Chief Operating Officer and Chief Compliance Officer

0001567619-19-016663.txt : 20190814 0001567619-19-016663.hdr.sgml : 20190814 20190814092006 ACCESSION NUMBER: 0001567619-19-016663 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190630 FILED AS OF DATE: 20190814 DATE AS OF CHANGE: 20190814 EFFECTIVENESS DATE: 20190814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Westchester Capital Management, LLC CENTRAL INDEX KEY: 0001512805 IRS NUMBER: 273790558 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14257 FILM NUMBER: 191023242 BUSINESS ADDRESS: STREET 1: 100 SUMMIT LAKE DRIVE CITY: VALHALLA STATE: NY ZIP: 10595 BUSINESS PHONE: 914-741-5600 MAIL ADDRESS: STREET 1: 100 SUMMIT LAKE DRIVE CITY: VALHALLA STATE: NY ZIP: 10595 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001512805 XXXXXXXX 06-30-2019 06-30-2019 Westchester Capital Management, LLC

100 SUMMIT LAKE DRIVE VALHALLA NY 10595

13F HOLDINGS REPORT 028-14257 N Bruce Rubin Chief Operating Officer and Chief Compliance Officer 914-741-5600 Bruce Rubin Valhalla NY 08-14-2019 1 209 3063222 false 1 0001277372 028-11493 WESTCHESTER CAPITAL PARTNERS, LLC INFORMATION TABLE 2 form13fInfoTable.xml AT&T Inc. COM 00206R102 15664 467455 SH SOLE 467455 0 0 AT&T Inc. COM 00206R102 289 8624 SH OTR 1 8624 0 0 Act II Global Acquisition Corp. CL A SHS G0080J104 9745 999998 SH SOLE 999998 0 0 Act II Global Acquisition Corp. *W EXP 04/30/202 G0080J120 340 499999 SH SOLE 499999 0 0 Advanced Disposal Services, Inc. COM 00790X101 8657 271302 SH SOLE 271302 0 0 Advanced Disposal Services, Inc. COM 00790X101 269 8436 SH OTR 1 8436 0 0 Alberton Acquisition Corporation ORD SHS G35006108 8976 885179 SH SOLE 885179 0 0 Alberton Acquisition Corporation ORD SHS G35006108 657 64821 SH OTR 1 64821 0 0 Allergan PLC SHS G0177J108 18916 112979 SH SOLE 112979 0 0 Allergan PLC SHS G0177J108 270 1615 SH OTR 1 1615 0 0 Altaba Inc. COM 021346101 370264 5337530 SH SOLE 5337530 0 0 Altaba Inc. COM 021346101 6311 90975 SH OTR 1 90975 0 0 AmeriGas Partners, L.P. UNIT L P INT 030975106 68843 1975972 SH SOLE 1975972 0 0 Anadarko Pete Corp COM 032511107 221119 3133773 SH SOLE 3133773 0 0 Anadarko Pete Corp COM 032511107 3502 49627 SH OTR 1 49627 0 0 Andeavor Logistics LP COM UNIT LP INT 03350F106 3699 101811 SH SOLE 101811 0 0 Apollo Senior Floating Rate Fund Inc. COM 037636107 1164 77852 SH SOLE 77852 0 0 Apollo Tactical Income Fund Inc. COM 037638103 835 56628 SH SOLE 56628 0 0 Ares Dynamic Credit Allocation Fund COM 04014F102 235 15561 SH SOLE 15561 0 0 Big Rock Partners Acquisition Corp. COM 089482103 2306 219998 SH SOLE 219998 0 0 Big Rock Partners Acquisition Corp. COM 089482103 258 24660 SH OTR 1 24660 0 0 Black Ridge Acquisition Corp. COM 09216T107 4715 460000 SH SOLE 460000 0 0 