Chief Operating Officer and Chief Compliance Officer

0001140361-16-065404.txt : 20160516 0001140361-16-065404.hdr.sgml : 20160516 20160516113636 ACCESSION NUMBER: 0001140361-16-065404 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160331 FILED AS OF DATE: 20160516 DATE AS OF CHANGE: 20160516 EFFECTIVENESS DATE: 20160516 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: 161651769 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 03-31-2016 03-31-2016 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 05-16-2016 1 189 5030507 false 1 0001277372 028-11493 WESTCHESTER CAPITAL PARTNERS, LLC INFORMATION TABLE 2 form13fInfoTable.xml ADT Corporation COM 00101J106 65573 1589268 SH SOLE 1589268 0 0 ADT Corporation COM 00101J106 882 21366 SH OTR 1 21366 0 0 American International Group, Inc. COM NEW 026874784 132171 2445351 SH SOLE 2445351 0 0 American International Group, Inc. COM NEW 026874784 2297 42496 SH OTR 1 42496 0 0 American International Group, Inc. COM NEW 026874784 42418 784800 SH Put SOLE 784800 0 0 American International Group, Inc. COM NEW 026874784 692 12800 SH Put OTR 1 12800 0 0 American International Group, Inc. COM NEW 026874784 15534 287400 SH Put SOLE 287400 0 0 American International Group, Inc. COM NEW 026874784 227 4200 SH Put OTR 1 4200 0 0 AT&T Inc. COM 00206R102 862 22000 SH SOLE 22000 0 0 Airgas, Inc. COM 009363102 172255 1216146 SH SOLE 1216146 0 0 Airgas, Inc. COM 009363102 1863 13152 SH SOLE 1 13152 0 0 Alcoa Inc. COM 013817101 14018 1463300 SH Put SOLE 1463300 0 0 Alcoa Inc. COM 013817101 144 15000 SH Put OTR 1 15000 0 0 Alcoa Inc. COM 013817101 16456 1717700 SH Put SOLE 1717700 0 0 Alcoa Inc. COM 013817101 306 31900 SH Put OTR 1 31900 0 0 Alcoa Inc. COM 013817101 38197 3987200 SH SOLE 3987200 0 0 Alcoa Inc. COM 013817101 592 61800 SH OTR 1 61800 0 0 Alcoa Inc. COM 013817101 15203 1586900 SH Put SOLE 1586900 0 0 Alcoa Inc. COM 013817101 144 15000 SH Put OTR 1 15000 0 0 Alcoa Inc. COM 013817101 5673 592200 SH Put SOLE 592200 0 0 Alcoa Inc. COM 013817101 126 13200 SH Put OTR 1 13200 0 0 Alere, Inc. COM 01449J105 131413 2596572 SH SOLE 2596572 0 0 Alere, Inc. COM 01449J105 1555 30734 SH OTR 1 30734 0 0 Allergan, Inc. SHS G0177J108 7853 29300 SH Put SOLE 29300 0 0 Allergan, Inc. SHS G0177J108 188 700 SH Put OTR 1 700 0 0 Allergan, Inc. SHS G0177J108 57658 215119 SH SOLE 215119 0 0 Allergan, Inc. SHS G0177J108 933 3480 SH OTR 1 3480 0 0 Apollo Residential Mortgage, Inc. COM 03763V102 352 26262 SH SOLE 26262 0 0 Atmel Corporation COM 049513104 10528 1296584 SH SOLE 1296584 0 0 Atmel Corporation COM 049513104 183 22566 SH OTR 1 22566 0 0 Baxalta Incorporated COM 07177M103 142437 3525658 SH SOLE 3525658 0 0 Baxalta Incorporated COM 07177M103 1741 43092 SH OTR 1 43092 0 0 Blackrock Float Rate OME STR COM 09255X100 2835 216891 SH SOLE 