Chief Operating Officer and Chief Compliance Officer

0001140361-17-006833.txt : 20170214 0001140361-17-006833.hdr.sgml : 20170214 20170214123603 ACCESSION NUMBER: 0001140361-17-006833 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 EFFECTIVENESS DATE: 20170214 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: 17605903 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 12-31-2016 12-31-2016 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 02-14-2017 1 184 3953570 false 1 0001277372 028-11493 WESTCHESTER CAPITAL PARTNERS, LLC INFORMATION TABLE 2 form13fInfoTable.xml American International Group, Inc. COM NEW 026874784 30278 463600 SH Put SOLE 463600 0 0 American International Group, Inc. COM NEW 026874784 1234 18900 SH Put OTR 1 18900 0 0 American International Group, Inc. COM NEW 026874784 58524 896100 SH Put SOLE 896100 0 0 American International Group, Inc. COM NEW 026874784 79600 1218800 SH SOLE 1218800 0 0 American International Group, Inc. COM NEW 026874784 1476 22600 SH OTR 1 22600 0 0 Adient plc ORD SHS G0084W101 4821 82270 SH SOLE 82270 0 0 Adient plc ORD SHS G0084W101 173 2960 SH OTR 1 2960 0 0 Allergan PLC SHS G0177J108 3780 18000 SH Put SOLE 18000 0 0 Allergan PLC SHS G0177J108 294 1400 SH Put OTR 1 1400 0 0 Allergan PLC SHS G0177J108 3297 15700 SH Put SOLE 15700 0 0 Allergan PLC SHS G0177J108 252 1200 SH Put OTR 1 1200 0 0 Allergan PLC SHS G0177J108 5409 25758 SH SOLE 25758 0 0 Allergan PLC SHS G0177J108 546 2600 SH OTR 1 2600 0 0 American Capital Ltd. COM 02503Y103 127256 7101323 SH SOLE 7101323 0 0 Ashland Global Holdings Inc. COM 044186104 87563 801200 SH SOLE 801200 0 0 Ashland Global Holdings Inc. COM 044186104 1060 9700 SH OTR 1 9700 0 0 Ashland Global Holdings Inc. COM 044186104 51913 475000 SH Put SOLE 475000 0 0 Ashland Global Holdings Inc. COM 044186104 645 5900 SH Put OTR 1 5900 0 0 Ashland Global Holdings Inc. COM 044186104 30066 275100 SH Put SOLE 275100 0 0 B/E Aerospace, Inc. COM 073302101 51484 855366 SH SOLE 855366 0 0 B/E Aerospace, Inc. COM 073302101 826 13719 SH OTR 1 13719 0 0 Baker Hughes Incorporated COM 057224107 36767 565900 SH Put SOLE 565900 0 0 Baker Hughes Incorporated COM 057224107 533 8200 SH Put OTR 1 8200 0 0 Baker Hughes Incorporated COM 057224107 81290 1251200 SH SOLE 1251200 0 0 Baker Hughes Incorporated COM 057224107 1644 25300 SH OTR 1 25300 0 0 Baker Hughes Incorporated COM 057224107 7459 114800 SH Put SOLE 114800 0 0 Baker Hughes Incorporated COM 057224107 572 8800 SH Put OTR 1 8800 0 0 Baker Hughes Incorporated COM 057224107 37065 570500 SH Put SOLE 570500 0 0 Baker Hughes Incorporated COM 057224107 539 8300 SH Put OTR 1 8300 0 0 Bats Global Markets, Inc. COM 05491G109 11486 342756 SH SOLE 342756 0 0 Blackrock Debt Strategies Fund, Inc. COM NEW 09255R202 4371 385459 SH SOLE 