General Counsel

0001085146-18-002631.txt : 20181113 0001085146-18-002631.hdr.sgml : 20181113 20181113162503 ACCESSION NUMBER: 0001085146-18-002631 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181113 DATE AS OF CHANGE: 20181113 EFFECTIVENESS DATE: 20181113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COWEN INC. CENTRAL INDEX KEY: 0001466538 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14571 FILM NUMBER: 181178320 BUSINESS ADDRESS: STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-845-7900 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: COWEN GROUP, INC. DATE OF NAME CHANGE: 20091102 FORMER COMPANY: FORMER CONFORMED NAME: LexingtonPark Parent Corp DATE OF NAME CHANGE: 20090617 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001466538 XXXXXXXX 09-30-2018 09-30-2018 false COWEN INC.

599 LEXINGTON AVENUE, 20TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-14571 N Owen Littman General Counsel 212-201-4841 /s/ Owen Littman New York NY 11-07-2018 5 569 1094339 1 0001066036 028-04125 COWEN & COMPANY, LLC 2 0000917380 028-18771 COWEN EXECUTION SERVICES LLC 3 0001475770 028-13626 Cowen Investment Management LLC 4 0001731137 028-18662 Margate Capital Management LP 5 0001275893 028-10674 RAMIUS ADVISORS LLC INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 22ND CENTY GROUP INC COM 90137F103 123 43700 SH DFND 1 43700 0 0 ABBOTT LABS COM 002824100 53 5900 SH Call DFND 3 5900 0 0 ABBOTT LABS COM 002824100 17 10600 SH Put DFND 3 10600 0 0 ACCELERATE DIAGNOSTICS INC COM 00430H102 7 35300 SH Put DFND 1 35300 0 0 ACTIVISION BLIZZARD INC COM 00507V109 12535 150678 SH DFND 4 150678 0 0 ACTIVISION BLIZZARD INC COM 00507V109 20 40000 SH Put DFND 4 40000 0 0 ACXIOM HOLDINGS INC COM 005125109 4447 90000 SH DFND 1 90000 0 0 ADIENT PLC ORD SHS G0084W101 42 10000 SH Put DFND 1 10000 0 0 ADOBE SYS INC COM 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31688 0 0 LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 1018 100000 SH DFND 3 100000 0 0 LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 0 36 SH DFND 1 36 0 0 LEO HOLDINGS CORP *W EXP 02/07/202 G5463L113 445 350048 SH DFND 1 350048 0 0 LF CAP ACQUISITION CORP *W EXP 06/22/202 50200K116 14 26082 SH DFND 1 26082 0 0 LIBERTY EXPEDIA HOLDINGS SER A COM 53046P109 2877 61170 SH DFND 3 61170 0 0 LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 13334 306957 SH DFND 3 306957 0 0 LIONS GATE ENTMNT CORP CL B NON VTG 535919500 1157 49657 SH DFND 4 49657 0 0 LONGEVITY ACQUISITION CORP UNIT 08/29/2024 G56372108 4476 437064 SH DFND 1 437064 0 0 LOWES COS INC COM 548661107 46 2600 SH Call DFND 3 2600 0 0 LOWES COS INC COM 548661107 26 7500 SH Put DFND 3 7500 0 0 LUMENTUM HLDGS INC COM 55024U109 524 8742 SH DFND 5 8742 0 0 MAGNOLIA OIL & GAS CORP *W EXP 07/31/202 559663117 1813 387419 SH DFND 1 387419 0 0 MANULIFE FINL CORP COM 56501R106 447 24971 SH DFND 3 24971 0 0 MARINUS PHARMACEUTICALS INC COM 56854Q101 186 18600 SH DFND 1 18600 0 0 MATLIN & PARTNERS ACQUISITIO *W EXP 05/28/202 57682V114 375 500000 SH DFND 3 500000 0 0 MATLIN & PARTNERS ACQUISITIO *W EXP 05/28/202 57682V114 117 155973 SH DFND 1 155973 0 0 MATLIN & PARTNERS ACQUISITIO CL A 57682V106 65 