WATER ISLAND CAPITAL LLC

HTTP://WWW.WATERISLANDCAPITAL.COM NEW YORK, NY Investment Advisor How do I update this listing?

Water Island Capital is based out of New York. Water Island Capital is a large advisory firm with 10 clients and discretionary assets under management (AUM) of $3,008,680,925 (Form ADV from 2019-03-27). Their last reported 13F filing for Q2 2019 included $2,170,779,000 in managed 13F securities and a top 10 holdings concentration of 54.03%. Water Island Capital's largest holding is L3 Technologies Inc with shares held of 709,046. Water Island Capital has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 83 13F filings, 8 13D filings, and 64 13G filings

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06/30/2019

13F Sector Allocation Over Time

06/30/2019

13F Activity

  • Market Value $2.171 Billion
  • Prior Market Value $1.999 Billion
  • New Purchases51 stocks
  • Additional Purchases33 stocks
  • Sold out of94 stocks
  • Reduced holdings in10 stocks
  • Top 10 Holdings % 54.03 %
  • Turnover % [1]:146.46%
  • Turnover Alt % [2]: 61.22 %
  • Time Held Top20:0.45 quarters
  • Time Held Top10:0.60 quarters
  • Time Held All:1.22 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -0.07%
Performance Last 4 Quarters: 0.74%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
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Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
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13F Filings Available:
  • 2019-06-30 - 13F-HR/A (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR/A (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR/A (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR/A (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR/A (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR/A (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR/A (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR/A (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR/A (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR/A (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR/A (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR/A (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR/A (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR/A (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR/A (Subscription required)
  • 2009-12-31 - 13F-HR/A (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR/A (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR/A (Subscription required)
  • 2005-06-30 - 13F-HR/A (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR/A (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

WATER ISLAND CAPITAL, LLC
Classified as Hedge Fund
41 MADISON AVENUE 42ND FLOOR
NEW YORK NY    10010-2202
Country: United States

Business Phone: 800-560-8210
Fax: 646-513-2642
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 43
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities:
Total Number of Clients: 10
Amount of client funds and securities by related persons: 133,011,000
Total Number of clients from related persons: 3
Disclosures: 11.C (2),11.C (4),11.C (5)
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Recent Insider Transactions

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WATER ISLAND CAPITAL,LLC

ownership team - last updated 2019-03-27
Name Title Start Date Direct/Indirect % Ownership
FOLTYNOWICZ, ROGER, PHILLIP MANAGEMENT COMMITTEE MEMBER 12/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
JOHN SABBOTT ORRICO MINORITY OWNER direct 2010-12-01
CHEW, CHRISTINA SENIOR MANAGING PARTNER & MANAGEMENT COMMITTEE MEMBER 12/01/2013 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC SENIOR MANAGING PARTNER & MANAGEMENT COMMITTEE MEMBER direct 2013-12-01
HICKEY, JONATHAN, THOMAS MANAGEMENT COMMITTEE MEMBER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MANAGEMENT COMMITTEE MEMBER direct 2014-11-01
ORRICO, JOHN, SABBOTT MANAGING MEMBER AND MANAGEMENT COMMITTEE MEMBER 01/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MANAGING MEMBER AND MANAGEMENT COMMITTEE MEMBER direct 2000-01-01
WATER ISLAND CAPITAL,LLC MANAGING MEMBER direct 2000-01-01
WATER ISLAND CAPITAL,LLC MANAGING MEMBER & MANAGEMENT COMMITTEE MEMBER direct 2000-01-01
WIC ADVISORS, LLC PRESIDENT direct 2005-11-01
CHWAZIK, LUDMILA CHIEF COMPLIANCE OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC CHIEF COMPLIANCE OFFICER direct 2016-11-01
APG ASSET MANAGEMENT US, INC CHIEF COMPLIANCE OFFICER direct 2011-06-01
DUNLEAVY, JUSTIN, MICHAEL MANAGEMENT COMMITTEE MEMBER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MANAGEMENT COMMITTEE MEMBER direct 2017-01-01
Watkins, Curtis, Barger MANAGEMENT COMMITTEE MEMBER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MANAGEMENT COMMITTEE MEMBER direct 2017-01-01
WATER ISLAND CAPITAL PARTNERS LP MANAGING MEMBER 02/01/2018 Direct 75% or more
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MANAGING MEMBER direct 2018-02-01
WATER ISLAND CAPITAL,LLC GENERAL PARTNER indirect 2018-02-01
ORRICO, JOHN, SABBOTT LIMITED PARTNER WATER ISLAND CAPITAL PARTNERS LP 02/01/2018 Indirect 75% or more
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MANAGING MEMBER AND MANAGEMENT COMMITTEE MEMBER direct 2000-01-01
WATER ISLAND CAPITAL,LLC MANAGING MEMBER direct 2000-01-01
WATER ISLAND CAPITAL,LLC MANAGING MEMBER & MANAGEMENT COMMITTEE MEMBER direct 2000-01-01
WIC ADVISORS, LLC PRESIDENT direct 2005-11-01
WATER ISLAND CAPITAL PARTNERS GP LLC GENERAL PARTNER WATER ISLAND CAPITAL PARTNERS LP 02/01/2018 Indirect Other
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MANAGING MEMBER direct 2018-02-01
WATER ISLAND CAPITAL,LLC GENERAL PARTNER indirect 2018-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WATER ISLAND MERGER ARBITRAGE INSTITUTIONAL COMMINGLED FUND, LP United States 805-1059321991 Other Private Fund COMMINGLED INSTITUTIONAL FUND 115,758,341 50,000,000
WATER ISLAND EVENT-DRIVEN FUND, LLC United States 805-1872852231 Hedge Fund 7,990,172 1,000,000 Fund of Funds
WATER ISLAND LEVARB FUND, LP United States 805-1270304054 Hedge Fund 9,262,430 250,000

