Chief Operating Officer and Chief Compliance Officer

0001567619-19-010945.txt : 20190515 0001567619-19-010945.hdr.sgml : 20190515 20190515094434 ACCESSION NUMBER: 0001567619-19-010945 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190515 DATE AS OF CHANGE: 20190515 EFFECTIVENESS DATE: 20190515 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: 19825560 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 03-31-2019 03-31-2019 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 05-15-2019 1 200 2713394 false 1 0001277372 028-11493 WESTCHESTER CAPITAL PARTNERS, LLC INFORMATION TABLE 2 form13fInfoTable.xml ARRIS International plc SHS G0551A103 96309 3046790 SH SOLE 3046790 0 0 ARRIS International plc SHS G0551A103 1776 56178 SH OTR 1 56178 0 0 AT&T Inc. COM 00206R102 14735 469855 SH SOLE 469855 0 0 AT&T Inc. COM 00206R102 506 16124 SH OTR 1 16124 0 0 Alberton Acquisition Corporation ORD SHS G35006108 8808 885179 SH SOLE 885179 0 0 Alberton Acquisition Corporation ORD SHS G35006108 645 64821 SH OTR 1 64821 0 0 Altaba Inc. COM 021346101 399723 5392920 SH SOLE 5392920 0 0 Altaba Inc. COM 021346101 6629 89438 SH OTR 1 89438 0 0 Apollo Senior Floating Rate Fund Inc. COM 037636107 1155 77852 SH SOLE 77852 0 0 Apollo Tactical Income Fund Inc. COM 037638103 832 56628 SH SOLE 56628 0 0 Ares Dynamic Credit Allocation Fund COM 04014F102 231 15561 SH SOLE 15561 0 0 Big Rock Partners Acquisition Corp. COM 089482103 2279 219998 SH SOLE 219998 0 0 Big Rock Partners Acquisition Corp. COM 089482103 257 24760 SH OTR 1 24760 0 0 Big Rock Partners Acquisition Corp. *W EXP 12/01/202 089482111 20 109999 SH SOLE 109999 0 0 Big Rock Partners Acquisition Corp. *W EXP 12/01/202 089482111 2 12380 SH OTR 1 12380 0 0 Bison Capital Acquisition Corp. *W EXP 06/20/202 G1142P112 20 99999 SH SOLE 99999 0 0 Black Ridge Acquisition Corp. COM 09216T107 4694 460000 SH SOLE 460000 0 0 Black Ridge Acquisition Corp. *W EXP 07/10/202 09216T115 138 460000 SH SOLE 460000 0 0 Blackrock Debt Strategies Fund, Inc. COM NEW 09255R202 3139 292832 SH SOLE 292832 0 0 Blackrock Fltg Rate Inc. Strategies Fund COM 09255X100 830 66381 SH SOLE 66381 0 0 Bristol-Myers Squibb Co. COM 110122108 9165 192100 SH Call SOLE 192100 0 0 Bristol-Myers Squibb Co. COM 110122108 110 2300 SH Call OTR 1 2300 0 0 Bristol-Myers Squibb Co. COM 110122108 3721 78000 SH Put SOLE 78000 0 0 Bristol-Myers Squibb Co. COM 110122108 57 1200 SH Put OTR 1 1200 0 0 Bristol-Myers Squibb Co. COM 110122108 2156 45200 SH Call SOLE 45200 0 0 Bristol-Myers Squibb Co. COM 110122108 29 600 SH Call OTR 1 600 0 0 Brookfield Property REIT Inc. CL A 11282X103 13132 640912 SH SOLE 640912 0 0 CBS Corp New CL B 124857202 3921 82500 SH Put SOLE 82500 0 0 CBS Corp New CL B 124857202 513 10800 SH Put OTR 1 10800 0 0 CBS Corp New CL B 124857202 10936 230082 SH SOLE 230082 0 0 CBS Corp New CL B 124857202 1667 35067 SH OTR 1 35067 0 0 CBS Corp New CL B 124857202 7762 163300 SH Put SOLE 163300 0 0 CBS Corp New CL B 124857202 898 18900 SH Put OTR 1 18900 0 0 CBS Corp New CL B 124857202 875 18400 SH Put SOLE 18400 0 0 CBS Corp New CL B 124857202 109 2300 SH Put OTR 