385459 0 0 Blackrock Fltg Rate OME STR COM 09255X100 5450 378183 SH SOLE 378183 0 0 Blackstone Group LP COM UNIT LTD 09253U108 1903 70400 SH Put SOLE 70400 0 0 Blackstone Group LP COM UNIT LTD 09253U108 146 5400 SH Put OTR 1 5400 0 0 Bob Evans Farms, Inc. COM 096761101 7550 141900 SH Put SOLE 141900 0 0 Bob Evans Farms, Inc. COM 096761101 564 10600 SH Put OTR 1 10600 0 0 Bob Evans Farms, Inc. COM 096761101 7550 141900 SH SOLE 141900 0 0 Bob Evans Farms, Inc. COM 096761101 564 10600 SH OTR 1 10600 0 0 CBS Corporation NEW CL B 124857202 42466 667500 SH SOLE 667500 0 0 CBS Corporation NEW CL B 124857202 1043 16400 SH OTR 1 16400 0 0 CBS Corporation NEW CL B 124857202 1711 26900 SH Put SOLE 26900 0 0 CBS Corporation NEW CL B 124857202 140 2200 SH Put OTR 1 2200 0 0 CBS Corporation NEW CL B 124857202 22261 349900 SH Put SOLE 349900 0 0 CBS Corporation NEW CL B 124857202 407 6400 SH Put OTR 1 6400 0 0 CBS Corporation NEW CL B 124857202 3754 59000 SH Put SOLE 59000 0 0 CBS Corporation NEW CL B 124857202 64 1000 SH Put OTR 1 1000 0 0 CBS Corporation NEW CL B 124857202 29469 463200 SH Put SOLE 463200 0 0 CBS Corporation NEW CL B 124857202 7157 112500 SH Put SOLE 112500 0 0 CBS Corporation NEW CL B 124857202 528 8300 SH Put OTR 1 8300 0 0 CIT Group Inc. COM NEW 125581801 3577 83800 SH Put SOLE 83800 0 0 CIT Group Inc. COM NEW 125581801 269 6300 SH Put OTR 1 6300 0 0 CIT Group Inc. COM NEW 125581801 65381 1531900 SH SOLE 1531900 0 0 CIT Group Inc. COM NEW 125581801 1067 25000 SH OTR 1 25000 0 0 CIT Group Inc. COM NEW 125581801 7217 169100 SH Put SOLE 169100 0 0 CIT Group Inc. COM NEW 125581801 54592 1279100 SH Put SOLE 1279100 0 0 CIT Group Inc. COM NEW 125581801 798 18700 SH Put OTR 1 18700 0 0 Cabela's Incorporated COM 126804301 103213 1762816 SH SOLE 1762816 0 0 Cabela's Incorporated COM 126804301 1815 30992 SH OTR 1 30992 0 0 Chemtura Corporation COM NEW 163893209 63920 1925298 SH SOLE 1925298 0 0 Columbia Pipeline Partners LP COM UT REPSTG 198281107 45957 2679711 SH SOLE 2679711 0 0 Coty, Inc. COM CL A 222070203 3413 186414 SH SOLE 186414 0 0 Coty, Inc. COM CL A 222070203 122 6683 SH OTR 1 6683 0 0 Dell Technologies Inc. COM CL V 24703L103 36095 656624 SH SOLE 656624 0 0 Dell Technologies Inc. COM CL V 24703L103 476 8660 SH OTR 1 8660 0 0 Dow Chemical Company COM 260543103 83159 1453313 SH SOLE 1453313 0 0 Dow Chemical Company COM 260543103 733 12815 SH OTR 1 12815 0 0 Dow Chemical Company COM 260543103 29405 513900 SH Put SOLE 513900 0 0 Endurance Specialty Holdings Limited SHS G30397106 96185 1040958 SH SOLE 1040958 0 0 Endurance Specialty Holdings Limited SHS G30397106 1691 18298 SH OTR 1 18298 0 0 Energy Transfer Partners, L.P. UNIT LTD PARTN 29273R109 27375 764454 SH SOLE 764454 0 0 EverBank Financial Corporation COM 29977G102 62381 3207274 