Blackrock Debt Strategies Fund, Inc. COM NEW 09255R202 2772 257397 SH SOLE 257397 0 0 Blackrock Fltg Rate Inc. Strategies Fund COM 09255X100 852 66381 SH SOLE 66381 0 0 Brookfield Property REIT Inc. CL A 11282X103 12107 640912 SH SOLE 640912 0 0 Buckeye Partners, L.P. UNIT LTD PARTN 118230101 30117 733665 SH SOLE 733665 0 0 CBS CORP NEW CL B 124857202 3229 64700 SH SOLE 64700 0 0 CBS CORP NEW CL B 124857202 1860 37267 SH OTR 1 37267 0 0 CBS CORP NEW CL B 124857202 7495 150200 SH Put SOLE 150200 0 0 CBS CORP NEW CL B 124857202 504 10100 SH Put OTR 1 10100 0 0 CBS CORP NEW CL B 124857202 9182 184000 SH Put SOLE 184000 0 0 CBS CORP NEW CL B 124857202 1143 22900 SH Put OTR 1 22900 0 0 CF Finance Acquisition Corp. COM CL A 12528N107 9018 899992 SH SOLE 899992 0 0 CF Finance Acquisition Corp. COM CL A 12528N107 7 700 SH OTR 1 700 0 0 CF Finance Acquisition Corp. *W EXP 04/30/202 12528N115 405 674994 SH SOLE 674994 0 0 CF Finance Acquisition Corp. *W EXP 04/30/202 12528N115 0 525 SH OTR 1 525 0 0 Caesars Entertainment Corporation COM 127686103 1918 162300 SH Put SOLE 162300 0 0 Caesars Entertainment Corporation COM 127686103 177 15000 SH Put OTR 1 15000 0 0 Caesars Entertainment Corporation NOTE 5.000%10/0 127686AA1 1784 1040954 PRN SOLE 1040954 0 0 Caesars Entertainment Corporation NOTE 5.000%10/0 127686AA1 187 109345 PRN OTR 1 109345 0 0 Caesars Entertainment Corporation COM 127686103 72697 6150330 SH SOLE 6150330 0 0 Caesars Entertainment Corporation COM 127686103 2622 221844 SH OTR 1 221844 0 0 Celgene Corporation COM 151020104 119250 1290031 SH SOLE 1290031 0 0 Celgene Corporation COM 151020104 1849 19999 SH OTR 1 19999 0 0 ChaSerg Technology Acquisition Corp. CLASS A 16166A103 5323 530160 SH SOLE 530160 0 0 ChaSerg Technology Acquisition Corp. *W EXP 04/10/202 16166A111 199 265080 SH SOLE 265080 0 0 Churchill Capital Corp II UNIT 99/99/9999 17143G205 3552 350000 SH SOLE 350000 0 0 Collier Creek Holdings COM CL A G22707106 3300 329997 SH SOLE 329997 0 0 Collier Creek Holdings *W EXP 99/99/999 G22707114 143 109999 SH SOLE 109999 0 0 Corteva, Inc. COM 22052L104 6890 233000 SH Put SOLE 233000 0 0 Corteva, Inc. COM 22052L104 299 10100 SH Put OTR 1 10100 0 0 Corteva, Inc. COM 22052L104 6823 230751 SH SOLE 230751 0 0 Corteva, Inc. COM 22052L104 300 10133 SH OTR 1 10133 0 0 Cray, Inc. COM NEW 225223304 31 900 SH SOLE 900 0 0 Cypress Semiconductor Corporation COM 232806109 9241 415519 SH SOLE 415519 0 0 Cypress Semiconductor Corporation COM 232806109 235 10555 SH OTR 1 10555 0 0 Discovery Inc. COM SER C 25470F302 4162 146308 SH SOLE 146308 0 0 Discovery Inc. COM SER C 25470F302 108 3813 SH OTR 1 3813 0 0 Dow Inc. COM 260557103 11456 232328 SH SOLE 232328 0 0 Dow Inc. COM 260557103 500 10133 SH OTR 1 10133 0 0 Dow Inc. COM 260557103 