Chief Operating Officer and Chief Compliance Officer

0001567619-20-010055.txt : 20200514 0001567619-20-010055.hdr.sgml : 20200514 20200514133439 ACCESSION NUMBER: 0001567619-20-010055 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200514 DATE AS OF CHANGE: 20200514 EFFECTIVENESS DATE: 20200514 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: 20876774 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 03-31-2020 03-31-2020 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 05-14-2020 1 329 2641757 false 1 0001277372 028-11493 WESTCHESTER CAPITAL PARTNERS, LLC INFORMATION TABLE 2 form13fInfoTable.xml AMCI Acquisition Corp. CLASS A 00165R101 551 54200 SH SOLE 54200 0 0 Act II Global Acquisition Corp. CL A SHS G0080J104 9757 988530 SH SOLE 988530 0 0 Act II Global Acquisition Corp. *W EXP 04/30/202 G0080J120 325 499999 SH SOLE 499999 0 0 Advanced Disposal Services, Inc. DEL COM 00790X101 25743 784846 SH SOLE 784846 0 0 Advanced Disposal Services, Inc. DEL COM 00790X101 452 13779 SH OTR 1 13779 0 0 Akazoo S.A. SHS L0164E108 269 96131 SH SOLE 96131 0 0 Akazoo S.A. SHS L0164E108 5 1909 SH OTR 1 1909 0 0 Akazoo S.A. *W EXP 09/11/202 L0164E116 149 480654 SH SOLE 480654 0 0 Akazoo S.A. *W EXP 09/11/202 L0164E116 3 9544 SH OTR 1 9544 0 0 Alberton Acquisition Corporation ORD SHS G35006108 10254 976567 SH SOLE 976567 0 0 Alberton Acquisition Corporation ORD SHS G35006108 771 73453 SH OTR 1 73453 0 0 Allegro Merger Corp. COM 01749N103 1869 179000 SH SOLE 179000 0 0 Allergan PLC SHS G0177J108 18665 105395 SH SOLE 105395 0 0 Allergan PLC SHS G0177J108 282 1593 SH OTR 1 1593 0 0 Andina Acquisition Corp. III SHS G04415108 6959 691100 SH SOLE 691100 0 0 Anixter International Inc. COM 035290105 27602 314122 SH SOLE 314122 0 0 Anixter International Inc. COM 035290105 339 3856 SH OTR 1 3856 0 0 Apex Technology Acquisition Corporation *W EXP 09/18/202 03768F110 360 399999 SH SOLE 399999 0 0 Apex Technology Acquisition Corporation COM CL A 03768F102 7800 799998 SH SOLE 799998 0 0 Apollo Global Management Inc. COM CL A 03768E105 1558 46500 SH Put SOLE 46500 0 0 Apollo Global Management Inc. COM CL A 03768E105 157 4700 SH Put OTR 1 4700 0 0 Apollo Global Management Inc. COM CL A 03768E105 642 19161 SH SOLE 19161 0 0 Apollo Senior Floating Rate Fund Inc. COM 037636107 449 38655 SH SOLE 38655 0 0 Apollo Tactical Income Fund Inc. COM 037638103 324 28636 SH SOLE 28636 0 0 Ares Dynamic Credit Allocation Fund COM 04014F102 168 15561 SH SOLE 15561 0 0 Axalta Coating Systems Ltd. COM G0750C108 68 3936 SH OTR 1 3936 0 0 BlackRock MuniYield Quality COM 09254E103 2006 156931 SH SOLE 156931 0 0 BlackRock MuniYield Quality COM 09254E103 248 19395 SH OTR 1 19395 0 0 Blackrock Debt Strategies Fund, Inc. COM NEW 09255R202 1082 127995 SH SOLE 127995 0 0 Blackrock Fltg Rate Inc. Strategies Fund COM 09255X100 332 33190 SH SOLE 33190 0 0 Borgwarner Inc COM 099724106 2483 101900 SH Put SOLE 101900 0 0 Borgwarner Inc COM 099724106 222 9100 SH Put OTR 1 9100 0 0 Broadmark Realty Capital Inc. COM 11135B100 4410 586403 SH SOLE 586403 0 0 