Chief Operating Officer and Chief Compliance Officer

0001567619-21-003622.txt : 20210212 0001567619-21-003622.hdr.sgml : 20210212 20210212173008 ACCESSION NUMBER: 0001567619-21-003622 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210212 DATE AS OF CHANGE: 20210212 EFFECTIVENESS DATE: 20210212 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: 21629990 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 12-31-2020 12-31-2020 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 02-12-2021 1 386 3063579 false 1 0001277372 028-11493 WESTCHESTER CAPITAL PARTNERS, LLC INFORMATION TABLE 2 form13fInfoTable.xml ACE Convergence Acquisition Corp. CL A G0083D120 5110 499998 SH SOLE 499998 0 0 ACE Convergence Acquisition Corp. CL A G0083D120 255 24918 SH OTR 1 24918 0 0 ACE Convergence Acquisition Corp. *W EXP 09/30/202 G0083D104 347 249999 SH SOLE 249999 0 0 AECOM COM 00766T100 60 1200 SH SOLE 1200 0 0 AECOM COM 00766T100 976 19600 SH OTR 1 19600 0 0 AECOM COM 00766T100 1772 35600 SH Put SOLE 35600 0 0 AECOM COM 00766T100 249 5000 SH Put OTR 1 5000 0 0 AECOM COM 00766T100 1767 35500 SH Put SOLE 35500 0 0 AECOM COM 00766T100 249 5000 SH Put OTR 1 5000 0 0 AECOM COM 00766T100 3450 69300 SH Put SOLE 69300 0 0 AECOM COM 00766T100 478 9600 SH Put OTR 1 9600 0 0 Ackrell SPAC Partners I Co. UNIT 12/01/2026 00461L204 2058 200000 SH SOLE 200000 0 0 Aerojet Rocketdyne Holdings, Inc. COM 007800105 23034 435829 SH SOLE 435829 0 0 Aerojet Rocketdyne Holdings, Inc. COM 007800105 285 5402 SH OTR 1 5402 0 0 Aersale Corporation *W EXP 11/04/202 00810F114 445 239059 SH SOLE 239059 0 0 Aersale Corporation *W EXP 11/04/202 00810F114 20 10552 SH OTR 1 10552 0 0 Ajax I UNIT 99/99/9999 G0190X118 24807 1998914 SH SOLE 1998914 0 0 Ajax I UNIT 99/99/9999 G0190X118 814 65601 SH OTR 1 65601 0 0 Alexion Pharmaceuticals, Inc. COM 015351109 121857 779933 SH SOLE 779933 0 0 Alexion Pharmaceuticals, Inc. COM 015351109 1672 10699 SH OTR 1 10699 0 0 Altitude Acquisition Corp. UNIT 11/30/2027 02156Y202 7148 690590 SH SOLE 690590 0 0 Altitude Acquisition Corp. UNIT 11/30/2027 02156Y202 72 6910 SH OTR 1 6910 0 0 American Equity Investment Life Holding C COM 025676206 799 28879 SH SOLE 28879 0 0 American Equity Investment Life Holding C COM 025676206 31 1121 SH OTR 1 1121 0 0 Apex Technology Acquisition Corp. *W EXP 09/18/202 03768F110 856 199999 SH SOLE 199999 0 0 Apollo Senior Floating Rate Fund Inc. COM 037636107 160 11127 SH SOLE 11127 0 0 Apollo Strategic Growth Capital UNIT 99/99/9999 G0411R122 12231 1119040 SH SOLE 1119040 0 0 Apollo Strategic Growth Capital UNIT 99/99/9999 G0411R122 149 13624 SH OTR 1 13624 0 0 Artius Acquisition Inc. COM CL A 04316G105 13209 1242654 SH SOLE 1242654 0 0 Artius Acquisition Inc. COM CL A 04316G105 313 29403 SH OTR 1 29403 0 0 Artius Acquisition Inc. *W EXP 07/13/202 04316G113 533 242320 SH SOLE 242320 0 0 Artius Acquisition Inc. *W EXP 07/13/202 04316G113 22 9801 SH OTR 1 9801 0 0 Ascendant Digital Acquisition Corp. *W EXP 07/28/202 G05155117 427 249999 SH SOLE 249999 0 0 Ascendant Digital Acquisition Corp. COM CL A G05155109 6990 681247 SH SOLE 681247 0 0 Ascendant Digital Acquisition Corp. COM CL A G05155109 145 14140 SH OTR 1 14140 0 0 Ascendant Digital Acquisition Corp. UNIT 99/99/9999 G05155125 388 36942 SH SOLE 36942 0 0 Ascendant Digital Acquisition Corp. UNIT 99/99/9999 G05155125 85 8124 SH OTR 1 8124 0 0 Avanti Acquisition Corp. SHS CL A G0682V109 5729 557275 SH SOLE 557275 0 0 Avanti Acquisition Corp. SHS CL A G0682V109 