-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FIK7ZJ8n/LUN6hwdlZ0BkJqtd0N6uMJdN2w/6W/ACAvcEDPiZSag/afwfyvbtP3/ zmymhC+ec1yoqIWQjOICUA== 0001144204-10-060386.txt : 20101115 0001144204-10-060386.hdr.sgml : 20101115 20101115120654 ACCESSION NUMBER: 0001144204-10-060386 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101115 DATE AS OF CHANGE: 20101115 EFFECTIVENESS DATE: 20101115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WESTCHESTER CAPITAL MANAGEMENT INC /NY/ CENTRAL INDEX KEY: 0000938773 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04764 FILM NUMBER: 101190291 BUSINESS ADDRESS: STREET 1: 100 SUMMIT LAKE DRIVE CITY: VALHALLA STATE: NY ZIP: 10595 MAIL ADDRESS: STREET 1: WESTCHESTER CAPITAL MANAGEMENT INC/NY STREET 2: 100 SUMMIT LAKE DRIVE CITY: VALHALLA STATE: NY ZIP: 10595 13F-HR 1 v202336_13f-hr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2010 Check here if Amendment [ ]; Amendment Number: __________ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holding entries. Institutional Investment Manager Filing this Report: Name: Westchester Capital Management, Inc. ------------------------------------ Address: 100 Summit Lake Drive ------------------------------------ Valhalla, NY 10595 ------------------------------------ Form 13F File Number: 28-04764 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Frederick W. Green ------------------------------------ Title: President ------------------------------------ Phone: 914-741-5600 ------------------------------------ Signature, Place, and Date of Signing: /s/ Frederick W. Green Valhalla, New York 11/15/10 - ---------------------------------- --------------------------- -------- [Signature] [City, State] [Date] Report Type (Check only one.): [x] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 130 Form 13F Information Table Value Total: $2,568,048 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NO. FORM 13F FILE NUMBER NAME - --- -------------------- ---- 1 28-11493 Green & Smith Investment Management L.L.C. -2- FORM 13F Westchester Capital Management, Inc. September 30, 2010
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- ------------------ -------- -------- ---------- --- ----- ---------- -------- ---- ------ ---- ADC Telecommunications, Inc. COM NEW 000886309 86,155 6,799,957 SH (a) Sole Sole ADC Telecommunications, Inc. COM NEW 000886309 1,922 151,700 SH (b) Other 1 Sole AT&T Inc. COM 00206R102 1,859 65,000 SH (a) Sole Sole AT&T Inc. COM 00206R102 1,859 650 SH PUT (a) Sole Sole Advanced Micro Devices Inc. NOTE 5.75% 8/1 007903AN7 532 520,000 PRN (a) Sole Sole AirTran Holdings, Inc. COM 00949P108 34,174 4,649,500 SH (a) Sole Sole AirTran Holdings, Inc. COM 00949P108 739 100,500 SH (b) Other 1 Sole Airgas, Inc. COM 009363102 98,042 1,442,861 SH (a) Sole Sole Airgas, Inc. COM 009363102 2,378 35,000 SH (b) Other 1 Sole Alberto-Culver