0 ROYAL BK OF SCOTLAND GROUP PLC ADR PREF SHS Q 780097754 1,520 72,306 SH (a) Sole 72,306 0 0 ROYAL BK OF SCOTLAND GROUP PLC SP ADR PREF T 780097713 1,301 57,312 SH (a) Sole 57,312 0 0 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 1,178 32,000 SH Put (a) Sole 32,000 0 0 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 110 3,000 SH Put (b) Other 1 3,000 0 0 SHAW GROUP INC COM 820280105 48,905 1,121,158 SH (a) Sole 1,121,158 0 0 SHAW GROUP INC COM 820280105 962 22,057 SH (b) Other 1 22,057 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 108,294 752,200 SH Put (a) Sole 752,200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1,843 12,800 SH Put (b) Other 1 12,800 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 99,051 688,000 SH Put (a) Sole 688,000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1,728 12,000 SH Put (b) Other 1 12,000 0 0 SUNOCO INC COM 86764P109 56,444 1,205,300 SH (a) Sole 1,205,300 0 0 SUNOCO INC COM 86764P109 702 15,000 SH (b) Other 1 15,000 0 0 TELUS CORP NON-VTG SHS 87971M202 17,274 276,130 SH (a) Sole 276,130 0 0 TELUS CORP NON-VTG SHS 87971M202 69 1,100 SH (b) Other 1 1,100 0 0 TYCO INTERNATIONAL LTD SHS H89128104 21,435 381,000 SH Put (a) Sole 381,000 0 0 TYCO INTERNATIONAL LTD SHS H89128104 371 6,600 SH Put (b) Other 1 6,600 0 0 TYCO INTERNATIONAL LTD SHS H89128104 8,405 149,400 SH Put (a) Sole 149,400 0 0 TYCO INTERNATIONAL LTD SHS H89128104 146 2,600 SH Put (b) Other 1 2,600 0 0 TYCO INTERNATIONAL LTD SHS H89128104 46,876 833,200 SH Put (a) Sole 833,200 0 0 TYCO INTERNATIONAL LTD SHS H89128104 1,001 17,800 SH Put (b) Other 1 17,800 0 0 TYCO INTERNATIONAL LTD SHS H89128104 78,809 1,400,800 SH (a) Sole 1,400,800 0 0 TYCO INTERNATIONAL LTD SHS H89128104 1,564 27,800 SH (b) Other 1 27,800 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 205 4,500 SH Put (a) Sole 4,500 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 25,401 557,400 SH Put (a) Sole 557,400 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 547 12,000 SH Put (b) Other 1 12,000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 47,794 1,048,800 SH (a) Sole 1,048,800 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1,034 22,700 SH (b) Other 1 22,700 0 0 VISTEON CORP COM NEW 92839U206 34,857 784,000 SH Put (a) Sole 784,000 0 0 VISTEON CORP COM NEW 92839U206 711 16,000 SH Put (b) Other 1 16,000 0 0 VISTEON CORP COM NEW 92839U206 8,741 196,600 SH Put (a) Sole 196,600 0 0 VISTEON CORP COM NEW 92839U206 151 3,400 SH Put (b) Other 1 3,400 0 0 VISTEON CORP COM NEW 92839U206 43,597 980,600 SH (a) Sole 980,600 0 0 VISTEON CORP COM NEW 92839U206 863 19,400 SH (b) Other 1 19,400 0 0 WARNER CHILCOTT PLC IRELAND SHS A G94368100 24 1,800 SH Call (a) Sole 1,800 0 0 WARNER CHILCOTT PLC IRELAND SHS A G94368100 185 13,700 SH Call (b) Other 1 13,700 0 0 WARNER CHILCOTT PLC IRELAND SHS A G94368100 19 1,400 SH Call (a) Sole 1,400 0 0 WARNER CHILCOTT PLC IRELAND SHS A G94368100 149 11,000 SH Call (b) Other 1 11,000 0 0 WARNER CHILCOTT PLC IRELAND SHS A G94368100 6,830 505,900 SH Put (a) Sole 505,900 0 0 WARNER CHILCOTT PLC IRELAND SHS A G94368100 7,599 562,900 SH Put (a) Sole 562,900 0 0 WARNER CHILCOTT PLC IRELAND SHS A G94368100 16,906 1,252,300 SH (a) Sole 1,252,300 0 0 WILLIAMS COS INC DEL COM 969457100 20,657 590,700 SH Put (a) Sole 590,700 0 0 WILLIAMS COS INC DEL COM 969457100 20,657 590,700 SH (a) Sole 590,700 0 0 YAHOO INC COM 984332106 10,432 653,000 SH Put (a) Sole 653,000 0 0 YAHOO INC COM 984332106 181 11,300 SH Put (b) Other 1 11,300 0 0 YAHOO INC COM 984332106 92,409 5,784,600 SH Put (a) Sole 5,784.600 0 0 YAHOO INC COM 984332106 1,887 118,100 SH Put (b) Other 1 118,100 0 0 YAHOO INC COM 984332106 118,372 7,409,800 SH (a) Sole 7,409,800 0 0 YAHOO INC COM 984332106 2,308 144,500 SH (b) Other 1 144,500 0 0