1 2300 0 0 CF Finance Acquisition Corp. UNIT 04/30/2025 12528N206 9180 900000 SH SOLE 900000 0 0 CF Finance Acquisition Corp. UNIT 04/30/2025 12528N206 7 700 SH OTR 1 700 0 0 CM Seven Star Acquisition Corp. SHS G2345N102 13171 1274998 SH SOLE 1274998 0 0 CM Seven Star Acquisition Corp. SHS G2345N102 764 73960 SH OTR 1 73960 0 0 CM Seven Star Acquisition Corp. *W EXP 08/21/2020 G2345N110 42 237499 SH SOLE 237499 0 0 Caesars Entertainment Corporation COM 127686103 6508 748900 SH Put SOLE 748900 0 0 Caesars Entertainment Corporation COM 127686103 855 98400 SH Put OTR 1 98400 0 0 Caesars Entertainment Corporation COM 127686103 2132 245300 SH Put SOLE 245300 0 0 Caesars Entertainment Corporation COM 127686103 274 31500 SH Put OTR 1 31500 0 0 Caesars Entertainment Corporation NOTE 5.000%10/0 127686AA1 1381 969954 PRN SOLE 969954 0 0 Caesars Entertainment Corporation NOTE 5.000%10/0 127686AA1 156 109345 PRN OTR 1 109345 0 0 Caesars Entertainment Corporation COM 127686103 9477 1090600 SH SOLE 1090600 0 0 Caesars Entertainment Corporation COM 127686103 1236 142252 SH OTR 1 142252 0 0 Celgene Corporation COM 151020104 93778 994042 SH SOLE 994042 0 0 Celgene Corporation COM 151020104 1497 15872 SH OTR 1 15872 0 0 ChaSerg Technology Acquisition Corp. CLASS A 16166A103 5235 530160 SH SOLE 530160 0 0 ChaSerg Technology Acquisition Corp. *W EXP 04/10/202 16166A111 172 265080 SH SOLE 265080 0 0 Collier Creek Holdings COM CL A G22707106 3280 329997 SH SOLE 329997 0 0 Collier Creek Holdings *W EXP 99/99/999 G22707114 137 109999 SH SOLE 109999 0 0 Dell Technologies Inc. CL C 24703L202 31305 533400 SH SOLE 533400 0 0 Dell Technologies Inc. CL C 24703L202 816 13900 SH OTR 1 13900 0 0 Discovery Inc. COM SER C 25470F302 3719 146308 SH SOLE 146308 0 0 Discovery Inc. COM SER C 25470F302 97 3813 SH OTR 1 3813 0 0 DowDuPont Inc. COM 26078J100 27433 514600 SH Put SOLE 514600 0 0 DowDuPont Inc. COM 26078J100 917 17200 SH Put OTR 1 17200 0 0 DowDuPont Inc. COM 26078J100 35121 658800 SH Put SOLE 658800 0 0 DowDuPont Inc. COM 26078J100 704 13200 SH Put OTR 1 13200 0 0 DowDuPont Inc. COM 26078J100 62179 1166359 SH SOLE 1166359 0 0 DowDuPont Inc. COM 26078J100 1621 30400 SH OTR 1 30400 0 0 Eaton Vance Floating-Rate Income Trust COM 278279104 1941 147131 SH SOLE 147131 0 0 Encana Corporation COM 292505104 23313 3219981 SH SOLE 3219981 0 0 Encana Corporation COM 292505104 930 128396 SH OTR 1 128396 0 0 FinTech Acquisition Corp. III COM CL A 31811A101 5690 583620 SH SOLE 583620 0 0 FinTech Acquisition Corp. III *W EXP 12/01/202 31811A119 266 291810 SH SOLE 291810 0 0 First Data Corp New COM CL A 32008D106 205285 7814412 SH SOLE 7814412 0 0 First Data Corp New COM CL A 32008D106 3569 135843 SH OTR 1 135843 0 0 First Trust Senior Fltg. Rate Income Fd.I COM 33733U108 911 77069 SH SOLE 77069 0 0 Forum Merger II Corporation CL A 34986F103 3351 338100 SH SOLE 338100 0 0 Fox Corporation CL B COM 35137L204 43020 1199009 SH SOLE 1199009 0 0 Fox Corporation CL B COM 35137L204 994 27694 SH OTR 1 27694 0 0 Genworth Financial, Inc. COM CL A 37247D106 1407 367341 SH SOLE 367341 0 0 Genworth Financial, Inc. COM CL A 