Chief Operating Officer and Chief Compliance Officer

0001140361-16-086006.txt : 20161114 0001140361-16-086006.hdr.sgml : 20161111 20161114093505 ACCESSION NUMBER: 0001140361-16-086006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 EFFECTIVENESS DATE: 20161114 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: 161991274 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 09-30-2016 09-30-2016 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 11-14-2016 1 172 3495937 false 1 0001277372 028-11493 WESTCHESTER CAPITAL PARTNERS, LLC INFORMATION TABLE 2 form13fInfoTable.xml American International Group, Inc. COM NEW 026874784 98389 1658051 SH SOLE 1658051 0 0 American International Group, Inc. COM NEW 026874784 1332 22439 SH OTR 1 22439 0 0 American International Group, Inc. COM NEW 026874784 4350 73300 SH Put SOLE 73300 0 0 American International Group, Inc. COM NEW 026874784 332 5600 SH Put OTR 1 5600 0 0 American International Group, Inc. COM NEW 026874784 1638 27600 SH Put SOLE 27600 0 0 American International Group, Inc. COM NEW 026874784 60841 1025300 SH Put SOLE 1025300 0 0 Alcoa Inc. COM 013817101 49015 4833800 SH SOLE 4833800 0 0 Alcoa Inc. COM 013817101 961 94800 SH OTR 1 94800 0 0 Alcoa Inc. COM 013817101 15428 1521500 SH Put SOLE 1521500 0 0 Alcoa Inc. COM 013817101 468 46200 SH Put OTR 1 46200 0 0 Alcoa Inc. COM 013817101 33587 3312300 SH Put SOLE 3312300 0 0 Alcoa Inc. COM 013817101 493 48600 SH Put OTR 1 48600 0 0 Allergan, Inc. SHS G0177J108 23399 101600 SH Put SOLE 101600 0 0 Allergan, Inc. SHS G0177J108 276 1200 SH Put OTR 1 1200 0 0 Allergan, Inc. SHS G0177J108 22445 97455 SH SOLE 97455 0 0 Allergan, Inc. SHS G0177J108 276 1200 SH OTR 1 1200 0 0 American Capital Ltd. COM 02503Y103 77073 4557842 SH SOLE 4557842 0 0 Ashland Global Holdings Inc. COM 044186104 8059 69500 SH SOLE 69500 0 0 Ashland Global Holdings Inc. COM 044186104 545 4700 SH OTR 1 4700 0 0 Ashland Global Holdings Inc. COM 044186104 8059 69500 SH Put SOLE 69500 0 0 Ashland Global Holdings Inc. COM 044186104 545 4700 SH Put OTR 1 4700 0 0 Blackrock Fltg Rate Inc. Strategies Fund COM 09255X100 3847 277586 SH SOLE 277586 0 0 Blackstone Group COM UNIT LTD 09253U108 5420 212300 SH Put SOLE 212300 0 0 Blackstone Group COM UNIT LTD 09253U108 419 16400 SH Put OTR 1 16400 0 0 Blackstone Group COM UNIT LTD 09253U108 1795 70300 SH Put SOLE 70300 0 0 Blackstone Group COM UNIT LTD 09253U108 140 5500 SH Put OTR 1 5500 0 0 Blackstone Group COM UNIT LTD 09253U108 5420 212300 SH SOLE 212300 0 0 Blackstone Group COM UNIT LTD 09253U108 419 16400 SH OTR 1 16400 0 0 Blackstone Mortgage Trust Inc. COM CL A 09257W100 149 5067 SH SOLE 5067 0 0 CBS Corporation NEW CL B 124857202 58300 1065037 SH SOLE 1065037 0 0 CBS Corporation NEW CL B 124857202 1418 25900 SH OTR 1 25900 0 0 CBS Corporation NEW CL B 124857202 9257 169100 SH Put SOLE 169100 0 0 CBS Corporation NEW CL B 124857202 170 3100 SH Put OTR 1 3100 0 0 CBS Corporation NEW CL B 124857202 76242 1392800 SH Put SOLE 1392800 0 0 CBS Corporation NEW CL B 124857202 1248 22800 SH Put OTR 1 22800 0 0 CIT Group Inc. COM NEW 125581801 24372 671400 SH SOLE 671400 0 0 CIT Group Inc. COM NEW 125581801 457 12600 SH OTR 1 12600 0 0 CIT Group Inc. COM NEW 125581801 18480 509100 SH Put SOLE 509100 0 