265 25753 SH OTR 1 25753 0 0 Avanti Acquisition Corp. UNIT 99/99/9999 G0682V117 3686 340000 SH SOLE 340000 0 0 Avanti Acquisition Corp. UNIT 99/99/9999 G0682V117 108 10000 SH OTR 1 10000 0 0 Axalta Coating Systems Ltd. COM G0750C108 112 3936 SH OTR 1 3936 0 0 BlackRock MuniYield Quality COM 09254E103 2027 140277 SH SOLE 140277 0 0 BlackRock MuniYield Quality COM 09254E103 351 24257 SH OTR 1 24257 0 0 Blackrock Fltg Rate Inc. Strategies Fund COM 09255X100 116 9611 SH SOLE 9611 0 0 BowX Acquisition Corp. UNIT 08/03/2025 103085205 7323 684400 SH SOLE 684400 0 0 BowX Acquisition Corp. UNIT 08/03/2025 103085205 523 48847 SH OTR 1 48847 0 0 Bridgetown Holdings Limited COM CL A G1355U113 1934 124945 SH SOLE 124945 0 0 Bridgetown Holdings Limited COM CL A G1355U113 272 17545 SH OTR 1 17545 0 0 Broadmark Realty Capital Inc. COM 11135B100 5145 504365 SH SOLE 504365 0 0 Broadmark Realty Capital Inc. COM 11135B100 406 39802 SH OTR 1 39802 0 0 Burgundy Technology Acquisition Corp. CL A G1702T116 12540 1204588 SH SOLE 1204588 0 0 Burgundy Technology Acquisition Corp. CL A G1702T116 162 15551 SH OTR 1 15551 0 0 Burgundy Technology Acquisition Corp. UNIT 08/26/2025 G1702T132 1128 99996 SH SOLE 99996 0 0 Burgundy Technology Acquisition Corp. UNIT 08/26/2025 G1702T132 61 5409 SH OTR 1 5409 0 0 CC Neuberger Principal Holdings I COM G1992Y114 13520 1247189 SH SOLE 1247189 0 0 CC Neuberger Principal Holdings I COM G1992Y114 529 48772 SH OTR 1 48772 0 0 CC Neuberger Principal Holdings I *W EXP 99/99/999 G1992Y122 51 21801 SH SOLE 21801 0 0 CC Neuberger Principal Holdings I *W EXP 99/99/999 G1992Y122 1 312 SH OTR 1 312 0 0 CC Neuberger Principal Holdings II SHS CL A G3166T103 12447 1196870 SH SOLE 1196870 0 0 CC Neuberger Principal Holdings II SHS CL A G3166T103 558 53654 SH OTR 1 53654 0 0 CC Neuberger Principal Holdings II *W EXP 07/29/202 G3166T111 96 56249 SH SOLE 56249 0 0 CHP Merger Corp. COM CL A 12558Y106 1988 193746 SH SOLE 193746 0 0 CHP Merger Corp. COM CL A 12558Y106 67 6502 SH OTR 1 6502 0 0 CHP Merger Corp. *W EXP 11/22/202 12558Y114 126 96873 SH SOLE 96873 0 0 CHP Merger Corp. *W EXP 11/22/202 12558Y114 4 3251 SH OTR 1 3251 0 0 CONX Corp. UNIT 10/30/2027 212873202 10496 1004442 SH SOLE 1004442 0 0 CONX Corp. UNIT 10/30/2027 212873202 503 48161 SH OTR 1 48161 0 0 Churchill Capital Corp II CL A 17143G106 8479 819188 SH SOLE 819188 0 0 Churchill Capital Corp IV CL A 171439102 13731 1371735 SH SOLE 1371735 0 0 Churchill Capital Corp IV CL A 171439102 343 34295 SH OTR 1 34295 0 0 Churchill Capital Corp IV *W EXP 08/04/202 171439110 417 274347 SH SOLE 274347 0 0 Churchill Capital Corp IV *W EXP 08/04/202 171439110 10 6859 SH OTR 1 6859 0 0 Cincinnati Bell Inc. NEW COM NEW 171871502 7928 518875 SH SOLE 518875 0 0 Cincinnati Bell Inc. NEW COM NEW 171871502 84 5525 SH OTR 1 5525 0 0 Cohn Robbins Holdings Corp. COM CL A G23726105 15529 1491735 SH SOLE 1491735 0 0 Cohn Robbins Holdings Corp. COM CL A G23726105 254 24438 SH OTR 1 24438 0 0 Cohn Robbins Holdings Corp. *W EXP 08/28/202 G23726113 655 364144 SH SOLE 364144 0 0 Cohn Robbins Holdings Corp. *W EXP 08/28/202 G23726113 15 8146 SH OTR 1 8146 0 0 Concentrix Corporation COM 20602D101 3376 34200 SH SOLE 34200 0 0 Concentrix Corporation COM 20602D101 464 4700 SH OTR 1 4700 0 0 Concho Resources Inc. COM 20605P101 87181 1494101 SH SOLE 1494101 0 0 Concho Resources Inc. COM 20605P101 1252 21460 SH OTR 1 21460 0 0 CoreLogic, Inc. COM 21871D103 1604 20750 SH SOLE 20750 0 0 CoreLogic, Inc. COM 21871D103 223 