Broadmark Realty Capital Inc. COM 11135B100 299 39802 SH OTR 1 39802 0 0 CF Finance Acquisition Corp. COM CL A 12528N107 5627 546807 SH SOLE 546807 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 337 674994 SH SOLE 674994 0 0 CF Finance Acquisition Corp. *W EXP 04/30/202 12528N115 0 525 SH OTR 1 525 0 0 CHP Merger Corp. COM CL A 12558Y106 972 100250 SH SOLE 100250 0 0 CHP Merger Corp. UNIT 11/22/2024 12558Y205 0 2 SH SOLE 2 0 0 CHP Merger Corp. *W EXP 11/22/202 12558Y114 27 50125 SH SOLE 50125 0 0 CIIG Merger Corp. COM CL A 12559C103 7197 751990 SH SOLE 751990 0 0 CIIG Merger Corp. UNIT 12/31/2026 12559C202 0 2 SH SOLE 2 0 0 CIIG Merger Corp. *W EXP 12/31/202 12559C111 224 375995 SH SOLE 375995 0 0 Caesars Entertainment Corp NOTE 5.00%10/0 127686AA1 1114 1040954 PRN SOLE 1040954 0 0 Caesars Entertainment Corp NOTE 5.00%10/0 127686AA1 117 109345 PRN OTR 1 109345 0 0 Caesars Entertainment Corp COM 127686103 41920 6201145 SH SOLE 6201145 0 0 Caesars Entertainment Corp COM 127686103 835 123547 SH OTR 1 123547 0 0 Callon Petroleum Company DEL COM 13123X102 158 287820 SH SOLE 287820 0 0 Callon Petroleum Company DEL COM 13123X102 17 30327 SH OTR 1 30327 0 0 Churchill Capital Corp II CL A 17143G106 3482 349998 SH SOLE 349998 0 0 Churchill Capital Corp II *W EXP 07/02/202 17143G114 192 116666 SH SOLE 116666 0 0 Churchill Capital Corp III UNIT 03/01/2027 17144C203 1000 100000 SH SOLE 100000 0 0 Cincinnati Bell Inc. NEW COM NEW 171871502 4392 300000 SH SOLE 300000 0 0 Collier Creek Holdings COM CL A G22707106 3376 329997 SH SOLE 329997 0 0 Collier Creek Holdings *W EXP 99/99/999 G22707114 102 109999 SH SOLE 109999 0 0 Crown Holdings, Inc. COM 228368106 720 12400 SH OTR 1 12400 0 0 Crown Holdings, Inc. COM 228368106 1225 21100 SH Put SOLE 21100 0 0 Crown Holdings, Inc. COM 228368106 116 2000 SH Put OTR 1 2000 0 0 Crown Holdings, Inc. COM 228368106 6263 107900 SH Put SOLE 107900 0 0 Crown Holdings, Inc. COM 228368106 604 10400 SH Put OTR 1 10400 0 0 Cypress Semiconductor Corporation COM 232806109 123551 5298071 SH SOLE 5298071 0 0 Cypress Semiconductor Corporation COM 232806109 2462 105595 SH OTR 1 105595 0 0 Delphi Technologies, PLC SHS G2709G107 23464 2914791 SH SOLE 2914791 0 0 Delphi Technologies, PLC SHS G2709G107 718 89147 SH OTR 1 89147 0 0 Digital Realty Trust, Inc. COM 253868103 4660 33550 SH SOLE 33550 0 0 Digital Realty Trust, Inc. COM 253868103 61 441 SH OTR 1 441 0 0 DuPont de Nemours, Inc. COM 26614N102 350 43500 SH Put SOLE 43500 0 0 DuPont de Nemours, Inc. COM 26614N102 34 4200 SH Put OTR 1 4200 0 0 DuPont de Nemours, Inc. COM 26614N102 1876 233000 SH Put SOLE 233000 0 0 DuPont de Nemours, Inc. COM 26614N102 81 10100 SH Put OTR 1 10100 0 0 DuPont de Nemours, Inc. COM 26614N102 14007 410768 SH SOLE 410768 0 0 DuPont de Nemours, Inc. COM 26614N102 1026 30080 SH OTR 1 30080 0 0 E TRADE FINANCIAL CORP COM NEW 269246401 88045 2565426 SH SOLE 2565426 0 0 E TRADE FINANCIAL CORP COM NEW 269246401 995 28999 SH OTR 1 28999 0 0 Eaton Corporation plc SHS G29183103 1235 15900 SH Put SOLE 15900 0 0 Eaton Corporation plc