6505 SH DFND 1 6505 0 0 MATLIN & PARTNERS ACQUISITIO CL A 57682V106 6059 605250 SH DFND 3 605250 0 0 MAXIM INTEGRATED PRODS INC COM 57772K101 70 100000 SH Put DFND 4 100000 0 0 MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 30 50200 SH DFND 1 50200 0 0 MEGALITH FINL ACQUISITION CO CL A COM 58518F109 1414 148513 SH DFND 1 148513 0 0 MEGALITH FINL ACQUISITION CO UNIT 09/30/2025 58518F208 325 32214 SH DFND 1 32214 0 0 MEGALITH FINL ACQUISITION CO UNIT 09/30/2025 58518F208 8372 828900 SH DFND 3 828900 0 0 MERCK & CO INC COM 58933Y105 132 10100 SH Call DFND 3 10100 0 0 MERCK & CO INC COM 58933Y105 26 17300 SH Put DFND 3 17300 0 0 MICROSOFT CORP COM 594918104 6979 61020 SH DFND 4 61020 0 0 MICROSOFT CORP COM 594918104 62 3500 SH Call DFND 3 3500 0 0 MICROSOFT CORP COM 594918104 6 51 SH DFND 3 51 0 0 MICROSOFT CORP COM 594918104 25 7500 SH Put DFND 3 7500 0 0 MIDSTATES PETE CO INC COM PAR 59804T407 89 10006 SH DFND 1 10006 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 9683 1564243 SH DFND 3 1564243 0 0 MODERN MEDIA ACQUISITION *W EXP 05/17/202 60765P111 18 30362 SH DFND 1 30362 0 0 MODERN MEDIA ACQUISITION RIGHT 99/99/9999 60765P129 56 119724 SH DFND 1 119724 0 0 MODERN MEDIA ACQUISITION UNIT 99/99/9999 60765P202 1939 178699 SH DFND 3 178699 0 0 MONDELEZ INTL INC CL A 609207105 18 9600 SH Put DFND 3 9600 0 0 MONDELEZ INTL INC CL A 609207105 25 11400 SH Call DFND 3 11400 0 0 MTECH ACQUISITION CORP *W EXP 08/01/202 55378W115 191 128738 SH DFND 1 128738 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 175 250000 SH DFND 3 250000 0 0 MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 0 35 SH DFND 1 35 0 0 MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 2420 250000 SH DFND 3 250000 0 0 MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 1030 100000 SH DFND 3 100000 0 0 MYLAN N V SHS EURO N59465109 201 5500 SH DFND 5 5500 0 0 MYOKARDIA INC COM 62857M105 1108 17000 SH DFND 3 17000 0 0 NANOVIRICIDES INC COM NEW 630087203 0 373750 SH DFND 3 373750 0 0 NATIONAL ENERGY SERVICES REU *W EXP 05/05/202 G6375R115 253 112757 SH DFND 1 112757 0 0 NEBULA ACQUISITION CORP *W EXP 03/12/202 629076118 198 142737 SH DFND 1 142737 0 0 NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 1020 100000 SH DFND 3 100000 0 0 NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 141 13859 SH DFND 1 13859 0 0 NETFLIX INC COM 64110L106 5294 14151 SH DFND 4 14151 0 0 NEW FRONTIER CORP *W EXP 99/99/999 G6485P124 682 577630 SH DFND 1 577630 0 0 NEWELL BRANDS INC COM 651229106 134 6600 SH DFND 3 6600 0 0 NEWELL BRANDS INC COM 651229106 19 27200 SH Call DFND 3 27200 0 0 NEWELL BRANDS INC COM 651229106 127 23200 SH Put DFND 3 23200 0 0 NEXTERA ENERGY INC COM 65339F101 838 5000 SH DFND 3 5000 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 318 11500 SH DFND 1 11500 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 36 9500 SH Call DFND 1 9500 0 0 NII HLDGS INC COM PAR 62913F508 693 118241 SH DFND 1 118241 0 0 NORBORD INC COM NEW 65548P403 552 16666 SH DFND 3 16666 0 0 NORTHROP GRUMMAN CORP COM 666807102 476 1500 SH DFND 3 1500 0 0 NORTHROP GRUMMAN CORP COM 666807102 28 700 SH Call DFND 3 700 0 0 NORTHROP GRUMMAN CORP COM 666807102 9 400 SH Put