0 CIT Group Inc. COM NEW 125581801 5891 162300 SH Put SOLE 162300 0 0 CIT Group Inc. COM NEW 125581801 457 12600 SH Put OTR 1 12600 0 0 Chemtura Corporation COM NEW 163893209 47977 1462269 SH SOLE 1462269 0 0 Columbia Pipeline Group, Inc. COM 198280109 66765 2591734 SH SOLE 2591734 0 0 Columbia Pipeline Group, Inc. COM 198280109 547 21244 SH OTR 1 21244 0 0 ConAgra Foods, Inc. COM 205887102 27051 574200 SH Put SOLE 574200 0 0 ConAgra Foods, Inc. COM 205887102 3590 76200 SH Put SOLE 76200 0 0 ConAgra Foods, Inc. COM 205887102 320 6800 SH Put OTR 1 6800 0 0 ConAgra Foods, Inc. COM 205887102 16592 352200 SH Put SOLE 352200 0 0 ConAgra Foods, Inc. COM 205887102 1253 26600 SH Put OTR 1 26600 0 0 ConAgra Foods, Inc. COM 205887102 49079 1041800 SH SOLE 1041800 0 0 ConAgra Foods, Inc. COM 205887102 1710 36300 SH OTR 1 36300 0 0 Coty, Inc. COM CL A 222070203 14033 604873 SH SOLE 604873 0 0 Coty, Inc. COM CL A 222070203 1094 47167 SH OTR 1 47167 0 0 Dell Technologies Inc. COM CL V 24703L103 45583 953612 SH SOLE 953612 0 0 Dell Technologies Inc. COM CL V 24703L103 632 13230 SH OTR 1 13230 0 0 Dow Chemical Company COM 260543103 70872 1367400 SH SOLE 1367400 0 0 Dow Chemical Company COM 260543103 2446 47200 SH OTR 1 47200 0 0 Dow Chemical Company COM 260543103 72578 1400300 SH Put SOLE 1400300 0 0 Dow Chemical Company COM 260543103 2446 47200 SH Put OTR 1 47200 0 0 Dow Chemical Company COM 260543103 1695 32700 SH Put SOLE 32700 0 0 Eaton Vance Floating-Rate Income Trust COM 278279104 6156 433545 SH SOLE 433545 0 0 Envision Healthcare Holdings, Inc. COM 29413U103 1167 52400 SH SOLE 52400 0 0 EverBank Financial Corporation COM 29977G102 6951 359020 SH SOLE 359020 0 0 FMC Technologies, Inc. COM 30249U101 51921 1727233 SH SOLE 1727233 0 0 FMC Technologies, Inc. COM 30249U101 892 29661 SH OTR 1 29661 0 0 First Trust Senior Fltg. Rate Income Fd.I COM 33733U108 1045 76412 SH SOLE 76412 0 0 General Electric Company COM 369604103 10331 348800 SH SOLE 348800 0 0 General Electric Company COM 369604103 803 27100 SH OTR 1 27100 0 0 General Electric Company COM 369604103 10331 348800 SH Put SOLE 348800 0 0 General Electric Company COM 369604103 803 27100 SH Put OTR 1 27100 0 0 General Motors Co. COM 37045V100 24612 774700 SH SOLE 774700 0 0 General Motors Co. COM 37045V100 1595 50200 SH OTR 1 50200 0 0 General Motors Co. COM 37045V100 27729 872800 SH Put SOLE 872800 0 0 General Motors Co. COM 37045V100 1430 45000 SH Put OTR 1 45000 0 0 Hennessy Capital Acquisition Corp. II UNIT 99/99/9999 42588J209 1714 174935 SH SOLE 174935 0 0 Hennessy Capital Acquisition Corp. II UNIT 99/99/9999 42588J209 244 24865 SH OTR 1 24865 0 0 Herc Holdings Inc. COM 42704L104 423 12551 SH SOLE 12551 0 0 Herc Holdings Inc. COM 42704L104 32 948 SH OTR 1 948 0 0 Hewlett Packard Enterprise Company COM 42824C109 28745 1263500 SH SOLE 1263500 0 0 Hewlett Packard Enterprise Company COM 42824C109 2243 98600 SH OTR 1 98600 0 0 Hewlett Packard Enterprise Company COM 42824C109 21378 939700 SH Put SOLE 939700 0 0 Hewlett Packard Enterprise Company COM 42824C109 1672 73500 SH Put OTR 1 73500 0 0 Hewlett Packard Enterprise Company COM 42824C109 7366 323800 SH Put SOLE 323800 0 0 Hewlett Packard Enterprise Company COM 42824C109 571 25100 SH Put OTR 1 25100 