2885 SH OTR 1 2885 0 0 Crescent Acquisition Corp. COM CL A 22564L105 2123 203166 SH SOLE 203166 0 0 Crown Holdings, Inc. COM 228368106 832 8300 SH OTR 1 8300 0 0 Crown Holdings, Inc. COM 228368106 266 28300 SH Put SOLE 28300 0 0 Crown Holdings, Inc. COM 228368106 41 4400 SH Put OTR 1 4400 0 0 Crown Holdings, Inc. COM 228368106 264 28100 SH Put SOLE 28100 0 0 Crown Holdings, Inc. COM 228368106 37 3900 SH Put OTR 1 3900 0 0 D8 Holdings Corp. SHS CL A G2614K110 2032 200000 SH SOLE 200000 0 0 D8 Holdings Corp. *W EXP 08/05/202 G2614K128 105 100000 SH SOLE 100000 0 0 DFP Healthcare Acquisitions Corp. COM CL A 23343Q100 2661 246422 SH SOLE 246422 0 0 DFP Healthcare Acquisitions Corp. COM CL A 23343Q100 269 24878 SH OTR 1 24878 0 0 Dell Technologies Inc. CL C 24703L202 846 11538 SH OTR 1 11538 0 0 Dell Technologies Inc. CL C 24703L202 5423 74000 SH Put SOLE 74000 0 0 Dell Technologies Inc. CL C 24703L202 740 10100 SH Put OTR 1 10100 0 0 Discovery Inc. COM SER C 25470F302 3779 144309 SH SOLE 144309 0 0 Discovery Inc. COM SER C 25470F302 531 20269 SH OTR 1 20269 0 0 Dragoneer Growth Opport. Corp. *W EXP 08/18/202 G28302118 13 3000 SH SOLE 3000 0 0 DuPont de Nemours, Inc. COM 26614N102 5931 83400 SH Put SOLE 83400 0 0 DuPont de Nemours, Inc. COM 26614N102 1180 16600 SH Put OTR 1 16600 0 0 DuPont de Nemours, Inc. COM 26614N102 1259 17700 SH Put SOLE 17700 0 0 DuPont de Nemours, Inc. COM 26614N102 164 2300 SH Put OTR 1 2300 0 0 DuPont de Nemours, Inc. COM 26614N102 7139 100400 SH Put SOLE 100400 0 0 DuPont de Nemours, Inc. COM 26614N102 1180 16600 SH Put OTR 1 16600 0 0 DuPont de Nemours, Inc. COM 26614N102 10994 154600 SH Put SOLE 154600 0 0 DuPont de Nemours, Inc. COM 26614N102 15306 215249 SH SOLE 215249 0 0 DuPont de Nemours, Inc. COM 26614N102 2094 29453 SH OTR 1 29453 0 0 E.Merge Technology Acquisition Corp. *W EXP 07/30/202 26873Y112 697 461431 SH SOLE 461431 0 0 E.Merge Technology Acquisition Corp. *W EXP 07/30/202 26873Y112 15 9836 SH OTR 1 9836 0 0 E.Merge Technology Acquisition Corp. COM CL A 26873Y104 14161 1384293 SH SOLE 1384293 0 0 E.Merge Technology Acquisition Corp. COM CL A 26873Y104 302 29508 SH OTR 1 29508 0 0 Eaton Vance Corp. COM NON VTG 278265103 133970 1972179 SH SOLE 1972179 0 0 Eaton Vance Floating-Rate Income Trust COM 278279104 669 50863 SH SOLE 50863 0 0 Eidos Therapeutics, Inc. COM 28249H104 1861 14145 SH SOLE 14145 0 0 Eidos Therapeutics, Inc. COM 28249H104 259 1971 SH OTR 1 1971 0 0 Equity Distribution Acquisition Corp. *W EXP 09/09/202 29465E114 51 28706 SH SOLE 28706 0 0 Equity Distribution Acquisition Corp. COM CL A 29465E106 3829 373944 SH SOLE 373944 0 0 Equity Distribution Acquisition Corp. COM CL A 29465E106 125 12174 SH OTR 1 12174 0 0 Equity Distribution Acquisition Corp. UNIT 99/99/9999 29465E205 148 13882 SH SOLE 13882 0 0 FTAC Olympus Acquisition Corp. CL A SHS G37288100 7206 699585 SH SOLE 699585 0 0 FTAC Olympus Acquisition Corp. CL A SHS G37288100 1292 125451 SH OTR 1 125451 0 0 FTAC Olympus Acquisition Corp. *W EXP 08/28/202 G37288126 399 209844 SH SOLE 209844 0 0 FTAC Olympus Acquisition Corp. *W EXP 08/28/202 G37288126 79 41817 SH OTR 1 41817 0 0 Falcon Capital Acquisition Corp. COM CL A 30606L108 10297 976944 SH SOLE 976944 0 0 Falcon Capital Acquisition Corp. COM CL A 30606L108 303 28747 SH OTR 1 28747 0 0 Falcon Capital Acquisition Corp. *W EXP 08/20/202 30606L116 107 50000 SH SOLE 50000 0 0 Far Peak Acquisition Corporation UNIT 99/99/9999 G3312L129 1958 189200 SH SOLE 189200 0 0 Far Peak Acquisition