Chief Operating Officer and Chief Compliance Officer

0001140361-17-020247.txt : 20170515 0001140361-17-020247.hdr.sgml : 20170515 20170515100352 ACCESSION NUMBER: 0001140361-17-020247 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170515 DATE AS OF CHANGE: 20170515 EFFECTIVENESS DATE: 20170515 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: 17841795 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 03-31-2017 03-31-2017 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 05-15-2017 1 204 3647137 false 1 0001277372 028-11493 WESTCHESTER CAPITAL PARTNERS, LLC INFORMATION TABLE 2 form13fInfoTable.xml American International Group, Inc. COM NEW 026874784 88981 1425300 SH SOLE 1425300 0 0 American International Group, Inc. COM NEW 026874784 2079 33300 SH OTR 1 33300 0 0 American International Group, Inc. COM NEW 026874784 31664 507200 SH Put SOLE 507200 0 0 American International Group, Inc. COM NEW 026874784 1542 24700 SH Put OTR 1 24700 0 0 American International Group, Inc. COM NEW 026874784 4932 79000 SH Put SOLE 79000 0 0 American International Group, Inc. COM NEW 026874784 131 2100 SH Put OTR 1 2100 0 0 American International Group, Inc. COM NEW 026874784 855 13700 SH Put SOLE 13700 0 0 American International Group, Inc. COM NEW 026874784 94 1500 SH Put OTR 1 1500 0 0 American International Group, Inc. COM NEW 026874784 55944 896100 SH Put SOLE 896100 0 0 AT&T Inc. COM 00206R102 33211 799300 SH Put SOLE 799300 0 0 AT&T Inc. COM 00206R102 416 10000 SH Put OTR 1 10000 0 0 Alibaba Group Hldg Ltd. SPONSORED ADS 01609W102 2006 18600 SH Put SOLE 18600 0 0 Alibaba Group Hldg Ltd. SPONSORED ADS 01609W102 32 300 SH Put OTR 1 300 0 0 Alon USA Energy, Inc. COM 020520102 803 65848 SH SOLE 65848 0 0 Alon USA Energy, Inc. COM 020520102 90 7358 SH OTR 1 7358 0 0 Ashland Global Holdings Inc. COM 044186104 55690 449800 SH Put SOLE 449800 0 0 Ashland Global Holdings Inc. COM 044186104 830 6700 SH Put OTR 1 6700 0 0 Ashland Global Holdings Inc. COM 044186104 644 5200 SH Put SOLE 5200 0 0 Ashland Global Holdings Inc. COM 044186104 62 500 SH Put OTR 1 500 0 0 Ashland Global Holdings Inc. COM 044186104 59491 480500 SH SOLE 480500 0 0 Ashland Global Holdings Inc. COM 044186104 1350 10900 SH OTR 1 10900 0 0 Ashland Global Holdings Inc. COM 044186104 57931 467900 SH Put SOLE 467900 0 0 Ashland Global Holdings Inc. COM 044186104 1201 9700 SH Put OTR 1 9700 0 0 B/E Aerospace, Inc. COM 073302101 105872 1651412 SH SOLE 1651412 0 0 B/E Aerospace, Inc. COM 073302101 2297 35828 SH OTR 1 35828 0 0 Baker Hughes Incorporated COM 057224107 963 16100 SH Put SOLE 16100 0 0 Baker Hughes Incorporated COM 057224107 114 1900 SH Put OTR 1 1900 0 0 Baker Hughes Incorporated COM 057224107 70336 1175800 SH Put SOLE 1175800 0 0 Baker Hughes Incorporated COM 057224107 724 12100 SH Put OTR 1 12100 0 0 Baker Hughes Incorporated COM 057224107 2321 38800 SH Put SOLE 38800 0 0 Baker Hughes Incorporated COM 057224107 257 4300 SH Put OTR 1 4300 0 0 Baker Hughes Incorporated COM 057224107 2979 49800 SH Put SOLE 49800 0 0 Baker Hughes Incorporated COM 