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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
1 CenturyLink Inc 17,500 0 0.00% Call
2 SPDR S&P 500 ETF TR 4,500 1 0.00% Put
3 VMWARE INC 25,000 1 0.00% Call
4 SPDR S&P 500 ETF TR 4,000 1 0.00% Put
5 RANGE RES CORP 1,000 1 0.00% Call
6 AFFYMETRIX INCOC-CAP STK CASH MGREFF 4/1/16 1 OLDUSD 14.00 PER SHARE 50,000 1 0.00% Call
7 SPDR S&P 500 ETF TR 4,500 1 0.00% Put
8 SPDR S&P 500 ETF TR 2,000 2 0.00% Put
9 SPDR S&P 500 ETF TR 4,500 2 0.00% Put
10 SPDR S&P 500 ETF TR 4,500 2 0.00% Put
11 SPDR S&P 500 ETF TR 2,500 2 0.00% Put
12 SPDR S&P 500 ETF TR 2,500 2 0.00% Put
13 SPDR S&P 500 ETF TR 2,000 3 0.00% Put
14 SHUTTERFLY INC 1,500 3 0.00% Call
15 SPDR S&P 500 ETF TR 2,500 3 0.00% Put
16 TiVo Inc 10,000 4 0.00% Call
17 SPDR S&P 500 ETF TR 50,000 5 0.00% Put
18 CSRA INC 200 5 0.00%
19 SPDR S&P 500 ETF TR 50,000 7 0.00% Put
20 TiVo Inc 41,500 8 0.00% Call
21 Rite Aid Corp 510,000 8 0.00% Put
22 UNITED STATES OIL FUND LP 1,500 15 0.00%
23 WASTE CONNECTIONS INC COM 69,000 17 0.00% Call
24 SPDR S&P 500 ETF TR 25,000 17 0.00% Put
25 SPDR S&P 500 ETF TR 25,000 18 0.00% Put
26 SPDR S&P 500 ETF TR 25,000 19 0.00% Put
27 AXIALL CORPORATION 28,900 19 0.00% Put
28 MARKETO INC COM 1,000 20 0.00%
29 SPDR S&P 500 ETF TR 25,000 21 0.00% Put
30 MALLINCKRODT PUB LTD CO 350 21 0.00%
31 HARRIS CORP 264 21 0.00%
32 SERITAGE GROWTH PPTYS 541 27 0.00%
33 REGIONS FINANCIAL CORP NEW 3,600 28 0.00%
34 KeyCorp Capital VIII 2,800 31 0.00%
35 AMERICAN AIRLS GROUP INC 750 31 0.00%
36 MYLAN N V 15,000 32 0.00% Call
37 ILLUMINA INC SR CONV NT0.5 21 200 32 0.00%
38 FIFTH THIRD BANCORP 2,000 33 0.00%
39 Adt Corp 100,000 35 0.00% Put
40 Forest City Realty Trust Inc 1,742 37 0.00%
41 DELTA AIRLINES INC DEL 750 37 0.00%
42 BB&T CORP 1,200 40 0.00%
43 SUPERIOR ENERGY SVCS INC 3,000 40 0.00%
44 STARWOOD HOTELS & RESORTS WORLDWIDE INC COM 10,700 41 0.00% Call
45 ISHARES TR 75,000 41 0.00% Put
46 SUNTRUST BKS INC 1,200 43 0.00%
47 UNITED CONTL HLDGS INC 750 45 0.00%
48 LSB Industries Inc 17,500 45 0.00% Call
49 VALEANT PHARMACEUTICALS INTL 1,700 45 0.00%
50 Ruby Tuesday Inc 118,300 45 0.00% Put
Page 1 of 4
Restatement filing (0001140361-16-065763) filed in 2016.05.16
#
Name
Shares
Value ($)
%
Options
Notes
101 INTERNATIONAL BUSINESS MACHS 714 108 0.01%
102 CAMECO CORP 7,500 96 0.01%
103 Ruby Tuesday Inc 100,800 94 0.01% Put
104 Continental Resources 3,100 94 0.01%
105 MARRIOTT INTL INC NEW 167,600 93 0.01% Call
106 COMERICA INC 2,400 91 0.01%
107 SELECT SECTOR SPDR TR 1,800 81 0.01%
108 Hertz Corp/The 7,500 79 0.01%
109 WILLIAMS COS INC DEL 4,750 76 0.01%
110 LSB Industries Inc 17,500 68 0.00% Call
111 BLACKBERRY LTD 8,000 65 0.00%
112 Adt Corp 210,700 63 0.00% Put
113 ASSURED GUARANTY LTD COM 2,500 63 0.00%
114 SANTANDER CONSUMER 5,500 58 0.00%
115 CELLDEX THERAPEUTICS INC NEW 15,000 57 0.00%
116 SPDR S&P 500 ETF TR 50,000 56 0.00% Put
117 SPDR S&P 500 ETF TR 50,000 51 0.00% Put
118 ISHARES TR 75,000 49 0.00% Put
119 GLOBALSTAR INC 33,334 49 0.00%
120 LSB Industries Inc 17,500 45 0.00% Call
121 UNITED CONTL HLDGS INC 750 45 0.00%
122 Ruby Tuesday Inc 118,300 45 0.00% Put
123 VALEANT PHARMACEUTICALS INTL 1,700 45 0.00%
124 SUNTRUST BKS INC 1,200 43 0.00%
125 STARWOOD HOTELS & RESORTS WORLDWIDE INC COM 10,700 41 0.00% Call
126 ISHARES TR 75,000 41 0.00% Put
127 SUPERIOR ENERGY SVCS INC 3,000 40 0.00%
128 BB&T CORP 1,200 40 0.00%
129 Forest City Realty Trust Inc 1,742 37 0.00%
130 DELTA AIRLINES INC DEL 750 37 0.00%
131 Adt Corp 100,000 35 0.00% Put
132 FIFTH THIRD BANCORP 2,000 33 0.00%
133 MYLAN N V 15,000 32 0.00% Call
134 ILLUMINA INC SR CONV NT0.5 21 200 32 0.00%
135 KeyCorp Capital VIII 2,800 31 0.00%
136 AMERICAN AIRLS GROUP INC 750 31 0.00%
137 REGIONS FINANCIAL CORP NEW 3,600 28 0.00%
138 SERITAGE GROWTH PPTYS 541 27 0.00%
139 SPDR S&P 500 ETF TR 25,000 21 0.00% Put
140 HARRIS CORP 264 21 0.00%
141 MALLINCKRODT PUB LTD CO 350 21 0.00%
142 MARKETO INC COM 1,000 20 0.00%
143 SPDR S&P 500 ETF TR 25,000 19 0.00% Put
144 AXIALL CORPORATION 28,900 19 0.00% Put
145 SPDR S&P 500 ETF TR 25,000 18 0.00% Put
146 SPDR S&P 500 ETF TR 25,000 17 0.00% Put
147 WASTE CONNECTIONS INC COM 69,000 17 0.00% Call
148 UNITED STATES OIL FUND LP 1,500 15 0.00%
149 Rite Aid Corp 510,000 8 0.00% Put
150 TiVo Inc 41,500 8 0.00% Call
Page 3 of 4