216891 0 0 Blackstone Mortgage Trust Inc. COM CL A 09257W100 136 5067 SH SOLE 5067 0 0 CBS Corporation NEW CL B 124857202 49293 894776 SH SOLE 894776 0 0 CBS Corporation NEW CL B 124857202 1257 22812 SH OTR 1 22812 0 0 CBS Corporation NEW CL B 124857202 76663 1391600 SH Put SOLE 1391600 0 0 CBS Corporation NEW CL B 124857202 1256 22800 SH Put OTR 1 22800 0 0 CYS Investments, Inc. COM 12673A108 1214 149130 SH SOLE 149130 0 0 Cablevision Systems Corporation CL A NY CABLVS 12686C109 43795 1327126 SH SOLE 1327126 0 0 Cablevision Systems Corporation CL A NY CABLVS 12686C109 661 20024 SH OTR 1 20024 0 0 Cameron International Corporation COM 13342B105 102709 1531827 SH SOLE 1531827 0 0 Cameron International Corporation COM 13342B105 1289 19227 SH OTR 1 19227 0 0 Citigroup Inc. COM NEW 172967424 3666 87800 SH SOLE 87800 0 0 Columbia Pipeline Group, Inc. COM 198280109 24916 992660 SH SOLE 992660 0 0 DoubleLine Income Solutions Fund COM 258622109 3469 206353 SH SOLE 206353 0 0 Dow Chemical Company COM 260543103 127030 2497641 SH SOLE 2497641 0 0 Dow Chemical Company COM 260543103 2403 47251 SH OTR 1 47251 0 0 Dow Chemical Company COM 260543103 116953 2299500 SH Put SOLE 2299500 0 0 Dow Chemical Company COM 260543103 2162 42500 SH Put SOLE 1 42500 0 0 Du Pont (E.I.) de Nemours COM 263534109 53176 839797 SH SOLE 839797 0 0 Du Pont (E.I.) de Nemours COM 263534109 701 11071 SH OTR 1 11071 0 0 Du Pont (E.I.) de Nemours COM 263534109 19319 305100 SH Put SOLE 305100 0 0 Du Pont (E.I.) de Nemours COM 263534109 260 4100 SH Put OTR 1 4100 0 0 EMC Corporation MASS COM 268648102 199103 7471037 SH SOLE 7471037 0 0 EMC Corporation MASS COM 268648102 2437 91438 SH OTR 1 91438 0 0 Eaton Vance Floating-Rate Inc. COM 278279104 4900 372339 SH SOLE 372339 0 0 Energy Transfer Equity LP COM UT LTD PTN 29273V100 342 47900 SH Call SOLE 47900 0 0 Energy Transfer Equity LP COM UT LTD PTN 29273V100 2 300 SH Call OTR 1 300 0 0 Equity Commonwealth COM SH BEN INT 294628102 33019 1170074 SH SOLE 1170074 0 0 Equity Commonwealth COM SH BEN INT 294628102 703 24919 SH OTR 1 24919 0 0 Equity Commonwealth COM PFD E 7.25% 294628409 4772 187580 SH SOLE 187580 0 0 First Niagara Financial Group COM 33582V108 70646 7298160 SH SOLE 7298160 0 0 First Niagara Financial Group COM 33582V108 827 85397 SH OTR 1 85397 0 0 First Trust Senior Fltg. Rate Income Fd. COM 33733U108 3619 281204 SH SOLE 281204 0 0 FirstMerit Corporation COM 337915102 22660 1076462 SH SOLE 1076462 0 0 GCP Applied Technologies Inc. COM 36164Y101 2705 135638 SH SOLE 135638 0 0 GCP Applied Technologies Inc. COM 36164Y101 23 1138 SH OTR 1 1138 0 0 General Electric Company COM 369604103 62070 1952500 SH SOLE 1952500 0 0 General Electric Company COM 369604103 903 28400 SH OTR 1 28400 0 0 General Electric Company COM 369604103 55865 1757300 SH Put SOLE 1757300 0 