Chief Operating Officer and Chief Compliance Officer

0001567619-20-015335.txt : 20200814 0001567619-20-015335.hdr.sgml : 20200814 20200814133303 ACCESSION NUMBER: 0001567619-20-015335 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200630 FILED AS OF DATE: 20200814 DATE AS OF CHANGE: 20200814 EFFECTIVENESS DATE: 20200814 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: 201103705 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 06-30-2020 06-30-2020 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 08-14-2020 1 257 2285669 false 1 0001277372 028-11493 WESTCHESTER CAPITAL PARTNERS, LLC INFORMATION TABLE 2 form13fInfoTable.xml Advanced Disposal Services, Inc. COM 00790X101 62892 2084587 SH SOLE 2084587 0 0 Advanced Disposal Services, Inc. COM 00790X101 567 18777 SH OTR 1 18777 0 0 Akazoo S.A. *W EXP 09/11/202 L0164E116 0 480654 SH SOLE 480654 0 0 Akazoo S.A. *W EXP 09/11/202 L0164E116 0 9544 SH OTR 1 9544 0 0 Andina Acquisition Corp. III SHS G04415108 7091 691100 SH SOLE 691100 0 0 Apex Technology Acquisition Corporation *W EXP 09/18/202 03768F110 680 399999 SH SOLE 399999 0 0 Apex Technology Acquisition Corporation COM CL A 03768F102 8192 799998 SH SOLE 799998 0 0 Apollo Global Management Inc. COM CL A 03768E105 1592 31900 SH Put SOLE 31900 0 0 Apollo Global Management Inc. COM CL A 03768E105 230 4600 SH Put OTR 1 4600 0 0 Apollo Global Management Inc. COM CL A 03768E105 1367 27378 SH SOLE 27378 0 0 Apollo Senior Floating Rate Fund Inc. COM 037636107 480 38655 SH SOLE 38655 0 0 Axalta Coating Systems Ltd. COM G0750C108 89 3936 SH OTR 1 3936 0 0 B. Riley Principal Merger Corp. II UNIT 99/99/9999 05600U205 3513 300000 SH SOLE 300000 0 0 Bitauto Holdings Ltd. SPONSORED ADS 091727107 791 49900 SH SOLE 49900 0 0 Bitauto Holdings Ltd. SPONSORED ADS 091727107 11 700 SH OTR 1 700 0 0 BlackRock MuniYield Quality COM 09254E103 2043 156931 SH SOLE 156931 0 0 BlackRock MuniYield Quality COM 09254E103 253 19395 SH OTR 1 19395 0 0 Blackrock Fltg Rate Inc. Strategies Fund COM 09255X100 371 33190 SH SOLE 33190 0 0 Borgwarner Inc. COM 099724106 8377 237300 SH Put SOLE 237300 0 0 Borgwarner Inc. COM 099724106 558 15800 SH Put OTR 1 15800 0 0 Broadmark Realty Capital Inc. COM 11135B100 4776 504365 SH SOLE 504365 0 0 Broadmark Realty Capital Inc. COM 11135B100 377 39802 SH OTR 1 39802 0 0 CC Neuberger Principal Holdings I UNIT 99/99/9999 G1992Y106 2503 236142 SH SOLE 236142 0 0 CC Neuberger Principal Holdings I UNIT 99/99/9999 G1992Y106 35 3258 SH OTR 1 3258 0 0 CF Finance Acquisition Corp. COM CL A 12528N107 5933 546807 SH SOLE 546807 0 0 CF Finance Acquisition Corp. COM CL A 12528N107 8 700 SH OTR 1 700 0 0 CF Finance Acquisition Corp. *W EXP 04/30/202 12528N115 911 674994 SH SOLE 674994 0 0 CF Finance Acquisition Corp. *W EXP 04/30/202 12528N115 1 525 SH OTR 1 525 0 0 CHP Merger Corp. COM CL A 12558Y106 998 