37247D106 21 5461 SH OTR 1 5461 0 0 GigCapital, Inc. COM 37518N106 9047 886996 SH SOLE 886996 0 0 GigCapital, Inc. COM 37518N106 672 65920 SH OTR 1 65920 0 0 Goldcorp, Inc. New COM 380956409 131406 11486499 SH SOLE 11486499 0 0 Goldcorp, Inc. New COM 380956409 2321 202842 SH OTR 1 202842 0 0 Gordon Pointe Acquisition Corp. COM CLASS A 382788107 4645 454711 SH SOLE 454711 0 0 Gordon Pointe Acquisition Corp. COM CLASS A 382788107 39 3785 SH OTR 1 3785 0 0 Graf Industrial Corp. COM 384278107 8856 900000 SH SOLE 900000 0 0 Graf Industrial Corp. COM 384278107 4 400 SH OTR 1 400 0 0 Graf Industrial Corp. *W EXP 12/31/202 384278115 297 900000 SH SOLE 900000 0 0 Graf Industrial Corp. *W EXP 12/31/202 384278115 0 400 SH OTR 1 400 0 0 Hennessy Capital Acquisition Corp. IV UNIT 99/99/9999 42589C203 5040 500000 SH SOLE 500000 0 0 Huntsman Corporation COM 447011107 7426 330200 SH SOLE 330200 0 0 Huntsman Corporation COM 447011107 1181 52500 SH OTR 1 52500 0 0 Huntsman Corporation COM 447011107 7426 330200 SH Put SOLE 330200 0 0 Huntsman Corporation COM 447011107 1181 52500 SH Put OTR 1 52500 0 0 Integrated Device Technology, Inc. COM 458118106 9253 188868 SH SOLE 188868 0 0 Integrated Device Technology, Inc. COM 458118106 151 3073 SH OTR 1 3073 0 0 Invesco Dynamic Credit Opportunities Fund COM 46132R104 1789 164848 SH SOLE 164848 0 0 Invesco Senior Income Trust COM 46131H107 2004 477119 SH SOLE 477119 0 0 KLA-Tencor Corp. COM 482480100 2769 23190 SH SOLE 23190 0 0 L3 Technologies, Inc. COM 502413107 83868 406394 SH SOLE 406394 0 0 L3 Technologies, Inc. COM 502413107 1194 5784 SH OTR 1 5784 0 0 Legacy Acquisition Corp. COM CL A 524643103 7594 756352 SH SOLE 756352 0 0 Legacy Acquisition Corp. COM CL A 524643103 803 80000 SH OTR 1 80000 0 0 Legacy Acquisition Corp. *W EXP 11/30/202 524643111 150 500000 SH SOLE 500000 0 0 Legacy Acquisition Corp. *W EXP 11/30/202 524643111 24 80000 SH OTR 1 80000 0 0 Leisure Acquisition Corp. COM 52539T107 5094 506900 SH SOLE 506900 0 0 Liberty Expedia Holdings, Inc. SER A COM 53046P109 4312 100740 SH SOLE 100740 0 0 Liberty Expedia Holdings, Inc. SER A COM 53046P109 544 12716 SH OTR 1 12716 0 0 Liberty Media Corp Delaware COM A SIRIUSXM 531229409 228 5959 SH OTR 1 5959 0 0 Longevity Acquisition Corporation ORD SHS G56372132 2997 300000 SH SOLE 300000 0 0 MGM Resorts International COM 552953101 2758 107500 SH Put SOLE 107500 0 0 MGM Resorts International COM 552953101 364 14200 SH Put OTR 1 14200 0 0 MGM Resorts International COM 552953101 5237 204100 SH Put SOLE 204100 0 0 MGM Resorts International COM 552953101 695 27100 SH Put OTR 1 27100 0 0 MGM Resorts International COM 552953101 7760 302400 SH SOLE 302400 0 0 MGM Resorts International COM 552953101 1332 51900 SH OTR 1 51900 0 0 MGM Resorts International COM 552953101 2330 90800 SH Put SOLE 90800 0 0 MGM Resorts International COM 552953101 272 10600 SH Put OTR 1 10600 0 0 Madison Square Garden Co New CL A 55825T103 2257 7700 SH SOLE 7700 0 0 Madison Square Garden Co New CL A 55825T103 821 2800 SH OTR 1 2800 0 0 Madison Square Garden Co New CL A 55825T103 5980 20400 SH Put SOLE 20400 0 0 Madison