0 General Electric Company COM 369604103 814 25600 SH Put OTR 1 25600 0 0 General Motors Co. COM 37045V100 104913 3338000 SH SOLE 3338000 0 0 General Motors Co. COM 37045V100 2653 84400 SH OTR 1 84400 0 0 General Motors Co. COM 37045V100 63372 2016300 SH Put SOLE 2016300 0 0 General Motors Co. COM 37045V100 1433 45600 SH Put OTR 1 45600 0 0 Grifols S.A. SP ADR REP B NVT 398438408 1492 96702 SH SOLE 96702 0 0 Grifols S.A. SP ADR REP B NVT 398438408 277 17953 SH OTR 1 17953 0 0 Heartland Payment Systems, Inc. COM 42235N108 180 1867 SH SOLE 1867 0 0 Heartland Payment Systems, Inc. COM 42235N108 3 27 SH OTR 1 27 0 0 Hennessy Capital Acquisition Corp. UNIT 99/99/9999 42588J209 1718 174935 SH SOLE 174935 0 0 Hennessy Capital Acquisition Corp. UNIT 99/99/9999 42588J209 244 24865 SH OTR 1 24865 0 0 Hertz Global Holdings, Inc. COM 42805T105 11894 1129500 SH SOLE 1129500 0 0 Hertz Global Holdings, Inc. COM 42805T105 959 91100 SH OTR 1 91100 0 0 Hertz Global Holdings, Inc. COM 42805T105 10907 1035800 SH Put SOLE 1035800 0 0 Hertz Global Holdings, Inc. COM 42805T105 863 82000 SH Put OTR 1 82000 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 2889 128300 SH Put SOLE 128300 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 288 12800 SH Put OTR 1 12800 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 3020 134100 SH Put SOLE 134100 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 295 13100 SH Put OTR 1 13100 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 7062 313600 SH SOLE 313600 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 583 25900 SH OTR 1 25900 0 0 Hilton Worldwide Holdings Inc. COM 43300A104 1153 51200 SH Put SOLE 51200 0 0 Humana Inc. COM 444859102 91152 498233 SH SOLE 498233 0 0 Humana Inc. COM 444859102 1538 8407 SH OTR 1 8407 0 0 Huntsman Corporation COM 447011107 4874 366474 SH SOLE 366474 0 0 Huntsman Corporation COM 447011107 219 16444 SH OTR 1 16444 0 0 Huntsman Corporation COM 447011107 5521 415100 SH Put SOLE 415100 0 0 Huntsman Corporation COM 447011107 218 16400 SH Put OTR 1 16400 0 0 Ingram Micro Inc. CL A 457153104 153840 4284050 SH SOLE 4284050 0 0 Ingram Micro Inc. CL A 457153104 1977 55047 SH OTR 1 55047 0 0 Invesco Senior Income Trust COM 46131H107 5962 1475786 SH SOLE 1475786 0 0 Invesco Senior Income Trust COM 46131H107 281 69508 SH OTR 1 69508 0 0 Jarden Corporation COM 471109108 142223 2412610 SH SOLE 2412610 0 0 Jarden Corporation COM 471109108 1635 27731 SH OTR 1 27731 0 0 Johnson Controls, Inc. COM 478366107 320 8200 SH Put SOLE 8200 0 0 Johnson Controls, Inc. COM 478366107 65929 1691800 SH Put SOLE 1691800 0 0 Johnson Controls, Inc. COM 478366107 1333 34200 SH Put OTR 1 34200 0 0 Johnson Controls, Inc. COM 478366107 1711 43900 SH Put SOLE 43900 0 0 Johnson Controls, Inc. COM 478366107 148 3800 SH Put SOLE 3800 0 0 