SH SOLE 3207274 0 0 First Trust Senior Fltg. Rate Income Fd.I COM 33733U108 3491 252450 SH SOLE 252450 0 0 General Electric Company COM 369604103 7233 228900 SH SOLE 228900 0 0 General Electric Company COM 369604103 540 17100 SH OTR 1 17100 0 0 General Electric Company COM 369604103 7233 228900 SH Put SOLE 228900 0 0 General Electric Company COM 369604103 540 17100 SH Put OTR 1 17100 0 0 General Motors Co. COM 37045V100 1352 38800 SH SOLE 38800 0 0 General Motors Co. COM 37045V100 38 1100 SH OTR 1 1100 0 0 General Motors Co. COM 37045V100 1721 49400 SH Put SOLE 49400 0 0 General Motors Co. COM 37045V100 38 1100 SH Put OTR 1 1100 0 0 Harman International Industries, Inc. COM 413086109 136201 1225271 SH SOLE 1225271 0 0 Harman International Industries, Inc. COM 413086109 2050 18441 SH OTR 1 18441 0 0 Hennessy Capital Acquisition Corp. II UNIT 99/99/999 42588J209 1765 174935 SH SOLE 174935 0 0 Hennessy Capital Acquisition Corp. II UNIT 99/99/999 42588J209 251 24865 SH OTR 1 24865 0 0 Hewlett Packard Enterprise Company COM 42824C109 101494 4386100 SH SOLE 4386100 0 0 Hewlett Packard Enterprise Company COM 42824C109 2175 94000 SH OTR 1 94000 0 0 Hewlett Packard Enterprise Company COM 42824C109 5544 239600 SH Put SOLE 239600 0 0 Hewlett Packard Enterprise Company COM 42824C109 56832 2456000 SH Put SOLE 2456000 0 0 Hewlett Packard Enterprise Company COM 42824C109 1481 64000 SH Put OTR 1 64000 0 0 Hewlett Packard Enterprise Company COM 42824C109 2145 92700 SH Put SOLE 92700 0 0 Hewlett Packard Enterprise Company COM 42824C109 164 7100 SH Put OTR 1 7100 0 0 Hewlett Packard Enterprise Company COM 42824C109 36415 1573700 SH Put SOLE 1573700 0 0 Hewlett Packard Enterprise Company COM 42824C109 530 22900 SH Put OTR 1 22900 0 0 Hilton Worldwide Holdings Inc. WHEN ISSUED 43300A203 70823 2603800 SH SOLE 2603800 0 0 Hilton Worldwide Holdings Inc. WHEN ISSUED 43300A203 585 21500 SH OTR 1 21500 0 0 Hilton Worldwide Holdings Inc. WHEN ISSUED 43300A203 59263 2178800 SH Put SOLE 2178800 0 0 Hilton Worldwide Holdings Inc. WHEN ISSUED 43300A203 4398 161700 SH Put SOLE 161700 0 0 Hilton Worldwide Holdings Inc. WHEN ISSUED 43300A203 7534 277000 SH Put SOLE 277000 0 0 Hilton Worldwide Holdings Inc. WHEN ISSUED 43300A203 552 20300 SH Put OTR 1 20300 0 0 Intersil Corp CL A 46069S109 23074 1034694 SH SOLE 1034694 0 0 Intersil Corp CL A 46069S109 309 13846 SH OTR 1 13846 0 0 Invesco Senior Income Trust COM 46131H107 7829 1687279 SH SOLE 1687279 0 0 Isle of Capri Casinos, Inc. COM 464592104 10587 428795 SH SOLE 428795 0 0 Isle of Capri Casinos, Inc. COM 464592104 338 13705 SH OTR 1 13705 0 0 Johnson Controls International PLC SHS G51502105 33887 822700 SH SOLE 822700 0 0 Johnson Controls International PLC SHS G51502105 1219 29600 SH OTR 1 29600 0 0 Johnson Controls International