Chief Operating Officer and Chief Compliance Officer

0001567619-19-021350.txt : 20191114 0001567619-19-021350.hdr.sgml : 20191114 20191114103107 ACCESSION NUMBER: 0001567619-19-021350 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191114 DATE AS OF CHANGE: 20191114 EFFECTIVENESS DATE: 20191114 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: 191217368 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 09-30-2019 09-30-2019 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 11-14-2019 1 241 2569852 false 1 0001277372 028-11493 WESTCHESTER CAPITAL PARTNERS, LLC INFORMATION TABLE 2 form13fInfoTable.xml AT&T Inc. COM 00206R102 3586 94771 SH SOLE 94771 0 0 AT&T Inc. COM 00206R102 69 1824 SH OTR 1 1824 0 0 Act II Global Acquisition Corp. CL A SHS G0080J104 9850 999998 SH SOLE 999998 0 0 Act II Global Acquisition Corp. *W EXP 04/30/202 G0080J120 465 499999 SH SOLE 499999 0 0 Advanced Disposal Services, Inc. COM 00790X101 19533 599718 SH SOLE 599718 0 0 Advanced Disposal Services, Inc. COM 00790X101 292 8975 SH OTR 1 8975 0 0 Akazoo S.A. SHS L0164E108 609 96131 SH SOLE 96131 0 0 Akazoo S.A. SHS L0164E108 12 1909 SH OTR 1 1909 0 0 Akazoo S.A. *W EXP 09/11/202 L0164E116 370 480654 SH SOLE 480654 0 0 Akazoo S.A. *W EXP 09/11/202 L0164E116 7 9544 SH OTR 1 9544 0 0 Alberton Acquisition Corporation ORD SHS G35006108 10215 996553 SH SOLE 996553 0 0 Alberton Acquisition Corporation ORD SHS G35006108 753 73453 SH OTR 1 73453 0 0 Alder Biopharmaceuticals, Inc. COM 014339105 13506 716100 SH Put SOLE 716100 0 0 Alder Biopharmaceuticals, Inc. COM 014339105 330 17500 SH Put OTR 1 17500 0 0 Alder Biopharmaceuticals, Inc. COM 014339105 13505 716078 SH SOLE 716078 0 0 Alder Biopharmaceuticals, Inc. COM 014339105 330 17522 SH OTR 1 17522 0 0 Allergan PLC SHS G0177J108 150835 896282 SH SOLE 896282 0 0 Allergan PLC SHS G0177J108 2394 14225 SH OTR 1 14225 0 0 Altaba Inc. COM 021346101 140360 7205326 SH SOLE 7205326 0 0 Altaba Inc. COM 021346101 2242 115106 SH OTR 1 115106 0 0 Andina Acquisition Corp. III SHS G04415108 2259 226100 SH SOLE 226100 0 0 Apex Technology Acquisition Corporation UNIT 06/11/2026 03768F201 8152 800000 SH SOLE 800000 0 0 Apollo Global Management Inc. COM CL A 03768E105 4315 114089 SH SOLE 114089 0 0 Apollo Global Management Inc. COM CL A 03768E105 253 6700 SH OTR 1 6700 0 0 Apollo Global Management Inc. COM CL A 03768E105 4039 106800 SH Put SOLE 106800 0 0 Apollo Global Management Inc. COM CL A 03768E105 439 11600 SH Put OTR 1 11600 0 0 Apollo Senior Floating Rate Fund Inc. COM 037636107 1155 77852 SH SOLE 77852 0 0 Apollo Tactical Income Fund Inc. COM 037638103 858 56628 SH SOLE 56628 0 0 Ares Dynamic Credit Allocation Fund COM 04014F102 232 15561 SH SOLE 15561 0 0 Axalta Coating Systems Ltd. COM G0750C108 4174 138455 SH SOLE 138455 0 0 Axalta Coating Systems Ltd. COM G0750C108 1186 39336 SH OTR 1 39336 0 0 Axalta Coating Systems Ltd. COM G0750C108 2590 85900 SH Put SOLE 85900 0 0 Axalta Coating Systems Ltd. COM G0750C108 274 9100 SH Put OTR 1 9100 0 0 Axalta Coating Systems Ltd. COM