Compliance Officer

0001140361-14-041212.txt : 20141112 0001140361-14-041212.hdr.sgml : 20141111 20141112130957 ACCESSION NUMBER: 0001140361-14-041212 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141112 DATE AS OF CHANGE: 20141112 EFFECTIVENESS DATE: 20141112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WATER ISLAND CAPITAL LLC CENTRAL INDEX KEY: 0001222765 IRS NUMBER: 134100544 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-10693 FILM NUMBER: 141212884 BUSINESS ADDRESS: STREET 1: 41 MADISON AVENUE STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 BUSINESS PHONE: 212-584-2367 MAIL ADDRESS: STREET 1: 41 MADISON AVENUE STREET 2: 42ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10010 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001222765 XXXXXXXX 09-30-2014 09-30-2014 true 1 RESTATEMENT WATER ISLAND CAPITAL LLC

41 MADISON AVENUE 42ND FLOOR NEW YORK NY 10010

13F HOLDINGS REPORT 028-10693 N Joseph Kolinsky Compliance Officer 917-475-9259 Joseph Kolinsky New York NY 11-11-2014 0 191 2936202 false INFORMATION TABLE 2 form13fInfoTable.xml AbbVie Inc. COM 00287y959 40650 108400 SH Put SOLE 108400 0 0 AbbVie Inc. COM 00287y959 148235 257800 SH Put SOLE 257800 0 0 AbbVie Inc. COM 00287y959 17755 13400 SH Put SOLE 13400 0 0 Actavis Inc. SHS G0083B958 177840 34200 SH Put SOLE 34200 0 0 Actavis Inc. SHS G0083B108 8251776 34200 SH SOLE 34200 0 0 Agilent Technologies Inc. COM 00846U951 53509 146600 SH Put SOLE 146600 0 0 Agilent Technologies Inc. COM 00846U951 31354 24400 SH Put SOLE 24400 0 0 Agilent Technologies Inc. COM 00846U101 5567744 97714 SH SOLE 97714 0 0 Albemarle Corporation COM 012653951 265875 141800 SH Put SOLE 141800 0 0 Albemarle Corporation COM 012653951 58560 19200 SH Put SOLE 19200 0 0 Allergan Inc. COM 018490952 67915 159800 SH Put SOLE 159800 0 0 Allergan Inc. COM 018490952 63750 75000 SH Put SOLE 75000 0 0 Allergan Inc. COM 018490952 249805 106300 SH Put SOLE 106300 0 0 Allergan Inc. COM 018490902 210750 15000 SH Call SOLE 15000 0 0 Allergan Inc. COM 018490902 268750 25000 SH Call SOLE 25000 0 0 Allergan Inc. COM 018490102 32484037 182300 SH SOLE 182300 0 0 Alliance Data Systems Corp. PUT 018581958 57090 17300 SH Put SOLE 17300 0 0 Alliance Data Systems Corp. PUT 018581958 135150 25500 SH Put SOLE 25500 0 0 Alpha Natural Resources Inc. COM 02076X102 62248 25100 SH SOLE 25100 0 0 Ambit Biosciences Corp. COM 02318x100 1946791 126415 SH SOLE 126415 0 0 American Realty Cap Healthcare Trust COM 02917r108 134524288 12836287 SH SOLE 12836287 0 0 Annaly Cap Management Inc NOTE 4.000% 2/1 035710aa0 8680860 8352000 PRN SOLE 721416 0 0 Annies Inc. COM 03600t104 44667126 973140 SH SOLE 973140 0 0 Assured Guaranty Ltd. COM G0585R106 8466782 382075 SH SOLE 382075 0 0 AT&T COM 00206r952 2794220 1954000 SH Put SOLE 1954000 0 0 Athlon Energy Inc. COM 047477104 70819559 1216204 SH SOLE 1216204 0 0 Bally