100250 SH SOLE 100250 0 0 CHP Merger Corp. *W EXP 11/22/202 12558Y114 49 50125 SH SOLE 50125 0 0 CIIG Merger Corp. COM CL A 12559C103 5558 561448 SH SOLE 561448 0 0 CIIG Merger Corp. *W EXP 12/31/202 12559C111 357 375995 SH SOLE 375995 0 0 Caesars Entertainment Corp NOTE 5.000%10/0 127686AA1 543 322397 PRN SOLE 322397 0 0 Caesars Entertainment Corp NOTE 5.000%10/0 127686AA1 184 109345 PRN OTR 1 109345 0 0 Carrier Global Corporation COM 14448C104 411 18500 SH Put SOLE 18500 0 0 Carrier Global Corporation COM 14448C104 60 2700 SH Put OTR 1 2700 0 0 Carrier Global Corporation COM 14448C104 2093 94214 SH SOLE 94214 0 0 Carrier Global Corporation COM 14448C104 142 6409 SH OTR 1 6409 0 0 Churchill Capital Corp II CL A 17143G106 3955 349998 SH SOLE 349998 0 0 Churchill Capital Corp II *W EXP 07/02/202 17143G114 337 116666 SH SOLE 116666 0 0 Churchill Capital Corp III COM 17144C104 2029 188088 SH SOLE 188088 0 0 Churchill Capital Corp III COM 17144C104 29 2700 SH OTR 1 2700 0 0 Churchill Capital Corp III *W EXP 03/01/202 17144C112 148 49323 SH SOLE 49323 0 0 Churchill Capital Corp III *W EXP 03/01/202 17144C112 2 675 SH OTR 1 675 0 0 Cincinnati Bell Inc. COM NEW 171871502 7705 518875 SH SOLE 518875 0 0 Cincinnati Bell Inc. COM NEW 171871502 82 5525 SH OTR 1 5525 0 0 Collier Creek Holdings COM CL A G22707106 3151 229997 SH SOLE 229997 0 0 Collier Creek Holdings *W EXP 99/99/999 G22707114 357 109999 SH SOLE 109999 0 0 CoreLogic, Inc. COM 21871D103 1741 25900 SH Put SOLE 25900 0 0 CoreLogic, Inc. COM 21871D103 242 3600 SH Put OTR 1 3600 0 0 CoreLogic, Inc. COM 21871D103 1741 25900 SH SOLE 25900 0 0 CoreLogic, Inc. COM 21871D103 242 3600 SH OTR 1 3600 0 0 Dell Technologies Inc. CL C 24703L202 1824 33200 SH Put SOLE 33200 0 0 Dell Technologies Inc. CL C 24703L202 247 4500 SH Put OTR 1 4500 0 0 Dell Technologies Inc. CL C 24703L202 3829 69700 SH SOLE 69700 0 0 Dell Technologies Inc. CL C 24703L202 522 9500 SH OTR 1 9500 0 0 Dell Technologies Inc. CL C 24703L202 2005 36500 SH Put SOLE 36500 0 0 Dell Technologies Inc. CL C 24703L202 275 5000 SH Put OTR 1 5000 0 0 Delphi Technologies, PLC SHS G2709G107 67744 4767347 SH SOLE 4767347 0 0 Delphi Technologies, PLC SHS G2709G107 1576 110887 SH OTR 1 110887 0 0 DuPont de Nemours, Inc. COM 26614N102 4739 89200 SH Put SOLE 89200 0 0 DuPont de Nemours, Inc. COM 26614N102 112 2100 SH Put OTR 1 2100 0 0 DuPont de Nemours, Inc. COM 26614N102 13383 251900 SH Put SOLE 251900 0 0 DuPont de Nemours, Inc. COM 26614N102 760 14300 SH Put OTR 1 14300 0 0 DuPont de Nemours, Inc. COM 26614N102 19746 371655 SH SOLE 371655 0 0 DuPont de Nemours, Inc. COM 26614N102 1410 26547 SH OTR 1 26547 0 0 E TRADE Financial Corporation COM NEW 269246401 149647 3009184 SH SOLE 3009184 0 0 E TRADE Financial Corporation COM NEW 269246401 1689 33964 SH OTR 1 33964 0 0 Eaton Vance Floating-Rate Income Trust COM 