G0750C108 5991 198700 SH Put SOLE 198700 0 0 Axalta Coating Systems Ltd. COM G0750C108 648 21500 SH Put OTR 1 21500 0 0 Big Rock Partners Acquisition Corp. COM 089482103 2328 219998 SH SOLE 219998 0 0 Big Rock Partners Acquisition Corp. COM 089482103 261 24660 SH OTR 1 24660 0 0 Blackrock Debt Strategies Fund, Inc. COM NEW 09255R202 2767 257397 SH SOLE 257397 0 0 Blackrock Fltg Rate Inc. Strategies Fund COM 09255X100 838 66381 SH SOLE 66381 0 0 Brookfield Property REIT Inc. CL A 11282X103 13068 640912 SH SOLE 640912 0 0 Buckeye Partners, L.P. UNIT LTD PARTN 118230101 40249 979521 SH SOLE 979521 0 0 CBS Corporation NEW CL B 124857202 814 20167 SH OTR 1 20167 0 0 CBS Corporation NEW CL B 124857202 20060 496900 SH Put SOLE 496900 0 0 CBS Corporation NEW CL B 124857202 638 15800 SH Put OTR 1 15800 0 0 CBS Corporation NEW CL B 124857202 400 9900 SH Put SOLE 9900 0 0 CBS Corporation NEW CL B 124857202 4 100 SH Put OTR 1 100 0 0 CBS Corporation NEW CL B 124857202 2172 53800 SH Put SOLE 53800 0 0 CBS Corporation NEW CL B 124857202 234 5800 SH Put OTR 1 5800 0 0 CBS Corporation NEW CL B 124857202 24141 598000 SH Put SOLE 598000 0 0 CBS Corporation NEW CL B 124857202 347 8600 SH Put OTR 1 8600 0 0 CF Finance Acquisition Corp. COM CL A 12528N107 9112 899992 SH SOLE 899992 0 0 CF Finance Acquisition Corp. COM CL A 12528N107 7 700 SH OTR 1 700 0 0 CF Finance Acquisition Corp. *W EXP 04/30/202 12528N115 439 674994 SH SOLE 674994 0 0 CF Finance Acquisition Corp. *W EXP 04/30/202 12528N115 0 525 SH OTR 1 525 0 0 Caesars Entertainment Corporation NOTE 5.000%10/0 127686AA1 1770 1040954 PRN SOLE 1040954 0 0 Caesars Entertainment Corporation NOTE 5.000%10/0 127686AA1 186 109345 PRN OTR 1 109345 0 0 Caesars Entertainment Corporation COM 127686103 79169 6789756 SH SOLE 6789756 0 0 Caesars Entertainment Corporation COM 127686103 1460 125199 SH OTR 1 125199 0 0 Celgene Corporation COM 151020104 164594 1657546 SH SOLE 1657546 0 0 Celgene Corporation COM 151020104 2472 24893 SH OTR 1 24893 0 0 Centene Corp. DEL COM 15135B101 5061 117000 SH Put SOLE 117000 0 0 Centene Corp. DEL COM 15135B101 65 1500 SH Put OTR 1 1500 0 0 ChaSerg Technology Acquisition Corp. CLASS A 16166A103 5365 530160 SH SOLE 530160 0 0 ChaSerg Technology Acquisition Corp. *W EXP 04/10/202 16166A111 265 265080 SH SOLE 265080 0 0 Churchill Capital Corp II UNIT 99/99/9999 17143G205 3678 350000 SH SOLE 350000 0 0 Collier Creek Holdings COM CL A G22707106 3363 329997 SH SOLE 329997 0 0 Collier Creek Holdings *W EXP 99/99/999 G22707114 154 109999 SH SOLE 109999 0 0 Corteva, Inc. COM 22052L104 3217 114900 SH Put SOLE 114900 0 0 Corteva, Inc. COM 22052L104 143 5100 SH Put OTR 1 5100 0 0 Corteva, Inc. COM 22052L104 6321 225751 SH SOLE 225751 0 0 Corteva, Inc. COM 22052L104 284 10133 SH OTR 1 10133 0 0 Cypress Semiconductor Corporation COM 232806109 94772 4060487 SH SOLE 4060487 0 0 Cypress Semiconductor Corporation COM 232806109 1700 72844 SH OTR 1 72844 0 0 Discovery Inc. COM SER C 25470F302 3602 146308 SH SOLE 146308 0 0 Discovery Inc. COM SER C 25470F302 94 