-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, ET9ni6oLfgd3liNtSBPpWHJk56AOyNdvQK9XSem50otC6t4JBQ16ClOXw9uJqhl9 WEyY0dn0PyAd4HFlS4iu3g== 0001135428-09-000185.txt : 20090515 0001135428-09-000185.hdr.sgml : 20090515 20090515132348 ACCESSION NUMBER: 0001135428-09-000185 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090515 DATE AS OF CHANGE: 20090515 EFFECTIVENESS DATE: 20090515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WESTCHESTER CAPITAL MANAGEMENT INC /NY/ CENTRAL INDEX KEY: 0000938773 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04764 FILM NUMBER: 09831114 BUSINESS ADDRESS: STREET 1: 100 SUMMIT LAKE DRIVE CITY: VALHALLA STATE: NY ZIP: 10595 MAIL ADDRESS: STREET 1: WESTCHESTER CAPITAL MANAGEMENT INC/NY STREET 2: 100 SUMMIT LAKE DRIVE CITY: VALHALLA STATE: NY ZIP: 10595 13F-HR 1 westchester_13f.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2009 Check here if Amendment [ ]; Amendment Number: __________ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holding entries. Institutional Investment Manager Filing this Report: Name: Westchester Capital Management, Inc. Address: 100 Summit Lake Drive Valhalla, NY 10595 Form 13F File Number: 28-04764 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Frederick W. Green Title: President Phone: 914-741-5600 Signature, Place, and Date of Signing: /s/ Frederick W. Green Valhalla, New York 5/15/09 - -------------------------- ------------------- ------- [Signature] [City, State] [Date] Report Type (Check only one.): [x] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 126 Form 13F Information Table Value Total: $915,543,261 (actual) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 1 28-11493 Green & Smith Investment Management L.L.C.
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - -------- -------- -------- -------- ------------------ -------- -------- ------------------ FAIR TITLE OF MARKET SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- ----- -------- -------- ------- --- ----- ------- -------- ---- ---------- Alternative Asset Mgmt Acquisition Corp COMMON STOCK 02149U101 7,270,650 755,000 SH (a) Sole Sole Axsys Technologies, Inc. COMMON STOCK 054615109 8,706,484 207,100 SH (a) Sole Sole Axsys Technologies, Inc. COMMON STOCK 054615109 2,854,516 67,900 SH (b) Shared 1 Sole BPW Acquisition Corp. COMMON STOCK 055637102 2,808,000 300,000 SH (a) Sole Sole Banco Itau Holding Financeira SA COMMON STOCK 059602201 13,749,230 1,263,716 SH (a) Sole Sole Banco Itau Holding Financeira SA COMMON STOCK 059602201 1,132,347 104,076 SH (b) Shared 1 Sole CC Media Holdings, Inc. COMMON STOCK 12502P102 1,936 1,100 SH (a) Sole Sole CC Media Holdings, Inc. COMMON STOCK 12502P102 44,880 25,500 SH (b) Shared 1 Sole CF Industries Holdings Inc. COMMON STOCK 125269100 37,613,544 528,800 SH (a) Sole Sole CF Industries Holdings Inc. COMMON STOCK 125269100 1,351,470 19,000 SH (b) Shared 1 Sole CV Therapeutics COMMON STOCK 126667104 12,178,488 612,600 SH (a) Sole Sole CV Therapeutics COMMON STOCK 126667104 1,435,336 72,200 SH (b) Shared 1 Sole Centennial Communications Corp. COMMON STOCK 15133V208 18,048,100 2,185,000 SH (a) Sole Sole Centennial Communications Corp. COMMON STOCK 15133V208 1,196,048 144,800 SH (b) Shared 1 