057224107 299 5000 SH Put OTR 1 5000 0 0 Baker Hughes Incorporated COM 057224107 72798 1216945 SH SOLE 1216945 0 0 Baker Hughes Incorporated COM 057224107 1328 22207 SH OTR 1 22207 0 0 Blackrock Debt Strategies Fund, Inc. COM NEW 09255R202 4060 352469 SH SOLE 352469 0 0 Blackrock Fltg Rate Inc. OME STR COM 09255X100 4411 304445 SH SOLE 304445 0 0 Bob Evans Farms, Inc. COM 096761101 10288 158600 SH Put SOLE 158600 0 0 Bob Evans Farms, Inc. COM 096761101 1207 18600 SH Put OTR 1 18600 0 0 Bob Evans Farms, Inc. COM 096761101 10288 158600 SH SOLE 158600 0 0 Bob Evans Farms, Inc. COM 096761101 1207 18600 SH OTR 1 18600 0 0 CBS Corporation CL B 124857202 5479 79000 SH SOLE 79000 0 0 CBS Corporation CL B 124857202 652 9400 SH OTR 1 9400 0 0 CBS Corporation CL B 124857202 430 6200 SH Put SOLE 6200 0 0 CBS Corporation CL B 124857202 49 700 SH Put OTR 1 700 0 0 CBS Corporation CL B 124857202 4703 67800 SH Put SOLE 67800 0 0 CBS Corporation CL B 124857202 541 7800 SH Put OTR 1 7800 0 0 CIT Group Inc. COM NEW 125581801 19151 446100 SH Put SOLE 446100 0 0 CIT Group Inc. COM NEW 125581801 1674 39000 SH Put OTR 1 39000 0 0 CIT Group Inc. COM NEW 125581801 3598 83800 SH Put SOLE 83800 0 0 CIT Group Inc. COM NEW 125581801 270 6300 SH Put OTR 1 6300 0 0 CIT Group Inc. COM NEW 125581801 12184 283800 SH SOLE 283800 0 0 CIT Group Inc. COM NEW 125581801 1391 32400 SH OTR 1 32400 0 0 CSX Corporation COM 126408103 19663 422400 SH SOLE 422400 0 0 CSX Corporation COM 126408103 2314 49700 SH OTR 1 49700 0 0 CSX Corporation COM 126408103 712 15300 SH Put SOLE 15300 0 0 CSX Corporation COM 126408103 56 1200 SH Put OTR 1 1200 0 0 CSX Corporation COM 126408103 6121 131500 SH Put SOLE 131500 0 0 CSX Corporation COM 126408103 684 14700 SH Put OTR 1 14700 0 0 CSX Corporation COM 126408103 9296 199700 SH Put SOLE 199700 0 0 CSX Corporation COM 126408103 1057 22700 SH Put OTR 1 22700 0 0 CSX Corporation COM 126408103 4152 89200 SH Put SOLE 89200 0 0 CSX Corporation COM 126408103 456 9800 SH Put OTR 1 9800 0 0 Cascade Bancorp COM NEW 147154207 1244 161294 SH SOLE 161294 0 0 Chemtura Corporation COM NEW 163893209 76051 2276979 SH SOLE 2276979 0 0 Colony NorthStar, Inc. CL A COM 19625W104 6437 498617 SH SOLE 498617 0 0 Computer Sciences Corporation COM 205363104 545 7900 SH SOLE 7900 0 0 Computer Sciences Corporation COM 205363104 62 900 SH OTR 1 900 0 0 Computer Sciences Corporation COM 205363104 545 7900 SH Put SOLE 7900 0 0 Computer Sciences Corporation COM 205363104 62 900 SH Put OTR 1 900 0 0 DISH Network Corp. CL A 25470M109 9212 145100 SH SOLE 145100 0 0 DISH Network Corp. CL A 25470M109 1194 18800 SH OTR 1 18800 0 0 DISH Network Corp. CL A 25470M109 4717 74300 SH Put SOLE 74300 0 0 DISH Network Corp. CL A 25470M109 546 8600 SH Put OTR 1 8600 0 0 DISH Network Corp. CL A 25470M109 4908 77300 SH Put SOLE 77300 0 0 DISH Network Corp. CL A 25470M109 552 8700 SH Put OTR 1 8700 0 0 Dell Technologies Inc. COM CL V 24703L103 33663 525332 SH SOLE 525332 0 0 Dell Technologies Inc. COM CL V 24703L103 471 7349 SH OTR 1 7349 0 0 DigitalGlobe Inc. COM NEW 25389M877 