-----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, MUlwp2iaDQUXefyfh5EKV341h1SVeguWLkgH0POhRGpTu+wM5hj+dHR9OO77TNwy OcX5yfgWfNyphjXlVVrfyQ== 0001135428-09-000334.txt : 20090814 0001135428-09-000334.hdr.sgml : 20090814 20090814140212 ACCESSION NUMBER: 0001135428-09-000334 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090814 DATE AS OF CHANGE: 20090814 EFFECTIVENESS DATE: 20090814 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: 091014465 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: June 30, 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 8/14/09 - ------------------------- ------------------ ------- [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: 122 Form 13F Information Table Value Total: $1,314,242,603 (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. FORM 13F Westchester Capital Management, Inc. June 30, 2009
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 VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- ----- -------- -------- ------- --- ----- ------- -------- ---- ------------ Equities COMMON STOCK Addax Petroleum Corp. COMMON STOCK 00652V102 22,392,847 528,000 SH (a) Sole Sole Addax Petroleum Corp. COMMON STOCK 00652V102 1,255,357 29,600 SH (b) Shared 1 Sole Allergan, Inc. COMMON STOCK 018490102 22,105,668 464,600 SH (a) Sole Sole Allergan, Inc. COMMON STOCK 018490102 1,684,332 35,400 SH (b) Shared 1 Sole Alternative Asset Mgmt Acquisition Corp COMMON STOCK 02149U101 5,754,530 589,000 SH (a) Sole Sole Axsys Technologies, Inc. COMMON STOCK 054615109 11,536,301 215,069 SH (a) Sole Sole Axsys Technologies, Inc. COMMON STOCK 054615109 584,676 10,900 SH (b) Shared 1 Sole BPW Acquisition Corp. COMMON STOCK 055637102 2,874,000 300,000 SH (a) Sole Sole Bank of America Corporation COMMON STOCK 060505104 69,126,869 5,236,884 SH (a) Sole Sole Bank of America Corporation COMMON STOCK 060505104 3,204,353 242,754 SH (b) Shared 1 Sole CC Media Holdings, Inc. COMMON STOCK 12502P102 1,100 1,100 SH (a) Sole Sole CC Media Holdings, Inc. COMMON STOCK 12502P102 25,500 25,500 SH (b) Shared 1 Sole CF Industries Holdings Inc. COMMON STOCK 125269100 16,295,972 219,800 SH (a) Sole Sole CF Industries Holdings Inc. COMMON STOCK 125269100 1,023,132 13,800 SH (b) Shared 1 Sole Centennial Communications Corp. COMMON STOCK 15133V208 18,266,600 2,185,000 SH (a) Sole Sole Centennial Communications Corp. COMMON STOCK 15133V208 1,210,528 144,800 SH (b) Shared 1 Sole Centex Corp. COMMON STOCK 152312104 31,390,830 3,710,500 SH (a) Sole Sole Centex Corp. COMMON STOCK 152312104 1,728,378 204,300 SH (b) Shared 1 Sole Chipotle Mexican Grill Class B COMMON STOCK 169656204 17,900,995 256,498 SH (a) Sole Sole Chipotle Mexican Grill Class B COMMON STOCK 169656204 1,472,569 21,100 SH (b) Shared 1 Sole Comcast Corporation Special