0001222765-20-000012.txt : 20201112 0001222765-20-000012.hdr.sgml : 20201112 20201112095711 ACCESSION NUMBER: 0001222765-20-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201112 DATE AS OF CHANGE: 20201112 EFFECTIVENESS DATE: 20201112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WATER ISLAND CAPITAL LLC CENTRAL INDEX KEY: 0001222765 IRS NUMBER: 134100544 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10693 FILM NUMBER: 201304229 BUSINESS ADDRESS: STREET 1: 41 MADISON AVENUE STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 212-584-2367 MAIL ADDRESS: STREET 1: 41 MADISON AVENUE STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001222765 XXXXXXXX 09-30-2020 09-30-2020 false WATER ISLAND CAPITAL LLC

41 Madison Avenue 42nd Floor New York NY 10010

13F HOLDINGS REPORT 028-10693 N Stephanie Butler 917-475-9243 Stephanie Butler New York NY 11-12-2020 0 96 1177408 INFORMATION TABLE 2 infotable.xml Acacia Communications Inc Equity 00401C108 77075 1143544 SH SOLE 1055525 0 88019 AECOM Equity 00766T100 3897 93150 SH SOLE 93150 0 0 Alpha Healthcare Acquisition C Equity 020751202 1666 167971 SH SOLE 167971 0 0 Aimmune Therapeutics Inc Equity 00900T107 36594 1062245 SH SOLE 996705 0 59055 Akcea Therapeutics Inc Equity 00972L107 3955 218000 SH SOLE 218000 0 0 Amarin Corp PLC Equity Call 023111906 1 10000 SH Call SOLE 10000 0 0 Amarin Corp PLC Equity 023111206 42 10000 SH SOLE 10000 0 0 TD Ameritrade Holding Corp Equity 87236Y108 91974 2349279 SH SOLE 2342730 0 0 Arch Resources Inc Equity 03940R107 527 12400 SH SOLE 12400 0 0 Avaya Holdings Corp Equity 05351X101 198 36455 SH SOLE 36455 0 0 BMC Stock Holdings Inc Equity 05591B109 16679 389422 SH SOLE 384000 0 0 Bristol-Myers Squibb Co Equity 110122157 23 10000 SH SOLE 10000 0 0 Baytex Energy Corp Equity 07317Q105 169 480000 SH SOLE 480000 0 0 BorgWarner Inc Equity 099724106 519 13395 SH SOLE 13395 0 0 Cincinnati Bell Inc Equity 171871502 31461 2097432 SH SOLE 1980115 0 112605 Cellular Biomedicine Group Inc Equity 15117P102 2444 133286 SH SOLE 101854 0 31432 Churchill Capital Corp IV Equity 171439201 1002 100000 SH SOLE 100000 0 0 CF Finance Acquisition Corp Equity 12528N107 936 90000 SH SOLE 90000 0 0 ChampionX Corp Equity 15872M104 1593 199419 SH SOLE 199419 0 0 Cloudera Inc Equity 18914U100 479 44000 SH SOLE 44000 0 0 CoreLogic Inc/United States Equity 21871D103 1252 18500 SH SOLE 18500 0 0 CNX Resources Corp Equity 12653C108 208 22000 SH SOLE 22000 0 0 Concho Resources Inc Equity 20605P101 441 10000 SH SOLE 10000 0 0 Delphi Technologies PLC Equity G2709G107 59186 3541969 SH SOLE 3312024 0 216598 Callaway Golf Co Equity 131193104 1276 66665 SH SOLE 66665 0 0 ETRADE Financial Corp Equity 269246401 127877 2554978 SH SOLE 2396683 0 152932 Flying Eagle Acquisition Corp Equity 34407Y103 1824 150000 SH SOLE 150000 0 0 Fitbit Inc Equity 33812L102 151 21699 SH SOLE 0 0 0 Whole Earth Brands Inc Equity 96684W100 1334 160000 SH SOLE 160000 0 0 Fast Acquisition Corp Equity 311875207 4874 488913 SH SOLE 488913 0 0 Fusion Acquisition Corp Equity 36118H204 2060 200000 SH SOLE 200000 0 0 Fortress Value Acquisition Cor Warrant 34962V114 390 35000 SH SOLE 35000 0 0 Gilat Satellite Networks Ltd Equity M51474118 8645 1586173 SH SOLE 1404684 0 181489 GCI Liberty Inc Equity 36164V305 44625 544468 SH SOLE 521310 0 20463 Grubhub Inc Equity 400110102 39954 552378 SH SOLE 499537 0 49564 Hennessy Capital Acquisition C Equity 42589C104 1011 90750 SH SOLE 90750 0 0 Hudson Executive Investment Co Equity 443761101 1202 150003 SH SOLE 150003 0 0 Hudson Ltd Equity G46408103 2737 360100 SH SOLE 264812 0 77188 IAC/InterActiveCorp Equity 44891N109 1797 15000 SH SOLE 15000 0 0 Immunomedics Inc Equity Call 452907908 5 187500 SH Call SOLE 177100 0 10400 Immunomedics Inc Equity 452907108 31308 368202 SH SOLE 345473 0 20027 iShares Russell 2000 ETF Equity Put 464287955 490 62100 SH Put SOLE 56800 0 5300 JAZZ INVESTMENTS I LTD Convertible Bond 