SHS G29183103 117 1500 SH Put OTR 1 1500 0 0 Eaton Corporation plc SHS G29183103 1235 15900 SH SOLE 15900 0 0 Eaton Corporation plc SHS G29183103 117 1500 SH OTR 1 1500 0 0 Eaton Vance Floating-Rate Income Trust COM 278279104 754 73565 SH SOLE 73565 0 0 El Paso Electric Company COM NEW 283677854 23371 343894 SH SOLE 343894 0 0 El Paso Electric Company COM NEW 283677854 293 4313 SH OTR 1 4313 0 0 FGL Holdings ORD SHS G3402M102 19515 1991374 SH SOLE 1991374 0 0 FGL Holdings ORD SHS G3402M102 286 29143 SH OTR 1 29143 0 0 Fellazo Inc. SHS G3362K112 2000 201008 SH SOLE 201008 0 0 FinTech Acquisition Corp. III COM CL A 31811A101 5733 572744 SH SOLE 572744 0 0 FinTech Acquisition Corp. III *W EXP 12/01/202 31811A119 175 291810 SH SOLE 291810 0 0 First Trust Senior Fltg. Rate Income Fd. COM 33733U108 215 22625 SH SOLE 22625 0 0 Fitbit, Inc. CL A 33812L102 16256 2440837 SH SOLE 2440837 0 0 Fitbit, Inc. CL A 33812L102 382 57382 SH OTR 1 57382 0 0 Flying Eagle Acquisition Corp. UNIT 99/99/9999 34407Y202 498 50000 SH SOLE 50000 0 0 ForeScout Technologies, Inc. COM 34553D101 20104 636394 SH SOLE 636394 0 0 ForeScout Technologies, Inc. COM 34553D101 326 10329 SH OTR 1 10329 0 0 Forty Seven, Inc. COM 34983P104 11697 122584 SH SOLE 122584 0 0 Forty Seven, Inc. COM 34983P104 147 1537 SH OTR 1 1537 0 0 Forum Merger II Corporation CL A 34986F103 6407 622647 SH SOLE 622647 0 0 Fox Corporation CL B COM 35137L204 7921 346178 SH SOLE 346178 0 0 Fox Corporation CL B COM 35137L204 447 19545 SH OTR 1 19545 0 0 Fox Corporation CL A COM 35137L105 3190 134981 SH SOLE 134981 0 0 Fox Corporation CL A COM 35137L105 51 2173 SH OTR 1 2173 0 0 Fox Corporation CL A COM 35137L105 6179 261500 SH Put SOLE 261500 0 0 Galileo Acquisition Corp. SHS G3770A102 2904 300000 SH SOLE 300000 0 0 Galileo Acquisition Corp. *W EXP 10/31/202 G3770A110 75 300000 SH SOLE 300000 0 0 Genworth Financial, Inc. COM CL A 37247D106 1220 367341 SH SOLE 367341 0 0 Genworth Financial, Inc. COM CL A 37247D106 18 5461 SH OTR 1 5461 0 0 Gigcapital2, Inc. COM 375036100 1343 135000 SH SOLE 135000 0 0 Gigcapital2, Inc. *W EXP 02/28/202 375036118 42 135000 SH SOLE 135000 0 0 Gordon Pointe Acquisition Corp. COM CLASS A 382788107 8057 754711 SH SOLE 754711 0 0 Gordon Pointe Acquisition Corp. COM CLASS A 382788107 40 3785 SH OTR 1 3785 0 0 Gores Holdings IV, Inc. UNIT 02/01/2023 382865202 8721 865990 SH SOLE 865990 0 0 Gores Holdings IV, Inc. UNIT 02/01/2023 382865202 677 67242 SH OTR 1 67242 0 0 Graf Industrial Corp. COM 384278107 15195 1494067 SH SOLE 1494067 0 0 Graf Industrial Corp. COM 384278107 4 400 SH OTR 1 400 0 0 Graf Industrial Corp. warrants *W EXP 12/31/202 384278115 89 894067 SH SOLE 894067 0 0 Graf Industrial Corp. warrants *W EXP 12/31/202 384278115 0 400 SH OTR 1 400 0 0 Grid Dynamics Holdings, Inc. COM CL A 39813G109 4241 530160 SH SOLE 530160 0 0 Grid Dynamics Holdings, Inc. *W EXP 03/05/202 39813G117 504 265080 SH SOLE 265080 0 0 HP Inc. COM 40434L105 1208 69600 SH OTR 1 69600 0 0 HP Inc. COM 40434L105 8258 475700 SH Put SOLE 475700 0 0 HP Inc. COM 40434L105 793 