0001085146-19-002266.txt : 20190814 0001085146-19-002266.hdr.sgml : 20190814 20190814091849 ACCESSION NUMBER: 0001085146-19-002266 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: 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: 191023232 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 06-30-2019 06-30-2019 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 08-05-2019 4 452 1298546 1 0001066036 028-04125 COWEN & COMPANY, LLC 2 0000917380 028-18771 COWEN EXECUTION SERVICES LLC 3 0001475770 028-13626 Cowen Investment Management LLC 4 0001275893 028-10674 RAMIUS ADVISORS LLC
INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 8I ENTERPRISES ACQUISITIN CO *W EXP 10/29/202 G2956M112 122 435067 SH DFND 1 435067 0 0 8I ENTERPRISES ACQUISITIN CO RIGHT 10/29/2020 G2956M120 30 77959 SH DFND 1 77959 0 0 8I ENTERPRISES ACQUISITIN CO SHS G2956M104 3465 350000 SH DFND 3 350000 0 0 8I ENTERPRISES ACQUISITIN CO SHS G2956M104 69 6966 SH DFND 1 6966 0 0 8I ENTERPRISES ACQUISITIN CO UNIT 99/99/9999 G2956M138 164 15573 SH DFND 1 15573 0 0 ABBVIE INC COM 00287Y109 514 2068 SH Call DFND 1 2068 0 0 ABBVIE INC COM 00287Y109 29 1435 SH Put DFND 1 1435 0 0 ACAMAR PARTNERS ACQSITION CO UNIT 12/30/2025 004285201 999 100000 SH DFND 1 100000 0 0 ACAMAR PARTNERS ACQSITION CO UNIT 12/30/2025 004285201 2008 201000 SH DFND 3 201000 0 0 ACT II GLOBAL ACQUISITION CO UNIT 04/30/2026 G0080J112 643 63555 SH DFND 1 63555 0 0 ADVANCED MICRO DEVICES INC COM 007903107 547 18000 SH DFND 1 18000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 13 400 SH Put DFND 1 400 0 0 AGBA ACQUISITION LTD UNIT 05/10/2024 G0120M133 645 64324 SH DFND 1 64324 0 0 ALBERTON ACQUISITION CORP *W EXP 04/26/202 G35006124 74 669780 SH DFND 1 669780 0 0 ALBERTON ACQUISITION CORP ORD SHS G35006108 379 37364 SH DFND 1 37364 0 0 ALBERTON ACQUISITION CORP RIGHT 10/04/2020 G35006132 30 121149 SH DFND 1 121149 0 0 ALLEGRO MERGER CORP *W EXP 01/06/202 01749N111 7 24278 SH DFND 1 24278 0 0 ALLEGRO MERGER CORP COM 01749N103 546 54529 SH DFND 1 54529 0 0 ALLEGRO MERGER CORP RIGHT 12/31/2023 01749N129 14 68978 SH DFND 1 68978 0 0 ALTA MESA RES INC *W EXP 03/28/202 02133L117 22 3075558 SH DFND 1 3075558 0 0 AMCI ACQUISITION CORP *W EXP 05/20/202 00165R119 4 13000 SH DFND 1 13000 0 0 AMERIGAS PARTNERS L P UNIT L P INT 030975106 1606 46083 SH DFND 3 46083 0 0 ANADARKO PETE CORP COM 032511107 42756 605955 SH DFND 4 605955 0 0 ANADARKO PETE CORP COM 032511107 91 1135 SH Put DFND 1 1135 0 0 ANADARKO PETE CORP COM 032511107 131 492200 SH Put DFND 4 492200 0 0 ANDINA ACQUISITION CORP III *W EXP 07/31/202 G04415124 22 102810 SH DFND 1 102810 0 0 ANDINA ACQUISITION CORP III RIGHT 07/31/2020 G04415132 93 358207 SH DFND 1 358207 0 0 ANDINA ACQUISITION CORP III SHS G04415108 318 32104 SH DFND 1 32104 0 0 ANDINA ACQUISITION CORP III UNIT 09/24/2020 G04415116 947 92157 SH DFND 1 92157 0 0 APHRIA INC COM 03765K104 4927 702864 SH DFND 2 702864 0 0 APHRIA INC COM 03765K104 15 976 SH Call DFND 1 976 0 0 APHRIA INC COM 03765K104 257 117200 SH Put DFND 2 117200 0 0 APHRIA INC COM 03765K104 245 35000 SH DFND 1 35000 0 0 APPLIED MATLS INC COM 038222105 221 550 SH Call DFND 1 550 0 0 ARRAY BIOPHARMA INC COM 04269X105 10073 217408 SH DFND 4 217408 0 0 ARRAY BIOPHARMA INC COM 04269X105 64 787100 SH Put DFND 4 787100 0 0 ARYA SCIENCES ACQUISITION CO UNIT 10/04/2023 G3165V117 265 24800 SH DFND 1 24800 0 0 AT HOME GROUP