DFND 3 400 0 0 NVIDIA CORP COM 67066G104 1633 5810 SH DFND 3 5810 0 0 NXP SEMICONDUCTORS N V COM N6596X109 259 8000 SH Put DFND 1 8000 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 27 7400 SH Put DFND 3 7400 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 90 1100 SH DFND 3 1100 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 36 3500 SH Call DFND 3 3500 0 0 OCEAN RIG UDW INC COM CL A G66964118 9 261 SH DFND 1 261 0 0 OCEAN RIG UDW INC COM CL A G66964118 5005 144571 SH DFND 3 144571 0 0 ONE MADISON CORP COM CL A G6772P100 204 21000 SH DFND 1 21000 0 0 ONE MADISON CORP UNIT 99/99/9999 G6772P118 285 27517 SH DFND 1 27517 0 0 OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 292 729676 SH DFND 1 729676 0 0 OPES ACQUISITION CORP COM 68373P100 1063 107895 SH DFND 1 107895 0 0 OPES ACQUISITION CORP UNIT 03/07/2023 68373P209 1298 127800 SH DFND 1 127800 0 0 ORACLE CORP COM 68389X105 49 10300 SH Call DFND 3 10300 0 0 ORACLE CORP COM 68389X105 22 11300 SH Put DFND 3 11300 0 0 ORBOTECH LTD ORD M75253100 33702 566995 SH DFND 5 566995 0 0 OVID THERAPEUTICS INC COM 690469101 4012 707643 SH DFND 3 707643 0 0 PAGSEGURO DIGITAL LTD COM CL A G68707101 1721 62200 SH DFND 1 62200 0 0 PAGSEGURO DIGITAL LTD COM CL A G68707101 50 80000 SH Call DFND 1 80000 0 0 PANDORA MEDIA INC COM 698354107 285 30000 SH DFND 1 30000 0 0 PANDORA MEDIA INC COM 698354107 6 9700 SH Call DFND 1 9700 0 0 PAPA JOHNS INTL INC COM 698813102 436 8500 SH DFND 3 8500 0 0 PENNEY J C INC COM 708160106 4 100000 SH Call DFND 1 100000 0 0 PENSARE ACQUISITION CORP *W EXP 07/27/202 70957E113 36 70000 SH DFND 1 70000 0 0 PENSARE ACQUISITION CORP COM 70957E105 3126 313871 SH DFND 1 313871 0 0 PENSARE ACQUISITION CORP COM 70957E105 51 5100 SH DFND 3 5100 0 0 PENSARE ACQUISITION CORP RIGHT 99/99/9999 70957E121 141 312788 SH DFND 1 312788 0 0 PEPSICO INC COM 713448108 21 4000 SH Put DFND 3 4000 0 0 PEPSICO INC COM 713448108 43 3900 SH Call DFND 3 3900 0 0 PEPSICO INC COM 713448108 1907 17057 SH DFND 4 17057 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 61 45000 SH Call DFND 1 45000 0 0 PFIZER INC COM 717081103 1 21 SH DFND 3 21 0 0 PFIZER INC COM 717081103 40 10600 SH Call DFND 3 10600 0 0 PFIZER INC COM 717081103 20 14500 SH Put DFND 3 14500 0 0 PG&E CORP COM 69331C108 44 7500 SH Call DFND 3 7500 0 0 PG&E CORP COM 69331C108 34 9700 SH Put DFND 3 9700 0 0 PHILIP MORRIS INTL INC COM 718172109 40 9800 SH Call DFND 3 9800 0 0 PHILIP MORRIS INTL INC COM 718172109 94 7900 SH Put DFND 3 7900 0 0 PHILIP MORRIS INTL INC COM 718172109 98 1200 SH DFND 3 1200 0 0 PHILLIPS 66 COM 718546104 38 6600 SH Put DFND 3 6600 0 0 PHILLIPS 66 COM 718546104 106 5700 SH Call DFND 3 5700 0 0 PINNACLE FOODS INC DEL COM 72348P104 3820 58934 SH DFND 5 58934 0 0 PLATINUM EAGLE ACQUISITIN CO *W EXP 01/17/202 G7126L118 854 632628 SH DFND 1 632628 0 0 PLATINUM EAGLE ACQUISITIN CO UNIT 01/09/2023 G7126L126 685 65907 SH DFND 1 65907 0 0 PRIORITY TECHNOLOGY HLDGS IN COM 74275G107 938 96556 SH DFND 1 96556 0 0 PROCTER AND GAMBLE CO COM 742718109 52 10500 SH Call DFND 3 10500 0 0 PROCTER AND GAMBLE CO COM 742718109 58 10000 SH Put DFND 3 10000 0 0 PROCTER AND GAMBLE CO COM 742718109 3 41 SH DFND 3 41 0 0 