45700 SH Put OTR 1 45700 0 0 HP Inc. COM 40434L105 2134 122900 SH Put SOLE 122900 0 0 HP Inc. COM 40434L105 205 11800 SH Put OTR 1 11800 0 0 HP Inc. COM 40434L105 2210 127300 SH Put SOLE 127300 0 0 HP Inc. COM 40434L105 210 12100 SH Put OTR 1 12100 0 0 Haymaker Acquisition Corp. II COM CL A 42087L101 9711 991968 SH SOLE 991968 0 0 Haymaker Acquisition Corp. II *W EXP 10/31/202 42087L119 350 333332 SH SOLE 333332 0 0 Hennessy Capital Acquisition Corp. IV CL A COM 42589C104 4977 492276 SH SOLE 492276 0 0 Hennessy Capital Acquisition Corp. IV *W EXP 09/05/202 42589C112 132 376618 SH SOLE 376618 0 0 Hilton Grand Vacations Inc. COM 43283X105 1244 78900 SH Put SOLE 78900 0 0 Hilton Grand Vacations Inc. COM 43283X105 96 6100 SH Put OTR 1 6100 0 0 Hilton Grand Vacations Inc. COM 43283X105 3059 194000 SH Put SOLE 194000 0 0 Hilton Grand Vacations Inc. COM 43283X105 1 76 SH SOLE 76 0 0 Hilton Grand Vacations Inc. COM 43283X105 97 6169 SH OTR 1 6169 0 0 IAC/InterActiveCorp COM 44919P508 30323 169187 SH SOLE 169187 0 0 IAC/InterActiveCorp COM 44919P508 416 2321 SH OTR 1 2321 0 0 IAC/InterActiveCorp COM 44919P508 2222 12400 SH Put SOLE 12400 0 0 IAC/InterActiveCorp COM 44919P508 215 1200 SH Put OTR 1 1200 0 0 IAC/InterActiveCorp COM 44919P508 10216 57000 SH Put SOLE 57000 0 0 IAC/InterActiveCorp COM 44919P508 21454 119700 SH Put SOLE 119700 0 0 IAC/InterActiveCorp COM 44919P508 197 1100 SH Put OTR 1 1100 0 0 IBERIABANK Corporation COM 450828108 10164 281094 SH SOLE 281094 0 0 IBERIABANK Corporation COM 450828108 10 288 SH OTR 1 288 0 0 Select Sector SPDR TR SBI INT-INDS 81369Y704 17479 296200 SH Put SOLE 296200 0 0 Select Sector SPDR TR SBI INT-INDS 81369Y704 224 3800 SH Put OTR 1 3800 0 0 Select Sector SPDR TR SBI INT-INDS 81369Y704 14847 251600 SH Put SOLE 251600 0 0 Select Sector SPDR TR SBI INT-INDS 81369Y704 295 5000 SH Put OTR 1 5000 0 0 Select Sector SPDR TR SBI INT-INDS 81369Y704 12174 206300 SH Put SOLE 206300 0 0 Select Sector SPDR TR SBI INT-INDS 81369Y704 236 4000 SH Put OTR 1 4000 0 0 InterPrivate Accquisition Corp. UNIT 10/29/2024 46064A202 5439 550000 SH SOLE 550000 0 0 International General Ins Hld Ltd *W EXP 03/17/202 G4809J114 211 502689 SH SOLE 502689 0 0 International General Ins Hld Ltd *W EXP 03/17/202 G4809J114 2 5597 SH OTR 1 5597 0 0 Invesco Dynamic Credit Opportunities Fund COM 46132R104 461 57771 SH SOLE 57771 0 0 Invesco Senior Income Trust COM 46131H107 571 177272 SH SOLE 177272 0 0 Juniper Industrial Holdings, Inc. COM CL A 48205G106 13478 1400994 SH SOLE 1400994 0 0 Juniper Industrial Holdings, Inc. UNIT 11/13/2026 48205G205 0 2 SH SOLE 2 0 0 Juniper Industrial Holdings, Inc. warrant *W EXP 11/13/202 48205G114 392 700497 SH SOLE 700497 0 0 Kaixin Auto Holdings SHS G5223X100 41 47499 SH SOLE 47499 0 0 LF Capital Acquisition Corp. CL A 50200K108 1029 100000 SH SOLE 100000 0 0 LGL Systems Acquisition Corporation UNIT 10/24/2024 50201G205 2517 250000 SH SOLE 250000 0 0 Legacy Acquisition Corp. COM CL A 524643103 19562 1886372 SH SOLE 1886372 0 0 Legacy Acquisition Corp. COM CL A 524643103 830 80000 