3813 SH OTR 1 3813 0 0 Dow Inc. COM 260557103 11070 232328 SH SOLE 232328 0 0 Dow Inc. COM 260557103 483 10133 SH OTR 1 10133 0 0 Dow Inc. COM 260557103 11169 234400 SH Put SOLE 234400 0 0 Dow Inc. COM 260557103 481 10100 SH Put OTR 1 10100 0 0 DuPont de Nemours, Inc. COM 26614N102 16615 233000 SH Put SOLE 233000 0 0 DuPont de Nemours, Inc. COM 26614N102 720 10100 SH Put OTR 1 10100 0 0 DuPont de Nemours, Inc. COM 26614N102 16455 230754 SH SOLE 230754 0 0 DuPont de Nemours, Inc. COM 26614N102 723 10133 SH OTR 1 10133 0 0 Eaton Vance Floating-Rate Income Trust COM 278279104 1945 147131 SH SOLE 147131 0 0 Encana Corporation COM 292505104 162 35281 SH SOLE 35281 0 0 Encana Corporation COM 292505104 46 9946 SH OTR 1 9946 0 0 FinTech Acquisition Corp. III COM CL A 31811A101 5877 583620 SH SOLE 583620 0 0 FinTech Acquisition Corp. III *W EXP 12/01/202 31811A119 356 291810 SH SOLE 291810 0 0 First Trust Senior Fltg. Rate Income Fd.I COM 33733U108 925 77069 SH SOLE 77069 0 0 Forum Merger II Corporation CL A 34986F103 3425 338100 SH SOLE 338100 0 0 Fox Corporation CL A COM 35137L105 15227 482868 SH SOLE 482868 0 0 Fox Corporation CL A COM 35137L105 685 21709 SH OTR 1 21709 0 0 Genesee & Wyoming Inc. CL A 371559105 68314 618174 SH SOLE 618174 0 0 Genesee & Wyoming Inc. CL A 371559105 1166 10554 SH OTR 1 10554 0 0 Genworth Financial, Inc. COM CL A 37247D106 1616 367341 SH SOLE 367341 0 0 Genworth Financial, Inc. COM CL A 37247D106 24 5461 SH OTR 1 5461 0 0 GigCapital, Inc. COM 37518N106 9247 886996 SH SOLE 886996 0 0 GigCapital, Inc. COM 37518N106 687 65920 SH OTR 1 65920 0 0 Gigcapital2, Inc. UNIT 02/28/2026 375036209 1390 135000 SH SOLE 135000 0 0 Gordon Pointe Acquisition Corp. COM CLASS A 382788107 4761 454711 SH SOLE 454711 0 0 Gordon Pointe Acquisition Corp. COM CLASS A 382788107 40 3785 SH OTR 1 3785 0 0 Graf Industrial Corp. COM 384278107 8981 894067 SH SOLE 894067 0 0 Graf Industrial Corp. COM 384278107 4 400 SH OTR 1 400 0 0 Graf Industrial Corp. *W EXP 12/31/202 384278115 349 894067 SH SOLE 894067 0 0 Graf Industrial Corp. *W EXP 12/31/202 384278115 0 400 SH OTR 1 400 0 0 Greenland Acquisition Corporation SHS G40981139 2434 235118 SH SOLE 235118 0 0 Haymaker Acquisition Corp. II UNIT 10/31/2026 42087L200 10330 1000000 SH SOLE 1000000 0 0 Hennessy Capital Acquisition Corp. CL A COM 42589C104 5025 499996 SH SOLE 499996 0 0 Hennessy Capital Acquisition Corp. *W EXP 09/05/202 42589C112 292 374997 SH SOLE 374997 0 0 Hilton Grand Vacations Inc. COM 43283X105 3267 102100 SH Put SOLE 102100 0 0 Hilton Grand Vacations Inc. COM 43283X105 352 11000 SH Put OTR 1 11000 0 0 Hilton Grand Vacations Inc. COM 43283X105 3243 101348 SH SOLE 101348 0 0 Hilton Grand Vacations Inc. COM 43283X105 836 26117 SH OTR 1 26117 0 0 Hilton Grand Vacations Inc. COM 43283X105 499 15600 SH Put SOLE 15600 0 0 Hilton Grand Vacations Inc. COM 43283X105 58 1800 SH Put OTR 1 1800 0 0 Hilton Grand Vacations Inc. COM 43283X105 2867 89600 SH Put SOLE 89600 0 0 Hilton Grand Vacations Inc. COM 43283X105 310 9700 SH Put OTR 1 9700 0 0 