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 70058 3055300 SH SOLE 3055300 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 2128 92800 SH OTR 1 92800 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 12910 563000 SH Put SOLE 563000 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 103 4500 SH Put OTR 1 4500 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 35122 1531700 SH Put SOLE 1531700 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 321 14000 SH Put OTR 1 14000 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 22029 960700 SH Put SOLE 960700 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 1701 74200 SH Put OTR 1 74200 0 0 Independence Realty Trust, Inc. COM 45378A106 225 25000 SH SOLE 25000 0 0 Ingram Micro Inc. CL A 457153104 153186 4295744 SH SOLE 4295744 0 0 Ingram Micro Inc. CL A 457153104 2017 56570 SH OTR 1 56570 0 0 Invesco Senior Income Trust COM 46131H107 7306 1687279 SH SOLE 1687279 0 0 Invesco Senior Income Trust COM 46131H107 567 130917 SH OTR 1 130917 0 0 Isle of Capri Casinos, Inc. COM 464592104 2267 101747 SH SOLE 101747 0 0 Isle of Capri Casinos, Inc. COM 464592104 72 3253 SH OTR 1 3253 0 0 Johnson Controls International PLC SHS G51502105 44199 949900 SH SOLE 949900 0 0 Johnson Controls International PLC SHS G51502105 833 17900 SH OTR 1 17900 0 0 Johnson Controls International PLC SHS G51502105 14182 304800 SH Put SOLE 304800 0 0 Johnson Controls International PLC SHS G51502105 428 9200 SH Put OTR 1 9200 0 0 Johnson Controls International PLC SHS G51502105 30021 645200 SH Put SOLE 645200 0 0 Johnson Controls International PLC SHS G51502105 400 8600 SH Put OTR 1 8600 0 0 KLA-Tencor Corp. COM 482480100 192345 2759216 SH SOLE 2759216 0 0 KLR Energy Acquisition Corp. CL A 49877M108 4038 399000 SH SOLE 399000 0 0 Liberty Media Corp Delaware COM A SIRIUSXM 531229409 40082 1179582 SH SOLE 1179582 0 0 Liberty Media Corp Delaware COM A SIRIUSXM 531229409 1577 46405 SH OTR 1 46405 0 0 Linear Technology Corporation COM 535678106 2964 50000 SH SOLE 50000 0 0 LinkedIn Corporation COM CL A 53578A108 212130 1109930 SH SOLE 1109930 0 0 LinkedIn Corporation COM CL A 53578A108 3151 16487 SH OTR 1 16487 0 0 MGM Resorts International COM 552953101 17901 687700 SH Put SOLE 687700 0 0 MGM Resorts International COM 552953101 1387 53300 SH Put OTR 1 53300 0 0 MGM Resorts International COM 552953101 17901 687700 SH SOLE 687700 0 0 MGM Resorts International COM 552953101 1387 53300 SH OTR 1 53300 0 0 Marriott International Inc. NEW CL A 571903202 47091 699409 SH SOLE 699409 0 0 Media General, Inc. NEW COM 58441K100 27020 1466112 SH SOLE 1466112 0 0 Media General, Inc. NEW COM 58441K100 458 24867 SH OTR 1 24867 0 0 MetLife, Inc. COM 59156R108 15999 360100 SH Put SOLE 360100 0 0 MetLife, Inc. COM 59156R108 1240 27900 SH Put OTR 1 27900 0 0 MetLife, Inc. COM 59156R108 17479 393400 SH SOLE 393400 0 0 MetLife, Inc. COM 59156R108 1355 30500 SH OTR 1 30500 0 0 Monsanto Company NEW COM 61166W101 27103 265200 SH SOLE 265200 0 0 Monsanto Company NEW COM 61166W101 1053 10300 SH OTR 1 10300 0 0 Monsanto Company NEW COM 61166W101 2361 23100 SH Put SOLE 23100 0 0 Monsanto Company NEW COM 61166W101 184 1800 SH Put OTR 1 1800 0 0 Monsanto Company NEW COM 61166W101 3373 33000 SH Put SOLE 33000 0 0 