PROSHARES TR ULTRASHRT S&P500 74347B383 908 27438 SH DFND 3 27438 0 0 PURE ACQUISITION CORP CL A 74621Q106 608 62688 SH DFND 1 62688 0 0 PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 60 5811 SH DFND 1 5811 0 0 PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 2594 250000 SH DFND 3 250000 0 0 RAYTHEON CO COM NEW 755111507 620 3000 SH DFND 3 3000 0 0 REGALWOOD GLOBAL ENERGY LTD *W EXP 12/05/202 G74760128 182 124340 SH DFND 1 124340 0 0 REGALWOOD GLOBAL ENERGY LTD COM CL A G74760102 315 32235 SH DFND 1 32235 0 0 RIMINI STR INC DEL COM 76674Q107 1544 244645 SH DFND 1 244645 0 0 RITE AID CORP COM 767754104 3 2500 SH DFND 1 2500 0 0 RITE AID CORP COM 767754104 0 10800 SH Call DFND 1 10800 0 0 ROCKWELL COLLINS INC COM 774341101 21 150 SH DFND 1 150 0 0 ROCKWELL COLLINS INC COM 774341101 78638 559818 SH DFND 5 559818 0 0 ROCKWELL COLLINS INC COM 774341101 177 101000 SH Call DFND 1 101000 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 2296 33700 SH DFND 1 33700 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 19 50000 SH Call DFND 1 50000 0 0 SABAN CAP ACQUISITION CORP *W EXP 09/21/202 78516C114 199 180935 SH DFND 1 180935 0 0 SALESFORCE COM INC COM 79466L302 7961 50062 SH DFND 4 50062 0 0 SANDRIDGE ENERGY INC COM NEW 80007P869 109 10040 SH DFND 3 10040 0 0 SANOFI RIGHT 12/31/2020 80105N113 30 56517 SH DFND 1 56517 0 0 SCHLUMBERGER LTD COM 806857108 3 60300 SH Call DFND 1 60300 0 0 SCHLUMBERGER LTD COM 806857108 45 11400 SH Call DFND 3 11400 0 0 SCHLUMBERGER LTD COM 806857108 24 2900 SH Put DFND 3 2900 0 0 SCHWAB CHARLES CORP NEW COM 808513105 541 11000 SH DFND 3 11000 0 0 SCIENCE APPLICATNS INTL CP N COM 808625107 113 85000 SH Call DFND 5 85000 0 0 SENSATA TECHNOLOGIES HLDNG P SHS G8060N102 305 175000 SH Put DFND 4 175000 0 0 SENTINEL ENERGY SVCS INC *W EXP 11/02/202 G8062D110 14 11203 SH DFND 1 11203 0 0 SENTINEL ENERGY SVCS INC COM CL A G8062D102 99 10100 SH DFND 1 10100 0 0 SENTINEL ENERGY SVCS INC UNIT 11/02/2022 G8062D128 4128 400000 SH DFND 3 400000 0 0 SENTINEL ENERGY SVCS INC UNIT 11/02/2022 G8062D128 0 2 SH DFND 1 2 0 0 SERVICENOW INC COM 81762P102 5570 28472 SH DFND 4 28472 0 0 SHIRE PLC SPONSORED ADR 82481R106 12985 71633 SH DFND 5 71633 0 0 SHIRE PLC SPONSORED ADR 82481R106 33 2000 SH Call DFND 1 2000 0 0 SIMPLY GOOD FOODS CO *W EXP 07/07/202 82900L110 2783 350100 SH DFND 1 350100 0 0 SIRIUS XM HLDGS INC COM 82968B103 2844 450000 SH DFND 2 450000 0 0 SIRIUS XM HLDGS INC COM 82968B103 2020 1161000 SH Put DFND 3 1161000 0 0 SIRIUS XM HLDGS INC COM 82968B103 303 48000 SH DFND 1 48000 0 0 SIRIUS XM HLDGS INC COM 82968B103 788 450000 SH Put DFND 2 450000 0 0 SIRIUS XM HLDGS INC COM 82968B103 57 70000 SH Put DFND 1 70000 0 0 SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 09/14/202 G8250R129 180 167921 SH DFND 1 167921 0 0 SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 352 35491 SH DFND 1 35491 0 0 SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 9910 1000000 SH DFND 3 1000000 0 0 SPARTAN ENERGY ACQUISITON CO UNIT 99/99/9999 846784114 10150 1000000 SH DFND 3 1000000 0 0 SPARTAN ENERGY ACQUISITON CO UNIT 99/99/9999 846784114 3337 328780 SH DFND 1 328780 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 