278279104 839 73565 SH SOLE 73565 0 0 El Paso Electric Company COM NEW 283677854 71283 1063924 SH SOLE 1063924 0 0 El Paso Electric Company COM NEW 283677854 1091 16288 SH OTR 1 16288 0 0 FinTech Acquisition Corp. III COM CL A 31811A101 6392 572744 SH SOLE 572744 0 0 FinTech Acquisition Corp. III *W EXP 12/01/202 31811A119 671 291810 SH SOLE 291810 0 0 First Trust Senior Fltg. Rate Income Fd.I COM 33733U108 63 5810 SH SOLE 5810 0 0 Fitbit, Inc. CL A 33812L102 14579 2256863 SH SOLE 2256863 0 0 Fitbit, Inc. CL A 33812L102 371 57382 SH OTR 1 57382 0 0 Flying Eagle Acquisition Corp. COM 34407Y103 9744 887408 SH SOLE 887408 0 0 Flying Eagle Acquisition Corp. COM 34407Y103 50 4544 SH OTR 1 4544 0 0 Flying Eagle Acquisition Corp. *W EXP 02/26/202 34407Y111 672 223861 SH SOLE 223861 0 0 Flying Eagle Acquisition Corp. *W EXP 02/26/202 34407Y111 3 1136 SH OTR 1 1136 0 0 Foley Trasimene Acquisition Corp. UNIT 99/99/9999 34431F203 4075 381908 SH SOLE 381908 0 0 ForeScout Technologies, Inc. COM 34553D101 28462 1342566 SH SOLE 1342566 0 0 ForeScout Technologies, Inc. COM 34553D101 411 19395 SH OTR 1 19395 0 0 Fortress Value Acquisition Corp. UNIT 99/99/9999 34962V205 10938 1061944 SH SOLE 1061944 0 0 Fortress Value Acquisition Corp. UNIT 99/99/9999 34962V205 144 14006 SH OTR 1 14006 0 0 Fox Corporation CL A COM 35137L105 5420 202099 SH SOLE 202099 0 0 Fox Corporation CL A COM 35137L105 582 21718 SH OTR 1 21718 0 0 Fox Corporation CL A COM 35137L105 2288 85300 SH Put SOLE 85300 0 0 Fusion Acquisition Corp. UNIT 99/99/9999 36118H204 5080 500000 SH SOLE 500000 0 0 GS Acquisition Holdings Corp II UNIT 99/99/9999 36258Q204 1051 100000 SH SOLE 100000 0 0 Galileo Acquisition Corp. SHS G3770A102 2973 300000 SH SOLE 300000 0 0 Galileo Acquisition Corp. *W EXP 10/31/202 G3770A110 174 300000 SH SOLE 300000 0 0 Genworth Financial, Inc. COM CL A 37247D106 849 367341 SH SOLE 367341 0 0 Genworth Financial, Inc. COM CL A 37247D106 13 5461 SH OTR 1 5461 0 0 GigCapital3, Inc. UNIT 99/99/9999 37519D206 3669 365464 SH SOLE 365464 0 0 GigCapital3, Inc. UNIT 99/99/9999 37519D206 45 4436 SH OTR 1 4436 0 0 Gigcapital2, Inc. COM 375036100 1369 135000 SH SOLE 135000 0 0 Gigcapital2, Inc. *W EXP 02/28/202 375036118 67 135000 SH SOLE 135000 0 0 Gores Holdings IV, Inc. COM CL A 382865103 6127 604224 SH SOLE 604224 0 0 Gores Holdings IV, Inc. COM CL A 382865103 682 67240 SH OTR 1 67240 0 0 Gores Holdings IV, Inc. *W EXP 01/22/202 382865111 277 153996 SH SOLE 153996 0 0 Gores Holdings IV, Inc. *W EXP 01/22/202 382865111 30 16810 SH OTR 1 16810 0 0 Graf Industrial Corp. *W EXP 12/31/202 384278115 1851 811802 SH SOLE 811802 0 0 Graf Industrial Corp. *W EXP 12/31/202 384278115 1 363 SH OTR 1 363 0 0 Grid Dynamics Holdings, Inc. CL A 39813G109 3658 530160 SH SOLE 530160 0 0 Grid Dynamics Holdings, Inc. *W EXP 03/05/202 39813G117 424 265080 SH SOLE 265080 0 0 