Sole Comcast Corporation Special Class A COMMON STOCK 20030N200 11,624,184 903,200 SH (a) Sole Sole Comcast Corporation Special Class A COMMON STOCK 20030N200 1,310,166 101,800 SH (b) Shared 1 Sole Compass Minerals International Inc. COMMON STOCK 20451N101 14,665,670 260,168 SH (a) Sole Sole Compass Minerals International Inc. COMMON STOCK 20451N101 879,372 15,600 SH (b) Shared 1 Sole Constellation Energy Group Inc. COMMON STOCK 210371100 16,876,121 816,850 SH (a) Sole Sole Constellation Energy Group Inc. COMMON STOCK 210371100 1,475,124 71,400 SH (b) Shared 1 Sole Crucell NV COMMON STOCK 228769105 3,069,616 155,739 SH (a) Sole Sole Crucell NV COMMON STOCK 228769105 352,809 17,900 SH (b) Shared 1 Sole Eaton Vance Floating-Rate Income Trust COMMON STOCK 278279104 1,574,769 190,650 SH (a) Sole Sole Eaton Vance Floating-Rate Income Trust COMMON STOCK 278279104 75,992 9,200 SH (b) Shared 1 Sole Elan Corporation plc ADR COMMON STOCK 284131208 4,613,472 694,800 SH (a) Sole Sole Elan Corporation plc ADR COMMON STOCK 284131208 235,056 35,400 SH (b) Shared 1 Sole Embarq Corporation COMMON STOCK 29078E105 70,075,490 1,851,400 SH (a) Sole Sole Embarq Corporation COMMON STOCK 29078E105 3,837,990 101,400 SH (b) Shared 1 Sole GHL Acquisition Corp. COMMON STOCK 36172H108 19,410,892 2,071,600 SH (a) Sole Sole GHL Acquisition Corp. COMMON STOCK 36172H108 1,389,571 148,300 SH (b) Shared 1 Sole Genentech, Inc. COMMON STOCK 368710406 114,795,245 1,208,371 SH (a) Sole Sole Genentech, Inc. COMMON STOCK 368710406 8,550,000 90,000 SH (b) Shared 1 Sole Hicks Acquisition Co. 1 Inc. COMMON STOCK 429086309 9,148,704 971,200 SH (a) Sole Sole Hicks Acquisition Co. 1 Inc. COMMON STOCK 429086309 105,504 11,200 SH (b) Shared 1 Sole Huntsman Corporation COMMON STOCK 447011107 13,467,157 4,302,606 SH (a) Sole Sole Huntsman Corporation COMMON STOCK 447011107 1,030,709 329,300 SH (b) Shared 1 Sole iShares iBoxx $ Inv.Grade Corp. Bond Fund COMMON STOCK 464287242 5,882,500 62,500 SH (a) Sole Sole Liberty Acquisition Holdings Corp. COMMON STOCK 53015Y107 11,154,990 1,270,500 SH (a) Sole Sole Liberty Acquisition Holdings Corp. COMMON STOCK 53015Y107 1,431,140 163,000 SH (b) Shared 1 Sole Liberty Media Corporation Series A COMMON STOCK 53071M500 1,193,010 59,800 SH (a) Sole Sole Liberty Media Corporation Series A COMMON STOCK 53071M500 801,990 40,200 SH (b) Shared 1 Sole Live Nation Inc. COMMON STOCK 538034109 23,763 8,900 SH (a) Sole Sole Live Nation Inc. COMMON STOCK 538034109 493,950 185,000 SH (b) Shared 1 Sole Magellan Midstream Holdings LP COMMON STOCK 55907R108 1,454,250 83,100 SH (a) Sole Sole Magellan Midstream Holdings LP COMMON STOCK 55907R108 1,412,250 80,700 SH (b) Shared 1 Sole NRG Energy Inc. COMMON STOCK 629377508 17,796,733 1,011,178 SH (a) Sole Sole NRG Energy Inc. COMMON STOCK 629377508 1,079,267 61,322 SH (b) Shared 1 Sole Nextwave Wireless Inc. COMMON STOCK 65337Y102 215,014 1,343,835 SH (a) Sole Sole NOVA Chemicals Corp. COMMON STOCK 66977W109 12,101,184 2,100,900 SH (a) Sole Sole NOVA Chemicals Corp. COMMON STOCK 66977W109 1,416,960 246,000 SH (b) Shared 1 Sole Petro-Canada COMMON STOCK 71644E102 20,421,414 768,300 SH (a) Sole Sole Petro-Canada COMMON STOCK 71644E102 2,190,192 82,400 SH (b) Shared 1 Sole Powershares