INC COM 04650Y100 343 51449 SH DFND 4 51449 0 0 AT HOME GROUP INC COM 04650Y100 21 250 SH Call DFND 1 250 0 0 AT HOME GROUP INC COM 04650Y100 371 546400 SH Call DFND 4 546400 0 0 AT&T INC COM 00206R102 898 26800 SH DFND 1 26800 0 0 AT&T INC COM 00206R102 88 1000 SH Call DFND 1 1000 0 0 ATHENE HLDG LTD CL A G0684D107 1077 25000 SH DFND 1 25000 0 0 ATLAS AIR WORLDWIDE HLDGS IN NOTE 1.875% 6/0 049164BJ4 307 300000 PRN DFND 1 300000 0 0 AUDENTES THERAPEUTICS INC COM 05070R104 1446 38190 SH DFND 3 38190 0 0 AURORA CANNABIS INC COM 05156X108 490 62700 SH DFND 1 62700 0 0 AURORA CANNABIS INC COM 05156X108 76 606 SH Call DFND 1 606 0 0 AVAYA HLDGS CORP COM 05351X101 655 55000 SH DFND 1 55000 0 0 AVAYA HLDGS CORP COM 05351X101 2 202 SH Call DFND 1 202 0 0 AVAYA HLDGS CORP COM 05351X101 25 125000 SH Call DFND 4 125000 0 0 AVON PRODS INC COM 054303102 506 130500 SH DFND 1 130500 0 0 AVON PRODS INC COM 054303102 617 7532 SH Call DFND 1 7532 0 0 AVON PRODS INC COM 054303102 4 400 SH Put DFND 1 400 0 0 AXALTA COATING SYS LTD COM G0750C108 997 33500 SH DFND 1 33500 0 0 B RILEY PRINCIPAL MERGER COR CL A 05586Y106 183 18800 SH DFND 1 18800 0 0 B RILEY PRINCIPAL MERGER COR UNIT 99/99/9999 05586Y205 3194 320411 SH DFND 1 320411 0 0 BANCO SANTANDER MEXICO S A SPONSORED ADS B 05969B103 2481 324337 SH DFND 2 324337 0 0 BANCO SANTANDER SA ADR 05964H105 41379 9034700 SH DFND 2 9034700 0 0 BANCO SANTANDER SA ADR 05964H105 20232 4417479 SH DFND 3 4417479 0 0 BANK N S HALIFAX COM 064149107 54350 1000000 SH DFND 3 1000000 0 0 BANK N S HALIFAX COM 064149107 5811 1000000 SH Put DFND 3 1000000 0 0 BARCLAYS PLC ADR 06738E204 2468 324358 SH DFND 3 324358 0 0 BB&T CORP COM 054937107 198 201300 SH Put DFND 4 201300 0 0 BEYOND MEAT INC COM 08862E109 41 16200 SH Call DFND 2 16200 0 0 BHP GROUP PLC SPONSORED ADR 05545E209 4644 90868 SH DFND 2 90868 0 0 BIG ROCK PARTNERS ACQUISI CO *W EXP 12/01/202 089482111 15 67000 SH DFND 1 67000 0 0 BIG ROCK PARTNERS ACQUISI CO RIGHT 12/01/2022 089482129 17 90020 SH DFND 1 90020 0 0 BIOHAVEN PHARMACTL HLDG CO L COM G11196105 119 125 SH Put DFND 1 125 0 0 BIOHAVEN PHARMACTL HLDG CO L COM G11196105 48 302 SH Call DFND 1 302 0 0 BIOHAVEN PHARMACTL HLDG CO L COM G11196105 543 105000 SH Call DFND 4 105000 0 0 BIOSCRIP INC COM 09069N108 27 10239 SH DFND 4 10239 0 0 BLACK RIDGE ACQUISITION CORP *W EXP 07/10/202 09216T115 27 65600 SH DFND 1 65600 0 0 BLACK RIDGE ACQUISITION CORP *W EXP 07/10/202 09216T115 21 50000 SH DFND 3 50000 0 0 BLACK RIDGE ACQUISITION CORP COM 09216T107 6894 670000 SH DFND 3 670000 0 0 BLACK RIDGE ACQUISITION CORP COM 09216T107 1 100 SH DFND 1 100 0 0 BLACK RIDGE ACQUISITION CORP RIGHT 07/10/2019 09216T123 208 494461 SH DFND 1 494461 0 0 BLACK RIDGE ACQUISITION CORP RIGHT 07/10/2019 09216T123 21 50000 SH DFND 3 50000 0 0 BLUEBIRD BIO INC COM 09609G100 1908 15000 SH DFND 3 15000 0 0 BLUEPRINT MEDICINES CORP COM 09627Y109 2075 22000 SH DFND 3 22000 0 0 BOXWOOD MERGER CORP *W EXP 11/26/202 10319T119 19 31198 SH DFND 1 31198 0 0 BOXWOOD MERGER CORP UNIT 11/26/2025 10319T200 192 18656 SH DFND 1 18656 0 0 BP PLC SPONSORED ADR 055622104 7827 187696 SH DFND 3 187696 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 776 646800 SH Call DFND 4 646800 0 0 BROOKFIELD PROPERTY REIT INC CL A 11282X103 3468 183600 SH DFND 2 183600 0 0 BROOKFIELD PROPERTY REIT INC CL A 11282X103 428 22659 SH DFND 3 22659 0 0 BRP INC COM SUN VTG 05577W200 1161 