Square Garden Co New CL A 55825T103 821 2800 SH Put OTR 1 2800 0 0 Megalith Financial Acquisition Corp. CL A COM 58518F109 3408 341464 SH SOLE 341464 0 0 Megalith Financial Acquisition Corp. CL A COM 58518F109 182 18285 SH OTR 1 18285 0 0 Mellanox Technologies Ltd. SHS M51363113 36313 306800 SH SOLE 306800 0 0 Mellanox Technologies Ltd. SHS M51363113 544 4600 SH OTR 1 4600 0 0 Modern Media Acquisition Corp. COM 60765P103 12881 1243384 SH SOLE 1243384 0 0 Modern Media Acquisition Corp. COM 60765P103 383 37012 SH OTR 1 37012 0 0 Modern Media Acquisition Corp. *W EXP 05/17/202 60765P111 149 480654 SH SOLE 480654 0 0 Modern Media Acquisition Corp. *W EXP 05/17/202 60765P111 3 9544 SH OTR 1 9544 0 0 Monocle Acquisition Corporation UNIT 99/99/9999 609754205 2652 263056 SH SOLE 263056 0 0 Monocle Acquisition Corporation UNIT 99/99/9999 609754205 106 10552 SH OTR 1 10552 0 0 Mudrick Capital Acquisition Corp COM CLASS A 624745105 5040 500000 SH SOLE 500000 0 0 Mudrick Capital Acquisition Corp *W EXP 02/12/202 624745113 275 500000 SH SOLE 500000 0 0 Nuveen Credit Strategies Income Fund COM SHS 67073D102 40 5228 SH SOLE 5228 0 0 Oaktree Capital Group LLC UNIT CL A 674001201 59415 1196675 SH SOLE 1196675 0 0 Opes Acquisition Corp. COM 68373P100 3079 303381 SH SOLE 303381 0 0 Pensare Acquisition Corp. COM 70957E105 14254 1390629 SH SOLE 1390629 0 0 Pensare Acquisition Corp. *W EXP 07/27/202 70957E113 88 441399 SH SOLE 441399 0 0 Pivotal Acquisition Corp UNIT 12/01/2025 72583A200 6114 600000 SH SOLE 600000 0 0 Pure Acquisition Corp. CL A 74621Q106 9045 899996 SH SOLE 899996 0 0 Pure Acquisition Corp. *W EXP 04/17/202 74621Q114 524 447898 SH SOLE 447898 0 0 Quantenna Communications, Inc. COM 74766D100 3805 156400 SH SOLE 156400 0 0 Red Hat, Inc. COM 756577102 230384 1260994 SH SOLE 1260994 0 0 Red Hat, Inc. COM 756577102 4073 22295 SH OTR 1 22295 0 0 Reebonz Holding Limited SHS G7457R122 22 1875 SH SOLE 1875 0 0 Reebonz Holding Limited *W EXP 12/19/202 G7457R114 6 75000 SH SOLE 75000 0 0 Regalwood Global Energy Ltd. COM CL A G74760102 3411 337752 SH SOLE 337752 0 0 Regalwood Global Energy Ltd. *W EXP 12/05/202 G74760128 113 112584 SH SOLE 112584 0 0 SPDR Series Trust S&P OILGAS EXP 78464A730 26329 856500 SH Put SOLE 856500 0 0 SPDR Series Trust S&P OILGAS EXP 78464A730 928 30200 SH Put OTR 30200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 70931 251100 SH Call SOLE 251100 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1102 3900 SH Call OTR 1 3900 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 125195 443200 SH Put SOLE 443200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1921 6800 SH Put OTR 1 6800 0 0 Saban Capital Acquisition Corp. COM CL A 78516C106 6579 640000 SH SOLE 640000 0 0 SunCoke Energy Partners LP COMUNIT REP LT 86722Y101 8716 700099 SH SOLE 700099 0 0 SunTrust Banks, Inc. COM 867914103 92198 1556083 SH SOLE 1556083 0 0 SunTrust Banks, Inc. COM 867914103 1461 24651 SH OTR 1 24651 0 0 TKK Symphony Acquisition Corporation ORD SHS G88950103 4017 405113 SH SOLE 405113 0 0 Select Sector SPDR TR TECHNOLOGY 81369Y803 30629 413900 SH Put SOLE 413900 0 0 