Chief Operating Officer and Chief Compliance Officer

0001140361-16-076361.txt : 20160815 0001140361-16-076361.hdr.sgml : 20160815 20160815103307 ACCESSION NUMBER: 0001140361-16-076361 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: 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: 161830663 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 primary_doc.xml 13F-HR LIVE false true false 0001512805 XXXXXXXX 06-30-2016 06-30-2016 Westchester Capital Management, LLC

100 SUMMIT LAKE DRIVE VALHALLA NY 10595

13F HOLDINGS REPORT 028-14257 N Bruce Rubin Chief Operating Officer and Chief Compliance Officer 914-741-5600 Bruce Rubin Valhalla NY 08-15-2016 1 205 4359228 false 1 0001277372 028-11493 WESTCHESTER CAPITAL PARTNERS, LLC INFORMATION TABLE 2 form13fInfoTable.xml American International Group, Inc. COM NEW 026874784 45068 852100 SH Put SOLE 852100 0 0 American International Group, Inc. COM NEW 026874784 910 17200 SH Put OTR 1 17200 0 0 American International Group, Inc. COM NEW 026874784 4199 79400 SH Put SOLE 79400 0 0 American International Group, Inc. COM NEW 026874784 69 1300 SH Put OTR 1 1300 0 0 American International Group, Inc. COM NEW 026874784 41815 790600 SH Put SOLE 790600 0 0 American International Group, Inc. COM NEW 026874784 666 12600 SH Put OTR 1 12600 0 0 American International Group, Inc. COM NEW 026874784 2618 49500 SH Put SOLE 49500 0 0 American International Group, Inc. COM NEW 026874784 26 500 SH Put OTR 1 500 0 0 American International Group, Inc. COM NEW 026874784 4988 94300 SH Put SOLE 94300 0 0 American International Group, Inc. COM NEW 026874784 42 800 SH Put OTR 1 800 0 0 American International Group, Inc. COM NEW 026874784 128139 2422751 SH SOLE 2422751 0 0 American International Group, Inc. COM NEW 026874784 2179 41196 SH OTR 1 41196 0 0 Alcoa Inc. COM 013817101 31472 3395000 SH Put SOLE 3395000 0 0 Alcoa Inc. COM 013817101 451 48600 SH Put OTR 1 48600 0 0 Alcoa Inc. COM 013817101 3549 382900 SH Put SOLE 382900 0 0 Alcoa Inc. COM 013817101 277 29900 SH Put OTR 1 29900 0 0 Alcoa Inc. COM 013817101 60667 6544400 SH SOLE 6544400 0 0 Alcoa Inc. COM 013817101 1584 170900 SH OTR 1 170900 0 0 Alcoa Inc. COM 013817101 14288 1541300 SH Put SOLE 1541300 0 0 Alcoa Inc. COM 013817101 428 46200 SH Put OTR 1 46200 0 0 Alcoa Inc. COM 013817101 14104 1521500 SH Put SOLE 1521500 0 0 Alcoa Inc. COM 013817101 428 46200 SH Put OTR 1 46200 0 0 Alere, Inc. COM 01449J105 27892 669185 SH SOLE 669185 0 0 Alere, Inc. COM 01449J105 431 10343 SH OTR 1 10343 0 0 Allergan, Inc. SHS G0177J108 3628 15700 SH Put SOLE 15700 0 0 Allergan, Inc. SHS G0177J108 277 1200 SH Put OTR 1 1200 0 0 Allergan, Inc. SHS G0177J108 19851 85900 SH Put SOLE 85900 0 0 Allergan, Inc. SHS G0177J108 11739 50800 SH Put SOLE 50800 0 0 Allergan, Inc. SHS G0177J108 347 1500 SH Put OTR 1 1500 0 0 Allergan, Inc. SHS G0177J108 15229 65900 SH Put SOLE 65900 0 0 Allergan, Inc. SHS G0177J108 185 800 SH Put OTR 1 800 0 0 Allergan, Inc. SHS G0177J108 52058 225270 SH SOLE 225270 0 0 Allergan, Inc. SHS G0177J108 1048 4537 SH OTR 1 4537 0 0 American