11371 230600 SH Put SOLE 230600 0 0 Dow Inc. COM 260557103 493 10000 SH Put OTR 1 10000 0 0 DuPont de Nemours, Inc. COM 26614N102 17491 233000 SH Put SOLE 233000 0 0 DuPont de Nemours, Inc. COM 26614N102 758 10100 SH Put OTR 1 10100 0 0 DuPont de Nemours, Inc. COM 26614N102 17323 230754 SH SOLE 230754 0 0 DuPont de Nemours, Inc. COM 26614N102 761 10133 SH OTR 1 10133 0 0 Eaton Vance Floating-Rate Income Trust COM 278279104 1983 147131 SH SOLE 147131 0 0 Encana Corporation COM 292505104 5323 1037569 SH SOLE 1037569 0 0 Encana Corporation COM 292505104 642 125080 SH OTR 1 125080 0 0 FinTech Acquisition Corp. III COM CL A 31811A101 5725 583620 SH SOLE 583620 0 0 FinTech Acquisition Corp. III *W EXP 12/01/202 31811A119 406 291810 SH SOLE 291810 0 0 First Data Corporation NEW COM CL A 32008D106 230319 8508257 SH SOLE 8508257 0 0 First Data Corporation NEW COM CL A 32008D106 3967 146529 SH OTR 1 146529 0 0 First Trust Senior Fltg. Rate Income Fd.I COM 33733U108 929 77069 SH SOLE 77069 0 0 Forum Merger II Corporation CL A 34986F103 3398 338100 SH SOLE 338100 0 0 Fox Corporation CL B COM 35137L204 23301 637868 SH SOLE 637868 0 0 Fox Corporation CL B COM 35137L204 848 23204 SH OTR 1 23204 0 0 Genworth Financial, Inc. COM CL A 37247D106 1363 367341 SH SOLE 367341 0 0 Genworth Financial, Inc. COM CL A 37247D106 20 5461 SH OTR 1 5461 0 0 GigCapital, Inc. COM 37518N106 9167 886996 SH SOLE 886996 0 0 GigCapital, Inc. COM 37518N106 681 65920 SH OTR 1 65920 0 0 Gigcapital2, Inc. UNIT 02/28/2026 375036209 1354 135000 SH SOLE 135000 0 0 Gordon Pointe Acquisition Corp. COM CLASS A 382788107 4697 454711 SH SOLE 454711 0 0 Gordon Pointe Acquisition Corp. COM CLASS A 382788107 39 3785 SH OTR 1 3785 0 0 Graf Industrial Corp. COM 384278107 8896 894067 SH SOLE 894067 0 0 Graf Industrial Corp. COM 384278107 4 400 SH OTR 1 400 0 0 Graf Industrial Corp. *W EXP 12/31/202 384278115 335 894067 SH SOLE 894067 0 0 Graf Industrial Corp. *W EXP 12/31/202 384278115 0 400 SH OTR 1 400 0 0 Haymaker Acquisition Corp. II UNIT 10/31/2026 42087L200 10210 1000000 SH SOLE 1000000 0 0 Hennessy Capital Acquisition Corp. IV CL A COM 42589C104 4950 499996 SH SOLE 499996 0 0 Hennessy Capital Acquisition Corp. *W EXP 09/05/202 42589C112 225 374997 SH SOLE 374997 0 0 Huntsman Corporation COM 447011107 1073 52500 SH OTR 1 52500 0 0 Huntsman Corporation COM 447011107 6749 330200 SH Put SOLE 330200 0 0 Huntsman Corporation COM 447011107 1073 52500 SH Put OTR 1 52500 0 0 Invesco Dynamic Credit Opportunities Fund COM 46132R104 1843 164848 SH SOLE 164848 0 0 Invesco Senior Income Trust COM 46131H107 2061 477119 SH SOLE 477119 0 0 Kaixin Auto Holdings SHS G5223X100 104 47499 SH SOLE 47499 0 0 L3 Technologies, Inc. COM 502413107 179727 733072 SH SOLE 733072 0 0 L3 Technologies, Inc. COM 