472145AB7 1520 1500000 PRN SOLE 1500000 0 0 LF Capital Acquisition Corp Equity 50200K108 1476 140000 SH SOLE 140000 0 0 Live Oak Acquisition Corp Equity 53804F103 1160 170001 SH SOLE 170001 0 0 iShares iBoxx $ Investment Gra Equity Put 464287952 457 269900 SH Put SOLE 245400 0 24500 Livongo Health Inc Equity 539183103 238 1699 SH SOLE 0 0 0 Momenta Pharmaceuticals Inc Equity 60877T100 32304 615540 SH SOLE 575360 0 34260 MobileIron Inc Equity 60739U204 5300 755995 SH SOLE 713770 0 42225 Marathon Petroleum Corp Equity 56585A102 675 23000 SH SOLE 23000 0 0 Montage Resources Corp Equity 61179L100 2067 470799 SH SOLE 352037 0 106273 Matinas BioPharma Holdings Inc Equity 576810105 268 350000 SH SOLE 350000 0 0 Maxim Integrated Products Inc Equity 57772K101 25986 384354 SH SOLE 347683 0 34538 Navistar International Corp Equity 638901306 261 6000 SH SOLE 6000 0 0 Noble Energy Inc Equity 655044105 72393 8467038 SH SOLE 7817107 0 618828 National General Holdings Corp Equity 636220303 64818 1920524 SH SOLE 1772665 0 143554 Nielsen Holdings PLC Equity Call G6518L908 18 25000 SH Call SOLE 25000 0 0 NUANCE COMMUNICATIONS Convertible Bond 67020YAK6 1455 1000000 PRN SOLE 1000000 0 0 Oaktree Acquisition Corp II Equity G67145105 1029 100000 SH SOLE 100000 0 0 ON SEMICONDUCTOR CORP Convertible Bond 682189AK1 2397 2000000 PRN SOLE 2000000 0 0 Oxford Immunotec Global PLC Equity G6855A103 1755 150000 SH SOLE 150000 0 0 Occidental Petroleum Corp Equity 674599105 219 23187 SH SOLE 23187 0 0 Pacific Biosciences of Califor Equity 69404D108 15001 1519832 SH SOLE 1397609 0 122223 CC Neuberger Principal Holding Equity G1992Y114 1230 126664 SH SOLE 126664 0 0 Parsley Energy Inc Equity 701877102 131 14000 SH SOLE 14000 0 0 Pfenex Inc Equity 717071104 16249 1274452 SH SOLE 1274452 0 0 Pivotal Investment Corp II Equity 72582K100 576 49947 SH SOLE 49947 0 0 Perspecta Inc Equity 715347100 1352 69492 SH SOLE 69492 0 0 Paratek Pharmaceuticals Inc Equity 699374302 1219 225409 SH SOLE 225409 0 0 PURE STORAGE INC Convertible Bond 74624MAB8 1454 1500000 PRN SOLE 1500000 0 0 QIAGEN NV Equity N72482123 17792 342651 SH SOLE 323512 0 19139 Front Yard Residential Corp Equity 35904G107 4644 531333 SH SOLE 531333 0 0 Rosetta Stone Inc Equity 777780107 16262 542432 SH SOLE 504757 0 29658 Reinvent Technology Partners Equity G7496G103 1149 100000 SH SOLE 100000 0 0 Scientific Games Corp Equity Call 80874P909 53 11000 SH Call SOLE 11000 0 0 Sustainable Opportunities Acqu Equity G8598Y109 915 125000 SH SOLE 125000 0 0 SPDR S&P 500 ETF Trust Equity Put 78462F953 120 50000 SH Put SOLE 50000 0 0 Synaptics Inc Convertible Bond 87157DAD1 1652 1500000 PRN SOLE 1500000 0 0 Teladoc Health Inc Equity 87918A105 13363 60950 SH SOLE 57587 0 3363 Triumph Group Inc Equity Call 896818901 49 50000 SH Call SOLE 50000 0 0 TEGNA Inc Equity 87901J105 1466 124800 SH SOLE 124800 0 0 Tiffany & Co Equity 886547108 12592 108690 SH SOLE 101643 0 5857 Trebia Acquisition Corp Equity G9027T109 951 106668 SH SOLE 106668 0 0 Trine Acquisition Corp Equity 89628U108 2052 190000 SH SOLE 190000 0 0 Unilever NV Equity 904784709 18199 301303 SH SOLE 301303 0 0 Varian Medical Systems Inc Equity 92220P105 40696 236602 SH SOLE 213264 0 21372 Velodyne Lidar Inc Equity 92259F101 7196 385000 SH SOLE 385000 0 0 VERINT SYSTEMS INC Convertible Bond 92343XAA8 2030 2000000 PRN SOLE 2000000 0 0 Virtusa Corp Equity 92827P102 25098 510530 SH SOLE 481981 0 23699 Vivint Solar Inc Equity 92854Q106 18574 438579 SH SOLE 409220 0 25580 WESCO International Inc Equity 95082P105 352 8000 SH SOLE 8000 0 0 Willis Towers Watson PLC Equity 970646105 65256 312498 SH SOLE 294613 0 16236 Wright Medical Group NV Equity N96617118 48050 1573338 SH SOLE 1476959 0 88555 Foley Trasimene Acquisition Co Equity 34431F104 996 106668 SH SOLE 106668 0 0 WPX Energy Inc Equity 98212B103 21011 4287871 SH SOLE 4048595 0 239276 Xerox Holdings Corp Equity Call 98421M906 1 35000 SH Call SOLE 35000 0 0