Capital Ltd. COM 02503Y103 51242 3237033 SH SOLE 3237033 0 0 Apollo Residential Mortgage, Inc. COM 03763V102 1022 76278 SH SOLE 76278 0 0 Apollo Residential Mortgage, Inc. COM 03763V102 8 584 SH OTR 1 584 0 0 Blackrock Fltg Rate Inc. Strategies Fund COM 09255X100 2961 225134 SH SOLE 225134 0 0 Blackstone Group COM UNIT LTD 09253U108 8371 341100 SH SOLE 341100 0 0 Blackstone Group COM UNIT LTD 09253U108 704 28700 SH OTR 1 28700 0 0 Blackstone Group COM UNIT LTD 09253U108 4329 176400 SH Put SOLE 176400 0 0 Blackstone Group COM UNIT LTD 09253U108 334 13600 SH Put OTR 1 13600 0 0 Blackstone Group COM UNIT LTD 09253U108 5573 227100 SH Put SOLE 227100 0 0 Blackstone Group COM UNIT LTD 09253U108 479 19500 SH Put OTR 1 19500 0 0 Blackstone Mortgage Trust Inc. COM CL A 09257W100 140 5067 SH SOLE 5067 0 0 CBS Corporation NEW CL B 124857202 57917 1063876 SH SOLE 1063876 0 0 CBS Corporation NEW CL B 124857202 1411 25912 SH OTR 1 25912 0 0 CBS Corporation NEW CL B 124857202 75759 1391600 SH Put SOLE 1391600 0 0 CBS Corporation NEW CL B 124857202 1241 22800 SH Put OTR 1 22800 0 0 CBS Corporation NEW CL B 124857202 9206 169100 SH Put SOLE 169100 0 0 CBS Corporation NEW CL B 124857202 169 3100 SH Put OTR 1 3100 0 0 CYS Investments, Inc. COM 12673A108 508 60696 SH SOLE 60696 0 0 Cash America International, Inc. COM 14754D100 1620 38003 SH SOLE 38003 0 0 Cash America International, Inc. COM 14754D100 10 246 SH OTR 1 246 0 0 Columbia Pipeline Group, Inc. COM 198280109 66063 2591734 SH SOLE 2591734 0 0 Columbia Pipeline Group, Inc. COM 198280109 542 21244 SH OTR 1 21244 0 0 ConAgra Foods, Inc. COM 205887102 18713 391400 SH Put SOLE 391400 0 0 ConAgra Foods, Inc. COM 205887102 1410 29500 SH Put OTR 1 29500 0 0 ConAgra Foods, Inc. COM 205887102 18713 391400 SH SOLE 391400 0 0 ConAgra Foods, Inc. COM 205887102 1410 29500 SH OTR 1 29500 0 0 DoubleLine Income Solutions Fund COM 258622109 2104 114684 SH SOLE 114684 0 0 Dow Chemical Company COM 260543103 74506 1498816 SH SOLE 1498816 0 0 Dow Chemical Company COM 260543103 2360 47485 SH OTR 1 47485 0 0 Dow Chemical Company COM 260543103 61153 1230200 SH Put SOLE 1230200 0 0 Dow Chemical Company COM 260543103 1879 37800 SH Put OTR 1 37800 0 0 EMC Corporation MASS COM 268648102 232531 8558377 SH SOLE 8558377 0 0 EMC Corporation MASS COM 268648102 3293 121192 SH OTR 1 121192 0 0 Eaton Vance Floating-Rate Income Trust COM 278279104 5138 382555 SH SOLE 382555 0 0 Equity Commonwealth COM SH BEN INT 294628102 25190 864748 SH SOLE 864748 0 0 Equity Commonwealth COM SH BEN INT 294628102 556 19096 SH OTR 1 19096 0 0 First Niagara Financial Group COM 33582V108 73625 7559013 SH SOLE 7559013 0 0 First Niagara Financial Group COM 33582V108 832 85397 SH OTR 1 85397 0 0 First Trust Senior Fltg. Rate Income Fd.I COM 33733U108 1051 81800 SH SOLE 81800 0 0 FirstMerit Corporation COM 337915102 21820 1076462 SH SOLE 1076462 0 0 General Electric Company COM 369604103 73717 2341718 SH SOLE 2341718 0 0 General Electric Company COM 369604103 1769 56200 SH OTR 1 56200 0 0 General Electric Company COM 369604103 62777 