Technologies Inc. COM 05874b907 144375 55000 SH Call SOLE 55000 0 0 Bally Technologies Inc. COM 05874b957 64625 55000 SH Put SOLE 55000 0 0 Bally Technologies Inc. COM 05874b107 4438500 55000 SH SOLE 55000 0 0 Bank of Kentucky Financial Corporation COM 062896105 6762201 146273 SH SOLE 146273 0 0 Barclays Bank PLC IPATH S&P500 VIX 06742e711 1224856 39296 SH SOLE 39296 0 0 B/E Aerospace Inc. COM 073302951 248880 146400 SH Put SOLE 146400 0 0 B/E Aerospace Inc. COM 073302101 12295531 146480 SH SOLE 146480 0 0 BCE Inc COM NEW 05534b760 70678596 1652881 SH SOLE 1652881 0 0 Berry Plastics Group Inc COM 08579w953 26868 97700 SH Put SOLE 97700 0 0 Berry Plastics Group Inc COM 08579w103 1095113 43388 SH SOLE 43388 0 0 Bolt Technology Corp COM 097698104 12936285 589621 SH SOLE 589621 0 0 BPZ Resources Inc. NOTE 8.500% 10/0 055639AC2 6943820 7072000 PRN SOLE 1765076 0 0 Burger King Worldwide Inc. COM 121220957 59000 20000 SH Put SOLE 20000 0 0 Burger King Worldwide Inc. COM 121220957 90000 20000 SH Put SOLE 20000 0 0 Burger King Worldwide Inc. COM 121220957 2134080 395200 SH Put SOLE 395200 0 0 Burger King Worldwide Inc. COM 121220957 368490 51900 SH Put SOLE 51900 0 0 Cal Dive International Inc Del NOTE 5.000% 7/1 12802tab7 3738826 5741000 PRN SOLE 2558378 0 0 Carefusion Corp. COM 14170t101 1425420 31501 SH SOLE 31501 0 0 CF Industries Holdings Inc COM 125269950 82388 19500 SH Put SOLE 19500 0 0 CF Industries Holdings Inc COM 125269100 4092528 14657 SH SOLE 14657 0 0 Charter Communications Inc. CL A NEW 16117M955 25838 19500 SH Put SOLE 19500 0 0 Charter Communications Inc. CL A NEW 16117m305 2757507 18217 SH Put SOLE 18217 0 0 Chiquita Brands International Inc. COM 170032809 1686960 118800 SH SOLE 118800 0 0 Civeo Corp. COM 178787957 1679150 156200 SH Put SOLE 156200 0 0 Civeo Corp. COM 178787957 48850 195400 SH Put SOLE 195400 0 0 Civeo Corp. COM 178787907 3360 134400 SH Call SOLE 134400 0 0 Civeo Corp. COM 178787907 148 5900 SH Call SOLE 5900 0 0 Civeo Corp. COM 178787107 4029088 347036 SH SOLE 347036 0 0 Compuware Corp. COM 205638109 47637096 4489830 SH SOLE 4489830 0 0 Concur Technologies Inc. COM 206708959 513 4100 SH Put SOLE 4100 0 0 Concur Technologies Inc. COM 206708959 57860 105200 SH Put SOLE 105200 0 0 Concur Technologies Inc. NOTE 0.500% 6/1 206708AC3 652500 500000 PRN SOLE 4769 0 0 Concur Technologies Inc. COM 206708109 79657544 628115 SH SOLE 628115 0 0 Consol Energy Inc COM 20854p109 16657756 439983 SH SOLE 439983 0 0 Conversant Inc. COM 21249j105 31585864 922215 SH SOLE 922215 0 0 Covidien PLC SHS g2554f953 1400 4000 SH Put SOLE 4000 0 0 Covidien PLC SHS g2554f953 57720 96200 SH Put SOLE 96200 0 0 Covidien PLC SHS g2554f953 591120 656800 SH Put SOLE 656800 0 0 Covidien PLC SHS g2554f953 70125 55000 SH Put SOLE 55000 0 0 Covidien PLC SHS g2554f953 126945 65100 SH Put SOLE 65100 0 0 Covidien PLC SHS G2554F113 102270824 1182185 SH SOLE 