0001140361-17-042529.txt : 20171114 0001140361-17-042529.hdr.sgml : 20171114 20171114124039 ACCESSION NUMBER: 0001140361-17-042529 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171114 DATE AS OF CHANGE: 20171114 EFFECTIVENESS DATE: 20171114 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: 171199845 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 09-30-2017 09-30-2017 Westchester Capital Management, LLC

100 SUMMIT LAKE DRIVE VALHALLA NY 10595

13F HOLDINGS REPORT 028-14257 N Bruce Rubin 914-741-5600 Bruce Rubin Valhalla NY 11-14-2017 1 153 3174768 false 1 0001277372 028-11493 WESTCHESTER CAPITAL PARTNERS, LLC INFORMATION TABLE 2 form13fInfoTable.xml American International Group, Inc. COM NEW 026874784 51310 835799 SH SOLE 835799 0 0 American International Group, Inc. COM NEW 026874784 2014 32801 SH OTR 1 32801 0 0 American International Group, Inc. COM NEW 026874784 15900 259000 SH Put SOLE 259000 0 0 American International Group, Inc. COM NEW 026874784 1240 20200 SH Put OTR 1 20200 0 0 American International Group, Inc. COM NEW 026874784 62225 1013600 SH Put SOLE 1013600 0 0 American International Group, Inc. COM NEW 026874784 1344 21900 SH Put OTR 1 21900 0 0 AT&T Inc. COM 00206R102 79703 2034800 SH Put SOLE 2034800 0 0 AT&T Inc. COM 00206R102 834 21300 SH Put OTR 1 21300 0 0 Alere, Inc. COM 01449J105 55825 1094816 SH SOLE 1094816 0 0 Alere, Inc. COM 01449J105 1586 31101 SH OTR 1 31101 0 0 Altaba Inc. COM 021346101 317052 4786420 SH SOLE 4786420 0 0 Altaba Inc. COM 021346101 5901 89092 SH OTR 1 89092 0 0 Ashland Global Holdings Inc. COM 044186104 50991 779800 SH SOLE 779800 0 0 Ashland Global Holdings Inc. COM 044186104 1726 26400 SH OTR 1 26400 0 0 Ashland Global Holdings Inc. COM 044186104 50671 774900 SH Put SOLE 774900 0 0 Ashland Global Holdings Inc. COM 044186104 1602 24500 SH Put OTR 1 24500 0 0 Autoliv, Inc. COM 052800109 2534 20500 SH Put SOLE 20500 0 0 Autoliv, Inc. COM 052800109 371 3000 SH Put OTR 1 3000 0 0 Avista Healthcare Public Acquisition Corp CL A G0726L125 473 47255 SH SOLE 47255 0 0 Avista Healthcare Public Acquisition Corp CL A G0726L125 57 5745 SH OTR 1 5745 0 0 Bison Capital Acquisition Corp. UNIT 99/99/9999T G1142P120 2054 200000 SH SOLE 200000 0 0 Blackrock Debt Strategies Fund, Inc. COM NEW 09255R202 3713 318149 SH SOLE 318149 0 0 Borqs Technologies, Inc. SHS G1466B103 60 10444 SH SOLE 10444 0 0 Borqs Technologies, Inc. *W EXP 08/18/202 G1466B111 29 104448 SH SOLE 104448 0 0 Brocade Communications Systems, Inc. COM NEW 111621306 15678 1312006 SH SOLE 1312006 0 0 Brocade Communications Systems, Inc. NOTE 1.375% 1/0 111621AQ1 11452 11416000 PRN SOLE 11416000 0 0 Brocade Communications Systems, Inc. NOTE 1.375% 1/0 111621AQ1 540 538000 PRN OTR 1 538000 0 0 C.R. Bard, Inc. COM 067383109 181108 565080 SH SOLE 565080 0 0 C.R. Bard, Inc. COM 067383109 3213 10026 SH OTR 1 10026 0 0 CBS Corporation CL B 124857202 4449 76700 