Corporation UNIT 99/99/9999 G3312L129 261 25246 SH OTR 1 25246 0 0 Fintech Acquisition Corp. IV CL A 31810N104 512 45320 SH SOLE 45320 0 0 Fintech Acquisition Corp. IV *W EXP 12/31/202 31810N112 146 66666 SH SOLE 66666 0 0 First Trust Senior Fltg. Rate Income Fd.I COM 33733U108 68 5810 SH SOLE 5810 0 0 FirstMark Horizon Acquisition Corp. UNIT 99/99/9999 33765Y200 3883 340600 SH SOLE 340600 0 0 FirstMark Horizon Acquisition Corp. UNIT 99/99/9999 33765Y200 107 9400 SH OTR 1 9400 0 0 Fitbit, Inc. CL A 33812L102 38718 5693890 SH SOLE 5693890 0 0 Fitbit, Inc. CL A 33812L102 578 84971 SH OTR 1 84971 0 0 Foley Trasimene Acquisition Corp. COM CL A 34431F104 7827 700085 SH SOLE 700085 0 0 Foley Trasimene Acquisition Corp. COM CL A 34431F104 106 9479 SH OTR 1 9479 0 0 Foley Trasimene Acquisition Corp. *W EXP 05/26/202 34431F112 322 127301 SH SOLE 127301 0 0 Fortive Corporation COM 34959J108 2597 36675 SH SOLE 36675 0 0 Fortive Corporation COM 34959J108 549 7745 SH OTR 1 7745 0 0 Fox Corporation CL A COM 35137L105 1709 58698 SH SOLE 58698 0 0 Fox Corporation CL A COM 35137L105 632 21715 SH OTR 1 21715 0 0 Frazier Lifesciences Acquisition Corp UNIT 12/09/2025 G3710A121 243 23458 SH SOLE 23458 0 0 Frazier Lifesciences Acquisition Corp UNIT 12/09/2025 G3710A121 5 486 SH OTR 1 486 0 0 Fusion Acquisition Corp. CL A 36118H105 5565 492434 SH SOLE 492434 0 0 Fusion Acquisition Corp. *W EXP 06/01/202 36118H113 640 249998 SH SOLE 249998 0 0 GCM Grosvenor Inc *W EXP 11/17/202 36831E116 554 308274 SH SOLE 308274 0 0 GCM Grosvenor Inc *W EXP 11/17/202 36831E116 1 329 SH OTR 1 329 0 0 GS Acquisition Holdings Corp II COM CL A 36258Q105 13155 1206893 SH SOLE 1206893 0 0 GS Acquisition Holdings Corp II COM CL A 36258Q105 373 34190 SH OTR 1 34190 0 0 GS Acquisition Holdings Corp II *W EXP 06/30/202 36258Q113 64 24999 SH SOLE 24999 0 0 Galileo Acquisition Corp. SHS G3770A102 3060 300000 SH SOLE 300000 0 0 Galileo Acquisition Corp. *W EXP 10/31/202 G3770A110 252 300000 SH SOLE 300000 0 0 Genworth Financial, Inc. COM CL A 37247D106 1389 367341 SH SOLE 367341 0 0 Genworth Financial, Inc. COM CL A 37247D106 21 5461 SH OTR 5461 0 0 GigCapital3, Inc. COM 37519D107 2198 166805 SH SOLE 166805 0 0 GigCapital3, Inc. COM 37519D107 47 3549 SH OTR 1 3549 0 0 GigCapital3, Inc. *W EXP 05/18/202 37519D115 738 211454 SH SOLE 211454 0 0 GigCapital3, Inc. *W EXP 05/18/202 37519D115 9 2662 SH OTR 1 2662 0 0 Golden Falcon Acquisition Corp. UNIT 99/99/9999 38102H208 5652 543419 SH SOLE 543419 0 0 Golden Falcon Acquisition Corp. UNIT 99/99/9999 38102H208 268 25734 SH OTR 1 25734 0 0 Gores Holdings IV, Inc. COM CL A 382865103 2565 195327 SH SOLE 195327 0 0 Gores Holdings IV, Inc. COM CL A 382865103 312 23781 SH OTR 1 23781 0 0 Gores Holdings V, Inc. COM CL A 382864106 5190 499009 SH SOLE 499009 0 0 Gores Holdings V, Inc. COM CL A 382864106 149 14296 SH OTR 1 14296 0 0 Gores Holdings V, Inc. UNIT 99/99/9999 382864205 2479 230153 SH SOLE 230153 0 0 Gores Holdings V, Inc. UNIT 99/99/9999 382864205 57 5333 SH OTR 1 5333 0 0 Grubhub Inc COM 400110102 93758 1255972 SH SOLE 1255972 0 0 Grubhub Inc COM 400110102 1464 19611 SH OTR 1 19611 0 0 HPX Corp SHS CL A G32219100 1252 124998 SH SOLE 124998 0 0 HPX Corp *W EXP 07/14/202 G32219126 67 62499 SH SOLE 62499 0 0 Healthcare Services Acquisition Corp. UNIT 11/18/2023 42227K203 6702 655740 SH SOLE 655740 0 0 Healthcare Services Acquisition Corp. UNIT 11/18/2023 42227K203 261 25587 SH OTR 1 25587 0 0 Highcape Capital Acquisition Corp. COM CL A 