SH OTR 1 80000 0 0 Legacy Acquisition Corp. *W EXP 11/30/202 524643111 125 500000 SH SOLE 500000 0 0 Legacy Acquisition Corp. *W EXP 11/30/202 524643111 20 80000 SH OTR 1 80000 0 0 Legg Mason, Inc. COM 524901105 80729 1652587 SH SOLE 1652587 0 0 Legg Mason, Inc. COM 524901105 687 14058 SH OTR 1 14058 0 0 Leisure Acquisition Corp. COM 52539T107 6221 606900 SH SOLE 606900 0 0 Leo Holdings Corp. COM CL A G5463L105 3161 306905 SH SOLE 306905 0 0 LogMeIn Inc. COM 54142L109 60810 730183 SH SOLE 730183 0 0 LogMeIn Inc. COM 54142L109 904 10858 SH OTR 1 10858 0 0 Longevity Acquisition Corporation ORD SHS G56372132 2758 262500 SH SOLE 262500 0 0 MGM Resorts International COM 552953101 1028 87100 SH Put SOLE 87100 0 0 MGM Resorts International COM 552953101 99 8400 SH Put OTR 1 8400 0 0 MGM Resorts International COM 552953101 1028 87100 SH SOLE 87100 0 0 MGM Resorts International COM 552953101 99 8400 SH OTR 1 8400 0 0 Madison Square Garden Co NEW CL A 55825T103 1311 6200 SH OTR 1 6200 0 0 Madison Square Garden Co NEW CL A 55825T103 2368 11200 SH Put SOLE 11200 0 0 Madison Square Garden Co NEW CL A 55825T103 85 400 SH Put OTR 1 400 0 0 Madison Square Garden Co NEW CL A 55825T103 10930 51700 SH Put SOLE 51700 0 0 Madison Square Garden Co NEW CL A 55825T103 1226 5800 SH Put OTR 1 5800 0 0 Marathon Petroleum Corporation COM 56585A102 1472 62300 SH Put SOLE 62300 0 0 Marathon Petroleum Corporation COM 56585A102 68 2900 SH Put OTR 1 2900 0 0 Marathon Petroleum Corporation COM 56585A102 600 25400 SH Put SOLE 25400 0 0 Marathon Petroleum Corporation COM 56585A102 57 2400 SH Put OTR 1 2400 0 0 Marathon Petroleum Corporation COM 56585A102 4193 177500 SH Put SOLE 177500 0 0 Marathon Petroleum Corporation COM 56585A102 8824 373600 SH Call SOLE 373600 0 0 Marathon Petroleum Corporation COM 56585A102 3857 163300 SH Call SOLE 163300 0 0 Marathon Petroleum Corporation COM 56585A102 13539 573200 SH SOLE 573200 0 0 Marathon Petroleum Corporation COM 56585A102 763 32300 SH OTR 1 32300 0 0 Marathon Petroleum Corporation COM 56585A102 1472 62300 SH Put SOLE 62300 0 0 Marathon Petroleum Corporation COM 56585A102 68 2900 SH Put OTR 1 2900 0 0 Marathon Petroleum Corporation COM 56585A102 5803 245700 SH Put SOLE 245700 0 0 Marathon Petroleum Corporation COM 56585A102 569 24100 SH Put OTR 1 24100 0 0 Masco Corporation COM 574599106 14793 427900 SH Put SOLE 427900 0 0 Masco Corporation COM 574599106 204 5900 SH Put OTR 1 5900 0 0 Masco Corporation COM 574599106 4670 135100 SH Put SOLE 135100 0 0 Masco Corporation COM 574599106 107 3100 SH Put OTR 1 3100 0 0 Masco Corporation COM 574599106 42079 1217200 SH Put SOLE 1217200 0 0 Masco Corporation COM 574599106 951 27500 SH Put OTR 1 27500 0 0 Masco Corporation COM 574599106 48616 1406300 SH SOLE 1406300 0 0 Masco Corporation COM 574599106 1262 36500 SH OTR 1 36500 0 0 Megalith Financial Acquisition Corp. CL A COM 58518F109 4628 449741 SH SOLE 449741 0 0 Megalith Financial Acquisition Corp. CL A COM 58518F109 188 18285 SH OTR 1 18285 0 0 Mellanox Technologies Ltd. SHS M51363113 58275 480340 SH SOLE 