1182185 0 0 Cubist Pharmaceuticals Inc. (CVR) RIGHT 229678123 354104 2950869 SH SOLE 2950869 0 0 Directv COM 25490A309 126147198 1458012 SH SOLE 1458012 0 0 Dish Network Corp. CL A 25470m959 106140 73200 SH Put SOLE 73200 0 0 Dish Network Corp. CL A 25470m959 81133 39100 SH Put SOLE 39100 0 0 Dish Network Corp. CL A 25470m109 7285270 112810 SH SOLE 112810 0 0 Dresser-Rand Group Inc. COM 261608103 43901093 533687 SH SOLE 533687 0 0 Dryships Inc. NOTE 5.000% 12/0 262498AB4 14508918 14674000 PRN SOLE 2126666 0 0 Einstein Noah Rest Group Inc COM 28257u104 12737290 631810 SH SOLE 631810 0 0 El Paso Pipeline Partners COM UNIT LPI 283702108 16032796 399223 SH SOLE 399223 0 0 EMC Corp Mas COM 268648952 126477 122200 SH Put SOLE 122200 0 0 EMC Corp Mas COM 268648952 117240 195400 SH Put SOLE 195400 0 0 EMC Corp Mas COM 268648102 5003460 171000 SH SOLE 171000 0 0 Energizer Holdings Inc COM 29266r958 64515 39100 SH Put SOLE 39100 0 0 Energizer Holdings Inc COM 29266r108 4213782 34200 SH SOLE 34200 0 0 Express Inc COM 30219e953 48840 244200 SH Put SOLE 244200 0 0 Express Inc COM 30219e953 2145 2600 SH Put SOLE 2600 0 0 Express Inc COM 30219e103 1927804 123498 SH SOLE 123498 0 0 Family Dollar Stores Inc COM 307000959 2995 119800 SH Put SOLE 119800 0 0 Family Dollar Stores Inc COM 307000109 112430853 1455604 SH SOLE 1455604 0 0 First United Bancorp Inc FLA COM 33740n105 12225970 1434973 SH SOLE 1434973 0 0 Foster Wheeler AG COM h27178104 152465759 4821814 SH SOLE 4821814 0 0 General Motors Co. COM 37045v100 15521946 485972 SH SOLE 485972 0 0 Gentiva Health Services Inc COM 37247a952 83088 195500 SH Put SOLE 195500 0 0 Gentiva Health Services Inc COM 37247a102 3321668 197954 SH SOLE 197954 0 0 Genworth Financial Inc. COM CL A 37247d106 14851195 1133679 SH SOLE 1133679 0 0 Glimcher Realty Trust SH BEN INT 379302952 973 38900 SH Put SOLE 38900 0 0 Glimcher Realty Trust SH BEN INT 379302952 2170 43400 SH Put SOLE 43400 0 0 Glimcher Realty Trust SH BEN INT 379302102 31666729 2338754 SH SOLE 2338754 0 0 Globalstar Inc. NOTE 8.000% 4/0 378973AD3 4613337 754661 PRN SOLE 1254111 0 0 Hudson City Bancorp COM 443683107 16139438 1660436 SH SOLE 1660436 0 0 Illumina Inc COM 452327959 8910 19800 SH Put SOLE 19800 0 0 Illumina Inc COM 452327109 98352 600 SH SOLE 600 0 0 Integrys Energy Group Inc COM 45822p105 58953207 909491 SH SOLE 909491 0 0 International Rectifier Corp COM 460254955 8620 172400 SH Put SOLE 172400 0 0 International Rectifier Corp COM 460254955 4095 23400 SH Put SOLE 23400 0 0 International Rectifier Corp COM 460254105 47511674 1210797 SH SOLE 1210797 0 0 Iron Mountain Inc COM 462846956 25673 48900 SH Put SOLE 48900 0 0 Iron Mountain Inc COM 462846106 797672 24431 SH SOLE 24431 0 0 Juniper Networks Inc. COM 48203R104 8549546 385984 SH SOLE 385984 0 0 Juniper Networks Inc. COM 48203R954 271210 293200 SH Put SOLE 293200 0 0 Juniper Networks Inc. COM 