32500 SH DFND 3 32500 0 0 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 3509 85491 SH DFND 4 85491 0 0 CAESARS ENTMT CORP COM 127686103 1988 168200 SH DFND 1 168200 0 0 CAESARS ENTMT CORP COM 127686103 10064 851405 SH DFND 4 851405 0 0 CAESARS ENTMT CORP COM 127686103 1 110000 SH Put DFND 4 110000 0 0 CANOPY GROWTH CORP COM 138035100 1662 160600 SH Put DFND 2 160600 0 0 CANOPY GROWTH CORP COM 138035100 6474 160600 SH DFND 2 160600 0 0 CAPITOL INVT CORP IV *W EXP 01/01/202 G18920127 343 246748 SH DFND 1 246748 0 0 CAPITOL INVT CORP IV CL A ORD G18920101 6 580 SH DFND 1 580 0 0 CAPITOL INVT CORP IV CL A ORD G18920101 3069 300000 SH DFND 3 300000 0 0 CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 1507 140839 SH DFND 1 140839 0 0 CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 535 50000 SH DFND 3 50000 0 0 CBS CORP NEW CL B 124857202 156 250000 SH Put DFND 4 250000 0 0 CELGENE CORP COM 151020104 12 200100 SH Put DFND 4 200100 0 0 CELGENE CORP COM 151020104 188 2223 SH Put DFND 1 2223 0 0 CELGENE CORP COM 151020104 62684 678108 SH DFND 4 678108 0 0 CELGENE CORP COM 151020104 6 250 SH Call DFND 1 250 0 0 CENTENE CORP DEL COM 15135B101 1894 36113 SH DFND 1 36113 0 0 CENTENE CORP DEL COM 15135B101 23485 447850 SH DFND 4 447850 0 0 CENTENE CORP DEL COM 15135B101 735 4165 SH Call DFND 1 4165 0 0 CENTENE CORP DEL COM 15135B101 832 5385 SH Put DFND 1 5385 0 0 CENTENE CORP DEL COM 15135B101 289 162400 SH Put DFND 4 162400 0 0 CF FIN ACQUISITION CORP *W EXP 04/30/202 12528N115 27 44902 SH DFND 1 44902 0 0 CF FIN ACQUISITION CORP COM CL A 12528N107 239 23900 SH DFND 1 23900 0 0 CF FIN ACQUISITION CORP UNIT 04/30/2025 12528N206 129 12438 SH DFND 1 12438 0 0 CHAPARRAL ENERGY INC COM CL A 15942R208 78 16500 SH DFND 1 16500 0 0 CHARDAN HEALTHCARE ACQUISITI UNIT 12/13/2023 15957A207 1666 163500 SH DFND 3 163500 0 0 CHASERG TECHNLGY ACQUISITN C CLASS A 16166A103 1174 116962 SH DFND 1 116962 0 0 CHASERG TECHNLGY ACQUISITN C CLASS A 16166A103 4016 400000 SH DFND 3 400000 0 0 CHASERG TECHNLGY ACQUISITN C UNIT 09/30/2023 16166A202 1273 124431 SH DFND 1 124431 0 0 CHURCHILL CAP CORP II UNIT 99/99/9999 17143G205 11246 1107985 SH DFND 1 1107985 0 0 CISCO SYS INC COM 17275R102 153 2790 SH DFND 1 2790 0 0 CISCO SYS INC COM 17275R102 179 1300 SH Put DFND 1 1300 0 0 CLARIVATE ANALYTICS PLC *W EXP 11/09/201 G21810117 1798 378515 SH DFND 1 378515 0 0 COLLIER CREEK HOLDINGS *W EXP 99/99/999 G22707114 87 66666 SH DFND 3 66666 0 0 COLLIER CREEK HOLDINGS COM CL A G22707106 679 67909 SH DFND 1 67909 0 0 COLLIER CREEK HOLDINGS COM CL A G22707106 3000 300000 SH DFND 3 300000 0 0 COLLIER CREEK HOLDINGS UNIT 99/99/9999 G22707122 795 75000 SH DFND 1 75000 0 0 CONSTELLATION ALPHA CAP CORP RIGHT 99/99/9999 G2379F132 171 947074 SH DFND 1 947074 0 0 CONSTELLATION ALPHA CAP CORP SHS G2379F108 7897 759312 SH DFND 1 759312 0 0 CONSTELLATION ALPHA CAP CORP UNIT 99/99/9999 G2379F124 1417 136250 SH DFND 1 136250 0 0 CORVUS PHARMACEUTICALS INC COM 221015100 2155 576231 SH DFND 3 576231 0 0 CRESCENT ACQUISITION CORP *W EXP 03/08/202 22564L113 36 55799 SH DFND 1 55799 0 0 CRESCENT ACQUISITION CORP UNIT 99/99/9999 22564L204 101 10000 SH DFND 1 10000 0 0 CROCS INC COM 227046109 1037 52500 SH DFND 1 52500 0 0 CROCS INC COM 227046109 92 550 SH Call DFND 1 550 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 40946 1841078 SH DFND 4 1841078 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 