S&P 500 BuyWrite Portfolio COMMON STOCK 73936G308 1,568,769 91,956 SH (a) Sole Sole Rohm and Haas Company COMMON STOCK 775371107 62,178,743 788,670 SH (a) Sole Sole Rohm and Haas Company COMMON STOCK 775371107 4,225,824 53,600 SH (b) Shared 1 Sole SPDR Trust Series 1 COMMON STOCK 78462F103 13,749,008 172,900 SH (a) Sole Sole Sapphire Industrials Corp. COMMON STOCK 80306T109 21,919,953 2,300,100 SH (a) Sole Sole Sapphire Industrials Corp. COMMON STOCK 80306T109 1,428,547 149,900 SH (b) Shared 1 Sole Schering Plough Corp. COMMON STOCK 806605101 53,601,237 2,276,061 SH (a) Sole Sole Schering Plough Corp. COMMON STOCK 806605101 4,287,018 182,039 SH (b) Shared 1 Sole Sirius Satellite Radio Inc. COMMON STOCK 82967N108 4,408 12,593 SH (b) Shared 1 Sole Sun Microsystems Inc. COMMON STOCK 866810203 13,494,420 1,843,500 SH (a) Sole Sole Sun Microsystems Inc. COMMON STOCK 866810203 1,218,048 166,400 SH (b) Shared 1 Sole Suncor Energy, Inc. COMMON STOCK 867229106 6,469,773 291,300 SH (a) Sole Sole Suncor Energy, Inc. COMMON STOCK 867229106 1,319,274 59,400 SH (b) Shared 1 Sole Take-Two Interactive Software, Inc. COMMON STOCK 874054109 2,231,771 267,278 SH (a) Sole Sole Take-Two Interactive Software, Inc. COMMON STOCK 874054109 72,311 8,660 SH (b) Shared 1 Sole thinkorswim Group Inc. COMMON STOCK 88409C105 10,647,936 1,232,400 SH (a) Sole Sole thinkorswim Group Inc. COMMON STOCK 88409C105 756,864 87,600 SH (b) Shared 1 Sole Triplecrown Acquisition Corp. COMMON STOCK 89677G109 6,397,836 682,800 SH (a) Sole Sole Triplecrown Acquisition Corp. COMMON STOCK 89677G109 919,197 98,100 SH (b) Shared 1 Sole UTS Energy Corp. COMMON STOCK 903396109 6,589,118 4,886,800 SH (a) Sole Sole UTS Energy Corp. COMMON STOCK 903396109 1,048,612 777,700 SH (b) Shared 1 Sole United Refining Energy Corp. COMMON STOCK 911360105 55,564 5,800 SH (a) Sole Sole United Refining Energy Corp. COMMON STOCK 911360105 423,436 44,200 SH (b) Shared 1 Sole Verenex Energy Inc. COMMON STOCK 923401103 2,075,262 293,000 SH (a) Sole Sole Verenex Energy Inc. COMMON STOCK 923401103 599,205 84,600 SH (b) Shared 1 Sole Victory Acquisition Corporation COMMON STOCK 92644D100 4,950,000 500,000 SH (a) Sole Sole Wyeth COMMON STOCK 983024100 101,212,864 2,351,600 SH (a) Sole Sole Wyeth COMMON STOCK 983024100 5,313,977 123,466 SH (b) Shared 1 Sole Yahoo! Inc. COMMON STOCK 984332106 19,637,089 1,532,950 SH (a) Sole Sole Yahoo! Inc. COMMON STOCK 984332106 987,651 77,100 SH (b) Shared 1 Sole PREFERRED STOCK Citigroup Inc. Pfd. 8.50% Series F PREFERRED STOCK 172967556 11,466,469 752,887 SH (a) Sole Sole Citigroup Inc. Pfd. 8.50% Series F PREFERRED STOCK 172967556 670,120 44,000 SH (b) Shared 1 Sole Citigroup Inc Pfd. 8.125% Series AA PREFERRED STOCK 172967572 28,568,741 1,869,682 SH (a) Sole Sole Citigroup Inc Pfd. 8.125% Series AA PREFERRED STOCK 172967572 2,199,862 143,970 SH (b) Shared 1 Sole Fixed Income CORPORATE BONDS CIT Group floating-rate senior note CORPORATE BONDS 125577AW6 328,967 340,000 PRN (a) Sole Sole 1.394% Due 06-08-09 Case New Holland Inc. note CORPORATE BONDS 147446AK4 1,995,000 2,000,000 PRN (a) Sole Sole 6.000% Due 06-01-09 Erac USA Finance Co. floating rate note CORPORATE BONDS 26882PAY8 2,134,346 2,150,000 PRN (a) Sole Sole 1.424% Due 