502413107 2474 10092 SH OTR 1 10092 0 0 Legacy Acquisition Corp. COM CL A 524643103 7639 756352 SH SOLE 756352 0 0 Legacy Acquisition Corp. COM CL A 524643103 808 80000 SH OTR 1 80000 0 0 Legacy Acquisition Corp. *W EXP 11/30/202 524643111 160 500000 SH SOLE 500000 0 0 Legacy Acquisition Corp. *W EXP 11/30/202 524643111 26 80000 SH OTR 1 80000 0 0 Leisure Acquisition Corp. COM 52539T107 5145 506900 SH SOLE 506900 0 0 Liberty Expedia Holdings, Inc. SER A COM 53046P109 25835 540585 SH SOLE 540585 0 0 Liberty Expedia Holdings, Inc. SER A COM 53046P109 1179 24663 SH OTR 1 24663 0 0 Liberty Media Corp Delaware COM A SIRIUSXM 531229409 225 5959 SH OTR 1 5959 0 0 Longevity Acquisition Corporation ORD SHS G56372132 2660 262500 SH SOLE 262500 0 0 MGM Resorts International COM 552953101 4900 171500 SH SOLE 171500 0 0 MGM Resorts International COM 552953101 769 26900 SH OTR 1 26900 0 0 MGM Resorts International COM 552953101 2474 86600 SH Put SOLE 86600 0 0 MGM Resorts International COM 552953101 311 10900 SH Put OTR 1 10900 0 0 MGM Resorts International COM 552953101 1226 42900 SH Put SOLE 42900 0 0 MGM Resorts International COM 552953101 154 5400 SH Put OTR 1 5400 0 0 MGM Resorts International COM 552953101 2594 90800 SH Put SOLE 90800 0 0 MGM Resorts International COM 552953101 303 10600 SH Put OTR 1 10600 0 0 Madison Square Garden CL A 55825T103 3051 10900 SH SOLE 10900 0 0 Madison Square Garden CL A 55825T103 784 2800 SH OTR 1 2800 0 0 Madison Square Garden CL A 55825T103 6607 23600 SH Put SOLE 23600 0 0 Madison Square Garden CL A 55825T103 784 2800 SH Put OTR 1 2800 0 0 Masco Corporation COM 574599106 4622 117800 SH Put SOLE 117800 0 0 Masco Corporation COM 574599106 581 14800 SH Put OTR 1 14800 0 0 Masco Corporation COM 574599106 5639 143700 SH Put SOLE 143700 0 0 Masco Corporation COM 574599106 549 14000 SH Put OTR 1 14000 0 0 Masco Corporation COM 574599106 10261 261500 SH SOLE 261500 0 0 Masco Corporation COM 574599106 1130 28800 SH OTR 1 28800 0 0 Megalith Financial Acquisition Corp. CL A COM 58518F109 3435 341464 SH SOLE 341464 0 0 Megalith Financial Acquisition Corp. CL A COM 58518F109 184 18285 SH OTR 1 18285 0 0 Mellanox Technologies Ltd. SHS M51363113 45043 407006 SH SOLE 407006 0 0 Mellanox Technologies Ltd. SHS M51363113 821 7414 SH OTR 1 7414 0 0 Modern Media Acquisition Corp. COM 60765P103 13006 1243384 SH SOLE 1243384 0 0 Modern Media Acquisition Corp. COM 60765P103 387 37012 SH OTR 1 37012 0 0 Modern Media Acquisition Corp. *W EXP 05/17/202 60765P111 106 480654 SH SOLE 480654 0 0 Modern Media Acquisition Corp. *W EXP 05/17/202 60765P111 2 9544 SH OTR 1 9544 0 0 Monocle Acquisition Corporation COM 609754106 2607 263056 SH SOLE 263056 0 0 Monocle Acquisition Corporation COM 609754106 105 10552 SH OTR 