3 1000 SH Call DFND 1 1000 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 1 75 SH Put DFND 1 75 0 0 DASEKE INC *W EXP 02/27/202 23753F115 87 394501 SH DFND 1 394501 0 0 DAVITA INC COM 23918K108 996 1118 SH Call DFND 1 1118 0 0 DAVITA INC COM 23918K108 183 1118 SH Put DFND 1 1118 0 0 DD3 ACQUISITION CORP *W EXP 10/20/202 G2692M111 15 50799 SH DFND 1 50799 0 0 DENBURY RES INC COM NEW 247916208 3 18100 SH Call DFND 4 18100 0 0 DEUTSCHE BANK AG NAMEN AKT D18190898 1221 160000 SH DFND 2 160000 0 0 DEUTSCHE BANK AG NAMEN AKT D18190898 240 160000 SH Put DFND 2 160000 0 0 DFB HEALTHCARE ACQUISTION CO *W EXP 04/11/202 23291E117 36 28459 SH DFND 1 28459 0 0 DFB HEALTHCARE ACQUISTION CO UNIT 01/30/2023 23291E208 671 64500 SH DFND 3 64500 0 0 DIAMONDPEAK HLDGS COR *W EXP 02/22/202 25280H118 12 14433 SH DFND 1 14433 0 0 DIAMONDPEAK HLDGS COR UNIT 99/99/9999 25280H209 5221 520000 SH DFND 3 520000 0 0 DISCOVERY INC COM SER C 25470F302 2845 100000 SH DFND 2 100000 0 0 EL PASO ELEC CO COM NEW 283677854 6884 105258 SH DFND 4 105258 0 0 ELDORADO RESORTS INC COM 28470R102 545 11838 SH DFND 4 11838 0 0 ELECTRONIC ARTS INC COM 285512109 1316 13000 SH DFND 1 13000 0 0 ELECTRONIC ARTS INC COM 285512109 241 317 SH Call DFND 1 317 0 0 ELECTRONIC ARTS INC COM 285512109 13 100 SH Put DFND 1 100 0 0 EMCOR GROUP INC COM 29084Q100 20 24200 SH Call DFND 4 24200 0 0 ENEL AMERICAS S A SPONSORED ADR 29274F104 444 50000 SH DFND 3 50000 0 0 ENEL AMERICAS S A SPONSORED ADR 29274F104 162 44600 SH Put DFND 3 44600 0 0 FAR PT ACQUISITION CORP *W EXP 06/01/202 30734W117 16 12659 SH DFND 1 12659 0 0 FAR PT ACQUISITION CORP COM CL A 30734W109 255 25000 SH DFND 3 25000 0 0 FASTENAL CO COM 311900104 136 425 SH Call DFND 1 425 0 0 FASTENAL CO COM 311900104 272 1700 SH Put DFND 1 1700 0 0 FINTECH ACQUISITION CORP III UNIT 12/01/2023 31811A309 95 8872 SH DFND 1 8872 0 0 FINTECH ACQUISITION CORP III UNIT 12/01/2023 31811A309 2784 260000 SH DFND 3 260000 0 0 FORUM MERGER II CORP *W EXP 09/30/202 34986F111 15 23000 SH DFND 1 23000 0 0 FORUM MERGER II CORP CL A 34986F103 112 11176 SH DFND 1 11176 0 0 FORUM MERGER II CORP CL A 34986F103 2767 275000 SH DFND 3 275000 0 0 FORUM MERGER II CORP UNIT 09/30/2025 34986F202 82 7700 SH DFND 1 7700 0 0 FORUM MERGER II CORP UNIT 09/30/2025 34986F202 3916 369052 SH DFND 3 369052 0 0 GCI LIBERTY INC COM CLASS A 36164V305 4814 78334 SH DFND 3 78334 0 0 GIGCAPITAL INC RIGHT 03/06/2020 37518N114 26 49600 SH DFND 1 49600 0 0 GIGCAPITAL INC UNIT 03/06/2025 37518N205 996 90592 SH DFND 1 90592 0 0 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 1834 45825 SH DFND 3 45825 0 0 GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 50 135 SH Put DFND 1 135 0 0 GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 20 40000 SH Call DFND 3 40000 0 0 GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 410 7800 SH DFND 1 7800 0 0 GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 3130 59500 SH DFND 3 59500 0 0 GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 1 25 SH Call DFND 1 25 0 0 GLOBAL PMTS INC COM 37940X102 150 75000 SH Put DFND 4 75000 0 0 GLOBALSTAR INC COM 378973408 26 55000 SH DFND 1 55000 0 0 GORDON POINTE ACQUISITION CO *W EXP 07/30/202 382788115 17 50000 SH DFND 1 50000 0 0 GORDON POINTE ACQUISITION CO COM CLASS A 382788107 362 35000 SH DFND 1 35000 0 0 GORDON POINTE ACQUISITION CO COM CLASS A 382788107 4907 475000 SH