17718 541017 SH SOLE 541017 0 0 DigitalGlobe Inc. COM NEW 25389M877 278 8483 SH OTR 1 8483 0 0 Du Pont (E.I.) de Nemours & Co. COM 263534109 113812 1416801 SH SOLE 1416801 0 0 Du Pont (E.I.) de Nemours & Co. COM 263534109 2343 29171 SH OTR 1 29171 0 0 Du Pont (E.I.) de Nemours & Co. COM 263534109 9061 112800 SH Put SOLE 112800 0 0 Du Pont (E.I.) de Nemours & Co. COM 263534109 145 1800 SH Put OTR 1 1800 0 0 Du Pont (E.I.) de Nemours & Co. COM 263534109 33377 415500 SH Put SOLE 415500 0 0 Du Pont (E.I.) de Nemours & Co. COM 263534109 386 4800 SH Put OTR 1 4800 0 0 Du Pont (E.I.) de Nemours & Co. COM 263534109 18211 226700 SH Put SOLE 226700 0 0 Du Pont (E.I.) de Nemours & Co. COM 263534109 289 3600 SH Put OTR 1 3600 0 0 Energy Transfer Partners LP UNIT LTD PARTN 29273R109 35434 970267 SH SOLE 970267 0 0 EverBank Financial Corporation COM 29977G102 71341 3662256 SH SOLE 3662256 0 0 First Trust Senior Fltg. Rate Income Fd.I COM 33733U108 2282 165009 SH SOLE 165009 0 0 Fortress Investment Group LLC CL A 34958B106 30644 3854589 SH SOLE 3854589 0 0 General Electric Company COM 369604103 12704 426300 SH Put SOLE 426300 0 0 General Electric Company COM 369604103 1469 49300 SH Put OTR 1 49300 0 0 General Electric Company COM 369604103 4527 151900 SH Put SOLE 151900 0 0 General Electric Company COM 369604103 516 17300 SH Put OTR 1 17300 0 0 General Electric Company COM 369604103 17230 578200 SH SOLE 578200 0 0 General Electric Company COM 369604103 1985 66600 SH OTR 1 66600 0 0 General Motors Co. COM 37045V100 7090 200500 SH SOLE 200500 0 0 General Motors Co. COM 37045V100 789 22300 SH OTR 1 22300 0 0 General Motors Co. COM 37045V100 7090 200500 SH Put SOLE 200500 0 0 General Motors Co. COM 37045V100 789 22300 SH Put OTR 1 22300 0 0 Headwaters Incorporated COM 42210P102 796 33911 SH OTR 1 33911 0 0 Hertz Global Holdings, Inc. COM 42806J106 10391 592400 SH Put SOLE 592400 0 0 Hertz Global Holdings, Inc. COM 42806J106 1149 65500 SH Put OTR 1 65500 0 0 Hertz Global Holdings, Inc. COM 42806J106 8102 461900 SH SOLE 461900 0 0 Hertz Global Holdings, Inc. COM 42806J106 1191 67900 SH OTR 1 67900 0 0 Hertz Global Holdings, Inc. COM 42806J106 1233 70300 SH Put SOLE 70300 0 0 Hertz Global Holdings, Inc. COM 42806J106 142 8100 SH Put OTR 1 8100 0 0 Hewlett Packard Enterprise Company COM 42824C109 111077 4686800 SH SOLE 4686800 0 0 Hewlett Packard Enterprise Company COM 42824C109 2534 106900 SH OTR 1 106900 0 0 Hewlett Packard Enterprise Company COM 42824C109 36635 1545800 SH Put SOLE 1545800 0 0 Hewlett Packard Enterprise Company COM 42824C109 306 12900 SH Put OTR 1 12900 0 0 Hewlett Packard Enterprise Company COM 42824C109 63668 2686400 SH Put SOLE 2686400 0 0 Hewlett Packard Enterprise Company COM 42824C109 2228 94000 SH Put OTR 1 94000 0 0 Hewlett Packard Enterprise Company COM 42824C109 15329 646800 SH Put SOLE 646800 0 0 Hilton Worldwide Holdings Inc. COM 43300A203 9406 160900 SH Put SOLE 160900 0 0 Hilton Worldwide Holdings Inc. COM 43300A203 1087 18600 SH Put OTR 1 18600 0 0 Hilton Worldwide Holdings Inc. COM 43300A203 9406 160900 