1 10552 0 0 Monocle Acquisition Corporation *W EXP 12/06/202 609754114 89 263056 SH SOLE 263056 0 0 Monocle Acquisition Corporation *W EXP 12/06/202 609754114 4 10552 SH OTR 1 10552 0 0 Mudrick Capital Acquisition COM CLASS A 624745105 5087 500000 SH SOLE 500000 0 0 Mudrick Capital Acquisition *W EXP 02/12/202 624745113 245 500000 SH SOLE 500000 0 0 New Frontier Corporation COM CL A G6485P108 755 75000 SH SOLE 75000 0 0 Nuveen Credit Strategies Income Fund COM SHS 67073D102 41 5228 SH SOLE 5228 0 0 Oaktree Capital Group LLC UNIT CL A 674001201 124143 2505906 SH SOLE 2505906 0 0 Opes Acquisition Corp. COM 68373P100 3126 303381 SH SOLE 303381 0 0 Pivotal Acquisition Corp CL A COM 72583A101 6090 600000 SH SOLE 600000 0 0 Pivotal Acquisition Corp *W EXP 12/01/202 72583A119 810 600000 SH SOLE 600000 0 0 Pure Acquisition Corp. CL A 74621Q106 9126 899996 SH SOLE 899996 0 0 Pure Acquisition Corp. warrants *W EXP 04/17/202 74621Q114 484 447898 SH SOLE 447898 0 0 Red Hat, Inc. COM 756577102 234657 1249769 SH SOLE 1249769 0 0 Red Hat, Inc. COM 756577102 4028 21453 SH OTR 1 21453 0 0 Reebonz Holding Limited SHS G7457R122 7 1875 SH SOLE 1875 0 0 Regalwood Global Energy Ltd. COM CL A G74760102 3445 337752 SH SOLE 337752 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 7080 259800 SH Put SOLE 259800 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 480 17600 SH Put OTR 1 17600 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 28861 98500 SH Put SOLE 98500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 440 1500 SH Put OTR 1 1500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 50543 172500 SH Put SOLE 172500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 733 2500 SH Put OTR 1 2500 0 0 Spark Therapeutics, Inc. COM 84652J103 24408 238409 SH SOLE 238409 0 0 Spark Therapeutics, Inc. COM 84652J103 458 4470 SH OTR 1 4470 0 0 Sprint Corporation COM 85207U105 37556 5716274 SH SOLE 5716274 0 0 Sprint Corporation COM 85207U105 749 114048 SH OTR 1 114048 0 0 SunCoke Energy, Inc. COM 86722A103 9679 1089948 SH SOLE 1089948 0 0 SunTrust Banks, Inc. COM 867914103 180993 2879760 SH SOLE 2879760 0 0 SunTrust Banks, Inc. COM 867914103 1953 31073 SH OTR 1 31073 0 0 TKK Symphony Acquisition Corporation ORD SHS G88950103 4055 405113 SH SOLE 405113 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 18558 237800 SH Put SOLE 237800 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 289 3700 SH Put OTR 1 3700 0 0 The Blackstone Group Inc. COMMON STOCK 09260D107 7249 163200 SH SOLE 163200 0 0 The Blackstone Group Inc. COMMON STOCK 09260D107 11722 263900 SH Put SOLE 263900 0 0 The Blackstone Group Inc. COMMON STOCK 09260D107 1315 29600 SH Put OTR 1 29600 0 0 The Blackstone Group Inc. COMMON STOCK 09260D107 2456 55300 SH Put