42984L105 4824 471804 SH SOLE 471804 0 0 Highcape Capital Acquisition Corp. UNIT 09/30/2027 42984L204 0 3 SH SOLE 3 0 0 Highcape Capital Acquisition Corp. W* EXP 09/30/202 42984L113 179 157268 SH SOLE 157268 0 0 Highland Transcend Partners I Corp. UNIT 99/99/9999 G44690116 1050 100000 SH SOLE 100000 0 0 Holicity Inc. COM CL A 435063102 2895 286377 SH SOLE 286377 0 0 Holicity Inc. COM CL A 435063102 128 12623 SH OTR 1 12623 0 0 Holicity Inc. UNIT 08/05/2025 435063201 936 90052 SH SOLE 90052 0 0 Holicity Inc. UNIT 08/05/2025 435063201 103 9948 SH OTR 1 9948 0 0 Hudson Executive Investment Corp. COM CL A 443761101 7362 681062 SH SOLE 681062 0 0 Hudson Executive Investment Corp. *W EXP 06/21/202 443761119 156 90531 SH SOLE 90531 0 0 IAC/InterActiveCorp. NEW COM 44891N109 2878 15200 SH Put SOLE 15200 0 0 IAC/InterActiveCorp. NEW COM 44891N109 436 2300 SH Put OTR 1 2300 0 0 IAC/InterActiveCorp. NEW COM 44891N109 827 4366 SH SOLE 4366 0 0 IAC/InterActiveCorp. NEW COM 44891N109 436 2304 SH OTR 1 2304 0 0 IHS Markit Ltd. SHS G47567105 127742 1422039 SH SOLE 1422039 0 0 IHS Markit Ltd. SHS G47567105 1354 15071 SH OTR 1 15071 0 0 Select Sector SPDR TR SBI INT-INDS 81369Y704 2355 26600 SH Put SOLE 26600 0 0 Select Sector SPDR TR SBI INT-INDS 81369Y704 319 3600 SH Put OTR 1 3600 0 0 Inphi Corporation COM 45772F107 132625 826477 SH SOLE 826477 0 0 Inphi Corporation COM 45772F107 2052 12790 SH OTR 1 12790 0 0 InterPrivate Accquisition Corp. COM 46064A103 1381 94947 SH SOLE 94947 0 0 InterPrivate Accquisition Corp. *W EXP 10/24/202 46064A111 874 213249 SH SOLE 213249 0 0 International General Ins Hld Ltd *W EXP 03/17/202 G4809J114 397 502689 SH SOLE 502689 0 0 International General Ins Hld Ltd *W EXP 03/17/202 G4809J114 4 5597 SH OTR 1 5597 0 0 Invesco Senior Income Trust COM 46131H107 257 64480 SH SOLE 64480 0 0 Jaws Spitfire Acquisition Corp. UNIT 99/99/9999 G50740128 773 70000 SH SOLE 70000 0 0 Juniper Industrial Holdings, Inc. COM CL A 48205G106 13349 1246442 SH SOLE 1246442 0 0 Juniper Industrial Holdings, Inc. COM CL A 48205G106 363 33851 SH OTR 1 33851 0 0 Juniper Industrial Holdings, Inc. *W EXP 11/13/202 48205G114 1289 700497 SH SOLE 700497 0 0 Kansas City Southern COM NEW 485170302 1677 8215 SH SOLE 8215 0 0 Kansas City Southern COM NEW 485170302 376 1842 SH OTR 1 1842 0 0 Kansas City Southern COM NEW 485170302 2735 13400 SH Put SOLE 13400 0 0 Kansas City Southern COM NEW 485170302 367 1800 SH Put OTR 1 1800 0 0 LGL Systems Acquisition Corporation *W EXP 11/12/202 50201G114 664 409838 SH SOLE 409838 0 0 LGL Systems Acquisition Corporation *W EXP 11/12/202 50201G114 35 21411 SH OTR 1 21411 0 0 LGL Systems Acquisition Corporation COM CL A 50201G106 8295 819676 SH SOLE 819676 0 0 LGL Systems Acquisition Corporation COM CL A 50201G106 433 42822 SH OTR 1 42822 0 0 Landcadia Holdings III, Inc. UNIT 99/99/9999 51476H209 2792 250000 SH SOLE 250000 0 0 Landcadia Holdings III, Inc. UNIT 99/99/9999 51476H209 223 20000 SH OTR 1 20000 0 0 Liberty Broadband Corporation COM SER C 530307305 0 1 SH SOLE 1 0 0 Lionheart Acquisition Corp II UNIT 08/13/2025 53625R203 1031 99008 SH SOLE 99008 0 0 Lionheart Acquisition Corp II UNIT 08/13/2025 53625R203 16 1492 SH OTR 1 1492 0 0 Live Oak Acquisition Corp. II UNIT 99/99/9999 53804W205 108 10000 SH SOLE 10000 0 0 Longview Acquisition Corp. COM CL A 543195101 1167 58965 SH SOLE 58965 0 0 Longview Acquisition Corp. *W EXP 05/27/202 543195119 1922 291665 SH SOLE 291665 0 0 Macquarie Infrastructure Corp NOTE 2.000%10/0 55608BAB1 