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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
101 Iron Mountain Inc New 24,431 797,672 0.03%
102 CONCUR TECHNOLOGIES INC 500,000 652,500 0.02% PRN
103 Covidien PLC 656,800 591,120 0.02% Put
104 Outerwall, Inc. 195,400 581,315 0.02% Put
105 OMNICARE INC 3.25%35 CVT PUT DUE 12 500,000 515,938 0.02% PRN
106 Kodiak Oil & Gas Corp. 653,300 424,645 0.01% Put
107 Medtronic Inc 6,500 402,675 0.01%
108 TRW Automotive Holdings Corp 99,800 394,210 0.01% Call
109 Burger King Worldwide, Inc. 51,900 368,490 0.01% Put
110 CUBIST PHARMACEUTICALS INC 2,950,869 354,104 0.01%
111 Time Warner Cable Inc 109,800 334,890 0.01% Put
112 MYLAN INC 244,300 328,584 0.01% Put
113 Weatherford International Ltd 341,900 278,649 0.01% Put
114 JUNIPER NETWORKS INC 293,200 271,210 0.01% Put
115 ALLERGAN INC 25,000 268,750 0.01% Call
116 ALBEMARLE CORP 141,800 265,875 0.01% Put
117 ALLERGAN INC 106,300 249,805 0.01% Put
118 B/E AEROSPACE INC 146,400 248,880 0.01% Put
119 T MOBILE US INC 293,200 225,764 0.01% Put
120 ALLERGAN INC 15,000 210,750 0.01% Call
121 ACTAVIS PLC 34,200 177,840 0.01% Put
122 SPDR S&P 500 ETF TR PUT 97,400 174,346 0.01% Put
123 Valeant Pharmaceuticals Intl 15,000 171,750 0.01% Call
124 Now Inc. 97,700 166,090 0.01% Put
125 Weatherford International Ltd 390,900 162,224 0.01% Put
126 KINDRED HEALTHCARE INC 294,500 161,975 0.01% Put
127 Viacom Inc New 97,700 161,205 0.01% Put
128 TW Telecom Inc 76,100 150,298 0.00% Call
129 AbbVie Inc. 257,800 148,235 0.00% Put
130 Bally Technologies Inc. 55,000 144,375 0.00% Call
131 ALLIANCE DATA SYSTEMS CORP 25,500 135,150 0.00% Put
132 Shire PLC 292,800 131,760 0.00% Put
133 Covidien PLC 65,100 126,945 0.00% Put
134 E M C CORP MASS 122,200 126,477 0.00% Put
135 Time Warner Cable Inc 15,000 124,500 0.00% Put
136 SALESFORCE COM INC 2,100 120,813 0.00%
137 E M C CORP MASS 195,400 117,240 0.00% Put
138 Dish Network Corp. 73,200 106,140 0.00% Put
139 CONCUR TECHNOLOGIES INC 57,860 105,200 0.00% Put
140 ILLUMINA INC 600 98,352 0.00%
141 Shire PLC 58,800 97,020 0.00% Put
142 Now Inc. 195,300 92,768 0.00% Put
143 Burger King Worldwide, Inc. 20,000 90,000 0.00% Put
144 TYSON FOODS INC 195,400 87,930 0.00% Put
145 Gentiva Health Services Inc 195,500 83,088 0.00% Put
146 CF INDS HLDGS INC 19,500 82,388 0.00% Put
147 TW Telecom Inc 49,900 82,335 0.00% Put
148 Dish Network Corp. 39,100 81,133 0.00% Put
149 SPDR S&P 500 ETF TR PUT 97,600 80,032 0.00% Put
150 Covidien PLC 55,000 70,125 0.00% Put
Page 3 of 4
Restatement filing (0001140361-14-041212) filed in 2014.11.12
#
Name
Shares
Value ($)
%
Options
Notes
1 PEABODY ENERGY CORP 725,297 8,979,177 0.31%
2 ACTAVIS PLC 34,200 177,840 0.01% Put
3 AGILENT TECHNOLOGIES INC 146,600 53,509 0.00% Put
4 AGILENT TECHNOLOGIES INC 24,400 31,354 0.00% Put
5 AGILENT TECHNOLOGIES INC 97,714 5,567,744 0.19%
6 ALBEMARLE CORP 141,800 265,875 0.01% Put
7 ALBEMARLE CORP 19,200 58,560 0.00% Put
8 ALLERGAN INC 25,000 268,750 0.01% Call
9 ALLERGAN INC 15,000 210,750 0.01% Call
10 ALLERGAN INC 106,300 249,805 0.01% Put
11 ALLERGAN INC 75,000 63,750 0.00% Put
12 ALLERGAN INC 159,800 67,915 0.00% Put
13 ALLERGAN PLC 34,200 8,251,776 0.28%
14 ALLIANCE DATA SYSTEMS CORP 25,500 135,150 0.00% Put
15 ALLIANCE DATA SYSTEMS CORP 17,300 57,090 0.00% Put
16 ALPHA NATURAL RESOURCES 25,100 62,248 0.00%
17 ASSURED GUARANTY LTD COM 382,075 8,466,782 0.29%
18 AT&T Inc 1,954,000 2,794,220 0.10% Put
19 ATHLON ENERGY INC 1,216,204 70,819,559 2.41%
20 AbbVie Inc. 13,400 17,755 0.00% Put
21 AbbVie Inc. 108,400 40,650 0.00% Put
22 AbbVie Inc. 257,800 148,235 0.01% Put
23 Allergan plc 182,300 32,484,037 1.11%
24 Ambit Biosciences Corp. 126,415 1,946,791 0.07%
25 American Realty Capital Health 12,836,287 134,524,288 4.58%
26 Annaly Cap Management Inc 8,352,000 8,680,860 0.30% PRN
27 Annies Inc. 973,140 44,667,126 1.52%
28 B/E AEROSPACE INC 146,480 12,295,531 0.42%
29 B/E AEROSPACE INC 146,400 248,880 0.01% Put
30 BALLY TECHNOLOGIES INC 55,000 4,438,500 0.15%
31 BANK OF KENTUCKY FINL CORP 146,273 6,762,201 0.23%
32 BCE INC COM NEW 1,652,881 70,678,596 2.41%
33 BOLT TECHNOLOGY CORP 589,621 12,936,285 0.44%
34 BPZ 8 1/2 10/01/17 7,072,000 6,943,820 0.24% PRN
35 Bally Technologies Inc. 55,000 64,625 0.00% Put
36 Bally Technologies Inc. 55,000 144,375 0.00% Call
37 Berry Plastics Group Inc 43,388 1,095,113 0.04%
38 Berry Plastics Group Inc. 97,700 26,868 0.00% Put
39 Burger King Worldwide, Inc. 20,000 59,000 0.00% Put
40 Burger King Worldwide, Inc. 51,900 368,490 0.01% Put
41 Burger King Worldwide, Inc. 395,200 2,134,080 0.07% Put
42 Burger King Worldwide, Inc. 20,000 90,000 0.00% Put
43 CAREFUSION CORP COM 31,501 1,425,420 0.05%
44 CF INDS HLDGS INC 14,657 4,092,528 0.14%
45 CF INDS HLDGS INC 19,500 82,388 0.00% Put
46 CHIQUITA BRANDS INTL 118,800 1,686,960 0.06%
47 CIVEO CORP 156,200 1,679,150 0.06% Put
48 CIVEO CORP 134,400 3,360 0.00% Call
49 CIVEO CORP 195,400 48,850 0.00% Put
50 CIVEO CORP 5,900 148 0.00% Call
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