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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
1 PEABODY ENERGY CORP 725,297 8,979,177 0.30%
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 97,714 5,567,744 0.18%
5 AGILENT TECHNOLOGIES INC 24,400 31,354 0.00% Put
6 ALBEMARLE CORP 19,200 58,560 0.00% Put
7 ALBEMARLE CORP 141,800 265,875 0.01% Put
8 ALLERGAN INC 15,000 210,750 0.01% Call
9 ALLERGAN INC 106,300 249,805 0.01% Put
10 ALLERGAN INC 75,000 63,750 0.00% Put
11 ALLERGAN INC 25,000 268,750 0.01% Call
12 ALLERGAN INC 159,800 67,915 0.00% Put
13 ALLERGAN PLC 34,200 8,251,776 0.27%
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 0.28%
18 AT&T Inc 1,954,000 2,794,220 0.09% Put
19 ATHLON ENERGY INC 1,216,204 70,819,559 2.34%
20 AbbVie Inc. 257,800 148,235 0.00% Put
21 AbbVie Inc. 108,400 40,650 0.00% Put
22 AbbVie Inc. 13,400 17,755 0.00% Put
23 Allergan plc 182,300 32,484,037 1.08%
24 Ambit Biosciences Corp. 126,415 1,946,791 0.06%
25 American Realty Capital Health 12,836,287 134,524,288 4.45%
26 Annaly Cap Management Inc 8,352,000 8,680,860 0.29% PRN
27 Annies Inc. 973,140 44,667,126 1.48%
28 B/E AEROSPACE INC 146,480 12,295,531 0.41%
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 0.22%
32 BCE INC COM NEW 1,652,881 70,678,596 2.34%
33 BOLT TECHNOLOGY CORP 589,621 12,936,285 0.43%
34 BPZ 8 1/2 10/01/17 7,072,000 6,943,820 0.23% 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 195,400 48,850 0.00% Put
48 CIVEO CORP 134,400 3,360 0.00% Call
49 CIVEO CORP 156,200 1,679,150 0.06% Put
50 CIVEO CORP 5,900 148 0.00% Call
Page 1 of 4
Restatement filing (0001140361-14-041212) filed in 2014.11.12
#
Name
Shares
Value ($)
%
Options
Notes
51 TYSON FOODS INC 236,973 9,329,627 0.32%
52 PEABODY ENERGY CORP 725,297 8,979,177 0.31%
53 KODIAK OIL & GAS CORP 649,967 8,820,052 0.30%
54 T MOBILE US INC 304,545 8,792,214 0.30%
55 Morgans Hotel Group Co 8,750,000 8,728,125 0.30% PRN
56 Annaly Cap Management Inc 8,352,000 8,680,860 0.30% PRN
57 Weatherford International 415,287 8,637,970 0.29%
58 JUNIPER NETWORKS 385,984 8,549,546 0.29%
59 ASSURED GUARANTY LTD COM 382,075 8,466,782 0.29%
60 ALLERGAN PLC 34,200 8,251,776 0.28%
61 VIACOM INC 97,720 7,518,577 0.26%
62 DISH NETWORK CORP 112,810 7,285,270 0.25%
63 Kinder Morgan Inc Del 589,800 7,269,285 0.25% Put
64 BPZ 8 1/2 10/01/17 7,072,000 6,943,820 0.24% PRN
65 BANK OF KENTUCKY FINL CORP 146,273 6,762,201 0.23%
66 MULTIMEDIA GAMES H 165,574 5,962,320 0.20%
67 NOW Inc. 190,236 5,785,077 0.20%
68 AGILENT TECHNOLOGIES INC 97,714 5,567,744 0.19%
69 KINDRED HEALTHCARE INC 283,644 5,502,694 0.19%
70 E M C CORP MASS COM 171,000 5,003,460 0.17%
71 TYSON FOODS INC TANG EQ UNIT 98,379 4,948,464 0.17%
72 Shutterfly Inc 98,834 4,817,169 0.16%
73 GLOBALSTAR INC 754,661 4,613,337 0.16% PRN
74 BALLY TECHNOLOGIES INC 55,000 4,438,500 0.15%
75 PETSMART 63,199 4,429,618 0.15%
76 ENERGIZER HOLDINGS INC. 34,200 4,213,782 0.14%
77 CF INDS HLDGS INC 14,657 4,092,528 0.14%
78 CIVEO CORP CDA 347,036 4,029,088 0.14%
79 XRS CORP 682,995 3,790,622 0.13%
80 Cal Dive International Inc Del 5,741,000 3,738,826 0.13% PRN
81 Gentiva Health Services Inc 197,954 3,321,668 0.11%
82 SIRIUS XM HOLDINGS INC 904,405 3,156,373 0.11%
83 TALISMAN ENERGY INC COM 353,313 3,056,157 0.10%
84 AT&T Inc 1,954,000 2,794,220 0.10% Put
85 Charter Communications Inc 18,217 2,757,507 0.09% Put
86 SWS GROUP INC 333,611 2,298,580 0.08%
87 Burger King Worldwide, Inc. 395,200 2,134,080 0.07% Put
88 Ambit Biosciences Corp. 126,415 1,946,791 0.07%
89 Express 123,498 1,927,804 0.07%
90 PIKE CORP 160,000 1,902,400 0.06%
91 TIME WARNER INC 24,300 1,827,603 0.06%
92 Molson Coors Brewing Co 24,429 1,818,495 0.06%
93 CHIQUITA BRANDS INTL 118,800 1,686,960 0.06%
94 CIVEO CORP 156,200 1,679,150 0.06% Put
95 Valeant Pharmaceuticals Intl 100,000 1,635,000 0.06% Call
96 Valeant Pharmaceuticals Intl 117,900 1,444,275 0.05% Call
97 CAREFUSION CORP COM 31,501 1,425,420 0.05%
98 iPath S&P 500 VIX Short Term 39,296 1,224,856 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