Haymaker Acquisition Corp. II COM CL A 42087L101 10267 991968 SH SOLE 991968 0 0 Haymaker Acquisition Corp. II *W EXP 10/31/202 42087L119 520 333332 SH SOLE 333332 0 0 Hennessy Capital Acquisition Corp. IV CL A COM 42589C104 5292 492276 SH SOLE 492276 0 0 Hennessy Capital Acquisition Corp. IV *W EXP 09/05/202 42589C112 414 376618 SH SOLE 376618 0 0 Hudson Executive Investment Corp. UNIT 06/21/2025 443761200 1856 181063 SH SOLE 181063 0 0 InterPrivate Accquisition Corp. COM 46064A103 5456 549996 SH SOLE 549996 0 0 InterPrivate Accquisition Corp. *W EXP 10/24/202 46064A111 165 274998 SH SOLE 274998 0 0 International General Ins Hld Ltd *W EXP 03/17/202 G4809J114 171 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 Senior Income Trust COM 46131H107 223 64480 SH SOLE 64480 0 0 Jaws Acquisition Corp. UNIT 99/99/9999 G50744120 3129 300000 SH SOLE 300000 0 0 Juniper Industrial Holdings, Inc. COM CL A 48205G106 12971 1300994 SH SOLE 1300994 0 0 Juniper Industrial Holdings, Inc. *W EXP 11/13/202 48205G114 609 700497 SH SOLE 700497 0 0 Kaixin Auto Holdings SHS G5223X100 41 47499 SH SOLE 47499 0 0 Kensington Capital Acquisiton Corp. UNIT 07/01/2027 490073202 7014 700000 SH SOLE 700000 0 0 LGL Systems Acquisition Corporation *W EXP 11/12/202 50201G114 373 409838 SH SOLE 409838 0 0 LGL Systems Acquisition Corporation *W EXP 11/12/202 50201G114 19 21411 SH OTR 1 21411 0 0 LGL Systems Acquisition Corporation COM CL A 50201G106 8127 819676 SH SOLE 819676 0 0 LGL Systems Acquisition Corporation COM CL A 50201G106 425 42822 SH OTR 1 42822 0 0 Legacy Acquisition Corp. *W EXP 11/30/202 524643111 245 500000 SH SOLE 500000 0 0 Legacy Acquisition Corp. *W EXP 11/30/202 524643111 39 80000 SH OTR 1 80000 0 0 Legg Mason, Inc. COM 524901105 87210 1752967 SH SOLE 1752967 0 0 Legg Mason, Inc. COM 524901105 1061 21332 SH OTR 1 21332 0 0 Leo Holdings Corp. COM CL A G5463L105 8986 864035 SH SOLE 864035 0 0 Leo Holdings Corp. COM CL A G5463L105 242 23262 SH OTR 1 23262 0 0 LogMeIn Inc. COM 54142L109 90460 1067122 SH SOLE 1067122 0 0 LogMeIn Inc. COM 54142L109 1319 15554 SH OTR 1 15554 0 0 Longview Acquisition Corp. UNIT 99/99/9999 543195200 22725 2250000 SH SOLE 2250000 0 0 Madison Square Garden Entertainment Corp. CL A 55826T102 3195 42600 SH Put SOLE 42600 0 0 Madison Square Garden Entertainment Corp. CL A 55826T102 450 6000 SH Put OTR 1 6000 0 0 Madison Square Garden Entertainment Corp. CL A 55826T102 1830 24400 SH Put SOLE 24400 0 0 Madison Square Garden Entertainment Corp. CL A 55826T102 248 3300 SH Put OTR 1 3300 0 0 Madison Square Garden Entertainment Corp. CL A 55826T102 1842 24561 SH SOLE 24561 0 0 Madison Square Garden Entertainment Corp. CL A 55826T102 700 9339 SH OTR 1 9339 0 0 Madison Square Garden Sports Corp CL A 55825T103 7065 48100 SH Put SOLE 48100 0 0 Madison Square Garden Sports Corp CL A 55825T103 1028 7000 SH Put