187 160000 SH Put DFND 4 160000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 15 10000 SH Put DFND 1 10000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 98 391000 SH Call DFND 5 391000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 83 45000 SH Call DFND 4 45000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4 1200 SH Call DFND 3 1200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 288 1000 SH Call DFND 1 1000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 9536 32800 SH DFND 3 32800 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 951 3270 SH DFND 4 3270 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 5 50000 SH Call DFND 1 50000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 6 40000 SH Put DFND 1 40000 0 0 SPLUNK INC COM 848637104 6047 50016 SH DFND 4 50016 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 12008 66407 SH DFND 4 66407 0 0 SPRINT CORP COM SER 1 85207U105 569 87000 SH DFND 1 87000 0 0 SPRINT CORP COM SER 1 85207U105 1911 292200 SH DFND 5 292200 0 0 SPRINT CORP COM SER 1 85207U105 61 93500 SH Put DFND 1 93500 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 9613 823000 SH DFND 3 823000 0 0 STERLING BANCORP DEL COM 85917A100 1143 51960 SH DFND 3 51960 0 0 STEWART INFORMATION SVCS COR COM 860372101 1331 29570 SH DFND 5 29570 0 0 STITCH FIX INC COM CL A 860897107 376 8600 SH DFND 1 8600 0 0 STITCH FIX INC COM CL A 860897107 22 11300 SH Call DFND 1 11300 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 3188 397000 SH DFND 2 397000 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 12045 1500000 SH DFND 3 1500000 0 0 SUN LIFE FINL INC COM 866796105 236 5946 SH DFND 3 5946 0 0 SUNCOR ENERGY INC NEW COM 867224107 274 7077 SH DFND 3 7077 0 0 SUTRO BIOPHARMA INC COM 869367102 6260 417317 SH DFND 1 417317 0 0 SYMANTEC CORP COM 871503108 61 19100 SH Put DFND 3 19100 0 0 SYMANTEC CORP COM 871503108 70 24300 SH Call DFND 3 24300 0 0 SYNNEX CORP COM 87162W100 129 110000 SH Call DFND 5 110000 0 0 SYNNEX CORP COM 87162W100 4285 50588 SH DFND 5 50588 0 0 SYNOVUS FINL CORP COM NEW 87161C501 207 4521 SH DFND 3 4521 0 0 SYNOVUS FINL CORP COM NEW 87161C501 6174 134834 SH DFND 5 134834 0 0 SYNOVUS FINL CORP COM NEW 87161C501 5 95200 SH Call DFND 5 95200 0 0 T MOBILE US INC COM 872590104 1602 22821 SH DFND 4 22821 0 0 T MOBILE US INC COM 872590104 94 125000 SH Put DFND 5 125000 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 67 34800 SH Put DFND 4 34800 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 10375 75188 SH DFND 4 75188 0 0 TARGA RES CORP COM 87612G101 366 162700 SH Put DFND 1 162700 0 0 TARGA RES CORP COM 87612G101 4815 85500 SH DFND 1 85500 0 0 TARGA RES CORP COM 87612G101 26 30000 SH Call DFND 1 30000 0 0 TARGET CORP COM 87612E106 66 5600 SH Call DFND 3 5600 0 0 TARGET CORP COM 87612E106 30 8900 SH Put DFND 3 8900 0 0 TE CONNECTIVITY LTD REG SHS H84989104 95 35000 SH Put DFND 4 35000 0 0 TELECOM ARGENTINA S A SPON ADR REP B 879273209 182 10448 SH DFND 3 10448 0 0 TENNECO INC COM 880349105 33 20000 SH Put DFND 1 20000 0 0 TENNECO INC COM 880349105 169 4000 SH DFND 1 4000 0 0 TERADYNE INC COM 880770102 228 225000 SH Put DFND 4 225000 0 0 TESLA INC COM 