7833 7853000 PRN SOLE 7853000 0 0 Madison Square Garden Entertainment Corp. CL A 55826T102 1534 14600 SH Put SOLE 14600 0 0 Madison Square Garden Entertainment Corp. CL A 55826T102 210 2000 SH Put OTR 1 2000 0 0 Madison Square Garden Entertainment Corp. CL A 55826T102 214 2039 SH OTR 1 2039 0 0 Madison Square Garden Sports C CL A 55825T103 644 3500 SH SOLE 3500 0 0 Madison Square Garden Sports C CL A 55825T103 1289 7000 SH OTR 1 7000 0 0 Marquee Raine Acquisition Corp. UNIT 12/01/2025 G58442115 650 60000 SH SOLE 60000 0 0 Maxim Integrated Products, Inc. COM 57772K101 1773 20000 SH Call SOLE 20000 0 0 Maxim Integrated Products, Inc. COM 57772K101 129620 1462149 SH SOLE 1462149 0 0 Maxim Integrated Products, Inc. COM 57772K101 1948 21972 SH OTR 1 21972 0 0 Merida Merger Corp. I COM 58953M106 5308 520379 SH SOLE 520379 0 0 Merida Merger Corp. I *W EXP 11/07/202 58953M114 187 187285 SH SOLE 187285 0 0 Merida Merger Corp. I *W EXP 11/07/202 58953M114 11 10714 SH OTR 1 10714 0 0 Montes Archimedes Acquisition Corp. UNIT 09/30/2025 612657205 4988 475037 SH SOLE 475037 0 0 Montes Archimedes Acquisition Corp. UNIT 09/30/2025 612657205 262 24963 SH OTR 1 24963 0 0 Motive Capital Corp UNIT 99/99/9999 G6293A129 5270 500000 SH SOLE 500000 0 0 Motive Capital Corp UNIT 99/99/9999 G6293A129 68 6408 SH OTR 1 6408 0 0 National General Holdings Corp. COM 636220303 69067 2020689 SH SOLE 2020689 0 0 National General Holdings Corp. COM 636220303 17261 505000 SH Put SOLE 505000 0 0 Navistar International Corporation COM 63934E108 107258 2439897 SH SOLE 2439897 0 0 Navistar International Corporation COM 63934E108 1189 27041 SH OTR 1 27041 0 0 New Providence Aquisition Corp. COM CL A 64822P106 4322 318255 SH SOLE 318255 0 0 New Providence Aquisition Corp. *W EXP 09/11/202 64822P114 756 200000 SH SOLE 200000 0 0 Nuveen AMT-Free Qty Muni Inc Fd COM 670657105 617 40863 SH SOLE 40863 0 0 Nuveen AMT-Free Qty Muni Inc Fd COM 670657105 990 65582 SH OTR 1 65582 0 0 Nuveen Int. Dur. Muni Term Fund COM 670671106 4317 310991 SH SOLE 310991 0 0 Nuveen Int. Dur. Muni Term Fund COM 670671106 863 62173 SH OTR 1 62173 0 0 Nuveen Municipal Credit Income COM SH BEN INT 67070X101 1730 107330 SH SOLE 107330 0 0 Nuveen Municipal Credit Income COM SH BEN INT 67070X101 262 16244 SH OTR 1 16244 0 0 Nuveen NY AMT-Free Muni Inc COM 670656107 944 69774 SH SOLE 69774 0 0 Nuveen NY AMT-Free Muni Inc COM 670656107 265 19611 SH OTR 1 19611 0 0 Oaktree Acquisition Corp. SHS CL A G67145105 1455 99635 SH SOLE 99635 0 0 Oaktree Acquisition Corp. SHS CL A G67145105 261 17852 SH OTR 1 17852 0 0 One COM CL A G7000X105 1077 100000 SH SOLE 100000 0 0 One *W EXP 08/17/202 G7000X121 52 25000 SH SOLE 25000 0 0 Osprey Technology Acquisition Corp. COM CL A 68839R104 2585 246910 SH SOLE 246910 0 0 Osprey Technology Acquisition Corp. COM CL A 68839R104 158 15045 SH OTR 1 15045 0 0 Pershing Square Tontine Hldg. Ltd. COM CL A 71531R109 2635 95059 SH SOLE 95059 0 0 Pershing Square Tontine Hldg. Ltd. *W EXP 07/24/202 71531R117 107 11109 SH SOLE 11109 0 0 Pluralsight, Inc. COM CL A 72941B106 3674 175300 SH SOLE 175300 0 0 Porch Group Inc COM 733245104 3516 273800 SH SOLE 273800 0 0 Porch Group Inc COM 733245104 336 26200 SH OTR 1 26200 0 0 Prime Impact Acquisition I SHS CL A G61074103 6347 628371 SH SOLE 628371 0 0 Prime Impact Acquisition I SHS CL A G61074103 230 22754 SH OTR 1 22754 0 0 Prime Impact Acquisition I UNIT 10/01/2030 G61074111 269 25375 SH SOLE 25375 0 0 Prime Impact Acquisition I UNIT 10/01/2030 