04-30-09 Erac USA Finance Co. floating rate note CORPORATE BONDS 26882PAY8 1,985,438 2,000,000 PRN (b) Shared 1 Sole 1.424% Due 04-30-09 Genworth Financial senior unsecured note CORPORATE BONDS 37247DAA4 1,962,698 2,000,000 PRN (a) Sole Sole 5.231% Due 05-16-09 Genworth Financial senior unsecured note CORPORATE BONDS 37247DAA4 2,453,372 2,500,000 PRN (b) Shared 1 Sole 5.231% Due 05-16-09 HSBC Finance Corp. floating-rate note CORPORATE BONDS 40429CFT4 1,732,803 1,833,000 PRN (a) Sole Sole 1.192% Due 10-21-09 HSBC Finance Corp. floating-rate note CORPORATE BONDS 40429CFT4 661,736 700,000 PRN (b) Shared Sole 1.192% Due 10-21-09 Intl. Lease Finance Corp. senior unsecure CORPORATE BONDS 459745FL4 2,811,000 2,811,000 PRN (a) Sole Sole 3.500% Due 04-01-09 Intl. Lease Finance Corp. senior unsecure CORPORATE BONDS 459745FL4 689,000 689,000 PRN (b) Shared 1 Sole 3.500% Due 04-01-09 Nisource Finance Corp. floating-rate note CORPORATE BONDS 65473QAP8 1,397,965 1,465,000 PRN (a) Sole Sole 1.821% Due 11-23-09 Union Carbide senior unsecured note CORPORATE BONDS 905581AV6 910,000 910,000 PRN (a) Sole Sole 6.700% Due 04-01-09 Union Carbide senior unsecured note CORPORATE BONDS 905581AV6 1,183,000 1,183,000 PRN (b) Shared 1 Sole 6.700% Due 04-01-09 Westar Energy Inc. note CORPORATE BONDS 959425AK5 1,000,945 1,000,000 PRN (a) Sole Sole 7.125% Due 08-01-09 Other CALLS SPDR Trust Series 1 CALL 78462F103 2,861,400 11,400 CALL (a)Sole Sole PUTS Citigroup Inc PUTS 172967101 3,649,740 12,372 (a) Sole Sole Citigroup Inc. PUTS 172967101 92,630 314 (b) Shared 1 Sole iShares Nasdaq Biotech Index PUTS 464287556 347,400 772 (a) Sole Sole iShares Nasdaq Biotech Index PUTS 464287556 21,150 47 (b) Shared 1 Sole Pfizer Inc PUTS 717081103 363,140 542 (a) Sole Sole Rohm and Haas company PUTS 775371107 18,865 7,546 (a) Sole Sole Rohm and Haas Company PUTS 775371107 1,135 454 (b) Shared 1 Sole SPDR Trust Series 1 Jun.80 put PUTS 78462F103 3,705,000 5,700 (a) Sole Sole SPDR Trust Series 1 Jun.80 put PUTS 78462F103 195,000 300 (b) Shared 1 Sole SPDR Trust Series 1 Jun.75 put PUTS 78462F103 2,508,000 5,700 (a) Sole Sole SPDR Trust Series 1 Jun.75 put PUTS 78462F103 132,000 300 (b) Shared 1 Sole Materials Select Sector SPDR PUTS 81369Y100 40,160 1,004 (a) Sole Sole Materials Select Sector SPDR PUTS 81369Y100 2,840 71 (b) Shared 1 Sole Materials Select Sector SPDR PUTS 81369Y100 616,420 1,666 (a) Sole Sole Materials Select Sector SPDR PUTS 81369Y100 49,580 134 (b) Shared 1 Sole Energy Select SPDR PUTS 81369Y506 218,625 330 (a) Sole Sole Energy Select SPDR PUTS 81369Y506 13,250 20 (b) Shared 1 Sole Technology Select Sector SPDR PUTS 81369Y803 123,250 725 (a) Sole Sole Technology Select Sector SPDR PUTS 81369Y803 12,750 75 (b) Shared 1 Sole Utilities Selct Sector SPDR PUTS 81369Y886 331,200 1,380 (a) Sole Sole Utilities Select Sector SPDR PUTS 81369Y886 28,800 120 (b) Shared 1 Sole Health Care Select Sector SPDR PUTS 81369Y209 349,370 713 (a) Sole Sole Health Care Select Sector SPDR PUTS 81369Y209 18,130 37 (b) Shared 1 Sole Health Care Select Sector SPDR PUTS 81369Y209 270,370 1,423 (a) Sole Sole Health Care Select Sector SPDR PUTS 81369Y209 14,630 77 (b) Shared 1 Sole TOTAL 915,543,261
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