48203R954 65934 488400 SH Put SOLE 488400 0 0 Kinder Morgan Inc Del COM 49456b951 7269285 589800 SH Put SOLE 589800 0 0 Kinder Morgan Inc Del COM 49456b101 22612932 589800 SH SOLE 589800 0 0 Kinder Morgan Energy Partners UT LTD PARTNER 494550106 16199191 173662 SH SOLE 173662 0 0 Kinder Morgan Management LLC SHS 49455u100 15974431 169670 SH SOLE 169670 0 0 Kindred Healthcare Inc COM 494580953 161975 294500 SH Put SOLE 294500 0 0 Kindred Healthcare Inc COM 494580103 5502694 283644 SH SOLE 283644 0 0 Kodiak Oil & Gas Corp. COM 50015q950 424645 653300 SH Put SOLE 653300 0 0 Kodiak Oil & Gas Corp. COM 50015q100 8820052 649967 SH SOLE 649967 0 0 LIN Media LLC CL A COM 532771102 15472312 696951 SH SOLE 696951 0 0 Manitowoc Inc COM 563571108 11063968 471811 SH SOLE 471811 0 0 Medical Action Industries Inc. COM 58449L100 15407583 1118112 SH SOLE 1118112 0 0 Medtronic Inc. COM 585055106 402675 6500 SH SOLE 6500 0 0 Molson Coors Brewing Co CL B 60871r209 1818495 24429 SH SOLE 24429 0 0 Molson Coors Brewing Co CL B 60871r959 68750 50000 SH Put SOLE 50000 0 0 Morgans Hotel Group Co NOTE 2.375% 10/1 61748wab4 8728125 8750000 PRN SOLE 325415 0 0 Move Inc COM NEW 62458m207 19047714 908765 SH SOLE 908765 0 0 Multimedia Games Holdings Co Inc COM 625453105 5962320 165574 SH SOLE 165574 0 0 Mylan Inc. COM 628530957 328584 244300 SH Put SOLE 244300 0 0 Mylan Inc. COM 628530957 40343 48900 SH Put SOLE 48900 0 0 Mylan Inc. COM 628530107 13957515 306826 SH SOLE 306826 0 0 Now Inc. COM 67011p950 92768 195300 SH Put SOLE 195300 0 0 Now Inc. COM 67011p950 166090 97700 SH Put SOLE 97700 0 0 Now Inc. COM 67011p100 5785077 190236 SH SOLE 190236 0 0 Omniamerican Bancorp Inc COM 68216r107 14487151 571264 SH SOLE 571264 0 0 Omnicare Inc DBCV 3.250% 12/1 681904al2 515938 500000 PRN SOLE 6420 0 0 Outerwall Inc. COM 690070107 10963679 195431 SH SOLE 195431 0 0 Outerwall Inc. COM 690070957 581315 195400 SH Put SOLE 195400 0 0 Peabody Energy Corp. COM 704549104 8979177 725297 SH SOLE 725297 0 0 Pepco Holdings Inc COM 713291102 103247278 3858269 SH SOLE 3858269 0 0 Petsmart Inc COM 716768956 33338 63500 SH Put SOLE 63500 0 0 Petsmart Inc COM 716768106 4429618 63199 SH SOLE 63199 0 0 Pike Corp COM 721283959 1895 75800 SH Put SOLE 75800 0 0 Pike Corp COM 721283109 1902400 160000 SH SOLE 160000 0 0 Protective Life Corp. COM 743674103 126386726 1820872 SH SOLE 1820872 0 0 Protective Life Corp. COM 743674953 2463 19700 SH Put SOLE 19700 0 0 Rockwood Holdings Inc COM 774415103 71458732 934712 SH SOLE 934712 0 0 Safeway Inc. COM NEW 786514208 134278841 3914835 SH SOLE 3914835 0 0 Salesforce Com Inc. COM 79466L302 120813 2100 SH SOLE 2100 0 0 Shire PLC SPONSORED ADR 82481r956 131760 292800 SH Put SOLE 292800 0 0 Shire PLC SPONSORED ADR 82481r956 37355 48200 SH Put SOLE 48200 0 0 Shire PLC SPONSORED ADR 82481r956 3825 3000 SH Put SOLE 3000 0 0 Shire PLC SPONSORED ADR 82481r956 97020 58800 