Company COM 013078100 43,641 1,159,119 SH (a) Sole Sole Alberto-Culver Company COM 013078100 945 25,100 SH (b) Other 1 Sole Alcon Inc. ADR COM SHS H01301102 118,940 713,113 SH (a) Sole Sole Alcon Inc. ADR COM SHS H01301102 3,300 19,788 SH (b) Other 1 Sole Allegheny Energy Inc. COM 017361106 99,679 4,065,200 SH (a) Sole Sole Allegheny Energy Inc. COM 017361106 2,447 99,800 SH (b) Other 1 Sole AmeriCredit Corp. COM 03060R101 70,393 2,877,882 SH (a) Sole Sole AmeriCredit Corp. COM 03060R101 1,536 62,800 SH (b) Other 1 Sole American Electric Power Co. Inc. COM 025537101 1,456 40,200 SH (a) Sole Sole American Electric Power Co. Inc. COM 025537101 1,456 402 SH PUT (a) Sole Sole ArcSight, Inc. COM 039666102 34,748 797,699 SH (a) Sole Sole ArcSight, Inc. COM 039666102 1,189 27,300 SH (b) Other 1 Sole Blackstone Group LP COM UNIT LTD 09253U108 9,212 7,259 SH PUT (a) Sole Sole Blackstone Group LP COM UNIT LTD 09253U108 744 586 SH PUT (b) Other 1 Sole Bowne & Co. Inc. COM 103043105 28,648 2,528,500 SH (a) Sole Sole Bowne & Co. Inc. COM 103043105 1,374 121,300 SH (b) Other 1 Sole Burger King Holdings, Inc. COM 121208201 850 35,600 SH (a) Sole Sole Burger King Holdings, Inc. COM 121208201 732 30,661 SH (b) Other 1 Sole California Pizza Kitchen, Inc. COM 13054D109 4,875 285,777 SH (a) Sole Sole California Pizza Kitchen, Inc. COM 13054D109 178 10,460 SH (b) Other 1 Sole Casey's General Stores, Inc. COM 147528103 6,451 154,508 SH (a) Sole Sole Casey's General Stores, Inc. COM 147528103 372 8,920 SH (b) Other 1 Sole CenturyLink, Inc. COM 156700106 256 6,500 SH (a) Sole Sole Citigroup Inc. COM 172967101 1,365 350,000 SH (a) Sole Sole Coca-Cola Enterprises Inc. COM 191219104 16,411 529,400 SH (a) Sole Sole Coca-Cola Enterprises Inc. COM 191219104 329 10,600 SH (b) Other 1 Sole Cogent, Inc. COM 19239Y108 5,906 555,100 SH (a) Sole Sole Cogent, Inc. COM 19239Y108 695 65,300 SH (b) Other 1 Sole Comcast Corporation New CL A SPL 20030N200 35,706 2,099,100 SH (a) Sole Sole Comcast Corporation New CL A SPL 20030N200 1,476 86,800 SH (b) Other 1 Sole Dollar Thrifty Automotive Group, Inc. COM 256743105 99,116 1,976,780 SH (a) Sole Sole Dollar Thrifty Automotive Group, Inc. COM 256743105 2,462 49,111 SH (b) Other 1 Sole EMC Corp. Mass COM 268648102 5,955 293,200 SH (a) Sole Sole EMC Corp. Mass COM 268648102 138 6,800 SH (b) Other 1 Sole Fomento Economico Mexicano SAB de CV SPON ADR UNITS 344419106 6,924 136,485 SH (a) Sole Sole Fomento Economico Mexicano SAB de CV SPON ADR UNITS 344419106 224 4,417 SH (b) Other 1 Sole Frontier Communications Corporation COM 35906A108 118 14,402 SH (a) Sole Sole GLG Partners Inc. COM 37929X107 34,851 7,744,700 SH (a) Sole Sole GLG Partners Inc. COM 37929X107 1,155 256,700 SH (b) Other 1 Sole Genzyme Corporation COM 372917104 95,404 1,347,702 SH (a) Sole Sole Genzyme Corporation COM 372917104 3,094 43,700 SH (b) Other 1 Sole Halliburton