DFND 3 475000 0 0 GORES HOLDINGS III INC *W EXP 09/11/202 38286G117 234 161066 SH DFND 1 161066 0 0 GORES HOLDINGS III INC CLASS A 38286G109 2870 285585 SH DFND 1 285585 0 0 GORES HOLDINGS III INC UNIT 09/07/2024 38286G208 526 50262 SH DFND 1 50262 0 0 GORES HOLDINGS III INC UNIT 09/07/2024 38286G208 1571 150000 SH DFND 3 150000 0 0 GORES METROPOULOS INC *W EXP 01/28/202 382872117 197 156351 SH DFND 1 156351 0 0 GORES METROPOULOS INC COM CL A 382872109 5614 557478 SH DFND 1 557478 0 0 GORES METROPOULOS INC UNIT 99/99/9999 382872208 3163 302000 SH DFND 3 302000 0 0 GRAF INDL CORP *W EXP 12/31/202 384278115 120 304072 SH DFND 1 304072 0 0 GREENLAND ACQUISITIN CORPORA RIGHT 04/27/2025 G40981113 79 201816 SH DFND 1 201816 0 0 GREENLANE HLDGS INC CL A 395330103 3228 336686 SH DFND 1 336686 0 0 GS ACQUISITION HLDGS CORP *W EXP 06/12/202 36255F110 61 48496 SH DFND 1 48496 0 0 GS ACQUISITION HLDGS CORP COM CL A 36255F102 840 82888 SH DFND 1 82888 0 0 GS ACQUISITION HLDGS CORP UNIT 06/12/2023 36255F201 1575 150000 SH DFND 3 150000 0 0 GX ACQUISITION CORP UNIT 05/24/2026 36251A206 426 42396 SH DFND 1 42396 0 0 GX ACQUISITION CORP UNIT 05/24/2026 36251A206 3015 300000 SH DFND 3 300000 0 0 HALCON RES CORP *W EXP 09/09/202 40537Q118 4 443716 SH DFND 1 443716 0 0 HAYMAKER ACQUISITION CORP II UNIT 10/31/2026 42087L200 1919 187926 SH DFND 1 187926 0 0 HEALTH SCIENCES ACQUSTN CORP UNIT 04/01/2024 42227C201 639 60300 SH DFND 1 60300 0 0 HENNESSY CAP ACQUSTION CORP *W EXP 09/05/202 42589C112 82 135883 SH DFND 1 135883 0 0 HENNESSY CAP ACQUSTION CORP CL A COM 42589C104 632 63840 SH DFND 1 63840 0 0 HENNESSY CAP ACQUSTION CORP UNIT 99/99/9999 42589C203 53 5053 SH DFND 1 5053 0 0 HENNESSY CAP ACQUSTION CORP UNIT 99/99/9999 42589C203 884 85000 SH DFND 3 85000 0 0 HL ACQUISITIONS CORP UNIT 06/21/2023 G4603R114 475 45027 SH DFND 1 45027 0 0 II VI INC COM 902104108 2730 74675 SH DFND 4 74675 0 0 IMMUNOMEDICS INC COM 452907108 203 14611 SH DFND 1 14611 0 0 IMMUNOMEDICS INC COM 452907108 139 1400 SH Call DFND 1 1400 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 1482 1670000 PRN DFND 1 1670000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 379 250000 SH Call DFND 3 250000 0 0 ISHARES INC MSCI STH AFR ETF 464286780 437 8000 SH DFND 3 8000 0 0 JPMORGAN CHASE & CO COM 46625H100 4629 41400 SH DFND 1 41400 0 0 JPMORGAN CHASE & CO COM 46625H100 71 225 SH Put DFND 1 225 0 0 KEMPHARM INC COM 488445107 438 250000 SH DFND 3 250000 0 0 KEZAR LIFE SCIENCES INC COM 49372L100 2645 343049 SH DFND 3 343049 0 0 KONTOOR BRANDS INC COM 50050N103 280 10000 SH DFND 1 10000 0 0 L3 TECHNOLOGIES INC COM 502413107 490 2000 SH DFND 1 2000 0 0 LANDCADIA HLDGS II INC *W EXP 05/09/202 51476X113 50 58833 SH DFND 1 58833 0 0 LANDCADIA HLDGS II INC UNIT 05/09/2026 51476X204 2313 231300 SH DFND 3 231300 0 0 LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 30 92481 SH DFND 1 92481 0 0 LEGACY ACQUISITION CORP COM CL A 524643103 1010 99969 SH DFND 1 99969 0 0 LEGACY ACQUISITION CORP COM CL A 524643103 2020 200000 SH DFND 3 200000 0 0 LEGACY ACQUISITION CORP UNIT 05/31/2024 524643202 6270 600000 SH DFND 3 600000 0 0 LEGACY TEX FINL GROUP INC COM 52471Y106 1953 47970 SH DFND 4 47970 0 0 LEISURE ACQUISITION CORP *W EXP 12/05/201 52539T115 143 220087 SH DFND 1 220087 0 0 LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 4400 422303 SH DFND 1 422303 0 0 LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 