OTR 1 7000 0 0 Madison Square Garden Sports Corp CL A 55825T103 514 3500 SH SOLE 3500 0 0 Madison Square Garden Sports Corp CL A 55825T103 1028 7000 SH OTR 1 7000 0 0 Marathon Petroleum Corporation COM 56585A102 8545 228600 SH SOLE 228600 0 0 Marathon Petroleum Corporation COM 56585A102 1009 27000 SH OTR 1 27000 0 0 Marathon Petroleum Corporation COM 56585A102 7278 194700 SH Put SOLE 194700 0 0 Marathon Petroleum Corporation COM 56585A102 901 24100 SH Put OTR 1 24100 0 0 Marathon Petroleum Corporation COM 56585A102 1267 33900 SH Put SOLE 33900 0 0 Marathon Petroleum Corporation COM 56585A102 108 2900 SH Put OTR 1 2900 0 0 Marathon Petroleum Corporation COM 56585A102 7278 194700 SH Put SOLE 194700 0 0 Marathon Petroleum Corporation COM 56585A102 901 24100 SH Put OTR 1 24100 0 0 Merida Merger Corp. I COM 58953M106 5152 526294 SH SOLE 526294 0 0 Merida Merger Corp. I COM 58953M106 210 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 2702 263056 SH SOLE 263056 0 0 Monocle Acquisition Corporation COM 609754106 108 10552 SH OTR 1 10552 0 0 Monocle Acquisition Corporation *W EXP 12/06/202 609754114 171 263056 SH SOLE 263056 0 0 Monocle Acquisition Corporation *W EXP 12/06/202 609754114 7 10552 SH OTR 1 10552 0 0 Select Sector SPDR TR SBI MATERIALS 81369Y100 2017 35800 SH Put SOLE 35800 0 0 Select Sector SPDR TR SBI MATERIALS 81369Y100 265 4700 SH Put OTR 1 4700 0 0 Netfin Acquisition Corp. SHS CL A G6455A107 72 6674 SH SOLE 6674 0 0 Netfin Acquisition Corp. SHS CL A G6455A107 11 1024 SH OTR 1 1024 0 0 New Providence Aquisition Corp. COM CL A 64822P106 5040 500000 SH SOLE 500000 0 0 New Providence Aquisition Corp. *W EXP 09/11/202 64822P114 250 250000 SH SOLE 250000 0 0 Nuveen AMT-Free Qty Muni Inc Fd COM 670657105 2087 150117 SH SOLE 150117 0 0 Nuveen AMT-Free Qty Muni Inc Fd COM 670657105 258 18553 SH OTR 1 18553 0 0 Nuveen Int. Dur. Muni Term Fund COM 670671106 2064 156245 SH SOLE 156245 0 0 Nuveen Int. Dur. Muni Term Fund COM 670671106 255 19310 SH OTR 1 19310 0 0 Nuveen Municipal Credit Income COM SH BEN INT 67070X101 1940 131433 SH SOLE 131433 0 0 Nuveen Municipal Credit Income COM SH BEN INT 67070X101 240 16244 SH OTR 1 16244 0 0 Nuveen NY AMT-Free Muni Inc COM 670656107 2044 158674 SH SOLE 158674 0 0 Nuveen NY AMT-Free Muni Inc COM 670656107 253 19611 SH OTR 1 19611 0 0 Oaktree Acquisition Corp. SHS CL A G67145105 3694 363241 SH SOLE 363241 0 0 Oaktree Acquisition Corp. SHS CL A G67145105 477 46947 SH OTR 1 46947 0 0 Orisun Acquisition Corp. COM 68632T109 1493 147391 SH SOLE 147391 0 0 Orisun Acquisition Corp. COM 68632T109 26 2609 SH OTR 1 2609 0 0 Otis Worldwide Corporation COM 68902V107 7901 138957 SH SOLE 138957 0 0 Otis Worldwide Corporation COM 68902V107 275 4838 SH OTR 1 4838 0 0 Otis Worldwide Corporation COM 68902V107 3389 59600 SH Put SOLE 59600 0 0 Otis Worldwide Corporation COM 68902V107 85 