1994200 SH Put SOLE 1994200 0 0 General Electric Company COM 369604103 818 26000 SH Put OTR 1 26000 0 0 General Electric Company COM 369604103 10395 330200 SH Put SOLE 330200 0 0 General Electric Company COM 369604103 806 25600 SH Put OTR 1 25600 0 0 General Motors Co. COM 37045V100 95374 3370100 SH SOLE 3370100 0 0 General Motors Co. COM 37045V100 2389 84400 SH OTR 1 84400 0 0 General Motors Co. COM 37045V100 76608 2707000 SH Put SOLE 2707000 0 0 General Motors Co. COM 37045V100 45 1600 SH Put OTR 1 1600 0 0 General Motors Co. COM 37045V100 15350 542400 SH Put SOLE 542400 0 0 General Motors Co. COM 37045V100 1675 59200 SH Put OTR 1 59200 0 0 Grifols S.A. SP ADR REP B NVT 398438408 1596 96702 SH SOLE 96702 0 0 Grifols S.A. SP ADR REP B NVT 398438408 296 17953 SH OTR 1 17953 0 0 Hatteras Financial Corporation COM 41902R103 20272 1236100 SH SOLE 1236100 0 0 Hennessy Capital Acquisition Corp. II UNIT 99/99/9999 42588J209 1700 174935 SH SOLE 174935 0 0 Hennessy Capital Acquisition Corp. II UNIT 99/99/9999 42588J209 242 24865 SH OTR 1 24865 0 0 Hertz Global Holdings, Inc. COM 42806J106 20840 1882537 SH SOLE 1882537 0 0 Hertz Global Holdings, Inc. COM 42806J106 1574 142200 SH OTR 1 142200 0 0 Hertz Global Holdings, Inc. COM 42806J106 20839 1882500 SH Put SOLE 1882500 0 0 Hertz Global Holdings, Inc. COM 42806J106 1574 142200 SH Put OTR 1 142200 0 0 Hewlett Packard Enterprise Company COM 42824C109 17325 948300 SH Put SOLE 948300 0 0 Hewlett Packard Enterprise Company COM 42824C109 1343 73500 SH Put OTR 1 73500 0 0 Hewlett Packard Enterprise Company COM 42824C109 17325 948300 SH SOLE 948300 0 0 Hewlett Packard Enterprise Company COM 42824C109 1343 73500 SH OTR 1 73500 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 21703 963300 SH SOLE 963300 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 1672 74200 SH OTR 1 74200 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 2776 123200 SH Put SOLE 123200 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 119 5300 SH Put OTR 1 5300 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 18927 840100 SH Put SOLE 840100 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 1552 68900 SH Put OTR 1 68900 0 0 Humana Inc. COM 444859102 28323 157456 SH SOLE 157456 0 0 Humana Inc. COM 444859102 932 5183 SH OTR 1 5183 0 0 Humana Inc. COM 444859102 28205 156800 SH Put SOLE 156800 0 0 Humana Inc. COM 444859102 576 3200 SH Put OTR 1 3200 0 0 Huntsman Corporation COM 447011107 3361 249900 SH Put SOLE 249900 0 0 Huntsman Corporation COM 447011107 262 19500 SH Put OTR 1 19500 0 0 Huntsman Corporation COM 447011107 2707 201274 SH SOLE 201274 0 0 Huntsman Corporation COM 447011107 263 19544 SH OTR 1 19544 0 0 Ingram Micro Inc. CL A 457153104 149316 4293155 SH SOLE 4293155 0 0 Ingram Micro Inc. CL A 457153104 1968 56570 SH OTR 1 56570 0 0 Invesco Senior Income Trust COM 46131H107 6403 1531874 SH SOLE 1531874 0 0 Invesco Senior Income Trust COM 46131H107 291 69508 SH OTR 1 69508 0 0 Jarden Corporation COM 471109108 156338 2493518 SH SOLE 2493518 0 0 Jarden Corporation COM 471109108 1859 29643 