1428 137000 SH DFND 3 137000 0 0 LENNAR CORP CL A 526057104 1001 20663 SH DFND 1 20663 0 0 LENNAR CORP CL A 526057104 82 2582 SH Call DFND 1 2582 0 0 LEO HOLDINGS CORP *W EXP 02/07/202 G5463L113 213 170534 SH DFND 1 170534 0 0 LF CAP ACQUISITION CORP CL A 50200K108 1690 166057 SH DFND 1 166057 0 0 LIBERTY BROADBAND CORP COM SER A 530307107 514 5000 SH DFND 3 5000 0 0 LIBERTY BROADBAND CORP COM SER C 530307305 2739 26279 SH DFND 3 26279 0 0 LIBERTY EXPEDIA HLDGS INC SER A COM 53046P109 5022 105083 SH DFND 2 105083 0 0 LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 3394 89765 SH DFND 3 89765 0 0 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 23782 8374111 SH DFND 3 8374111 0 0 LONGEVITY ACQUISITION CORP UNIT 08/29/2024 G56372108 219 21176 SH DFND 1 21176 0 0 LOWES COS INC COM 548661107 353 3500 SH DFND 1 3500 0 0 LOWES COS INC COM 548661107 16 400 SH Put DFND 1 400 0 0 LUCKIN COFFEE INC SPONSORED ADS 54951L109 4385 225000 SH DFND 2 225000 0 0 LUCKIN COFFEE INC SPONSORED ADS 54951L109 788 225000 SH Put DFND 2 225000 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 1292 15000 SH DFND 1 15000 0 0 MEDICINES CO COM 584688105 368 10100 SH DFND 1 10100 0 0 MEDICINES CO COM 584688105 65 150 SH Put DFND 1 150 0 0 MEDIDATA SOLUTIONS INC COM 58471A105 2 1800 SH Put DFND 4 1800 0 0 MEDIDATA SOLUTIONS INC COM 58471A105 23289 257314 SH DFND 4 257314 0 0 MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 22 72869 SH DFND 1 72869 0 0 MEGALITH FINL ACQUISITION CO UNIT 09/30/2025 58518F208 3407 328900 SH DFND 3 328900 0 0 MIDSOUTH BANCORP INC COM 598039105 153 12900 SH DFND 4 12900 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 3595 756800 SH DFND 2 756800 0 0 MIZUHO FINL GROUP INC SPONSORED ADR 60687Y109 15799 5485850 SH DFND 2 5485850 0 0 MODERN MEDIA ACQUISITION COM 60765P103 2092 200000 SH DFND 3 200000 0 0 MODERN MEDIA ACQUISITION RIGHT 99/99/9999 60765P129 21 71814 SH DFND 1 71814 0 0 MONOCLE ACQUISITION CORP *W EXP 12/06/202 609754114 19 55371 SH DFND 1 55371 0 0 MONOCLE ACQUISITION CORP COM 609754106 189 19100 SH DFND 1 19100 0 0 MONOCLE ACQUISITION CORP UNIT 99/99/9999 609754205 610 59248 SH DFND 1 59248 0 0 MOSAIC ACQUISITION CORP *W EXP 10/23/202 61946M118 26 27800 SH DFND 1 27800 0 0 MOSAIC ACQUISITION CORP COM CL A 61946M100 510 50000 SH DFND 3 50000 0 0 MOSAIC ACQUISITION CORP COM CL A 61946M100 385 37716 SH DFND 1 37716 0 0 MOSAIC ACQUISITION CORP UNIT 99/99/9999 61946M209 68 6430 SH DFND 1 6430 0 0 MOSAIC ACQUISITION CORP UNIT 99/99/9999 61946M209 1586 150000 SH DFND 3 150000 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 96 195282 SH DFND 1 195282 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 123 250000 SH DFND 3 250000 0 0 MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 559 54915 SH DFND 1 54915 0 0 MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 2545 250000 SH DFND 3 250000 0 0 MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 1324 125000 SH DFND 3 125000 0 0 MYLAN N V SHS EURO N59465109 443 395000 SH Call DFND 4 395000 0 0 MYOKARDIA INC COM 62857M105 2256 45000 SH DFND 3 45000 0 0 NEBULA ACQUISITION CORP *W EXP 03/12/202 629076118 38 38059 SH DFND 1 38059 0 0 NEBULA ACQUISITION CORP COM CLASS A 629076100 10 963 SH DFND 1 963 0 0 NEBULA ACQUISITION CORP COM CLASS A 629076100 1009 100000 SH DFND 3 100000 0 0 NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 