IAC/InterActiveCorp COM 44919P508 5634 25848 SH SOLE 25848 0 0 IAC/InterActiveCorp COM 44919P508 1073 4921 SH OTR 1 4921 0 0 IAC/InterActiveCorp COM 44919P508 1046 4800 SH Put SOLE 4800 0 0 IAC/InterActiveCorp COM 44919P508 109 500 SH Put OTR 1 500 0 0 IAC/InterActiveCorp COM 44919P508 3270 15000 SH Put SOLE 15000 0 0 IAC/InterActiveCorp COM 44919P508 371 1700 SH Put OTR 1 1700 0 0 IAC/InterActiveCorp COM 44919P508 5231 24000 SH Put SOLE 24000 0 0 IAC/InterActiveCorp COM 44919P508 545 2500 SH Put OTR 1 2500 0 0 Invesco Dynamic Credit Opportunities Fund COM 46132R104 1815 164848 SH SOLE 164848 0 0 Invesco Senior Income Trust COM 46131H107 2004 477119 SH SOLE 477119 0 0 Kaixin Auto Holdings SHS G5223X100 86 47499 SH SOLE 47499 0 0 Legacy Acquisition Corp. COM CL A 524643103 7715 756352 SH SOLE 756352 0 0 Legacy Acquisition Corp. COM CL A 524643103 816 80000 SH OTR 1 80000 0 0 Legacy Acquisition Corp. *W EXP 11/30/202 524643111 175 500000 SH SOLE 500000 0 0 Legacy Acquisition Corp. *W EXP 11/30/202 524643111 28 80000 SH OTR 1 80000 0 0 Leisure Acquisition Corp. COM 52539T107 5196 506900 SH SOLE 506900 0 0 Leo Holdings Corp. COM CL A G5463L105 12359 1206905 SH SOLE 1206905 0 0 Liberty Media Corp Delaware COM A SIRIUSXM 531229409 248 5959 SH OTR 1 5959 0 0 Longevity Acquisition Corporation ORD SHS G56372132 2718 262500 SH SOLE 262500 0 0 MGM Resorts International COM 552953101 5103 184100 SH Put SOLE 184100 0 0 MGM Resorts International COM 552953101 552 19900 SH Put OTR 1 19900 0 0 MGM Resorts International COM 552953101 5103 184100 SH SOLE 184100 0 0 MGM Resorts International COM 552953101 552 19900 SH OTR 1 19900 0 0 Madison Square Garden Co NEW CL A 55825T103 3795 14400 SH SOLE 14400 0 0 Madison Square Garden Co NEW CL A 55825T103 1265 4800 SH OTR 1 4800 0 0 Madison Square Garden Co NEW CL A 55825T103 8538 32400 SH Put SOLE 32400 0 0 Madison Square Garden Co NEW CL A 55825T103 1001 3800 SH Put OTR 1 3800 0 0 Madison Square Garden Co NEW CL A 55825T103 2372 9000 SH Put SOLE 9000 0 0 Madison Square Garden Co NEW CL A 55825T103 264 1000 SH Put OTR 1 1000 0 0 Masco Corporation COM 574599106 4110 98600 SH Put SOLE 98600 0 0 Masco Corporation COM 574599106 442 10600 SH Put OTR 1 10600 0 0 Masco Corporation COM 574599106 8740 209700 SH Put SOLE 209700 0 0 Masco Corporation COM 574599106 879 21100 SH Put OTR 1 21100 0 0 Masco Corporation COM 574599106 3985 95600 SH Put SOLE 95600 0 0 Masco Corporation COM 574599106 429 10300 SH Put OTR 1 10300 0 0 Masco Corporation COM 574599106 5439 130500 SH SOLE 130500 0 0 Masco Corporation COM 574599106 1751 42000 SH OTR 1 42000 0 0 Medidata Solutions, Inc. COM 58471A105 15788 172543 SH SOLE 172543 0 0 Medidata Solutions, Inc. COM 58471A105 225 2457 SH OTR 1 2457 0 0 Megalith Financial Acquisition Corp. CL A COM 58518F109 3471 341464 SH SOLE 341464 0 0 Megalith Financial Acquisition Corp. CL A COM 58518F109 186 18285 SH OTR 1 18285 0 0 Mellanox Technologies Ltd. SHS M51363113 44604 407006 SH SOLE 407006 0 0 Mellanox Technologies Ltd. SHS M51363113 813 7414 SH OTR 1 7414 0 0 