WATER ISLAND CAPITAL,LLC

ownership team - last updated 2017-03-29
Name Title Start Date Direct/Indirect % Ownership
FOLTYNOWICZ, ROGER, PHILLIP MINORITY OWNER 12/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
JOHN SABBOTT ORRICO MINORITY OWNER direct 2010-12-01
MUNN, TODD, WISTAR MINORITY OWNER 12/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
JOHN SABBOTT ORRICO MINORITY OWNER direct 2010-12-01
SCHONBERG, JONATHAN, NEAL MINORITY OWNER 03/01/2006 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MINORITY OWNER direct 2006-03-01
WATER ISLAND CAPITAL,LLC MINORITY OWNER direct 2010-12-01
CAMPBELL, MARK, ALLEN MINORITY OWNER 01/01/2004 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MINORITY OWNER direct 2004-01-01
WATER ISLAND CAPITAL,LLC MINORITY OWNER direct 2010-12-01
CHEW, CHRISTINA SENIOR MANAGING PARTNER & MANAGEMENT COMMITTEE MEMBER 12/01/2013 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC SENIOR MANAGING PARTNER & MANAGEMENT COMMITTEE MEMBER direct 2013-12-01
BINDAL, ADITYA CHIEF RISK OFFICER 09/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC CHIEF RISK OFFICER direct 2015-09-01
OSOWIECKI, MATTHEW, JAMES MANAGEMENT COMMITEE MEMBER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MINORITY OWNER direct 2010-01-01
WATER ISLAND CAPITAL,LLC MANAGEMENT COMMITEE MEMBER direct 2014-11-01
HICKEY, JONATHAN, THOMAS MANAGEMENT COMMITTEE MEMBER 11/01/2014 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MANAGEMENT COMMITTEE MEMBER direct 2014-11-01
ORRICO, JOHN, SABBOTT MANAGING MEMBER AND MANAGEMENT COMMITTEE MEMBER 01/01/2000 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MANAGING MEMBER AND MANAGEMENT COMMITTEE MEMBER direct 2000-01-01
WATER ISLAND CAPITAL,LLC MANAGING MEMBER direct 2000-01-01
WATER ISLAND CAPITAL,LLC MANAGING MEMBER & MANAGEMENT COMMITTEE MEMBER direct 2000-01-01
WIC ADVISORS, LLC PRESIDENT direct 2005-11-01
CHWAZIK, LUDMILA CHIEF COMPLIANCE OFFICER 11/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC CHIEF COMPLIANCE OFFICER direct 2016-11-01
APG ASSET MANAGEMENT US, INC CHIEF COMPLIANCE OFFICER direct 2011-06-01
DUNLEAVY, JUSTIN, MICHAEL MANAGEMENT COMMITTEE MEMBER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MANAGEMENT COMMITTEE MEMBER direct 2017-01-01
Watkins, Curtis, Barger MANAGEMENT COMMITTEE MEMBER 01/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
WATER ISLAND CAPITAL,LLC MANAGEMENT COMMITTEE MEMBER direct 2017-01-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
WATER ISLAND GLOBAL MASTER, LP Cayman Islands 805-3561402595 Hedge Fund 39,011,252 1,000,000 Master Fund

WhaleScore history for WATER ISLAND CAPITAL LLC

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**EXPERIMENTAL** Current International Short Positions

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Holder Issuer Net Short Position Position Date Origin

Short Position History (last 100)

Holder Net Short Position Position Date Origin
Water Island Capital LLC AMEC PLC 1.44% 2014-11-13 UK
Water Island Capital LLC AMEC PLC 1.34% 2014-11-04 UK
Water Island Capital LLC AMEC PLC 1.46% 2014-06-13 UK
Water Island Capital LLC AMEC PLC 1.36% 2014-06-04 UK
Water Island Capital LLC AMEC PLC 1.19% 2014-03-27 UK
Water Island Capital LLC AMEC PLC 1.01% 2014-03-18 UK
Water Island Capital LLC AMEC PLC 0.83% 2014-02-28 UK

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