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Institutional Investment Manager
WATER ISLAND CAPITAL LLC
WATER ISLAND CAPITAL LLC (CIK: 0001222765) incorporated in Delaware, located at 104 5th Avenue, New York, NY. Institutional holdings reported to the SEC.
Institutional Holdings (2014Q3)
Original 13F HR (0001140361-14-040829) filed in 2014.11.10
#
Name
Shares
Value ($)
%
Options
Notes
51 PEABODY ENERGY CORP 725,297 8,979,177 0.30%
52 KODIAK OIL & GAS CORP 649,967 8,820,052 0.29%
53 T MOBILE US INC 304,545 8,792,214 0.29%
54 Morgans Hotel Group Co 8,750,000 8,728,125 0.29% PRN
55 Annaly Cap Management Inc 8,352,000 8,680,860 0.29% PRN
56 Weatherford International 415,287 8,637,970 0.29%
57 JUNIPER NETWORKS 385,984 8,549,546 0.28%
58 ASSURED GUARANTY LTD COM 382,075 8,466,782 0.28%
59 ALLERGAN PLC 34,200 8,251,776 0.27%
60 VIACOM INC 97,720 7,518,577 0.25%
61 DISH NETWORK CORP 112,810 7,285,270 0.24%
62 Kinder Morgan Inc Del 589,800 7,269,285 0.24% Put
63 BPZ 8 1/2 10/01/17 7,072,000 6,943,820 0.23% PRN
64 BANK OF KENTUCKY FINL CORP 146,273 6,762,201 0.22%
65 MULTIMEDIA GAMES H 165,574 5,962,320 0.20%
66 NOW Inc. 190,236 5,785,077 0.19%
67 AGILENT TECHNOLOGIES INC 97,714 5,567,744 0.18%
68 KINDRED HEALTHCARE INC 283,644 5,502,694 0.18%
69 E M C CORP MASS COM 171,000 5,003,460 0.17%
70 TYSON FOODS INC TANG EQ UNIT 98,379 4,948,464 0.16%
71 Shutterfly Inc 98,834 4,817,169 0.16%
72 GLOBALSTAR INC 754,661 4,613,337 0.15% PRN
73 BALLY TECHNOLOGIES INC 55,000 4,438,500 0.15%
74 PETSMART 63,199 4,429,618 0.15%
75 ENERGIZER HOLDINGS INC. 34,200 4,213,782 0.14%
76 CF INDS HLDGS INC 14,657 4,092,528 0.14%
77 CIVEO CORP CDA 347,036 4,029,088 0.13%
78 XRS CORP 682,995 3,790,622 0.13%
79 Cal Dive International Inc Del 5,741,000 3,738,826 0.12% PRN
80 Gentiva Health Services Inc 197,954 3,321,668 0.11%
81 SIRIUS XM HOLDINGS INC 904,405 3,156,373 0.10%
82 TALISMAN ENERGY INC COM 353,313 3,056,157 0.10%
83 AT&T Inc 1,954,000 2,794,220 0.09% Put
84 Charter Communications Inc 18,217 2,757,507 0.09% Put
85 SWS GROUP INC 333,611 2,298,580 0.08%
86 Burger King Worldwide, Inc. 395,200 2,134,080 0.07% Put
87 Ambit Biosciences Corp. 126,415 1,946,791 0.06%
88 Express 123,498 1,927,804 0.06%
89 PIKE CORP 160,000 1,902,400 0.06%
90 TIME WARNER INC 24,300 1,827,603 0.06%
91 Molson Coors Brewing Co 24,429 1,818,495 0.06%
92 CHIQUITA BRANDS INTL 118,800 1,686,960 0.06%
93 CIVEO CORP 156,200 1,679,150 0.06% Put
94 Valeant Pharmaceuticals Intl 100,000 1,635,000 0.05% Call
95 Valeant Pharmaceuticals Intl 117,900 1,444,275 0.05% Call
96 CAREFUSION CORP COM 31,501 1,425,420 0.05%