1027 100000 SH DFND 3 100000 0 0 NEW FRONTIER CORP *W EXP 99/99/999 G6485P124 342 488387 SH DFND 1 488387 0 0 NEW FRONTIER CORP COM CL A G6485P108 3505 348102 SH DFND 1 348102 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 395 17500 SH DFND 4 17500 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 106 125000 SH Call DFND 4 125000 0 0 NII HLDGS INC COM PAR 62913F508 85 50000 SH DFND 1 50000 0 0 NIO INC SPON ADS 62914V106 446 175000 SH DFND 2 175000 0 0 NIO INC SPON ADS 62914V106 96 175000 SH Put DFND 2 175000 0 0 NOMURA HLDGS INC SPONSORED ADR 65535H208 834 235000 SH DFND 2 235000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 1630 16700 SH DFND 1 16700 0 0 NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 635 1205 PRN Call DFND 1 1205 0 0 NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 169 80 PRN Put DFND 1 80 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 5591 112859 SH DFND 4 112859 0 0 OCCIDENTAL PETE CORP COM 674599105 22 2120 SH Call DFND 1 2120 0 0 OCCIDENTAL PETE CORP COM 674599105 352 651400 SH Call DFND 4 651400 0 0 OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 187 744789 SH DFND 1 744789 0 0 OPES ACQUISITION CORP COM 68373P100 5937 576372 SH DFND 1 576372 0 0 ORCHARD THERAPEUTICS PLC ADS 68570P101 42465 3035364 SH DFND 3 3035364 0 0 ORGANIGRAM HLDGS INC COM 68620P101 99 15300 SH DFND 1 15300 0 0 OVID THERAPEUTICS INC COM 690469101 1799 972260 SH DFND 3 972260 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 151 25000 SH DFND 1 25000 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 1693 279791 SH DFND 4 279791 0 0 PACIRA BIOSCIENCES NOTE 2.375% 4/0 695127AD2 287 280000 PRN DFND 1 280000 0 0 PARKER HANNIFIN CORP COM 701094104 1165 6851 SH DFND 1 6851 0 0 PARKER HANNIFIN CORP COM 701094104 11 201 SH Put DFND 1 201 0 0 PEARSON PLC SPONSORED ADR 705015105 1036 100000 SH DFND 3 100000 0 0 PENSARE ACQUISITION CORP RIGHT 99/99/9999 70957E121 5 33151 SH DFND 1 33151 0 0 PIVOTAL ACQUISITION CORP *W EXP 12/01/202 72583A119 149 110539 SH DFND 1 110539 0 0 PIVOTAL ACQUISITION CORP CL A COM 72583A101 2642 260280 SH DFND 1 260280 0 0 PIVOTAL ACQUISITION CORP UNIT 12/01/2025 72583A200 2658 229100 SH DFND 1 229100 0 0 PIVOTAL ACQUISITION CORP UNIT 12/01/2025 72583A200 812 70000 SH DFND 3 70000 0 0 PRECISION BIOSCIENCES INC COM 74019P108 14362 1083926 SH DFND 3 1083926 0 0 PROFICIENT ALPHA ACQUSTN COR RIGHT 04/30/2026 74317H121 2 11500 SH DFND 1 11500 0 0 PURE ACQUISITION CORP *W EXP 04/17/202 74621Q114 156 144130 SH DFND 1 144130 0 0 PURE ACQUISITION CORP CL A 74621Q106 9380 925000 SH DFND 3 925000 0 0 PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 144 13444 SH DFND 1 13444 0 0 PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 3314 310000 SH DFND 3 310000 0 0 PVH CORP COM 693656100 2044 21600 SH DFND 1 21600 0 0 PVH CORP COM 693656100 72 170 SH Put DFND 1 170 0 0 QEP RES INC COM 74733V100 21 302 SH Call DFND 1 302 0 0 QEP RES INC COM 74733V100 145 109600 SH Call DFND 4 109600 0 0 QEP RES INC COM 74733V100 36 5000 SH DFND 1 5000 0 0 QEP RES INC COM 74733V100 2 74 SH Put DFND 1 74 0 0 QEP RES INC COM 74733V100 468 64707 SH DFND 4 64707 0 0 RANPAK HLDGS CORP *W EXP 06/03/202 75321W111 35 29500 SH DFND 1 29500 0 0 RED HAT INC COM 756577102 88027 468827 SH DFND 4 468827 0 0 RED HAT INC COM 756577102 115 175 SH Call DFND 1 175 0 0 RED HAT INC COM 756577102 1398 50000 SH Call DFND 4 50000 0 