Company COM 406216101 5,785 174,917 SH (a) Sole Sole Halliburton Company COM 406216101 406 12,269 SH (b) Other 1 Sole Hertz Global Holdings, Inc. COM 42805T105 9,591 905,700 SH (a) Sole Sole Hertz Global Holdings, Inc. COM 42805T105 178 16,800 SH (b) Other 1 Sole Hewitt Associates, Inc. COM 42822Q100 66,623 1,321,100 SH (a) Sole Sole Hewitt Associates, Inc. COM 42822Q100 1,457 28,900 SH (b) Other 1 Sole Huntsman Corporation COM 447011107 36,722 3,176,658 SH (a) Sole Sole Huntsman Corporation COM 447011107 1,273 110,100 SH (b) Other 1 Sole iShares Tr NASDQ BIO INDX 464287556 5,744 666 SH PUT (a) Sole Sole iShares Tr NASDQ BIO INDX 464287556 181 21 SH PUT (b) Other 1 Sole iShares Inc. MSCI SPAIN 464286764 610 150 SH PUT (a) Sole Sole iShares Inc. MSCI MEX INVEST 464286822 3,752 780 SH PUT (a) Sole Sole iShares Inc. MSCI MEX INVEST 464286822 207 39 SH PUT (b) Other 1 Sole iShares Inc. MSCI MEX INVEST 464286822 8 150 SH (a) Sole Sole iShares Inc. MSCI MEX INVEST 464286822 3 50 SH (b) Other 1 Sole KKR & Co. lp Del COM UNITS 48248M102 12,404 1,170,234 SH (a) Sole Sole KKR & Co. lp Del COM UNITS 48248M102 710 66,940 SH (b) Other 1 Sole Kinross Gold Corporation COM NO PAR 496902404 89,059 4,747,793 SH (a) Sole Sole Kinross Gold Corporation COM NO PAR 496902404 2,708 144,373 SH (b) Other 1 Sole L-1 Identity Solutions, Inc. COM 50212A106 1,613 137,548 SH (a) Sole Sole L-1 Identity Solutions, Inc. COM 50212A106 255 21,700 SH (b) Other 1 Sole Liberty Acquisition Holdings Corp. COM 53015Y107 14,462 1,405,400 SH (a) Sole Sole Liberty Acquisition Holdings Corp. COM 53015Y107 1,575 153,100 SH (b) Other 1 Sole Liberty Media Corp. New INT COM SER A 53071M104 4,241 309,300 SH (a) Sole Sole Liberty Media Corp. New INT COM SER A 53071M104 100 7,300 SH (b) Other 1 Sole Mariner Energy, Inc. COM 56845T305 25,753 1,062,868 SH (a) Sole Sole Mariner Energy, Inc. COM 56845T305 449 18,519 SH (b) Other 1 Sole Market Vectors ETF TR GBL ALTER ENRG 57060U407 476 23,100 SH (a) Sole Sole Market Vectors ETF TR GBL ALTER ENRG 57060U407 39 1,900 SH (b) Other 1 Sole Market Vectors ETF TR GBL ALTER ENRG 57060U407 7,112 3,449 SH PUT (a) Sole Sole Market Vectors ETF TR GBL ALTER ENRG 57060U407 606 294 SH PUT (b) Other 1 Sole Market Vectors ETF TR COAL ETF 57060U837 5,444 1,456 SH PUT (a) Sole Sole Market Vectors ETF TR COAL ETF 57060U837 165 44 SH PUT (b) Other 1 Sole McAfee Inc. COM 579064106 200,529 4,243,095 SH (a) Sole Sole McAfee Inc. COM 579064106 5,019 106,200 SH (b) Other 1 Sole Mirant Corporation COM 60467R100 3,615 362,920 SH (a) Sole Sole Mirant Corporation COM 60467R100 203 20,400 SH (b) Other 1 Sole Motorola, Inc. COM 620076109 23,254 2,726,100 SH (a) Sole Sole Motorola, Inc. COM 620076109 679 79,600 SH (b) Other 1 Sole NBTY Inc. COM 628782104 78,506 1,427,900 SH (a) Sole Sole NBTY Inc. COM 628782104 2,051 37,300 SH (b) Other 1 Sole Netezza Corporation COM 