G61074111 31 2903 SH OTR 1 2903 0 0 Qell Acquisition Corp. UNIT 10/01/2025 G7307X121 3652 275620 SH SOLE 275620 0 0 Qell Acquisition Corp. UNIT 10/01/2025 G7307X121 328 24767 SH OTR 1 24767 0 0 QuantumScape Corporation COM CL A 74767V109 20901 275000 SH SOLE 275000 0 0 QuantumScape Corporation COM CL A 74767V109 1900 25000 SH OTR 1 25000 0 0 RealPage, Inc. COM 75606N109 34036 390137 SH SOLE 390137 0 0 RealPage, Inc. COM 75606N109 261 2991 SH OTR 1 2991 0 0 RedBall Acquisition Corp. COM CL A G7417R105 4671 428942 SH SOLE 428942 0 0 RedBall Acquisition Corp. COM CL A G7417R105 90 8222 SH OTR 1 8222 0 0 Replay Acquisition Corp COM G75130107 2655 255270 SH SOLE 255270 0 0 Revolution Acceleration Acquisition Corp UNIT 12/01/2025 76156P205 1041 100000 SH SOLE 100000 0 0 Royal Dutch Shell PLC SPON ADR B 780259107 2445 72754 SH SOLE 72754 0 0 Royal Dutch Shell PLC SPON ADR B 780259107 464 13803 SH OTR 1 13803 0 0 SCVX Corp. *W EXP 01/24/202 G79448117 65 38043 SH SOLE 38043 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 73826 197500 SH Put SOLE 197500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 935 2500 SH Put OTR 1 2500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 36894 98700 SH Put SOLE 98700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 486 1300 SH Put OTR 1 1300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 92254 246800 SH Put SOLE 246800 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1196 3200 SH Put OTR 1 3200 0 0 SYNNEX Corporation COM 87162W100 2785 34200 SH SOLE 34200 0 0 SYNNEX Corporation COM 87162W100 383 4700 SH OTR 1 4700 0 0 SYNNEX Corporation COM 87162W100 1881 23100 SH Put SOLE 23100 0 0 SYNNEX Corporation COM 87162W100 261 3200 SH Put OTR 1 3200 0 0 SYNNEX Corporation COM 87162W100 896 11000 SH Put SOLE 11000 0 0 SYNNEX Corporation COM 87162W100 122 1500 SH Put OTR 1 1500 0 0 ScION Tech Growth I UNIT 12/17/2025 G31067120 4971 481692 SH SOLE 481692 0 0 ScION Tech Growth I UNIT 12/17/2025 G31067120 780 75627 SH OTR 1 75627 0 0 Senior Connect Acquisition Corp. I UNIT 12/09/2023 81723H207 4116 400000 SH SOLE 400000 0 0 Senior Connect Acquisition Corp. I UNIT 12/09/2023 81723H207 106 10304 SH OTR 1 10304 0 0 Slack Technologies, Inc. COM CL A 83088V102 139844 3310700 SH SOLE 3310700 0 0 Slack Technologies, Inc. COM CL A 83088V102 2359 55844 SH OTR 1 55844 0 0 Social Capital Hedosophia Hldngs Corp. II COM CL A G8251K107 1042 62148 SH SOLE 62148 0 0 Sogou Inc. ADR REPSTG A 83409V104 3516 431439 SH SOLE 431439 0 0 Sogou Inc. ADR REPSTG A 83409V104 165 20229 SH OTR 1 20229 0 0 Spartan Acquisition Corp. II UNIT 99/99/9999 846775203 9135 845860 SH SOLE 845860 0 0 Spartan Acquisition Corp. II UNIT 99/99/9999 846775203 293 27104 SH OTR 1 27104 0 0 Sports Entertainment Acquisition Corp COM CL A 84918M106 5172 511101 SH SOLE 511101 0 0 Sports Entertainment Acquisition Corp UNIT 99/99/9999 84918M205 2908 270473 SH SOLE 270473 0 0 Sports Entertainment Acquisition Corp UNIT 99/99/9999 84918M205 117 10850 SH OTR 1 10850 0 0 Starboard Value Acquisition Corp. COM CL A 85521J109 1407 135808 SH SOLE 135808 0 0 Starboard Value Acquisition Corp. COM CL A 85521J109 188 18122 SH OTR 1 18122 0 0 TPG Pace Tech Opportunities Corp. CL A COM G8990Y103 3178 286347 SH SOLE 286347 0 0 TPG Pace Tech Opportunities Corp. CL A COM G8990Y103 310 27928 SH OTR 1 27928 0 0 TPG Pace Tech Opportunities Corp. UNIT 99/99/9999 G8990Y111 297 26149 SH SOLE 26149 0 0 TPG Pace Tech Opportunities Corp. UNIT 99/99/9999 G8990Y111 8 693 SH OTR 1 693 0 0 TWC Tech Holdings II Corp. COM 90117G105 6247 593273 SH SOLE 593273 0 0 TWC Tech Holdings II Corp. COM 90117G105 281 26727 SH OTR 1 26727 0 0 Tailwind Acquisition Corp. COM CL A 87403Q102 13033 1254399 SH SOLE 1254399 0 0 Tailwind Acquisition Corp. COM CL A 87403Q102 159 15256 SH OTR 1 15256 0 0 Thunder Bridge Acquisition II, Ltd. CL A SHS G8857S116 5352 404858 SH SOLE 404858 0 0 Thunder Bridge Acquisition II, Ltd. *W EXP 11/30/202 G8857S108 1478 399999 SH SOLE 399999 0 0 Tiffany & Co. 