480340 0 0 Mellanox Technologies Ltd. SHS M51363113 899 7414 SH OTR 1 7414 0 0 Merida Merger Corp. I COM 58953M106 5100 526294 SH SOLE 526294 0 0 Merida Merger Corp. I COM 58953M106 208 21428 SH OTR 1 21428 0 0 Merida Merger Corp. I *W EXP 11/07/202 58953M114 132 263147 SH SOLE 263147 0 0 Merida Merger Corp. I *W EXP 11/07/202 58953M114 5 10714 SH OTR 1 10714 0 0 Monocle Acquisition Corporation COM 609754106 2644 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 79 263056 SH SOLE 263056 0 0 Monocle Acquisition Corporation *W EXP 12/06/202 609754114 3 10552 SH OTR 1 10552 0 0 Select Sector SPDR Trust SBI MATERIALS 81369Y100 3936 87400 SH Put SOLE 87400 0 0 Select Sector SPDR Trust SBI MATERIALS 81369Y100 342 7600 SH Put OTR 1 7600 0 0 Nebula Acquisition Corporation COM CLASS A 629076100 5032 495774 SH SOLE 495774 0 0 Nebula Acquisition Corporation *W EXP 03/12/202 629076118 198 196191 SH SOLE 196191 0 0 Nebula Acquisition Corporation *W EXP 03/12/202 629076118 4 3809 SH OTR 1 3809 0 0 New Providence Aquisition Corp. COM CL A 64822P106 4885 500000 SH SOLE 500000 0 0 New Providence Aquisition Corp. *W EXP 09/11/202 64822P114 137 250000 SH SOLE 250000 0 0 Nuveen AMT-Free Qty Muni Inc Fd COM 670657105 2033 150117 SH SOLE 150117 0 0 Nuveen AMT-Free Qty Muni Inc Fd COM 670657105 251 18553 SH OTR 1 18553 0 0 Nuveen Int. Dur. Muni Term Fund COM 670671106 2030 156245 SH SOLE 156245 0 0 Nuveen Int. Dur. Muni Term Fund COM 670671106 251 19310 SH OTR 1 19310 0 0 Nuveen Municipal Credit Income COM SH BEN INT 67070X101 1849 131433 SH SOLE 131433 0 0 Nuveen Municipal Credit Income COM SH BEN INT 67070X101 229 16244 SH OTR 1 16244 0 0 Nuveen NY AMT-Free Muni Inc COM 670656107 1983 158674 SH SOLE 158674 0 0 Nuveen NY AMT-Free Muni Inc COM 670656107 245 19611 SH OTR 1 19611 0 0 Omnova Solutions Inc. COM 682129101 2838 279890 SH SOLE 279890 0 0 Omnova Solutions Inc. COM 682129101 18 1758 SH OTR 1 1758 0 0 Orisun Acquisition Corp. COM 68632T109 1502 147391 SH SOLE 147391 0 0 Orisun Acquisition Corp. COM 68632T109 27 2609 SH OTR 1 2609 0 0 Ovintiv Inc. COM 69047Q102 19 7056 SH SOLE 7056 0 0 Ovintiv Inc. COM 69047Q102 5 1989 SH OTR 1 1989 0 0 Pan American Silver Corporation COM 697900108 65 4536 SH SOLE 4536 0 0 Pan American Silver Corporation COM 697900108 6 434 SH OTR 1 434 0 0 Pivotal Investment Corporation II COM CL A 72582K100 5946 599994 SH SOLE 599994 0 0 Pivotal Investment Corporation II *W EXP 06/01/202 72582K118 100 199998 SH SOLE 199998 0 0 PropTech Acquisition Corporation COM CL A 74349F101 4905 501288 SH SOLE 501288 0 0 PropTech Acquisition Corporation *W EXP 05/26/202 74349F119 125 250644 SH SOLE 250644 0 0 Pure Acquisition Corp. CL A 74621Q106 23399 2252061 SH SOLE 2252061 0 0 Pure Acquisition Corp. CL A 74621Q106 310 29837 SH OTR 1 29837 0 0 QIAGEN N.V. SHS NEW N72482123 5386 129468 SH SOLE 129468 0 0 QIAGEN N.V. SHS NEW N72482123 138 3306 SH OTR 1 3306 0 0 Ra Pharmaceuticals, Inc. COM 74933V108 403 8400 SH Put SOLE 8400 0 0 Ra Pharmaceuticals, Inc. COM 74933V108 10 200 SH Put OTR 1 200 0 0 Ra Pharmaceuticals, Inc. COM 