Select Sector SPDR TR TECHNOLOGY 81369Y803 799 10800 SH Put OTR 1 10800 0 0 Select Sector SPDR TR TECHNOLOGY 81369Y803 17597 237800 SH Put SOLE 237800 0 0 Select Sector SPDR TR TECHNOLOGY 81369Y803 274 3700 SH Put OTR 1 3700 0 0 The Blackstone Group L.P. COM UNIT LTD 09253U108 4738 135500 SH Put SOLE 135500 0 0 The Blackstone Group L.P. COM UNIT LTD 09253U108 633 18100 SH Put OTR 1 18100 0 0 The Blackstone Group L.P. COM UNIT LTD 09253U108 2070 59200 SH Put SOLE 59200 0 0 The Blackstone Group L.P. COM UNIT LTD 09253U108 273 7800 SH Put OTR 1 7800 0 0 The Blackstone Group L.P. COM UNIT LTD 09253U108 6267 179200 SH Put SOLE 179200 0 0 The Blackstone Group L.P. COM UNIT LTD 09253U108 906 25900 SH Put OTR 1 25900 0 0 The Blackstone Group L.P. COM UNIT LTD 09253U108 16310 466400 SH SOLE 466400 0 0 The Walt Disney Company COM DISNEY 254687106 41265 371653 SH SOLE 371653 0 0 The Walt Disney Company COM DISNEY 254687106 805 7249 SH OTR 1 7249 0 0 Thunder Bridge Acquisition, Ltd. SHS CLASS A G8857R100 15275 1497548 SH SOLE 1497548 0 0 Thunder Bridge Acquisition, Ltd. SHS CLASS A G8857R100 790 77452 SH OTR 1 77452 0 0 Thunder Bridge Acquisition, Ltd. *W EXP 01/01/202 G8857R126 270 375000 SH SOLE 375000 0 0 Tiberius Acquisition Corporation COM 88633A107 4536 450000 SH SOLE 450000 0 0 Tiberius Acquisition Corporation *W EXP 02/28/202 88633A115 198 450000 SH SOLE 450000 0 0 Travelport Worldwide Limited SHS G9019D104 2515 159878 SH SOLE 159878 0 0 Travelport Worldwide Limited SHS G9019D104 41 2575 SH OTR 1 2575 0 0 Trident Acquisitions Corp. COM 89615T106 12841 1260156 SH SOLE 1260156 0 0 Trident Acquisitions Corp. COM 89615T106 576 56511 SH OTR 1 56511 0 0 Trinity Merger Corp. COM CL A 89653L106 18758 1835397 SH SOLE 1835397 0 0 Trinity Merger Corp. COM CL A 89653L106 908 88836 SH OTR 1 88836 0 0 Trinity Merger Corp. *W EXP 05/11/202 89653L114 144 400000 SH SOLE 400000 0 0 Trinity Merger Corp. *W EXP 05/11/202 89653L114 18 50727 SH OTR 1 50727 0 0 Tuscan Holdings Corp. UNIT 99/99/9999 90069K203 8333 799100 SH SOLE 799100 0 0 Twelve Seas Investment Company SHS G9145A107 4762 475000 SH SOLE 475000 0 0 USG Corporation COM NEW 903293405 49186 1135944 SH SOLE 1135944 0 0 Vantage Energy Acquisition Corp. COM CL A 92211L105 12806 1253068 SH SOLE 1253068 0 0 Vantage Energy Acquisition Corp. COM CL A 92211L105 107 10509 SH OTR 1 10509 0 0 VectoIQ Acquisition Corp. COM 92243N103 8410 839699 SH SOLE 839699 0 0 VectoIQ Acquisition Corp. COM 92243N103 788 78705 SH OTR 1 78705 0 0 Versum Materials Inc. COM 92532W103 20962 416657 SH SOLE 416657 0 0 Versum Materials Inc. COM 92532W103 275 5476 SH OTR 1 5476 0 0 Voya (ING) Prime Rate Trust SH BEN INT 92913A100 2183 456729 SH SOLE 456729 0 0 WABCO Holdings Inc. COM 92927K102 15319 116200 SH SOLE 116200 0 0 WellCare Health Plans, Inc. COM 94946T106 23571 87381 SH SOLE 87381 0 0 WellCare Health Plans, Inc. COM 94946T106 418 1548 SH OTR 1 1548 0 0 Western Asset High Income Opportunity Fun COM 95766K109 3419 707954 SH SOLE 707954 0 0 Worldpay, Inc. CL A 981558109 112049 987215 SH SOLE 987215 0 0 Worldpay, Inc. CL A 981558109 1071 9436 SH OTR 1 9436 0 0