Milacron Holdings Corporation COM 59870L106 46456 2786788 SH SOLE 2786788 0 0 Milacron Holdings Corporation COM 59870L106 896 53749 SH OTR 1 53749 0 0 Monocle Acquisition Corporation COM 609754106 2631 263056 SH SOLE 263056 0 0 Monocle Acquisition Corporation COM 609754106 106 10552 SH OTR 1 10552 0 0 Monocle Acquisition Corporation *W EXP 12/06/202 609754114 121 263056 SH SOLE 263056 0 0 Monocle Acquisition Corporation *W EXP 12/06/202 609754114 5 10552 SH OTR 1 10552 0 0 Mudrick Capital Acquisition COM CLASS A 624745105 5122 500000 SH SOLE 500000 0 0 Mudrick Capital Acquisition *W EXP 02/12/202 624745113 312 500000 SH SOLE 500000 0 0 Mylan NV SHS EURO N59465109 1082 54700 SH OTR 1 54700 0 0 Mylan NV SHS EURO N59465109 4688 237000 SH Put SOLE 237000 0 0 Mylan NV SHS EURO N59465109 506 25600 SH Put OTR 1 25600 0 0 Mylan NV SHS EURO N59465109 5815 294000 SH Put SOLE 294000 0 0 Mylan NV SHS EURO N59465109 625 31600 SH Put OTR 1 31600 0 0 New Frontier Corporation COM CL A G6485P108 6671 655000 SH SOLE 655000 0 0 New Providence Aquisition Corp. UNIT 09/01/2024 64822P205 5046 500000 SH SOLE 500000 0 0 Nuveen Credit Strategies Income Fund COM SHS 67073D102 39 5228 SH SOLE 5228 0 0 Oaktree Capital Group LLC UNIT CL A 674001201 159289 2966681 SH SOLE 2966681 0 0 Occidental Petroleum Corporation COM 674599105 600 13498 SH SOLE 13498 0 0 Occidental Petroleum Corporation COM 674599105 17 375 SH OTR 1 375 0 0 Opes Acquisition Corp. COM 68373P100 3145 303381 SH SOLE 303381 0 0 Pivotal Acquisition Corp CL A COM 72583A101 6108 600000 SH SOLE 600000 0 0 Pivotal Acquisition Corp *W EXP 12/01/202 72583A119 1110 847000 SH SOLE 847000 0 0 Pivotal Acquisition Corp *W EXP 12/01/202 72583A119 169 128847 SH OTR 1 128847 0 0 Pivotal Investment Corporation II UNIT 06/01/2025 72582K209 6108 600000 SH SOLE 600000 0 0 Pure Acquisition Corp. CL A 74621Q106 14874 1451096 SH SOLE 1451096 0 0 Pure Acquisition Corp. *W EXP 04/17/202 74621Q114 470 447898 SH SOLE 447898 0 0 Reebonz Holding Limited SHS G7457R122 2 1875 SH SOLE 1875 0 0 Regalwood Global Energy Ltd. COM CL A G74760102 3486 337752 SH SOLE 337752 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 21931 73900 SH Put SOLE 73900 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 326 1100 SH Put OTR 1 1100 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 72709 245000 SH Put SOLE 245000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1484 5000 SH Put OTR 1 5000 0 0 Sentinel Energy Services Inc. CL A 81728P105 7927 771101 SH SOLE 771101 0 0 Spark Therapeutics, Inc. COM 84652J103 12200 125798 SH SOLE 125798 0 0 Spark Therapeutics, Inc. COM 84652J103 202 2078 SH OTR 1 2078 0 0 Sprint Corporation COM 85207U105 28831 4672693 SH SOLE 4672693 0 0 Sprint Corporation COM 85207U105 572 92629 SH OTR 1 92629 0 0 SunTrust Banks, Inc. COM 867914103 204457 2971764 SH SOLE 2971764 0 0 SunTrust Banks, Inc. COM 867914103 2234 32471 SH OTR 1 32471 0 0 TKK Symphony Acquisition Corporation ORD SHS G88950103 5640 555113 SH SOLE 555113 0 0 Tallgrass Energy, LP CLASS A SHS 874696107 