SH SOLE 160900 0 0 Hilton Worldwide Holdings Inc. COM 43300A203 1087 18600 SH OTR 1 18600 0 0 Humana Inc. COM 444859102 227 1100 SH SOLE 1100 0 0 Humana Inc. COM 444859102 144 700 SH OTR 1 700 0 0 Huntsman Corporation COM 447011107 7789 317400 SH Put SOLE 317400 0 0 Huntsman Corporation COM 447011107 3747 152700 SH Put SOLE 152700 0 0 Huntsman Corporation COM 447011107 429 17500 SH Put OTR 1 17500 0 0 Huntsman Corporation COM 447011107 7789 317400 SH SOLE 317400 0 0 Huntsman Corporation COM 447011107 11752 478900 SH Put SOLE 478900 0 0 Huntsman Corporation COM 447011107 1325 54000 SH Put OTR 1 54000 0 0 Invesco Senior Income Trust COM 46131H107 6350 1371457 SH SOLE 1371457 0 0 Isle of Capri Casinos, Inc. COM 464592104 8942 339243 SH SOLE 339243 0 0 KLR Energy Acquisition Corp. CL A 49877M108 4118 399000 SH SOLE 399000 0 0 Lennar Corporation CL B 526057302 32 769 SH SOLE 769 0 0 Lennar Corporation CL B 526057302 4 88 SH OTR 1 88 0 0 Level 3 Communications, Inc. COM NEW 52729N308 82708 1445437 SH SOLE 1445437 0 0 Level 3 Communications, Inc. COM NEW 52729N308 1468 25652 SH OTR 1 25652 0 0 Liberty Media Corp Delaware COM A SIRIUSXM 531229409 24381 626429 SH SOLE 626429 0 0 Liberty Media Corp Delaware COM A SIRIUSXM 531229409 1171 30075 SH OTR 1 30075 0 0 MGM Resorts International COM 552953101 11914 434800 SH Put SOLE 434800 0 0 MGM Resorts International COM 552953101 1460 53300 SH Put OTR 1 53300 0 0 MGM Resorts International COM 552953101 13368 487900 SH SOLE 487900 0 0 MGM Resorts International COM 552953101 1628 59400 SH OTR 1 59400 0 0 MGM Resorts International COM 552953101 1455 53100 SH Put SOLE 53100 0 0 MGM Resorts International COM 552953101 167 6100 SH Put OTR 1 6100 0 0 Marathon Petroleum Corporation COM 56585A102 12266 242700 SH Put SOLE 242700 0 0 Marathon Petroleum Corporation COM 56585A102 1430 28300 SH Put OTR 1 28300 0 0 Marathon Petroleum Corporation COM 56585A102 12266 242700 SH SOLE 242700 0 0 Marathon Petroleum Corporation COM 56585A102 1430 28300 SH OTR 1 28300 0 0 Mead Johnson Nutrition Co. COM 582839106 108173 1214336 SH SOLE 1214336 0 0 Mead Johnson Nutrition Co. COM 582839106 731 8211 SH OTR 1 8211 0 0 Mead Johnson Nutrition Co. COM 582839106 5487 61600 SH Call SOLE 61600 0 0 Mead Johnson Nutrition Co. COM 582839106 71 800 SH Call OTR 1 800 0 0 MetLife, Inc. COM 59156R108 20658 391100 SH Put SOLE 391100 0 0 MetLife, Inc. COM 59156R108 2382 45100 SH Put OTR 1 45100 0 0 MetLife, Inc. COM 59156R108 1595 30200 SH OTR 1 30200 0 0 Mobileye N.V. AMSTELVEEN ORD SHS N51488117 106860 1740385 SH SOLE 1740385 0 0 Mobileye N.V. AMSTELVEEN ORD SHS N51488117 1073 17478 SH OTR 1 17478 0 0 NXP Semiconductors NV COM N6596X109 160012 1546013 SH SOLE 1546013 0 0 NXP Semiconductors NV COM N6596X109 3176 30684 SH OTR 1 30684 0 0 News Corporation NEW CL A 65249B109 1790 137722 SH SOLE 137722 0 0 News Corporation NEW CL A 65249B109 329 25279 SH OTR 1 25279 0 0 Nuveen Credit Strategies Income Fund COM SHS 67073D102 4941 568550 SH SOLE 568550 0 0 ONEOK Partners, LP UNIT LTD PARTN 68268N103 25290 468416 SH SOLE 468416 