74933V108 59831 1246216 SH SOLE 1246216 0 0 Ra Pharmaceuticals, Inc. COM 74933V108 971 20228 SH OTR 1 20228 0 0 Reebonz Holding Limited SHS G7457R122 1 1875 SH SOLE 1875 0 0 SCVX Corp. UNIT 99/99/9999 G79448109 759 76088 SH SOLE 76088 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 50880 197400 SH Put SOLE 197400 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 670 2600 SH Put OTR 1 2600 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 19074 74000 SH Put SOLE 74000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 258 1000 SH Put OTR 1 1000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 25440 98700 SH Put SOLE 98700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 335 1300 SH Put OTR 1 1300 0 0 Schultze Special Purpose Acquisition Corp COM 80821R109 6527 645000 SH SOLE 645000 0 0 Software Acquisition Group Inc. UNIT 10/01/2026 83406B200 7101 700000 SH SOLE 700000 0 0 Spartan Energy Acquisition Corp. CL A COM STK 846784106 7397 730900 SH SOLE 730900 0 0 Sprint Corporation COM 85207U105 71075 8245364 SH SOLE 8245364 0 0 Sprint Corporation COM 85207U105 1441 167207 SH OTR 1 167207 0 0 T-Mobile US, Inc. COM 872590104 13877 165400 SH Put SOLE 165400 0 0 T-Mobile US, Inc. COM 872590104 562 6700 SH Put OTR 1 6700 0 0 T-Mobile US, Inc. COM 872590104 1004 11970 SH SOLE 11970 0 0 T-Mobile US, Inc. COM 872590104 60 719 SH OTR 1 719 0 0 TD Ameritrade Holding Corporation COM 87236Y108 86808 2504563 SH SOLE 2504563 0 0 TD Ameritrade Holding Corporation COM 87236Y108 1545 44571 SH OTR 1 44571 0 0 Tallgrass Energy, LP CLASS A SHS 874696107 45780 2781286 SH SOLE 2781286 0 0 Taubman Centers, Inc. COM 876664103 61212 1461598 SH SOLE 1461598 0 0 Tech Data Corporation COM 878237106 88294 674773 SH SOLE 674773 0 0 Tech Data Corporation COM 878237106 1264 9662 SH OTR 1 9662 0 0 The Stars Group Inc. COM 85570W100 63285 3175366 SH SOLE 3175366 0 0 The Stars Group Inc. COM 85570W100 605 30360 SH OTR 1 30360 0 0 Thunder Bridge Acquisition II, Ltd. CL A SHS G8857S116 7880 799992 SH SOLE 799992 0 0 Thunder Bridge Acquisition II, Ltd. *W EXP 11/30/202 G8857S108 280 399999 SH SOLE 399999 0 0 Tiffany & Co. NEW COM 886547108 152155 1174945 SH SOLE 1174945 0 0 Tiffany & Co. NEW COM 886547108 2120 16368 SH OTR 1 16368 0 0 Trident Acquisitions Corp. COM 89615T106 8202 758014 SH SOLE 758014 0 0 Trident Acquisitions Corp. COM 89615T106 306 28253 SH OTR 1 28253 0 0 Tuscan Holdings Corp. COM 90069K104 7860 788387 SH SOLE 788387 0 0 Tuscan Holdings Corp. II COM 90070A103 7207 739200 SH SOLE 739200 0 0 Tuscan Holdings Corp. II COM 90070A103 1950 200000 SH OTR 1 200000 0 0 Tuscan Holdings Corp. II *W EXP 99/99/999 90070A111 113 377100 SH SOLE 377100 0 0 Tuscan Holdings Corp. II *W EXP 99/99/999 90070A111 30 100000 SH OTR 1 100000 0 0 Tuscan Holdings Corp. *W EXP 04/01/202 90069K112 313 802100 SH SOLE 802100 0 0 United Technologies Corporation COM 913017109 70953 752176 SH SOLE 752176 0 0 United Technologies Corporation COM 913017109 1639 17376 SH OTR 1 17376 0 0 VanEck Vectors ETF TR SEMICONDUCTOR ET 92189F676 57715 492700 