6617 328558 SH SOLE 328558 0 0 The Blackstone Group Inc. COM CL A 09260D107 6427 131600 SH Put SOLE 131600 0 0 The Blackstone Group Inc. COM CL A 09260D107 669 13700 SH Put OTR 1 13700 0 0 Thunder Bridge Acquisition II, Ltd. UNIT 99/99/9999 G8857S124 8144 800000 SH SOLE 800000 0 0 Tiberius Acquisition Corporation COM 88633A107 4615 450000 SH SOLE 450000 0 0 Tiberius Acquisition Corporation *W EXP 02/28/202 88633A115 265 450000 SH SOLE 450000 0 0 Trident Acquisitions Corp. COM 89615T106 15909 1529756 SH SOLE 1529756 0 0 Trident Acquisitions Corp. COM 89615T106 588 56511 SH OTR 1 56511 0 0 Trinity Merger Corp. COM CL A 89653L106 19162 1835397 SH SOLE 1835397 0 0 Trinity Merger Corp. COM CL A 89653L106 927 88836 SH OTR 1 88836 0 0 Tuscan Holdings Corp. COM 90069K104 7831 799100 SH SOLE 799100 0 0 Tuscan Holdings Corp. UNIT 04/01/2026 90070A202 7537 750000 SH SOLE 750000 0 0 Tuscan Holdings Corp. UNIT 04/01/2026 90070A202 2010 200000 SH OTR 1 200000 0 0 Tuscan Holdings Corp. *W EXP 04/01/202 90069K112 607 799100 SH SOLE 799100 0 0 Twelve Seas Investment Company SHS G9145A107 14080 1375000 SH SOLE 1375000 0 0 United Technologies Corporation COM 913017109 38198 279800 SH SOLE 279800 0 0 United Technologies Corporation COM 913017109 2130 15600 SH OTR 1 15600 0 0 United Technologies Corporation COM 913017109 8942 65500 SH Put SOLE 65500 0 0 United Technologies Corporation COM 913017109 956 7000 SH Put OTR 1 7000 0 0 United Technologies Corporation COM 913017109 39509 289400 SH Put SOLE 289400 0 0 United Technologies Corporation COM 913017109 587 4300 SH Put OTR 1 4300 0 0 United Technologies Corporation COM 913017109 5488 40200 SH Put SOLE 40200 0 0 United Technologies Corporation COM 913017109 587 4300 SH Put OTR 1 4300 0 0 VanEck Vectors ETF TR SEMICONDUCTOR ET 92189F676 14748 123800 SH Put SOLE 123800 0 0 VanEck Vectors ETF TR SEMICONDUCTOR ET 92189F676 214 1800 SH Put OTR 1 1800 0 0 VanEck Vectors ETF TR SEMICONDUCTOR ET 92189F676 7076 59400 SH Put SOLE 59400 0 0 VanEck Vectors ETF TR SEMICONDUCTOR ET 92189F676 131 1100 SH Put OTR 1 1100 0 0 VectoIQ Acquisition Corp. COM 92243N103 8582 839699 SH SOLE 839699 0 0 VectoIQ Acquisition Corp. COM 92243N103 804 78705 SH OTR 1 78705 0 0 Versum Materials, Inc. COM 92532W103 134273 2536804 SH SOLE 2536804 0 0 Versum Materials, Inc. COM 92532W103 2307 43590 SH OTR 1 43590 0 0 Viacom Inc. CL B 92553P201 46934 1953135 SH SOLE 1953135 0 0 Viacom Inc. CL B 92553P201 660 27458 SH OTR 1 27458 0 0 Voya (ING) Prime Rate Trust SH BEN INT 92913A100 2151 456729 SH SOLE 456729 0 0 WABCO Holdings Inc. COM 92927K102 64933 485483 SH SOLE 485483 0 0 WABCO Holdings Inc. COM 92927K102 814 6088 SH OTR 1 6088 0 0 WellCare Health Plans, Inc. COM 94946T106 64381 248411 SH SOLE 248411 0 0 WellCare Health Plans, Inc. COM 94946T106 1031 3977 SH OTR 1 3977 0 0 Western Asset High Income Opportunity Fun COM 95766K109 3575 707954 SH SOLE 707954 0 0 Zayo Group Holdings, Inc. COM 98919V105 105613 3115435 SH SOLE 3115435 0 0 Zayo Group Holdings, Inc. COM 98919V105 2081 61383 SH OTR 1 61383 0 0