64111N101 20,307 753,500 SH (a) Sole Sole Netezza Corporation COM 64111N101 432 16,048 SH (b) Other 1 Sole News Corporation CL A 65248E104 11,980 917,300 SH (a) Sole Sole News Corporation CL A 65248E104 303 23,200 SH (b) Other 1 Sole Pactiv Corporation COM 695257105 158,361 4,801,721 SH (a) Sole Sole Pactiv Corporation COM 695257105 3,937 119,380 SH (b) Other 1 Sole Pfizer Inc. COM 717081103 1,717 100,000 SH (a) Sole Sole Pfizer Inc. COM 717081103 1,717 1,000 SH PUT (a) Sole Sole Potash Corporation of Saskatchewan COM 73755L107 235,938 1,638,000 SH (a) Sole Sole Potash Corporation of Saskatchewan COM 73755L107 5,099 35,400 SH (b) Other 1 Sole Powershares Global ETF Fd S&P 500 BUYWRT 73936G308 1,418 66,956 SH (a) Sole Sole Psychiatric Solutions, Inc. COM 74439H108 100,015 2,981,061 SH (a) Sole Sole Psychiatric Solutions, Inc. COM 74439H108 2,267 67,570 SH (b) Other 1 Sole Qwest Communications International Inc. COM 749121109 172,332 27,485,200 SH (a) Sole Sole Qwest Communications International Inc. COM 749121109 3,691 588,600 SH (b) Other 1 Sole Rio Tinto plc SPONSORED ADR 767204100 19,209 327,071 SH (a) Sole Sole Rio Tinto plc SPONSORED ADR 767204100 1,116 19,000 SH (b) Other 1 Sole SLM Corporation COM 78442P106 35,676 3,088,800 SH (a) Sole Sole SLM Corporation COM 78442P106 1,862 161,200 SH (b) Other 1 Sole SPDR S&P 500 ETF Tr TR UNIT 78462F103 110,706 9,700 SH PUT (a) Sole Sole SPDR S&P 500 ETF Tr TR UNIT 78462F103 3,424 300 SH PUT (b) Other 1 Sole SandRidge Energy Inc. COM 80007P307 0 1 SH (a) Sole Sole Select Sector SPDR Tr SBI MATERIALS 81369Y100 7,349 2,242 SH PUT (a) Sole Sole Select Sector SPDR Tr SBI MATERIALS 81369Y100 800 244 SH PUT (b) Other 1 Sole SunPower Corp. COM CL B 867652307 18,056 1,302,768 SH (a) Sole Sole SunPower Corp. COM CL B 867652307 903 65,120 SH (b) Other 1 Sole Talecris Biotherapeutics Holdings Corp. COM 874227101 9,532 416,591 SH (a) Sole Sole Talecris Biotherapeutics Holdings Corp. COM 874227101 162 7,100 SH (b) Other 1 Sole Tomkins plc SPONSORED ADR 890030208 592 29,000 SH (a) Sole Sole Transocean Inc. NOTE 1.625% 12/1 893830AU3 997 1,000,000 PRN (a) Sole Sole Valeant Pharmaceuticals International COM 91911K102 26,623 1,062,806 SH (a) Sole Sole Valeant Pharmaceuticals International COM 91911K102 1,413 56,400 SH (b) Other 1 Sole Verizon Communications Inc. COM 92343V104 3,846 118,000 SH (a) Sole Sole Verizon Communications Inc. COM 92343V104 1,890 580 SH PUT (a) Sole Sole Verizon Communications Inc. COM 92343V104 1,955 600 SH PUT (a) Sole Sole WuXi PharmaTech (Cayman) Inc. SPONS ADR SHS 929352102 1,341 78,162 SH (a) Sole Sole WuXi PharmaTech (Cayman) Inc. SPONS ADR SHS 929352102 67 3,900 SH (b) Other 1 Sole ZymoGenetics, Inc. COM 98985T109 14,163 1,452,644 SH (a) Sole Sole ZymoGenetics, Inc. COM 98985T109 875 89,700 SH (b) Other 1 Sole Total 2,568,048
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