SH SOLE 76700 0 0 CBS Corporation CL B 124857202 2256 38900 SH OTR 1 38900 0 0 CBS Corporation CL B 124857202 13891 239500 SH Put SOLE 239500 0 0 CBS Corporation CL B 124857202 1752 30200 SH Put OTR 1 30200 0 0 CSX Corporation COM 126408103 4514 83200 SH SOLE 83200 0 0 CSX Corporation COM 126408103 548 10100 SH OTR 1 10100 0 0 CSX Corporation COM 126408103 7358 135600 SH Put SOLE 135600 0 0 CSX Corporation COM 126408103 895 16500 SH Put OTR 1 16500 0 0 Calpine Corporation COM NEW 131347304 47287 3205887 SH SOLE 3205887 0 0 Calpine Corporation COM NEW 131347304 1066 72300 SH OTR 1 72300 0 0 Delphi Automotive PLC SHS G27823106 14593 148300 SH Put SOLE 148300 0 0 Delphi Automotive PLC SHS G27823106 2224 22600 SH Put OTR 1 22600 0 0 DigitalGlobe Inc. COM NEW 25389M877 10120 287085 SH SOLE 287085 0 0 DigitalGlobe Inc. COM NEW 25389M877 159 4502 SH OTR 1 4502 0 0 DowDuPont Inc. COM 26078J100 9152 132200 SH Put SOLE 132200 0 0 DowDuPont Inc. COM 26078J100 1191 17200 SH Put OTR 1 17200 0 0 DowDuPont Inc. COM 26078J100 40929 591200 SH Put SOLE 591200 0 0 DowDuPont Inc. COM 26078J100 872 12600 SH Put OTR 1 12600 0 0 DowDuPont Inc. COM 26078J100 101862 1471363 SH SOLE 1471363 0 0 DowDuPont Inc. COM 26078J100 3006 43419 SH OTR 1 43419 0 0 DowDuPont Inc. COM 26078J100 62 900 SH Put SOLE 900 0 0 DowDuPont Inc. COM 26078J100 25906 374200 SH Put SOLE 374200 0 0 DowDuPont Inc. COM 26078J100 408 5900 SH Put OTR 1 5900 0 0 Draper Oakwood Technology Acquisition, In UNIT 09/30/2024 26146L202 1527 150000 SH SOLE 150000 0 0 Electrum Special Acquisition Corp. SHS G3105C104 3075 300000 SH SOLE 300000 0 0 Federal Street Acquisition Corp. UNIT 99/99/9999 31421V206 1824 176934 SH SOLE 176934 0 0 Federal Street Acquisition Corp. UNIT 99/99/9999 31421V206 83 8066 SH OTR 1 8066 0 0 Fortress Investment Group LLC CL A 34958B106 61933 7770719 SH SOLE 7770719 0 0 Forum Merger Corporation UNIT 06/01/2024 34985B202 7736 754743 SH SOLE 754743 0 0 Forum Merger Corporation UNIT 06/01/2024 34985B202 15 1446 SH OTR 1 1446 0 0 General Electric Company COM 369604103 2570 106300 SH SOLE 106300 0 0 General Electric Company COM 369604103 411 17000 SH OTR 1 17000 0 0 General Electric Company COM 369604103 1286 53200 SH Put SOLE 53200 0 0 General Electric Company COM 369604103 206 8500 SH Put OTR 1 8500 0 0 HSN, Inc. COM 404303109 1217 31168 SH SOLE 31168 0 0 HSN, Inc. COM 404303109 26 664 SH OTR 1 664 0 0 Hewlett Packard Enterprise Company COM 42824C109 80843 5495773 SH SOLE 5495773 0 0 Hewlett Packard Enterprise Company COM 42824C109 2370 161124 SH OTR 1 161124 0 0 Hewlett Packard Enterprise Company COM 42824C109 74252 5047700 SH Put SOLE 5047700 0 0 Hewlett Packard Enterprise Company COM 42824C109 1508 102500 SH Put OTR 1 102500 0 0 Huntsman Corporation COM 447011107 96965 3536300 SH SOLE 3536300 0 0 Huntsman Corporation COM 447011107 691 25200 SH OTR 1 25200 0 0 Huntsman Corporation COM 447011107 78907 