SH Put SOLE 492700 0 0 VanEck Vectors ETF TR SEMICONDUCTOR ET 92189F676 855 7300 SH Put OTR 1 7300 0 0 VectoIQ Acquisition Corp. COM 92243N103 6851 643922 SH SOLE 643922 0 0 VectoIQ Acquisition Corp. COM 92243N103 559 52554 SH OTR 1 52554 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 1272 92400 SH Put SOLE 92400 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 123 8900 SH Put OTR 1 8900 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 3792 275400 SH Put SOLE 275400 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 913 66300 SH Put OTR 1 66300 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 3576 259700 SH Put SOLE 259700 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 346 25100 SH Put OTR 1 25100 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 3576 259700 SH Put SOLE 259700 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 347 25200 SH Put OTR 1 25200 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 969 70400 SH SOLE 70400 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 1228 89200 SH OTR 1 89200 0 0 Voya (ING) Prime Rate Trust SH BEN INT 92913A100 847 228365 SH SOLE 228365 0 0 WABCO Holdings Inc. COM 92927K102 98197 727119 SH SOLE 727119 0 0 WABCO Holdings Inc. COM 92927K102 1378 10200 SH OTR 1 10200 0 0 Willis Towers Watson Public Limited Co. SHS G96629103 68545 403564 SH SOLE 403564 0 0 Willis Towers Watson Public Limited Co. SHS G96629103 919 5411 SH OTR 1 5411 0 0 Wright Medical Group N.V. ORD SHS N96617118 123816 4321692 SH SOLE 4321692 0 0 Wright Medical Group N.V. ORD SHS N96617118 2011 70180 SH OTR 1 70180 0 0 XPO Logistics, Inc. COM 983793100 26125 535900 SH SOLE 535900 0 0 XPO Logistics, Inc. COM 983793100 356 7300 SH OTR 1 7300 0 0 XPO Logistics, Inc. COM 983793100 11783 241700 SH Put SOLE 241700 0 0 XPO Logistics, Inc. COM 983793100 268 5500 SH Put OTR 1 5500 0 0 XPO Logistics, Inc. COM 983793100 18038 370000 SH Put SOLE 370000 0 0 XPO Logistics, Inc. COM 983793100 88 1800 SH Put OTR 1 1800 0 0 Xerox Holdings Corporation COM NEW 98421M106 631 33300 SH SOLE 33300 0 0 Xerox Holdings Corporation COM NEW 98421M106 331 17500 SH OTR 1 17500 0 0 Xerox Holdings Corporation COM NEW 98421M106 2816 148700 SH Put SOLE 148700 0 0 Xerox Holdings Corporation COM NEW 98421M106 271 14300 SH Put OTR 1 14300 0 0 Xerox Holdings Corporation COM NEW 98421M106 631 33300 SH Put SOLE 33300 0 0 Xerox Holdings Corporation COM NEW 98421M106 61 3200 SH Put OTR 1 3200 0 0 dMY Technology Group, Inc. UNIT 99/99/9999 233253202 1503 152923 SH SOLE 152923 0 0 dMY Technology Group, Inc. UNIT 99/99/9999 233253202 168 17077 SH OTR 1 17077 0 0 eBay Inc. COM 278642103 1362 45300 SH Put SOLE 45300 0 0 eBay Inc. COM 278642103 129 4300 SH Put OTR 1 4300 0 0 eBay Inc. COM 278642103 2543 84600 SH SOLE 84600 0 0 eBay Inc. COM 278642103 1079 35900 SH OTR 1 35900 0 0 eBay Inc. COM 278642103 8549 284400 SH Put SOLE 284400 0 0 eBay Inc. COM 278642103 824 27400 SH Put OTR 1 27400 0 0 eBay Inc. COM 278642103 1320 43900 SH Put SOLE 43900 0 0 eBay Inc. COM 278642103 126 4200 SH Put OTR 1 4200 0 0