SH OTR 1 29643 0 0 KLA-Tencor Corp. COM 482480100 209093 2854514 SH SOLE 2854514 0 0 KLR Energy Acquisition Corp. CL A 49877M108 3994 399000 SH SOLE 399000 0 0 Liberty Media Corp. Delaware COM A MEDIA GRP 531229870 5644 294892 SH SOLE 294892 0 0 Liberty Media Corp. Delaware COM A MEDIA GRP 531229870 222 11601 SH OTR 1 11601 0 0 Liberty Media Corp. Delaware COM A SIRIUSXM 531229409 36992 1179582 SH SOLE 1179582 0 0 Liberty Media Corp. Delaware COM A SIRIUSXM 531229409 1455 46405 SH OTR 1 46405 0 0 LinkedIn Corporation COM CL A 53578A108 163981 866478 SH SOLE 866478 0 0 LinkedIn Corporation COM CL A 53578A108 2234 11804 SH OTR 1 11804 0 0 MGM Resorts International COM 552953101 89422 3951500 SH SOLE 3951500 0 0 MGM Resorts International COM 552953101 1206 53300 SH OTR 1 53300 0 0 MGM Resorts International COM 552953101 8115 358600 SH Put SOLE 358600 0 0 MGM Resorts International COM 552953101 134 5900 SH Put OTR 1 5900 0 0 MGM Resorts International COM 552953101 81307 3592900 SH Put SOLE 3592900 0 0 MGM Resorts International COM 552953101 1073 47400 SH Put OTR 1 47400 0 0 Markit Limited SHS G58249106 6732 206497 SH SOLE 206497 0 0 Markit Limited SHS G58249106 73 2227 SH OTR 1 2227 0 0 Media General, Inc. NEW COM 58441K100 30164 1754741 SH SOLE 1754741 0 0 Media General, Inc. NEW COM 58441K100 449 26121 SH OTR 1 26121 0 0 Medivation Inc. COM 58501N101 16800 278600 SH SOLE 278600 0 0 Medivation Inc. COM 58501N101 1302 21600 SH OTR 1 21600 0 0 Medivation Inc. COM 58501N101 5126 85000 SH Put SOLE 85000 0 0 Medivation Inc. COM 58501N101 699 11600 SH Put OTR 1 11600 0 0 Medivation Inc. COM 58501N101 10167 168600 SH Put SOLE 168600 0 0 Medivation Inc. COM 58501N101 488 8100 SH Put OTR 1 8100 0 0 Medivation Inc. COM 58501N101 1508 25000 SH Put SOLE 25000 0 0 Medivation Inc. COM 58501N101 115 1900 SH Put OTR 1 1900 0 0 MetLife, Inc. COM 59156R108 6492 163000 SH Put SOLE 163000 0 0 MetLife, Inc. COM 59156R108 502 12600 SH Put OTR 1 12600 0 0 MetLife, Inc. COM 59156R108 1326 33300 SH Put SOLE 33300 0 0 MetLife, Inc. COM 59156R108 104 2600 SH Put OTR 1 2600 0 0 MetLife, Inc. COM 59156R108 7850 197100 SH Put SOLE 197100 0 0 MetLife, Inc. COM 59156R108 609 15300 SH Put OTR 1 15300 0 0 MetLife, Inc. COM 59156R108 15669 393400 SH SOLE 393400 0 0 MetLife, Inc. COM 59156R108 1215 30500 SH OTR 1 30500 0 0 Mylan NV SHS EURO N59465109 57 1319 SH SOLE 1319 0 0 Mylan NV SHS EURO N59465109 4 95 SH OTR 1 95 0 0 News Corporation NEW CL A 65249B109 1563 137722 SH SOLE 137722 0 0 News Corporation NEW CL A 65249B109 287 25279 SH OTR 1 25279 0 0 NorthStar Asset Management Group Inc. COM 66705Y104 6093 596789 SH SOLE 596789 0 0 NorthStar Realty Finance Corp. COM 66704R803 1785 156136 SH SOLE 156136 0 0 Pacific Special Acquisition Corp. SHS G68588105 2146 210000 SH SOLE 210000 0 0 Pacific Special Acquisition Corp. *W EXP 10/20/202 G68588121 21 210000 SH SOLE 210000 0 0 Parkway Properties, Inc. COM 70159Q104 2303 137635 SH SOLE 137635 0 0 Pfizer, Inc. COM 717081103 224 6369 SH SOLE 6369 0 0 Qihoo 360 Technology Company Ltd. ADS 74734M109 7080 96921 SH