SH Put SOLE 58800 0 0 Shire PLC SPONSORED ADR 82481r106 115969173 447671 SH SOLE 447671 0 0 Sigma Aldrich Corp COM 826552951 473 2100 SH Put SOLE 2100 0 0 Sigma Aldrich Corp COM 826552101 42087750 309446 SH SOLE 309446 0 0 Sirius XM Holdings Inc. COM 82968B953 70000 2000000 SH Put SOLE 2000000 0 0 Sirius XM Holdings Inc. COM 82968B103 3156373 904405 SH SOLE 904405 0 0 SPDR S&P 500 TR UNIT 78462F953 80032 97600 SH Put SOLE 97600 0 0 SPDR S&P 500 TR UNIT 78462F953 174346 97400 SH Put SOLE 97400 0 0 Shutterfly Inc COM 82568p954 68320 97600 SH Put SOLE 97600 0 0 Shutterfly Inc COM 82568p304 4817169 98834 SH SOLE 98834 0 0 SWS Group Inc. COM 78503N107 2298580 333611 SH SOLE 333611 0 0 Talisman Energy Inc COM 87425e103 3056157 353313 SH SOLE 353313 0 0 Taminco COM 87509u106 12900969 494290 SH SOLE 494290 0 0 Tibco Software Inc COM 88632q103 46687445 1975770 SH SOLE 1975770 0 0 Time Warner Cable Inc COM 88732j957 334890 109800 SH Put SOLE 109800 0 0 Time Warner Cable Inc COM 88732j957 1094565 169700 SH Put SOLE 169700 0 0 Time Warner Cable Inc COM 88732j957 124500 15000 SH Put SOLE 15000 0 0 Time Warner Cable Inc COM 88732j207 60751227 423383 SH SOLE 423383 0 0 Time Warner Inc COM NEW 887317303 1827603 24300 SH SOLE 24300 0 0 Tim Hortons Inc COM 88706m103 47943799 608852 SH SOLE 608852 0 0 T-Mobile US Inc. COM 872590104 8792214 304545 SH SOLE 304545 0 0 T-Mobile US Inc. COM 872590954 225764 293200 SH Put SOLE 293200 0 0 TriQuint Semiconductor Inc. COM 89674K103 102066492 5352202 SH SOLE 5352202 0 0 TRW Automotive Holdings Corp COM 87264s906 394210 99800 SH Call SOLE 99800 0 0 TRW Automotive Holdings Corp COM 87264s106 66486926 656661 SH SOLE 656661 0 0 TW Telecom Inc COM 87311l904 150298 76100 SH Call SOLE 76100 0 0 TW Telecom Inc COM 87311l954 82335 49900 SH Put SOLE 49900 0 0 TW Telecom Inc COM 87311l104 146304255 3516084 SH SOLE 3516084 0 0 Tyson Foods Inc. CL A 902494953 10973 146300 SH Put SOLE 146300 0 0 Tyson Foods Inc. CL A 902494953 87930 195400 SH Put SOLE 195400 0 0 Tyson Foods Inc. CL A 902494103 9329627 236973 SH SOLE 236973 0 0 Tyson Foods Inc. UNIT 99/99/9999 902494301 4948464 98379 SH SOLE 98379 0 0 URS Corp New COM 903236107 126271384 2191831 SH SOLE 2191831 0 0 Valeant Pharmaceuticals Intl COM 91911k902 1635000 100000 SH Call SOLE 100000 0 0 Valeant Pharmaceuticals Intl COM 91911k902 1444275 117900 SH Call SOLE 117900 0 0 Valeant Pharmaceuticals Intl COM 91911k902 171750 15000 SH Call SOLE 15000 0 0 Viacom Inc New CL B 92553p951 161205 97700 SH Put SOLE 97700 0 0 Viacom Inc New CL B 92553p201 7518577 97720 SH SOLE 97720 0 0 Weatherford International PLC ORD SHS g48833950 278649 341900 SH Put SOLE 341900 0 0 Weatherford International PLC ORD SHS g48833950 162224 390900 SH Put SOLE 390900 0 0 Weatherford International PLC ORD SHS g48833100 8637970 415287 SH SOLE 415287 0 0 XRS Corp COM 983845108 3790622 682995 SH SOLE 682995 0 0