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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 (2016Q1)
Original 13F HR (0001140361-16-065482) filed in 2016.05.16
#
Name
Shares
Value ($)
%
Options
Notes
51 HC2 Holdings Inc 545,106 2,082 0.14%
52 NII Capital Corp 363,966 2,013 0.13%
53 AXIALL CORPORATION 79,114 1,730 0.11%
54 Frontier Communications Corp 300,703 1,682 0.11%
55 BLOUNT INTL INC NEW 163,598 1,633 0.11%
56 SHUTTERFLY INC 1,500,000 1,497 0.10% PRN
57 Essendant Inc Com 92,306 1,386 0.09%
58 CKEC 2017-01-20 33.000 C A OPQ 45,400 1,364 0.09%
59 TWITTER INC 1,500,000 1,256 0.08% PRN
60 SHIRE PLC 79,900 1,174 0.08% Put
61 Allergan Inc/United States 45,600 1,160 0.08% Put
62 DISH NETWORK A 24,689 1,141 0.08%
63 YAHOO INC SR CV ZERO NT 18 1,000,000 988 0.07% PRN
64 NETSUITE INC 1,000,000 954 0.06% PRN
65 CANON INC 31,244 932 0.06%
66 TiVo Inc 1,000,000 931 0.06% PRN
67 ELECTRONICS FOR IMAGING INC 20,830 884 0.06%
68 WASTE MGMT INC DEL 11,655 688 0.05%
69 XENOPORT INC 145,604 656 0.04%
70 SALESFORCE COM INC SR CV NT 0.25 18 7,700 568 0.04%
71 REPUBLIC SVCS INC 11,655 556 0.04%
72 NEWELL BRANDS 1,244,500 436 0.03% Call
73 NOBLE ENERGY INC 13,050 410 0.03%
74 Red Hat Inc 4,800 358 0.02%
75 Macquarie Infrastructure Corp 4,800 324 0.02%
76 GROUPE CGI INC 6,138 294 0.02%
77 GENPACT LIMITED COM STK USD0.01 9,672 264 0.02%
78 MRC GLOBAL 20,000 263 0.02%
79 NEWELL BRANDS 214,600 242 0.02% Call
80 WEATHERFORD INTL PLC 27,500 214 0.01%
81 CONE Midstream Partners 17,000 213 0.01%
82 FIRST NIAGARA FINL GP INC 19,701 191 0.01%
83 DYNEGY INCORPORATED NEW D 12,500 180 0.01%
84 SHIRE PLC 12,600 175 0.01% Call
85 MICRON TECHNOLOGY INC 15,250 160 0.01%
86 Adt Corp 692,500 155 0.01% Put
87 SHIRE PLC 12,600 147 0.01% Call
88 CONSOL ENERGY INC 12,750 144 0.01%
89 MARRIOTT INTL INC NEW 101,900 132 0.01% Call
90 INTEL CORP 4,003 131 0.01%
91 CLOUD PEAK ENERGY INC COM 66,372 129 0.01%
92 COLUMBIA PIPELINE GR 398,100 129 0.01% Put
93 SHIRE PLC 20,000 128 0.01% Call
94 EQUITY COMWLTH COM SH BEN INT 4,500 127 0.01%
95 ISHARES TR 120,000 120 0.01% Put
96 VMWARE INC 259,800 118 0.01% Put
97 HUNTINGTON BANCSHARES INC 333,900 115 0.01% Call
98 LEIDOS HLDGS INC 2,250 113 0.01%
99 ENERGY TRANSFER L P 15,250 109 0.01%
100 CNX COAL RES LP 15,000 108 0.01%
Page 2 of 4
Restatement filing (0001140361-16-065763) filed in 2016.05.16
#
Name
Shares
Value ($)
%
Options
Notes
1 AFFYMETRIX INCOC-CAP STK CASH MGREFF 4/1/16 1 OLDUSD 14.00 PER SHARE 914,586 12,814 0.85%
2 AFFYMETRIX INCOC-CAP STK CASH MGREFF 4/1/16 1 OLDUSD 14.00 PER SHARE 50,000 1 0.00% Call
3 AGL Resources Inc 960,622 62,574 4.13%
4 AIRGAS INC 446,890 63,299 4.18%
5 ALLERGAN PLC 142,165 38,104 2.51%
6 ALLERGAN PLC 45,600 1,160 0.08% Put
7 AMERICAN AIRLS GROUP INC 750 31 0.00%
8 ASSURED GUARANTY LTD COM 2,500 63 0.00%
9 ASTORIA FINL CORPORATION 737,465 11,681 0.77%
10 ATMEL CORP 2,247,967 18,254 1.20%
11 AXIALL CORPORATION 28,900 19 0.00% Put
12 AXIALL CORPORATION 79,114 1,730 0.11%
13 Adt Corp 210,700 63 0.00% Put
14 Adt Corp 692,500 155 0.01% Put
15 Adt Corp 670,449 27,662 1.83%
16 Adt Corp 100,000 35 0.00% Put
17 Alere Inc 247,900 12,546 0.83%
18 BAXALTA INC COM 848,148 34,266 2.26%
19 BB&T CORP 1,200 40 0.00%
20 BLACKBERRY LTD 8,000 65 0.00%
21 BLOUNT INTL INC NEW 163,598 1,633 0.11%
22 CABLEVISION SYS CORP(NEW) NY GROUP CL ACOM 1,189,738 39,261 2.59%
23 CAMECO CORP 7,500 96 0.01%
24 CAMERON INTERNATIONAL COMPANY 2,373,407 159,136 10.50%
25 CANON INC 31,244 932 0.06%
26 CELLDEX THERAPEUTICS INC NEW 15,000 57 0.00%
27 CENTENE CORP DEL 692,331 42,627 2.81%
28 CKEC 2017-01-20 33.000 C A OPQ 45,400 1,364 0.09%
29 CLOUD PEAK ENERGY INC COM 66,372 129 0.01%
30 CNX COAL RES LP 15,000 108 0.01%
31 COLUMBIA PIPELINE GR 240,000 6,024 0.40%
32 COLUMBIA PIPELINE GR 398,100 129 0.01% Put
33 COMERICA INC 2,400 91 0.01%
34 CONE Midstream Partners 17,000 213 0.01%
35 CONSOL ENERGY INC 12,750 144 0.01%
36 CSRA INC 200 5 0.00%
37 CenturyLink Inc 17,500 0 0.00% Call
38 Check Point Software Technologies Ltd 794,566 8,040 0.53%
39 Citizens Funding Trust I 2,211,329 46,549 3.07%
40 Continental Resources 3,100 94 0.01%
41 DELTA AIRLINES INC DEL 750 37 0.00%
42 DISH NETWORK A 24,689 1,141 0.08%
43 DYNEGY INCORPORATED NEW D 12,500 180 0.01%
44 ELECTRONICS FOR IMAGING INC 20,830 884 0.06%
45 EMPIRE DIST ELEC CO 95,763 3,165 0.21%
46 ENERGY TRANSFER L P 15,250 109 0.01%
47 EQUITY COMWLTH COM SH BEN INT 4,500 127 0.01%
48 Essendant Inc Com 92,306 1,386 0.09%
49 FAIRCHILD SEMICONDUCTOR INTLCOM 247,800 4,956 0.33%
50 FIFTH THIRD BANCORP 2,000 33 0.00%
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