97 iPath S&P 500 VIX Short Term 39,296 1,224,856 0.04%
98 INTL RECTIFIER COR 47,511,674 1,210,797 0.04%
99 Berry Plastics Group Inc 43,388 1,095,113 0.04%
100 Time Warner Cable Inc 169,700 1,094,565 0.04% Put
Page 2 of 4
Restatement filing (0001140361-14-041212) filed in 2014.11.12
#
Name
Shares
Value ($)
%
Options
Notes
1 CIVEO CORP 5,900 148 0.00% Call
2 SIGMA ALDRICH CORP 2,100 473 0.00% Put
3 CONCUR TECHNOLOGIES INC 4,100 513 0.00% Put
4 GLIMCHER RLTY TR SH BEN INT 38,900 973 0.00% Put
5 Covidien PLC 4,000 1,400 0.00% Put
6 PIKE CORP 75,800 1,895 0.00% Put
7 Express Inc 2,600 2,145 0.00% Put
8 GLIMCHER RLTY TR SH BEN INT 43,400 2,170 0.00% Put
9 PROTECTIVE LIFE CORP 19,700 2,463 0.00% Put
10 FAMILY DLR STORES INC 119,800 2,995 0.00% Put
11 CIVEO CORP 134,400 3,360 0.00% Call
12 Shire PLC 3,000 3,825 0.00% Put
13 INTERNATIONAL RECTIFIER CORP 23,400 4,095 0.00% Put
14 INTERNATIONAL RECTIFIER CORP 172,400 8,620 0.00% Put
15 ILLUMINA INC 19,800 8,910 0.00% Put
16 TYSON FOODS INC 146,300 10,973 0.00% Put
17 AbbVie Inc. 13,400 17,755 0.00% Put
18 IRON MTN INC 48,900 25,673 0.00% Put
19 Charter Communications, Inc. 19,500 25,838 0.00% Put
20 Berry Plastics Group Inc. 97,700 26,868 0.00% Put
21 AGILENT TECHNOLOGIES INC 24,400 31,354 0.00% Put
22 PETSMART INC 63,500 33,338 0.00% Put
23 Shire PLC 48,200 37,355 0.00% Put
24 MYLAN INC 48,900 40,343 0.00% Put
25 AbbVie Inc. 108,400 40,650 0.00% Put
26 Express Inc 244,200 48,840 0.00% Put
27 CIVEO CORP 195,400 48,850 0.00% Put
28 AGILENT TECHNOLOGIES INC 146,600 53,509 0.00% Put
29 ALLIANCE DATA SYSTEMS CORP 17,300 57,090 0.00% Put
30 Covidien PLC 96,200 57,720 0.00% Put
31 CONCUR TECHNOLOGIES INC 105,200 57,860 0.00% Put
32 ALBEMARLE CORP 19,200 58,560 0.00% Put
33 Burger King Worldwide, Inc. 20,000 59,000 0.00% Put
34 ALPHA NATURAL RESOURCES 25,100 62,248 0.00%
35 ALLERGAN INC 75,000 63,750 0.00% Put
36 Energizer Holdings Inc 39,100 64,515 0.00% Put
37 Bally Technologies Inc. 55,000 64,625 0.00% Put
38 JUNIPER NETWORKS INC 488,400 65,934 0.00% Put
39 ALLERGAN INC 159,800 67,915 0.00% Put
40 Shutterfly Inc 97,600 68,320 0.00% Put
41 Molson Coors Brewing Co 50,000 68,750 0.00% Put
42 SIRIUS XM HLDGS INC 2,000,000 70,000 0.00% Put
43 Covidien PLC 55,000 70,125 0.00% Put
44 SPDR S&P 500 ETF TR PUT 97,600 80,032 0.00% Put
45 Dish Network Corp. 39,100 81,133 0.00% Put
46 TW Telecom Inc 49,900 82,335 0.00% Put
47 CF INDS HLDGS INC 19,500 82,388 0.00% Put
48 Gentiva Health Services Inc 195,500 83,088 0.00% Put
49 TYSON FOODS INC 195,400 87,930 0.00% Put
50 Burger King Worldwide, Inc. 20,000 90,000 0.00% Put
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