88160R101 85 35000 SH Call DFND 1 35000 0 0 TEXAS INSTRS INC COM 882508104 44 5900 SH Call DFND 3 5900 0 0 TEXAS INSTRS INC COM 882508104 33 2100 SH Put DFND 3 2100 0 0 TEXAS INSTRS INC COM 882508104 90 75000 SH Put DFND 4 75000 0 0 TG THERAPEUTICS INC COM 88322Q108 1 20000 SH Call DFND 1 20000 0 0 TG THERAPEUTICS INC COM 88322Q108 1 300 SH Put DFND 1 300 0 0 THOMSON REUTERS CORP COM 884903105 3259 71357 SH DFND 3 71357 0 0 THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 739 76137 SH DFND 1 76137 0 0 THUNDER BRIDGE ACQUISITION L UNIT 01/01/2025 G8857R118 2091 205800 SH DFND 3 205800 0 0 TIBERIUS ACQUISITION CORP COM 88633A107 112 11548 SH DFND 1 11548 0 0 TILRAY INC COM CL 2 88688T100 24280 169055 SH DFND 1 169055 0 0 TILRAY INC COM CL 2 88688T100 1940 39000 SH Call DFND 1 39000 0 0 TILRAY INC COM CL 2 88688T100 149 58500 SH Put DFND 1 58500 0 0 TKK SYMPHONY ACQUISITION COR *W EXP 02/20/202 G88950129 56 233180 SH DFND 1 233180 0 0 TKK SYMPHONY ACQUISITION COR ORD SHS G88950103 974 102551 SH DFND 1 102551 0 0 TKK SYMPHONY ACQUISITION COR RIGHT 02/20/2020 G88950137 27 59016 SH DFND 1 59016 0 0 TOTAL S A SPONSORED ADR 89151E109 3 40 SH DFND 2 40 0 0 TOTAL S A SPONSORED ADR 89151E109 25 10000 SH Call DFND 3 10000 0 0 TOTTENHAM ACQUISITION I LTD RIGHT 06/05/2020 G8959N122 82 222167 SH DFND 1 222167 0 0 TOTTENHAM ACQUISITION I LTD SHS G8959N106 1690 174196 SH DFND 1 174196 0 0 TPG PACE HLDGS CORP CL A G89827128 455 45151 SH DFND 1 45151 0 0 TRANSENTERIX INC COM NEW 89366M201 203 35000 SH DFND 1 35000 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 226 22978 SH DFND 1 22978 0 0 TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 6622 654300 SH DFND 3 654300 0 0 TRINITY INDS INC COM 896522109 147 4000 SH DFND 1 4000 0 0 TRINITY INDS INC COM 896522109 9 60400 SH Put DFND 1 60400 0 0 TRINITY MERGER CORP UNIT 05/11/2025 89653L205 1287 125240 SH DFND 3 125240 0 0 TRINITY MERGER CORP UNIT 05/11/2025 89653L205 171 16656 SH DFND 1 16656 0 0 TRONOX LTD SHS CL A Q9235V101 1092 91345 SH DFND 5 91345 0 0 TWELVE SEAS INVESTMENT COMPA *W EXP 12/22/202 G9145A115 188 522262 SH DFND 1 522262 0 0 TWELVE SEAS INVESTMENT COMPA RIGHT 12/22/2019 G9145A131 432 1029020 SH DFND 1 1029020 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 446 431500 SH Put DFND 1 431500 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 629 562600 SH Call DFND 5 562600 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 99 465100 SH Put DFND 5 465100 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 14176 305981 SH DFND 5 305981 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 4276 92300 SH DFND 1 92300 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 53 250500 SH Call DFND 1 250500 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 916 20000 SH DFND 1 20000 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 2749 60000 SH DFND 3 60000 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 13192 287905 SH DFND 5 287905 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 11 151500 SH Call DFND 1 151500 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 126 39600 SH Put DFND 1 39600 0 0 ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 1527 20000 