Class A COMMON STOCK 20030N200 8,180,820 580,200 SH (a) Sole Sole Comcast Corporation Special Class A COMMON STOCK 20030N200 933,420 66,200 SH (b) Shared 1 Sole Constellation Energy Group Inc. COMMON STOCK 210371100 1,329 50 SH (a) Sole Sole Data Domain Inc. COMMON STOCK 23767P109 67,537,085 2,025,100 SH (a) Sole Sole Data Domain Inc. COMMON STOCK 23767P109 3,288,310 98,600 SH (b) Shared 1 Sole Embarq Corporation COMMON STOCK 29078E105 69,895,308 1,661,800 SH (a) Sole Sole Embarq Corporation COMMON STOCK 29078E105 3,827,460 91,000 SH (b) Shared 1 Sole Emulex Corp. COMMON STOCK 292475209 17,359,207 1,774,970 SH (a) Sole Sole Emulex Corp. COMMON STOCK 292475209 1,707,099 174,550 SH (b) Shared 1 Sole Foundation Coal Holdings Inc. COMMON STOCK 35039W100 12,330,086 438,637 SH (a) Sole Sole Foundation Coal Holdings Inc. COMMON STOCK 35039W100 326,076 11,600 SH (b) Shared 1 Sole GHL Acquisition Corp. COMMON STOCK 36172H108 20,301,680 2,071,600 SH (a) Sole Sole GHL Acquisition Corp. COMMON STOCK 36172H108 1,453,340 148,300 SH (b) Shared 1 Sole Hicks Acquisition Co. 1 Inc. COMMON STOCK 429086309 8,500,576 886,400 SH (a) Sole Sole Hicks Acquisition Co. 1 Inc. COMMON STOCK 429086309 107,408 11,200 SH (b) Shared 1 Sole Huntsman Corporation COMMON STOCK 447011107 16,065,533 3,193,943 SH (a) Sole Sole Huntsman Corporation COMMON STOCK 447011107 983,365 195,500 SH (b) Shared 1 Sole Liberty Acquisition Holdings Corp. COMMON STOCK 53015Y107 11,510,730 1,270,500 SH (a) Sole Sole Liberty Acquisition Holdings Corp. COMMON STOCK 53015Y107 1,476,780 163,000 SH (b) Shared 1 Sole Liberty Media Corporation Series A COMMON STOCK 53071M500 73,765,800 2,757,600 SH (a) Sole Sole Liberty Media Corporation Series A COMMON STOCK 53071M500 3,785,125 141,500 SH (b) Shared 1 Sole Live Nation Inc. COMMON STOCK 538034109 43,254 8,900 SH (a) Sole Sole Live Nation Inc. COMMON STOCK 538034109 899,100 185,000 SH (b) Shared 1 Sole Magellan Midstream Holdings LP COMMON STOCK 55907R108 7,183,552 342,400 SH (a) Sole Sole Magellan Midstream Holdings LP COMMON STOCK 55907R108 1,693,086 80,700 SH (b) Shared 1 Sole Metavante Technologies Inc. COMMON STOCK 591407101 46,586,790 1,801,500 SH (a) Sole Sole Metavante Technologies Inc. COMMON STOCK 591407101 2,234,304 86,400 SH (b) Shared 1 Sole Microsoft Corp. COMMON STOCK 594918104 1,188,500 50,000 SH (a) Sole Sole NRG Energy Inc. COMMON STOCK 629377508 20,390,360 785,453 SH (a) Sole Sole NRG Energy Inc. COMMON STOCK 629377508 1,155,220 44,500 SH (b) Shared 1 Sole NATCO Group Inc. COMMON STOCK 63227W203 8,398,221 255,110 SH (a) Sole Sole NATCO Group Inc. COMMON STOCK 63227W203 688,028 20,900 SH (b) Shared 1 Sole Nextwave Wireless Inc. COMMON STOCK 65337Y102 417,155 861,535 SH (a) Sole Sole NOVA Chemicals Corp. COMMON STOCK 66977W109 12,458,337 