SOLE 55300 0 0 The Blackstone Group Inc. COMMON STOCK 09260D107 298 6700 SH Put OTR 1 6700 0 0 The Blackstone Group Inc. COMMON STOCK 09260D107 4717 106200 SH Put SOLE 106200 0 0 The Blackstone Group Inc. COMMON STOCK 09260D107 653 14700 SH Put OTR 1 14700 0 0 Thunder Bridge Acquisition, Ltd. SHS CLASS A G8857R100 2017 193428 SH SOLE 193428 0 0 Thunder Bridge Acquisition, Ltd. SHS CLASS A G8857R100 94 8976 SH OTR 1 8976 0 0 Thunder Bridge Acquisition, Ltd. *W EXP 01/01/202 G8857R126 757 375000 SH SOLE 375000 0 0 Tiberius Acquisition Corporation COM 88633A107 4583 450000 SH SOLE 450000 0 0 Tiberius Acquisition Corporation *W EXP 02/28/202 88633A115 205 450000 SH SOLE 450000 0 0 Total System Services, Inc. COM 891906109 1713 13352 SH SOLE 13352 0 0 Total System Services, Inc. COM 891906109 13 101 SH OTR 1 101 0 0 Tribune Media Company CL A 896047503 10773 233089 SH SOLE 233089 0 0 Tribune Media Company CL A 896047503 189 4093 SH OTR 1 4093 0 0 Trident Acquisitions Corp. COM 89615T106 13030 1260156 SH SOLE 1260156 0 0 Trident Acquisitions Corp. COM 89615T106 584 56511 SH OTR 1 56511 0 0 Trinity Merger Corp. COM CL A 89653L106 18905 1835397 SH SOLE 1835397 0 0 Trinity Merger Corp. COM CL A 89653L106 915 88836 SH OTR 1 88836 0 0 Trinity Merger Corp. *W EXP 05/11/202 89653L114 132 400000 SH SOLE 400000 0 0 Trinity Merger Corp. *W EXP 05/11/202 89653L114 17 50727 SH OTR 1 50727 0 0 Tuscan Holdings Corp. COM 90069K104 7895 799100 SH SOLE 799100 0 0 Tuscan Holdings Corp. *W EXP 04/01/202 90069K112 623 799100 SH SOLE 799100 0 0 Twelve Seas Investment Company SHS G9145A107 4826 475000 SH SOLE 475000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 13640 123800 SH Put SOLE 123800 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 198 1800 SH Put OTR 1 1800 0 0 VectoIQ Acquisition Corp. COM 92243N103 8506 839699 SH SOLE 839699 0 0 VectoIQ Acquisition Corp. COM 92243N103 797 78705 SH OTR 1 78705 0 0 Versum Materials, Inc. COM 92532W103 61808 1198302 SH SOLE 1198302 0 0 Versum Materials, Inc. COM 92532W103 1121 21734 SH OTR 1 21734 0 0 Voya (ING) Prime Rate Trust SH BEN INT 92913A100 2174 456729 SH SOLE 456729 0 0 WABCO Holdings Inc. COM 92927K102 28479 214775 SH SOLE 214775 0 0 WageWorks, Inc. COM 930427109 16317 321268 SH SOLE 321268 0 0 WellCare Health Plans, Inc. COM 94946T106 45013 157902 SH SOLE 157902 0 0 WellCare Health Plans, Inc. COM 94946T106 651 2284 SH OTR 1 2284 0 0 Western Asset High Income Opportunity Fun COM 95766K109 3632 707954 SH SOLE 707954 0 0 Worldpay, Inc. CL A 981558109 149815 1207114 SH SOLE 1207114 0 0 Worldpay, Inc. CL A 981558109 2209 17799 SH OTR 1 17799 0 0 Zayo Group Holdings, Inc. COM 98919V105 75559 2295923 SH SOLE 2295923 0 0 Zayo Group Holdings, Inc. COM 98919V105 1685 51209 SH OTR 1 51209 0 0