Johnson Controls, Inc. COM 478366107 88532 2271793 SH SOLE 2271793 0 0 Johnson Controls, Inc. COM 478366107 1776 45565 SH OTR 1 45565 0 0 KLA-Tencor Corp. COM 482480100 196901 2704308 SH SOLE 2704308 0 0 KLR Energy Acquisition Corp. UNIT 12/31/2020 49877M207 4002 399000 SH SOLE 399000 0 0 MGM Resorts International COM 552953101 2663 124200 SH Put SOLE 124200 0 0 MGM Resorts International COM 552953101 272 12700 SH Put OTR 1 12700 0 0 MGM Resorts International COM 552953101 79695 3717100 SH SOLE 3717100 0 0 MGM Resorts International COM 552953101 1289 60100 SH OTR 1 60100 0 0 MGM Resorts International COM 552953101 77032 3592900 SH Put SOLE 3592900 0 0 MGM Resorts International COM 552953101 1016 47400 SH Put OTR 1 47400 0 0 Markit Limited SHS G58249106 8432 238523 SH SOLE 238523 0 0 Markit Limited SHS G58249106 92 2601 SH OTR 1 2601 0 0 Media General, Inc. NEW COM 58441K100 25658 1573115 SH SOLE 1573115 0 0 Media General, Inc. NEW COM 58441K100 426 26121 SH OTR 1 26121 0 0 News Corporation NEW CL A 65249B109 1759 137722 SH SOLE 137722 0 0 News Corporation NEW CL A 65249B109 323 25279 SH OTR 1 25279 0 0 NorthStar Realty Finance Corp. COM 66704R803 21766 1659000 SH Put SOLE 1659000 0 0 NorthStar Realty Finance Corp. COM 66704R803 363 27700 SH Put OTR 1 27700 0 0 NorthStar Realty Finance Corp. COM 66704R803 21403 1631351 SH SOLE 1631351 0 0 Northern Tier Energy LP COM UN REPR PART 665826103 28103 1192300 SH SOLE 1192300 0 0 Pacific Special Acquisition Corp. SHS G68588105 2106 210000 SH SOLE 210000 0 0 Pacific Special Acquisition Corp. *W EXP 10/20/202 G68588121 19 210000 SH SOLE 210000 0 0 Perrigo Company PLC SHS G97822103 4171 32600 SH SOLE 32600 0 0 Perrigo Company PLC SHS G97822103 64 500 SH OTR 1 500 0 0 Pfizer, Inc. COM 717081103 10484 353700 SH Put SOLE 353700 0 0 Pfizer, Inc. COM 717081103 172 5800 SH Put OTR 1 5800 0 0 Pfizer, Inc. COM 717081103 13977 471569 SH SOLE 471569 0 0 Pfizer, Inc. COM 717081103 228 7700 SH OTR 1 7700 0 0 Progressive Waste Solutions Ltd. COM 74339G101 10918 351867 SH SOLE 351867 0 0 Progressive Waste Solutions Ltd. COM 74339G101 205 6595 SH OTR 1 6595 0 0 Qihoo 360 Technology Company Ltd. ADS 74734M109 6078 80444 SH SOLE 80444 0 0 Qihoo 360 Technology Company Ltd. ADS 74734M109 257 3397 SH OTR 1 3397 0 0 SFX Entertainment Inc. COM 784178303 34 885909 SH SOLE 885909 0 0 SFX Entertainment Inc. COM 784178303 8 194147 SH OTR 1 194147 0 0 SPDR S&P 500 ETF Trust TR UNIT 78462F103 50732 246800 SH Put SOLE 246800 0 0 SPDR S&P 500 ETF Trust TR UNIT 78462F103 576 2800 SH Put OTR 1 2800 0 0 SPDR S&P 500 ETF Trust TR UNIT 78462F103 91474 445000 SH Put SOLE 445000 0 0 SPDR S&P 500 ETF Trust TR UNIT 78462F103 1028 5000 SH Put OTR 1 5000 0 0 SPDR S&P 500 ETF Trust TR UNIT 78462F103 40660 197800 SH Put SOLE 197800 0 0 SPDR S&P 500 ETF Trust TR UNIT 78462F103 