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II *W EXP 99/99/999 90070A111 239 100000 SH OTR 1 100000 0 0 Union Acquisition Corp.II SHS G9402Q100 10 1000 SH SOLE 1000 0 0 VG Acquisition Corp. SHS CL A G9446E105 5176 452871 SH SOLE 452871 0 0 VG Acquisition Corp. SHS CL A G9446E105 316 27621 SH OTR 1 27621 0 0 VG Acquisition Corp. UNIT 99/99/9999 G9446E121 0 4 SH SOLE 4 0 0 VG Acquisition Corp. UNIT 99/99/9999 G9446E121 0 2 SH OTR 1 2 0 0 VG Acquisition Corp. *W EXP 09/29/202 G9446E113 400 150957 SH SOLE 150957 0 0 VG Acquisition Corp. *W EXP 09/29/202 G9446E113 24 9207 SH OTR 1 9207 0 0 Varian Medical Systems, Inc. COM 92220P105 193444 1105330 SH SOLE 1105330 0 0 Varian Medical Systems, Inc. COM 92220P105 2218 12676 SH OTR 1 12676 0 0 Virtusa Corporation COM 92827P102 48226 943200 SH SOLE 943200 0 0 Virtusa Corporation COM 92827P102 688 13458 SH OTR 1 13458 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 1923 116700 SH Put SOLE 116700 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 260 15800 SH Put OTR 1 15800 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 6912 419400 SH Put SOLE 419400 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 997 60500 SH Put OTR 1 60500 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 3853 233800 SH Put SOLE 233800 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 531 32200 SH Put OTR 1 32200 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 2835 172000 SH SOLE 172000 0 0 Vodafone Group Plc NEW SPONSORED ADR 92857W308 669 40600 SH OTR 1 40600 0 0 Vontier Corporation COM 928881101 1 35 SH SOLE 35 0 0 Vontier Corporation COM 928881101 0 4 SH OTR 1 4 0 0 Voya Prime Rate Trust SH BEN INT 92913A100 330 73819 SH SOLE 73819 0 0 Vy Global Growth COM CL A G9444H100 5552 532779 SH SOLE 532779 0 0 Vy Global Growth COM CL A G9444H100 259 24850 SH OTR 1 24850 0 0 Vy Global Growth UNIT 99/99/9999 G9444H126 3228 300000 SH SOLE 300000 0 0 Waddell & Reed Financial, Inc. 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COM 983919101 1542 10875 SH OTR 1 10875 0 0 Yucaipa Acquisition Corporation COM G9879L105 10863 1075543 SH SOLE 1075543 0 0 Yucaipa Acquisition Corporation COM G9879L105 251 24829 SH OTR 1 24829 0 0 dMY Technology Group, Inc. II COM CL A 233277102 3165 179960 SH SOLE 179960 0 0 dMY Technology Group, Inc. II COM CL A 233277102 126 7158 SH OTR 1 7158 0 0 dMY Technology Group, Inc. III UNIT 99/99/9999 233278209 2280 200000 SH SOLE 200000 0 0 eBay Inc. COM 278642103 1583 31500 SH Put SOLE 31500 0 0 eBay Inc. COM 278642103 231 4600 SH Put OTR 1 4600 0 0 eBay Inc. COM 278642103 8100 161200 SH Put SOLE 161200 0 0 eBay Inc. COM 278642103 1156 23000 SH Put OTR 1 23000 0 0 eBay Inc. COM 278642103 1588 31600 SH OTR 1 31600 0 0 eBay Inc. COM 278642103 1171 23300 SH Put SOLE 23300 0 0 eBay Inc. COM 278642103 201 4000 SH Put OTR 1 4000 0 0 iShares TR U.S. MED DVC ETF 464288810 63987 195500 SH Put SOLE 195500 0 0 iShares TR U.S. MED DVC ETF 464288810 818 2500 SH Put OTR 1 2500 0 0