1500 SH Put OTR 1 1500 0 0 Pivotal Investment Corporation II COM CL A 72582K100 3720 366456 SH SOLE 366456 0 0 Pivotal Investment Corporation II *W EXP 06/01/202 72582K118 158 199998 SH SOLE 199998 0 0 Portola Pharmaceuticals, Inc. COM 737010108 12030 668681 SH SOLE 668681 0 0 Portola Pharmaceuticals, Inc. COM 737010108 237 13175 SH OTR 1 13175 0 0 PropTech Acquisition Corporation COM CL A 74349F101 5088 501288 SH SOLE 501288 0 0 PropTech Acquisition Corporation *W EXP 05/26/202 74349F119 175 250444 SH SOLE 250444 0 0 QIAGEN N.V. SHS NEW N72482123 8242 192524 SH SOLE 192524 0 0 QIAGEN N.V. SHS NEW N72482123 188 4401 SH OTR 1 4401 0 0 Reebonz Holding Limited SHS G7457R122 0 1875 SH SOLE 1875 0 0 Royal Dutch Shell PLC adr B SPON ADR B 780259107 2215 72754 SH SOLE 72754 0 0 Royal Dutch Shell PLC adr B SPON ADR B 780259107 420 13803 SH OTR 1 13803 0 0 SCVX Corp. UNIT 99/99/9999 G79448109 788 76088 SH SOLE 76088 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 60870 197400 SH Put SOLE 197400 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 802 2600 SH Put OTR 1 2600 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 60870 197400 SH Put SOLE 197400 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 802 2600 SH Put OTR 1 2600 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 106477 345300 SH Put SOLE 345300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1449 4700 SH Put OTR 1 4700 0 0 Schultze Special Purpose Acquisition Corp COM 80821R109 3299 322500 SH SOLE 322500 0 0 Social Capital Hedosophia Hldngs III UNIT 99/99/9999 G8251K123 2290 192950 SH SOLE 192950 0 0 Software Acquisition Group Inc. COM CL A 83406B101 7035 699998 SH SOLE 699998 0 0 Software Acquisition Group Inc. *W EXP 10/01/202 83406B119 315 349999 SH SOLE 349999 0 0 Spartan Energy Acquisition Corp. CL A COM STK 846784106 9325 869900 SH SOLE 869900 0 0 TD Ameritrade Holding Corporation COM 87236Y108 116807 3210738 SH SOLE 3210738 0 0 TD Ameritrade Holding Corporation COM 87236Y108 1908 52459 SH OTR 1 52459 0 0 Taubman Centers, Inc. COM 876664103 73627 1949856 SH SOLE 1949856 0 0 Tech Data Corporation COM 878237106 125492 865463 SH SOLE 865463 0 0 Tech Data Corporation COM 878237106 1859 12821 SH OTR 1 12821 0 0 Thunder Bridge Acquisition II, Ltd. CL A SHS G8857S116 6060 599992 SH SOLE 599992 0 0 Thunder Bridge Acquisition II, Ltd. *W EXP 11/30/202 G8857S108 576 399999 SH SOLE 399999 0 0 Tiffany & Co. COM 886547108 172814 1417209 SH SOLE 1417209 0 0 Tiffany & Co. COM 886547108 2407 19740 SH OTR 1 19740 0 0 Tottenham Acquisition I Limited SHS G8959N106 814 75000 SH SOLE 75000 0 0 Trebia Acquisition Corp. UNIT 99/99/9999 G9027T125 7106 679954 SH SOLE 679954 0 0 Trebia Acquisition Corp. UNIT 99/99/9999 G9027T125 416 39827 SH OTR 1 39827 0 0 Trident Acquisitions Corp. COM 89615T106 8414 758014 SH SOLE 758014 0 0 Trident Acquisitions