SH DFND 3 20000 0 0 UNILEVER PLC SPON ADR NEW 904767704 3215 58492 SH DFND 3 58492 0 0 UNION ACQUISITION CORP *W EXP 07/01/202 G9366W127 16 44909 SH DFND 1 44909 0 0 UNION ACQUISITION CORP SHS G9366W101 152 15582 SH DFND 1 15582 0 0 UNITED NAT FOODS INC COM 911163103 15 226000 SH Call DFND 5 226000 0 0 UNITED TECHNOLOGIES CORP COM 913017109 160 40000 SH Call DFND 4 40000 0 0 UNITED TECHNOLOGIES CORP COM 913017109 7 15000 SH Put DFND 1 15000 0 0 UNITED TECHNOLOGIES CORP COM 913017109 21 25000 SH Put DFND 5 25000 0 0 UNUM THERAPEUTICS INC COM 903214104 6696 650095 SH DFND 3 650095 0 0 US BANCORP DEL COM NEW 902973304 18 7100 SH Call DFND 3 7100 0 0 US BANCORP DEL COM NEW 902973304 26 6800 SH Put DFND 3 6800 0 0 US BANCORP DEL COM NEW 902973304 53 1000 SH DFND 3 1000 0 0 USA TECHNOLOGIES INC COM NO PAR 90328S500 45 42000 SH Put DFND 1 42000 0 0 USA TECHNOLOGIES INC COM NO PAR 90328S500 257 35750 SH DFND 1 35750 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 201 160000 SH Put DFND 4 160000 0 0 VANTAGE ENERGY ACQUISITION COM CL A 92211L105 410 41085 SH DFND 1 41085 0 0 VANTAGE ENERGY ACQUISITION COM CL A 92211L105 72 7250 SH DFND 3 7250 0 0 VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 11 1000 SH DFND 1 1000 0 0 VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 10600 1000000 SH DFND 3 1000000 0 0 VECTOIQ ACQUISITION CORP *W EXP 05/11/202 92243N111 30 48639 SH DFND 1 48639 0 0 VECTOIQ ACQUISITION CORP COM 92243N103 3897 1568224 SH DFND 1 1568224 0 0 VECTOIQ ACQUISITION CORP UNIT 05/11/2023 92243N202 3026 296667 SH DFND 1 296667 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 133 2500 SH DFND 3 2500 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 15 50000 SH Call DFND 1 50000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 29 4700 SH Call DFND 3 4700 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 29 12900 SH Put DFND 3 12900 0 0 VISTRA ENERGY CORP *W EXP 02/02/202 92840M128 36 24120 SH DFND 1 24120 0 0 VMWARE INC CL A COM 928563402 117 45700 SH Put DFND 1 45700 0 0 VMWARE INC CL A COM 928563402 5325 34122 SH DFND 1 34122 0 0 WALMART INC COM 931142103 61 7700 SH Put DFND 3 7700 0 0 WALMART INC COM 931142103 62 7300 SH Call DFND 3 7300 0 0 WALMART INC COM 931142103 28 300 SH DFND 3 300 0 0 WHEATON PRECIOUS METALS CORP COM 962879102 1 50000 SH Call DFND 1 50000 0 0 WILLSCOT CORP COM 971375126 546 31843 SH DFND 1 31843 0 0 WPX ENERGY INC COM 98212B103 31 25000 SH Call DFND 1 25000 0 0 WYNN RESORTS LTD COM 983134107 53 40000 SH Call DFND 4 40000 0 0 WYNN RESORTS LTD COM 983134107 150 20000 SH Put DFND 1 20000 0 0 WYNN RESORTS LTD COM 983134107 283 151500 SH Call DFND 1 151500 0 0 WYNN RESORTS LTD COM 983134107 1944 15300 SH DFND 1 15300 0 0 XILINX INC COM 983919101 95 75000 SH Call DFND 4 75000 0 0 XILINX INC COM 983919101 5697 71060 SH DFND 4 71060 0 0 XO GROUP INC COM 983772104 4 10000 SH Call DFND 1 10000 0 0 XO GROUP INC COM 983772104 1 2300 SH Put DFND 1 2300 0 0 XPO LOGISTICS INC COM 983793100 285 2500 SH DFND 1 2500 0 0 XPO LOGISTICS INC COM 983793100 31 20700 SH Put DFND 1 20700 0 0 YOGAWORKS INC COM 986005106 1078 898317 SH DFND 1 898317 0 0 ZYNGA INC CL A 98986T108 9 74100 SH Call DFND 1 74100 0 0