2877700 SH Put SOLE 2877700 0 0 Huntsman Corporation COM 447011107 23636 862000 SH Put SOLE 862000 0 0 Huntsman Corporation COM 447011107 1878 68500 SH Put OTR 1 68500 0 0 Huntsman Corporation COM 447011107 6504 237200 SH Put SOLE 237200 0 0 Huntsman Corporation COM 447011107 367 13400 SH Put OTR 1 13400 0 0 ILG, Inc. COM 44967H101 3860 144400 SH Put SOLE 144400 0 0 ILG, Inc. COM 44967H101 462 17300 SH Put OTR 1 17300 0 0 ILG, Inc. COM 44967H101 3959 148118 SH SOLE 148118 0 0 ILG, Inc. COM 44967H101 478 17882 SH OTR 1 17882 0 0 Johnson Controls International PLC SHS G51502105 6567 162994 SH SOLE 162994 0 0 Johnson Controls International PLC SHS G51502105 1096 27213 SH OTR 1 27213 0 0 Johnson Controls International PLC SHS G51502105 894 22200 SH Put SOLE 22200 0 0 Johnson Controls International PLC SHS G51502105 415 10300 SH Put OTR 1 10300 0 0 Johnson Controls International PLC SHS G51502105 8034 199400 SH Put SOLE 199400 0 0 Johnson Controls International PLC SHS G51502105 979 24300 SH Put OTR 1 24300 0 0 Johnson Controls International PLC SHS G51502105 3795 94200 SH Put SOLE 94200 0 0 Johnson Controls International PLC SHS G51502105 475 11800 SH Put OTR 1 11800 0 0 Lennar Corporation CL B 526057302 35 769 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 45563 855000 SH SOLE 855000 0 0 Level 3 Communications, Inc. COM NEW 52729N308 1393 26148 SH OTR 1 26148 0 0 Liberty Media Corp Deleware COM A SIRIUSXM 531229409 6827 162932 SH SOLE 162932 0 0 Liberty Media Corp Deleware COM A SIRIUSXM 531229409 1260 30075 SH OTR 1 30075 0 0 MainSource Financial Group, Inc. COM 56062Y102 30 850 SH SOLE 850 0 0 Marathon Petroleum Corporation COM 56585A102 948 16900 SH SOLE 16900 0 0 Marathon Petroleum Corporation COM 56585A102 112 2000 SH OTR 1 2000 0 0 Marathon Petroleum Corporation COM 56585A102 18310 326500 SH Put SOLE 326500 0 0 Marathon Petroleum Corporation COM 56585A102 2182 38900 SH Put OTR 1 38900 0 0 Marathon Petroleum Corporation COM 56585A102 5283 94200 SH Put SOLE 94200 0 0 Marathon Petroleum Corporation COM 56585A102 886 15800 SH Put OTR 1 15800 0 0 Micro Focus International PLC SPON ADR NEW 594837304 24075 754710 SH SOLE 754710 0 0 Micro Focus International PLC SPON ADR NEW 594837304 706 22126 SH OTR 1 22126 0 0 Modern Media Acquisition Corp. COM 60765P103 9397 961308 SH SOLE 961308 0 0 Modern Media Acquisition Corp. COM 60765P103 187 19088 SH OTR 1 19088 0 0 Modern Media Acquisition Corp. *W EXP 05/17/202 60765P111 260 480654 SH SOLE 480654 0 0 Modern Media Acquisition Corp. *W EXP 05/17/202 60765P111 5 9544 SH OTR 1 9544 0 0 MoneyGram International, Inc. COM NEW 60935Y208 7414 460184 SH SOLE 460184 0 0 MoneyGram International, Inc. COM NEW 60935Y208 390 24233 SH OTR 1 24233 0 0 Monsanto Company NEW COM 61166W101 36270 302704 SH SOLE 302704 0 0 Monsanto Company NEW COM 61166W101 850 7095 SH OTR 1 7095 0 0 NXP Semiconductors NV COM N6596X109 202931 1794423 SH