2,100,900 SH (a) Sole Sole NOVA Chemicals Corp. COMMON STOCK 66977W109 1,458,780 246,000 SH (b) Shared 1 Sole Pepsi Bottling Group Inc. COMMON STOCK 713409100 18,913,176 558,900 SH (a) Sole Sole Pepsi Bottling Group Inc. COMMON STOCK 713409100 2,003,328 59,200 SH (b) Shared 1 Sole Petro-Canada COMMON STOCK 71644E102 57,321,449 1,491,969 SH (a) Sole Sole Petro-Canada COMMON STOCK 71644E102 3,327,018 86,596 SH (b) Shared 1 Sole Pfizer Inc. COMMON STOCK 717081103 39,300 2,620 SH (a) Sole Sole Sadia SA ADR COMMON STOCK 786326108 11,095,019 1,511,583 SH (a) Sole Sole Sadia SA ADR COMMON STOCK 786326108 1,145,818 156,106 SH (b) Shared 1 Sole Sapphire Industrials Corp. COMMON STOCK 80306T109 25,002,407 2,559,100 SH (a) Sole Sole Sapphire Industrials Corp. COMMON STOCK 80306T109 1,738,083 177,900 SH (b) Shared 1 Sole Schering Plough Corp. COMMON STOCK 806605101 104,269,628 4,150,861 SH (a) Sole Sole Schering Plough Corp. COMMON STOCK 806605101 5,321,396 211,839 SH (b) Shared 1 Sole Sirius Satellite Radio Inc. COMMON STOCK 82967N108 5,415 12,593 SH (b) Shared 1 Sole Sun Microsystems Inc. COMMON STOCK 866810203 86,885,592 9,423,600 SH (a) Sole Sole Sun Microsystems Inc. COMMON STOCK 866810203 4,440,352 481,600 SH (b) Shared 1 Sole Thomson Reuters Corporation COMMON STOCK 884903105 6,908,817 237,400 SH (a) Sole Sole Thomson Reuters Corporation COMMON STOCK 884903105 366,685 12,600 SH (b) Shared 1 Sole Triplecrown Acquisition Corp. COMMON STOCK 89677G109 6,554,880 682,800 SH (a) Sole Sole Triplecrown Acquisition Corp. COMMON STOCK 89677G109 941,760 98,100 SH (b) Shared 1 Sole UTS Energy Corp. COMMON STOCK 903396109 3,842,157 2,846,500 SH (a) Sole Sole UTS Energy Corp. COMMON STOCK 903396109 502,929 372,600 SH (b) Shared 1 Sole United Refining Energy Corp. COMMON STOCK 911360105 56,666 5,800 SH (a) Sole Sole United Refining Energy Corp. COMMON STOCK 911360105 431,834 44,200 SH (b) Shared 1 Sole US Natural Gas Fund, LP COMMON STOCK 912318102 2,299,646 165,800 SH (a) Sole Sole US Natural Gas Fund, LP COMMON STOCK 912318102 266,304 19,200 SH (b) Shared 1 Sole Verenex Energy Inc. COMMON STOCK 923401103 2,613,249 506,600 SH (a) Sole Sole Verenex Energy Inc. COMMON STOCK 923401103 987,319 191,400 SH (b) Shared 1 Sole Wyeth COMMON STOCK 983024100 136,210,851 3,000,900 SH (a) Sole Sole Wyeth COMMON STOCK 983024100 6,620,858 145,866 SH (b) Shared 1 Sole Yahoo! Inc. COMMON STOCK 984332106 783 50 SH (a) Sole Sole IPC Holdings Ltd. COMMON STOCK G4933P101 15,988,295 584,795 SH (a) Sole Sole IPC Holdings Ltd. COMMON STOCK G4933P101 809,127 29,595 SH (b) Shared 1 Sole PREFERRED STOCK Citigroup Inc. Pfd. 8.50% Series F PREFERRED STOCK 172967556 41,889,657 2,242,487 SH (a) Sole Sole Citigroup Inc. Pfd. 8.50% Series F PREFERRED STOCK 172967556 2,553,556 136,700 SH (b) Shared Sole