PLC SHS G51502105 35456 860800 SH Put SOLE 860800 0 0 Johnson Controls International PLC SHS G51502105 770 18700 SH Put OTR 1 18700 0 0 Johnson Controls International PLC SHS G51502105 5915 143600 SH Put SOLE 143600 0 0 Johnson Controls International PLC SHS G51502105 449 10900 SH Put OTR 1 10900 0 0 KLR Energy Acquisition Corp. CL A 49877M108 4142 399000 SH SOLE 399000 0 0 Lamb West Holdings, Inc. COM 513272104 43353 1145400 SH Put SOLE 1145400 0 0 Lamb West Holdings, Inc. COM 513272104 1548 40900 SH Put OTR 1 40900 0 0 Lamb West Holdings, Inc. COM 513272104 43529 1150052 SH SOLE 1150052 0 0 Lamb West Holdings, Inc. COM 513272104 1553 41028 SH OTR 1 41028 0 0 Level 3 Communications, Inc. COM NEW 52729N308 52813 937069 SH SOLE 937069 0 0 Level 3 Communications, Inc. COM NEW 52729N308 872 15467 SH OTR 1 15467 0 0 Liberty Media Corp Delaware COM A SIRIUSXM 531229409 40719 1179582 SH SOLE 1179582 0 0 Liberty Media Corp Delaware COM A SIRIUSXM 531229409 1602 46405 SH OTR 1 46405 0 0 Linear Technology Corporation COM 535678106 102572 1645107 SH SOLE 1645107 0 0 Linear Technology Corporation COM 535678106 1074 17222 SH OTR 1 17222 0 0 MGM Resorts International COM 552953101 19743 684800 SH Put SOLE 684800 0 0 MGM Resorts International COM 552953101 1537 53300 SH Put OTR 1 53300 0 0 MGM Resorts International COM 552953101 19743 684800 SH SOLE 684800 0 0 MGM Resorts International COM 552953101 1537 53300 SH OTR 1 53300 0 0 Media General, Inc. NEW COM 58441K100 21530 1143390 SH SOLE 1143390 0 0 Media General, Inc. NEW COM 58441K100 344 18291 SH OTR 1 18291 0 0 Mentor Graphics Corporation COM 587200106 67876 1839961 SH SOLE 1839961 0 0 Mentor Graphics Corporation COM 587200106 569 15422 SH OTR 1 15422 0 0 MetLife, Inc. COM 59156R108 21200 393400 SH Put SOLE 393400 0 0 MetLife, Inc. COM 59156R108 1644 30500 SH Put OTR 1 30500 0 0 MetLife, Inc. COM 59156R108 7518 139500 SH SOLE 139500 0 0 MetLife, Inc. COM 59156R108 1644 30500 SH OTR 1 30500 0 0 Monsanto Company NEW COM 61166W101 54572 518700 SH SOLE 518700 0 0 Monsanto Company NEW COM 61166W101 842 8000 SH OTR 1 8000 0 0 NXP Semiconductors NV COM N6596X109 117288 1196698 SH SOLE 1196698 0 0 NXP Semiconductors NV COM N6596X109 1882 19202 SH OTR 1 19202 0 0 News Corporation NEW CL A 65249B109 1578 137722 SH SOLE 137722 0 0 News Corporation NEW CL A 65249B109 290 25279 SH OTR 1 25279 0 0 NorthStar Asset Management Group Inc. COM 66705Y104 33564 2249576 SH SOLE 2249576 0 0 NorthStar Realty Finance Corp. COM 66704R803 25583 1688669 SH SOLE 1688669 0 0 Nuveen Credit Strategies Income Fund COM SHS 67073D102 5908 667590 SH SOLE 667590 0 0 Pacific Special Acquisition Corp. SHS G68588105 2168 210000 SH SOLE 210000 0 0 Pacific Special Acquisition Corp. *W EXP 10/20/202 G68588121 59 210000 SH SOLE 210000 0 0 