SOLE 96921 0 0 Qihoo 360 Technology Company Ltd. ADS 74734M109 271 3707 SH OTR 1 3707 0 0 Qlik Technologies Inc. COM 74733T105 33533 1133637 SH SOLE 1133637 0 0 Qlik Technologies Inc. COM 74733T105 587 19830 SH OTR 1 19830 0 0 Quintiles Transnational Holdings Inc. COM 74876Y101 6719 102856 SH SOLE 102856 0 0 Quintiles Transnational Holdings Inc. COM 74876Y101 80 1231 SH OTR 1 1231 0 0 Rite Aid Corp. COM 767754104 23148 3090580 SH SOLE 3090580 0 0 Rite Aid Corp. COM 767754104 311 41583 SH OTR 1 41583 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 33127 158100 SH Put SOLE 158100 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 398 1900 SH Put OTR 1 1900 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 51754 247000 SH Call SOLE 247000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 629 3000 SH Call OTR 1 3000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 66253 316200 SH Put SOLE 316200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 796 3800 SH Put OTR 1 3800 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 82827 395300 SH Put SOLE 395300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 985 4700 SH Put OTR 1 4700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 82827 395300 SH Put SOLE 395300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 985 4700 SH Put OTR 1 4700 0 0 SiriusXM Holdings Inc. COM 82968B103 24563 6218400 SH SOLE 6218400 0 0 St. Jude Medical, Inc. COM 790849103 115881 1485652 SH SOLE 1485652 0 0 St. Jude Medical, Inc. COM 790849103 1425 18265 SH OTR 1 18265 0 0 Starwood Hotels & Resorts Worldwide Inc. COM 85590A401 209862 2837894 SH SOLE 2837894 0 0 Starwood Property Trust, Inc. COM 85571B105 50412 2433019 SH SOLE 2433019 0 0 Syngenta AG SPONSORED ADR 87160A100 55948 728579 SH SOLE 728579 0 0 Syngenta AG SPONSORED ADR 87160A100 741 9654 SH OTR 1 9654 0 0 The Valspar Corporation COM 920355104 137585 1273586 SH SOLE 1273586 0 0 The Valspar Corporation COM 920355104 2165 20040 SH OTR 1 20040 0 0 Tyco International plc SHS G91442106 204231 4794164 SH SOLE 4794164 0 0 Tyco International plc SHS G91442106 2863 67209 SH OTR 1 67209 0 0 VMware Inc. CL A COM 928563402 28347 495400 SH Put SOLE 495400 0 0 VMware Inc. CL A COM 928563402 338 5900 SH Put OTR 1 5900 0 0 Vodafone Group Plc NEW SPNSR ADR 92857W308 0 0 SH SOLE 0 0 0 Voya Prime Rate Trust SH BEN INT 92913A100 4554 889394 SH SOLE 889394 0 0 Voya Prime Rate Trust SH BEN INT 92913A100 284 55460 SH OTR 1 55460 0 0 Waste Connections, Inc. COM 94106B101 34 474 SH SOLE 474 0 0 Waste Connections, Inc. COM 94106B101 1 8 SH OTR 1 8 0 0 Western Asset High Income Opportunity Fun COM 95766K109 523 106644 SH SOLE 106644 0 0 Western Refining, Inc. COM 959319104 0 4 SH SOLE 4 0 0 Wheeler Real Estate Inv.Trust, Inc. COM 963025101 1368 888250 SH SOLE 888250 0 0 Williams Companies, Inc. DEL COM 969457100 5024 232289 SH SOLE 232289 0 0 Winthrop Realty Trust SH BEN INT NEW 976391300 1585 180350 SH SOLE 180350 0 0 Yahoo! Inc. COM 984332106 188034 5006226 SH SOLE 5006226 0 0 Yahoo! Inc. COM 984332106 2314 61612 SH OTR 1 61612 0 0