Citigroup Inc Pfd. 8.125% Series AA PREFERRED STOCK 172967572 16,166,457 865,442 SH (a) Sole Sole Citigroup Inc Pfd. 8.125% Series AA PREFERRED STOCK 172967572 387,236 20,730 SH (b) Shared Sole Citigroup Inc. Trust Pfd. 7.25% PREFERRED STOCK 17311U200 28,269,522 1,502,100 SH (a) Sole Sole Citigroup Inc. Trust Pfd. 7.25% PREFERRED STOCK 17311U200 1,951,634 103,700 SH (b) Shared Sole Fixed Income CORPORATE BONDS HSBC Finance Corp. floating-rate note CORPORATE BONDS 40429CFT4 1,827,772 1,833,000 PRN (a) Sole Sole 1.192% Due 10-21-09 HSBC Finance Corp. floating-rate note CORPORATE BONDS 40429CFT4 698,004 700,000 PRN (b) Shared Sole 1.192% Due 10-21-09 Textron Financial Corp. senior unsecured CORPORATE BONDS 883199AQ4 1,784,115 1,800,000 PRN (a) Sole Sole 6.000% Due 11-20-09 Westar Energy Inc. note CORPORATE BONDS 959425AK5 1,004,609 1,000,000 PRN (a) Sole Sole 7.125% Due 08-01-09 Oxiana Ltd. convertible note CORPORATE BONDS B073P40 1,847,900 1,700,000 PRN (a) Sole Sole 5.250% Due 04-15-12 Other PUTS Citigroup Inc. PUTS 172967101 27,724,464 121,239 PUT (a) Sole Sole Citigroup Inc. PUTS 172967101 234,302 1,060 PUT (b) Shared Sole DirecTV Group PUTS 25459L109 396,800 640 PUT (a) Sole Sole DirecTV Group PUTS 25459L109 22,320 36 PUT (b) Shared Sole DISH Network PUTS 25470M109 1,337,855 5,693 PUT (a) Sole Sole DISH Network PUTS 25470M110 72,145 307 PUT (b) Shared Sole Energy Select Sector SPDR PUTS 81369Y506 1,370,910 1,398 PUT (a) Sole Sole Energy Select Sector SPDR PUTS 81369Y506 96,590 102 PUT (b) Shared Sole Health Care Select Sector SPDR PUTS 81369Y209 633,080 4,522 PUT (a) Sole Sole Health Care Select Sector SPDR PUTS 81369Y210 34,440 246 PUT (b) Shared Sole Materials Select Sect0r SPDR PUTS 81369Y100 1,312,380 2,853 PUT (a) Sole Sole Materials Select Sect0r SPDR PUTS 81369Y100 85,100 185 PUT (b) Shared Sole Pfizer Inc. PUTS 717081103 280,485 542 PUT (a) Sole Sole SPDR Trust Series 1 PUTS 78462F103 979,687 7,125 PUT (a) Sole Sole SPDR Trust Series 1 PUTS 78462F103 51,562 375 PUT (b) Shared Sole Technology Select Sector SPDR PUTS 81369Y803 110,670 1,835 PUT (a) Sole Sole Technology Select Sector SPDR PUTS 81369Y803 10,830 115 PUT (b) Shared Sole Time Warner PUTS 887317105 2,494,760 5,308 PUT (a) Sole Sole Time Warner PUTS 887317105 129,250 275 PUT (b) Shared Sole US Oil Fund PUTS 91232N108 264,775 623 PUT (a) Sole Sole US Oil Fund PUTS 91232N108 30,600 72 PUT (b) Shared Sole Viacom Class B PUTS 92553P102 1,862,700 5,322 PUT (a) Sole Sole Viacom Class B PUTS 92553P102 97,300 278 PUT (b) Shared Sole OTHER ASSETS Powershares S&P 500 BuyWrite Portfolio OTHER ASSETS 73936G308 1,242,034 66,956 SH (a) Sole Sole SPDR Trust Series 1 OTHER ASSETS 78462F103 10,111,200 110,000 SH (a) Sole Sole Grand Total 1,314,242,603
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