PrivateBancorp, Inc. COM 742962103 16572 305809 SH SOLE 305809 0 0 Reynolds American Inc. COM 761713106 104308 1861309 SH SOLE 1861309 0 0 Reynolds American Inc. COM 761713106 1857 33141 SH OTR 1 33141 0 0 Rite Aid Corp. COM 767754104 20015 2429060 SH SOLE 2429060 0 0 Rite Aid Corp. COM 767754104 423 51377 SH OTR 1 51377 0 0 Rockwell Collins Inc. COM 774341101 4109 44300 SH Call SOLE 44300 0 0 Rockwell Collins Inc. COM 774341101 65 700 SH Call OTR 1 700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 11020 49300 SH Put SOLE 49300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 156 700 SH Put OTR 1 700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 44080 197200 SH Call SOLE 197200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 626 2800 SH Call OTR 1 2800 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 44080 197200 SH Put SOLE 197200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 626 2800 SH Put OTR 1 2800 0 0 St. Jude Medical, Inc. COM 790849103 145635 1816119 SH SOLE 1816119 0 0 Starwood Property Trust, Inc. COM 85571B105 12172 554526 SH SOLE 554526 0 0 Syngenta AG SPONSORED ADR 87160A100 86114 1089362 SH SOLE 1089362 0 0 Syngenta AG SPONSORED ADR 87160A100 1452 18365 SH OTR 1 18365 0 0 Team Health Holding Inc. COM 87817A107 4661 107272 SH SOLE 107272 0 0 Team Health Holding Inc. COM 87817A107 289 6644 SH OTR 1 6644 0 0 FMC Technologies Inc. COM G87110105 76412 2131483 SH SOLE 2131483 0 0 The Valspar Corporation COM 920355104 87465 844180 SH SOLE 844180 0 0 The Valspar Corporation COM 920355104 1576 15209 SH OTR 1 15209 0 0 Time Warner Inc. COM NEW 887317303 100974 1046037 SH SOLE 1046037 0 0 Time Warner Inc. COM NEW 887317303 1316 13629 SH OTR 1 13629 0 0 Valvoline Inc. COM 92047W101 472 21952 SH SOLE 21952 0 0 Voya Prime Rate Trust SH BEN INT 92913A100 6036 1089555 SH SOLE 1089555 0 0 Western Asset High Income Opportunity Fun COM 95766K109 5760 1154234 SH SOLE 1154234 0 0 Wheeler Real Estate Inv.Trust, Inc. COM 963025101 1494 878625 SH SOLE 878625 0 0 WhiteWave Foods Company COM 966244105 18603 334592 SH SOLE 334592 0 0 WhiteWave Foods Company COM 966244105 417 7496 SH OTR 1 7496 0 0 Yahoo! Inc. COM 984332106 182448 4718079 SH SOLE 4718079 0 0 Yahoo! Inc. COM 984332106 2671 69083 SH OTR 1 69083 0 0 Yum China Holding, Inc. COM 98850P109 15280 585000 SH SOLE 585000 0 0 Yum China Holding, Inc. COM 98850P109 321 12300 SH OTR 1 12300 0 0 Yum! Brands, Inc. COM 988498101 10842 171200 SH Put SOLE 171200 0 0 Yum! Brands, Inc. COM 988498101 399 6300 SH Put OTR 1 6300 0 0 Yum! Brands, Inc. COM 988498101 26206 413800 SH Put SOLE 413800 0 0 Yum! Brands, Inc. COM 988498101 380 6000 SH Put OTR 1 6000 0 0 Yum! Brands, Inc. COM 988498101 37048 585000 SH SOLE 585000 0 0 Yum! Brands, Inc. COM 988498101 779 12300 SH OTR 1 12300 0 0