SOLE 1794423 0 0 NXP Semiconductors NV COM N6596X109 4004 35407 SH OTR 1 35407 0 0 Neff Corporation COM CL A 640094207 4449 177978 SH SOLE 177978 0 0 Neff Corporation COM CL A 640094207 136 5433 SH OTR 1 5433 0 0 New York REIT, Inc. COM 64976L109 546 69590 SH SOLE 69590 0 0 Newell Brands, Inc. COM 651229106 40501 949158 SH SOLE 949158 0 0 Newell Brands, Inc. COM 651229106 511 11969 SH OTR 1 11969 0 0 News Corporation NEW CL A 65249B109 1826 137722 SH SOLE 137722 0 0 News Corporation NEW CL A 65249B109 335 25279 SH OTR 1 25279 0 0 Orbital ATK, Inc. COM 68557N103 5635 42316 SH SOLE 42316 0 0 Park Sterling Corporation COM 70086Y105 2680 215746 SH SOLE 215746 0 0 Pensare Acquisition Corp. UNIT 07/27/2022 70957E204 10640 1030000 SH SOLE 1030000 0 0 Pentair PLC SHS G7S00T104 3548 52200 SH SOLE 52200 0 0 Pentair PLC SHS G7S00T104 442 6500 SH OTR 1 6500 0 0 Pentair PLC SHS G7S00T104 3548 52200 SH Put SOLE 52200 0 0 Pentair PLC SHS G7S00T104 442 6500 SH Put OTR 1 6500 0 0 Rice Energy Inc. COM 762760106 113122 3908860 SH SOLE 3908860 0 0 Rite Aid Corp. COM 767754104 668 340639 SH SOLE 340639 0 0 Rite Aid Corp. COM 767754104 54 27561 SH OTR 1 27561 0 0 Rockwell Collins, Inc. COM 774341101 74338 568723 SH SOLE 568723 0 0 Rockwell Collins, Inc. COM 774341101 1173 8974 SH OTR 1 8974 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 123580 491900 SH Put SOLE 491900 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2035 8100 SH Put OTR 1 8100 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 123580 491900 SH Call SOLE 491900 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2035 8100 SH Call OTR 1 8100 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 64139 255300 SH Call SOLE 255300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1181 4700 SH Call OTR 1 4700 0 0 Scripps Networks Interactive Inc CL A COM 811065101 54928 639516 SH SOLE 639516 0 0 Scripps Networks Interactive Inc CL A COM 811065101 969 11285 SH OTR 1 11285 0 0 Sealed Air Corporation NEW COM 81211K100 43421 1016400 SH Put SOLE 1016400 0 0 Sealed Air Corporation NEW COM 81211K100 568 13300 SH Put OTR 1 13300 0 0 Sealed Air Corporation NEW COM 81211K100 38824 908800 SH SOLE 908800 0 0 Southwest Bancorp, Inc. OKLA COM 844767103 4154 150789 SH SOLE 150789 0 0 Starwood Property Trust, Inc. COM 85571B105 10520 484358 SH SOLE 484358 0 0 TerraForm Global, Inc. CL A 88104M101 2664 560742 SH SOLE 560742 0 0 TerraForm Global, Inc. CL A 88104M101 43 8980 SH OTR 1 8980 0 0 The Advisory Board Company COM 00762W107 79506 1482625 SH SOLE 1482625 0 0 Time Warner Inc. COM NEW 887317303 267541 2611426 SH SOLE 2611426 0 0 Time Warner Inc. COM NEW 887317303 6153 60058 SH OTR 1 60058 0 0 Western Asset High Income Opportunity Fun COM 95766K109 3915 763229 SH SOLE 763229 0 0 Wyndham Worldwide Corp COM 98310W108 12776 121200 SH Put SOLE 121200 0 0 Wyndham Worldwide Corp COM 98310W108 1771 16800 SH Put OTR 1 16800 0 0