Corp. COM 89615T106 314 28253 SH OTR 1 28253 0 0 Tuscan Holdings Corp. COM 90069K104 8065 788387 SH SOLE 788387 0 0 Tuscan Holdings Corp. II COM 90070A103 5677 564902 SH SOLE 564902 0 0 Tuscan Holdings Corp. II COM 90070A103 2010 200000 SH OTR 1 200000 0 0 Tuscan Holdings Corp. II *W EXP 99/99/999 90070A111 204 377100 SH SOLE 377100 0 0 Tuscan Holdings Corp. II *W EXP 99/99/999 90070A111 54 100000 SH OTR 1 100000 0 0 Tuscan Holdings Corp. *W EXP 04/01/202 90069K112 469 802100 SH SOLE 802100 0 0 Vodafone Group SPONSORED ADR 92857W308 1806 113300 SH Put SOLE 113300 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 247 15500 SH Put OTR 1 15500 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 8117 509200 SH Put SOLE 509200 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 1111 69700 SH Put OTR 1 69700 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 3583 224800 SH Put SOLE 224800 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 488 30600 SH Put OTR 1 30600 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 1806 113300 SH SOLE 113300 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 735 46100 SH OTR 1 46100 0 0 Voya (ING) Prime Rate Trust SH BEN INT 92913A100 300 73819 SH SOLE 73819 0 0 Whole Earth Brands Inc. COM CL A 96684W100 5318 659021 SH SOLE 659021 0 0 Whole Earth Brands Inc. *W EXP 06/25/202 96684W126 570 499999 SH SOLE 499999 0 0 Willis Towers Watson Public Limited Co. SHS G96629103 185079 939724 SH SOLE 939724 0 0 Willis Towers Watson Public Limited Co. SHS G96629103 2693 13675 SH OTR 1 13675 0 0 Wright Medical Group N.V. ORD SHS N96617118 188069 6328027 SH SOLE 6328027 0 0 Wright Medical Group N.V. ORD SHS N96617118 2873 96660 SH OTR 1 96660 0 0 XPO Logistics, Inc. COM 983793100 41398 535900 SH SOLE 535900 0 0 XPO Logistics, Inc. COM 983793100 564 7300 SH OTR 1 7300 0 0 XPO Logistics, Inc. COM 983793100 2742 35500 SH Put SOLE 35500 0 0 XPO Logistics, Inc. COM 983793100 371 4800 SH Put OTR 1 4800 0 0 XPO Logistics, Inc. COM 983793100 42812 554200 SH Put SOLE 554200 0 0 XPO Logistics, Inc. COM 983793100 193 2500 SH Put OTR 1 2500 0 0 Xerox Holdings Corporation COM NEW 98421M106 219 14300 SH OTR 1 14300 0 0 Xerox Holdings Corporation COM NEW 98421M106 2274 148700 SH Put SOLE 148700 0 0 Xerox Holdings Corporation COM NEW 98421M106 219 14300 SH Put OTR 1 14300 0 0 dMY Technology Group, Inc. COM 233253103 3434 342332 SH SOLE 342332 0 0 dMY Technology Group, Inc. COM 233253103 199 19842 SH OTR 1 19842 0 0 dMY Technology Group, Inc. *W EXP 02/21/202 233253111 268 175077 SH SOLE 175077 0 0 dMY Technology Group, Inc. *W EXP 02/21/202 233253111 15 9921 SH OTR 1 9921 0 0 eBay Inc. COM 278642103 100 1900 SH SOLE 1900 0 0 eBay Inc. COM 278642103 540 10300 SH OTR 1 10300 0 0 eBay Inc. COM 278642103 6205 118300 SH Put SOLE 118300 0 0 eBay Inc. COM 278642103 540 10300 SH Put OTR 1 10300 0 0