452 2200 SH Put OTR 1 2200 0 0 SanDisk Corporation COM 80004C101 79405 1043708 SH SOLE 1043708 0 0 SanDisk Corporation COM 80004C101 1011 13285 SH OTR 1 13285 0 0 SiriusXM Holdings Inc. COM 82968B103 24563 6218400 SH SOLE 6218400 0 0 Starwood Hotels & Resorts Worldwide Inc. COM 85590A401 36025 431800 SH Put SOLE 431800 0 0 Starwood Hotels & Resorts Worldwide Inc. COM 85590A401 467 5600 SH Put OTR 1 5600 0 0 Starwood Hotels & Resorts Worldwide Inc. COM 85590A401 247300 2964163 SH SOLE 2964163 0 0 Starwood Hotels & Resorts Worldwide Inc. COM 85590A401 3187 38204 SH OTR 1 38204 0 0 Starwood Property Trust, Inc. COM 85571B105 46057 2433019 SH SOLE 2433019 0 0 Syngenta AG SPONSORED ADR 87160A100 45453 548812 SH SOLE 548812 0 0 Syngenta AG SPONSORED ADR 87160A100 460 5552 SH OTR 1 5552 0 0 T-Mobile US, Inc. COM 872590104 136222 2520300 SH Put SOLE 2520300 0 0 T-Mobile US, Inc. COM 872590104 7 35100 SH Put OTR 1 35100 0 0 T-Mobile US, Inc. COM 872590104 102674 2680790 SH SOLE 2680790 0 0 T-Mobile US, Inc. COM 872590104 198 5180 SH OTR 1 5180 0 0 The Valspar Corporation COM 920355104 56301 526083 SH SOLE 526083 0 0 The Valspar Corporation COM 920355104 699 6529 SH OTR 1 6529 0 0 Time Warner Cable Inc. COM 88732J207 261089 1275971 SH SOLE 1275971 0 0 Time Warner Cable Inc. COM 88732J207 3613 17658 SH OTR 1 17658 0 0 Tyco International plc SHS G91442106 23058 628121 SH SOLE 628121 0 0 Tyco International plc SHS G91442106 260 7079 SH OTR 1 7079 0 0 VMware Inc. CL A COM 928563402 25914 495400 SH Put SOLE 495400 0 0 VMware Inc. CL A COM 928563402 309 5900 SH Put OTR 1 5900 0 0 Vodafone Group Plc NEW SPONSR ADR NO PAR 92857W308 0 0 SH SOLE 0 0 0 Voya (ING) Prime Rate Trust SH BEN INT 92913A100 4268 846873 SH SOLE 846873 0 0 Voya (ING) Prime Rate Trust SH BEN INT 92913A100 280 55460 SH OTR 1 55460 0 0 W.R. Grace & Co. DEL NEW COM 38388F108 10863 152608 SH SOLE 152608 0 0 W.R. Grace & Co. DEL NEW COM 38388F108 91 1281 SH OTR 1 1281 0 0 Western Asset High Income Opportunity Fun COM 95766K109 500 106644 SH SOLE 106644 0 0 Wheeler Real Estate Inv.Trust COM 963025101 1110 888250 SH SOLE 888250 0 0 Williams Companies, Inc. DEL COM 969457100 20385 1268520 SH SOLE 1268520 0 0 Winthrop Realty Trust SH BEN INT NEW 976391300 2368 180350 SH SOLE 180350 0 0 Yahoo! Inc. COM 984332106 205260 5576202 SH SOLE 5576202 0 0 Yahoo! Inc. COM 984332106 2569 69792 SH OTR 1 69792 0 0 Youku Tudou Inc. SPONSORED ADR 98742U100 86144 3133647 SH SOLE 3133647 0 0 Youku Tudou Inc. SPONSORED ADR 98742U100 1002 36454 SH OTR 1 36454 0 0 iShares TR IBOXX HI YD ETF 464288513 43320 530300 SH Put SOLE 530300 0 0 iShares TR IBOXX HI YD ETF 464288513 441 5400 SH Put OTR 1 5400 0 0 iShares TR IBOXX HI YD ETF 464288513 85480 1046400 SH Put SOLE 1046400 0 0 iShares TR IBOXX HI YD ETF 464288513 882 10800 SH Put OTR 1 10800 0 0