Monsanto Company NEW COM 61166W101 266 2600 SH Put OTR 1 2600 0 0 Monsanto Company NEW COM 61166W101 16342 159900 SH Put SOLE 159900 0 0 Monsanto Company NEW COM 61166W101 215 2100 SH Put OTR 1 2100 0 0 Monsanto Company NEW COM 61166W101 5038 49300 SH Put SOLE 49300 0 0 Monsanto Company NEW COM 61166W101 378 3700 SH Put OTR 1 3700 0 0 News Corporation NEW CL A 65249B109 1925 137722 SH SOLE 137722 0 0 News Corporation NEW CL A 65249B109 353 25279 SH OTR 1 25279 0 0 NorthStar Realty Finance Corp. COM 66704R803 8180 621119 SH SOLE 621119 0 0 Pacific Special Acquisition Corp. SHS G68588105 2152 210000 SH SOLE 210000 0 0 Pacific Special Acquisition Corp. *W EXP 10/20/202 G68588121 28 210000 SH SOLE 210000 0 0 PrivateBancorp, Inc. COM 742962103 59172 1288596 SH SOLE 1288596 0 0 PrivateBancorp, Inc. COM 742962103 678 14769 SH OTR 1 14769 0 0 The Procter & Gamble Company COM 742718109 87971 977369 SH SOLE 977369 0 0 The Procter & Gamble Company COM 742718109 1751 19451 SH OTR 1 19451 0 0 The Procter & Gamble Company COM 742718109 76498 849900 SH Put SOLE 849900 0 0 The Procter & Gamble Company COM 742718109 1521 16900 SH Put OTR 1 16900 0 0 Quintiles IMS Holdings Inc. COM 74876Y101 17333 213825 SH SOLE 213825 0 0 Quintiles IMS Holdings Inc. COM 74876Y101 248 3057 SH OTR 1 3057 0 0 Rite Aid Corp. COM 767754104 19221 2499538 SH SOLE 2499538 0 0 Rite Aid Corp. COM 767754104 265 34457 SH OTR 1 34457 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 42719 197500 SH Put SOLE 197500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 541 2500 SH Put OTR 1 2500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 51285 237100 SH Call SOLE 237100 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 627 2900 SH Call OTR 1 2900 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 74732 345500 SH Put SOLE 345500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 973 4500 SH Put OTR 1 4500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 70557 326200 SH Put SOLE 326200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 822 3800 SH Put OTR 1 3800 0 0 St. Jude Medical, Inc. COM 790849103 143340 1797143 SH SOLE 1797143 0 0 St. Jude Medical, Inc. COM 790849103 1742 21835 SH OTR 1 21835 0 0 Starwood Property Trust, Inc. COM 85571B105 52814 2345214 SH SOLE 2345214 0 0 Syngenta AG SPONSORED ADR 87160A100 85853 980054 SH SOLE 980054 0 0 Syngenta AG SPONSORED ADR 87160A100 1273 14529 SH OTR 1 14529 0 0 The Valspar Corporation COM 920355104 93140 878099 SH SOLE 878099 0 0 The Valspar Corporation COM 920355104 1597 15052 SH OTR 1 15052 0 0 Valvoline Inc. COM 92047W101 516 21952 SH SOLE 21952 0 0 Voya Prime Rate Trust SH BEN INT 92913A100 4893 926638 SH SOLE 926638 0 0 Voya Prime Rate Trust SH BEN INT 92913A100 454 85972 SH OTR 1 85972 0 0 Western Asset High Income Opportunity Fun COM 95766K109 539 106644 SH SOLE 106644 0 0 Wheeler Real Estate Inv.Trust, Inc. COM 963025101 1538 878625 SH SOLE 878625 0 0 WhiteWave Foods Company COM 966244105 13043 239633 SH SOLE 239633 0 0 WhiteWave Foods Company COM 966244105 300 5519 SH OTR 1 5519 0 0 Winthrop Realty Trust SH BEN INT NEW 976391300 1488 180350 SH SOLE 180350 0 0 Yahoo! Inc. COM 984332106 250694 5816564 SH SOLE 5816564 0 0 Yahoo! Inc. COM 984332106 3439 79796 SH OTR 1 79796 0 0