0 0 Pacific Special Acquisition Corp. SHS G68588105 2173 210000 SH SOLE 210000 0 0 Pacific Special Acquisition Corp. *W EXP 10/20/202 G68588121 73 210000 SH SOLE 210000 0 0 PrivateBancorp, Inc. COM 742962103 75996 1280046 SH SOLE 1280046 0 0 Reynolds American Inc. COM 761713106 200482 3181248 SH SOLE 3181248 0 0 Reynolds American Inc. COM 761713106 4134 65595 SH OTR 1 65595 0 0 Rite Aid Corp. COM 767754104 5831 1371942 SH SOLE 1371942 0 0 Rite Aid Corp. COM 767754104 152 35712 SH OTR 1 35712 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 72773 308700 SH Put SOLE 308700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1155 4900 SH Put OTR 1 4900 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 184349 782000 SH Put SOLE 782000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2900 12300 SH Put OTR 1 12300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 21688 92000 SH Call SOLE 92000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 330 1400 SH Call OTR 1 1400 0 0 Sealed Air Corporation NEW COM 81211K100 15179 348300 SH Put SOLE 348300 0 0 Sealed Air Corporation NEW COM 81211K100 1704 39100 SH Put OTR 1 39100 0 0 Sealed Air Corporation NEW COM 81211K100 38917 893000 SH Put SOLE 893000 0 0 Sealed Air Corporation NEW COM 81211K100 161 3700 SH Put OTR 1 3700 0 0 Sealed Air Corporation NEW COM 81211K100 37841 868300 SH SOLE 868300 0 0 Starwood Property Trust, Inc. COM 85571B105 10937 484358 SH SOLE 484358 0 0 Syngenta AG SPONSORED ADR 87160A100 104646 1182442 SH SOLE 1182442 0 0 Syngenta AG SPONSORED ADR 87160A100 2556 28881 SH OTR 1 28881 0 0 The Valspar Corporation COM 920355104 76750 691819 SH SOLE 691819 0 0 The Valspar Corporation COM 920355104 1730 15591 SH OTR 1 15591 0 0 Time Warner Inc. COM NEW 887317303 169843 1738238 SH SOLE 1738238 0 0 Time Warner Inc. COM NEW 887317303 3312 33892 SH OTR 1 33892 0 0 VCA Inc. COM 918194101 93342 1020127 SH SOLE 1020127 0 0 VCA Inc. COM 918194101 1716 18753 SH OTR 1 18753 0 0 VanEck Vectors ETF TR SEMICONDUCTOR ET 92189F676 11279 141500 SH Put SOLE 141500 0 0 VanEck Vectors ETF TR SEMICONDUCTOR ET 92189F676 199 2500 SH Put OTR 1 2500 0 0 Varex Imaging Corporation COM 92214X106 547 16280 SH SOLE 16280 0 0 Varex Imaging Corporation COM 92214X106 62 1840 SH OTR 1 1840 0 0 Varian Medical Systems, Inc. COM 92220P105 9751 107000 SH Put SOLE 107000 0 0 Varian Medical Systems, Inc. COM 92220P105 1103 12100 SH Put OTR 1 12100 0 0 Varian Medical Systems, Inc. COM 92220P105 3709 40700 SH SOLE 40700 0 0 Varian Medical Systems, Inc. COM 92220P105 419 4600 SH OTR 1 4600 0 0 Voya (ING) Prime Rate Trust SH BEN INT 92913A100 3703 684485 SH SOLE 684485 0 0 Western Asset High Income Opportunity Fun COM 95766K109 4829 958229 SH SOLE 958229 0 0 Wheeler Real Estate Inv.Trust, Inc. COM 963025101 1000 577823 SH SOLE 577823 0 0 WhiteWave Foods Company COM 966244105 41013 730413 SH SOLE 730413 0 0 WhiteWave Foods Company COM 966244105 868 15460 SH OTR 1 15460 0 0 Yahoo! Inc. COM 984332106 180628 3892004 SH SOLE 3892004 0 0 Yahoo! Inc. COM 984332106 3183 68587 SH OTR 1 68587 0 0