0 RED HAT INC COM 756577102 31 1183 SH Put DFND 1 1183 0 0 RED HAT INC COM 756577102 59 308700 SH Put DFND 4 308700 0 0 REEBONZ HLDG LTD SHS G7457R122 113 29942 SH DFND 1 29942 0 0 REGALWOOD GLOBAL ENERGY LTD *W EXP 12/05/202 G74760128 331 368284 SH DFND 1 368284 0 0 REGALWOOD GLOBAL ENERGY LTD COM CL A G74760102 1 100 SH DFND 1 100 0 0 REGALWOOD GLOBAL ENERGY LTD COM CL A G74760102 4590 450000 SH DFND 3 450000 0 0 REGALWOOD GLOBAL ENERGY LTD UNIT 99/99/9999 G74760110 10 908 SH DFND 1 908 0 0 REGALWOOD GLOBAL ENERGY LTD UNIT 99/99/9999 G74760110 513 49000 SH DFND 3 49000 0 0 REPLAY ACQUISITION CORP *W EXP 03/01/202 G75130115 51 73400 SH DFND 1 73400 0 0 REPLAY ACQUISITION CORP COM G75130107 430 44000 SH DFND 1 44000 0 0 REPLAY ACQUISITION CORP UNIT 03/01/2024 G75130123 128 12804 SH DFND 1 12804 0 0 RIMINI STR INC DEL COM 76674Q107 1259 237500 SH DFND 1 237500 0 0 RMG ACQUISITION CORP *W EXP 02/21/202 749641114 27 29250 SH DFND 1 29250 0 0 RMG ACQUISITION CORP UNIT 99/99/9999 749641205 1998 199000 SH DFND 3 199000 0 0 ROBERT HALF INTL INC COM 770323103 513 9000 SH DFND 1 9000 0 0 SCHULTZE SPL PURP ACQUSTN CO *W EXP 12/31/202 80821R117 102 340769 SH DFND 1 340769 0 0 SCHULTZE SPL PURP ACQUSTN CO COM 80821R109 495 50000 SH DFND 1 50000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 475 407200 SH Put DFND 4 407200 0 0 SENTINEL ENERGY SVCS INC *W EXP 11/02/202 81728P113 227 324221 SH DFND 1 324221 0 0 SENTINEL ENERGY SVCS INC CL A 81728P105 1149 113245 SH DFND 1 113245 0 0 SENTINEL ENERGY SVCS INC CL A 81728P105 17255 1700000 SH DFND 3 1700000 0 0 SHUTTERFLY INC COM 82568P304 76 125900 SH Put DFND 4 125900 0 0 SHUTTERFLY INC COM 82568P304 5 523 SH Call DFND 1 523 0 0 SIERRA ONCOLOGY INC COM 82640U107 28 50000 SH DFND 1 50000 0 0 SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 09/14/202 G8250R129 51 38023 SH DFND 1 38023 0 0 SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 1052 100777 SH DFND 1 100777 0 0 SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 10435 1000000 SH DFND 3 1000000 0 0 SOTHEBYS COM 835898107 23 50200 SH Put DFND 4 50200 0 0 SOUTH MTN MERGER CORP UNIT 99/99/9999 838884203 6689 668892 SH DFND 1 668892 0 0 SPARK THERAPEUTICS INC COM 84652J103 13 40 SH Call DFND 1 40 0 0 SPARK THERAPEUTICS INC COM 84652J103 47 99 SH Put DFND 1 99 0 0 SPARK THERAPEUTICS INC COM 84652J103 120 124700 SH Put DFND 4 124700 0 0 SPARTAN ENERGY ACQUISITON CO *W EXP 08/27/202 846784122 192 215180 SH DFND 1 215180 0 0 SPARTAN ENERGY ACQUISITON CO CL A COM STK 846784106 2000 200000 SH DFND 3 200000 0 0 SPARTAN ENERGY ACQUISITON CO UNIT 99/99/9999 846784114 96 9500 SH DFND 1 9500 0 0 SPARTAN ENERGY ACQUISITON CO UNIT 99/99/9999 846784114 5303 525000 SH DFND 3 525000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 66 100000 SH Put DFND 3 100000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 517 521000 SH Call DFND 4 521000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 33 40000 SH Put DFND 3 40000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 519 70000 SH Put DFND 4 70000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 9 30 SH DFND 1 30 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 1240 23200 SH DFND 1 23200 0 0 SPIRIT MTA REIT COM SHS BEN IN 84861U105 944 113220 SH DFND 3 113220 0 0 SPRINT CORPORATION COM 85207U105 2093 318500 SH DFND 4 318500 0 0 SPRINT CORPORATION COM 85207U105 95 602 SH Call DFND 1 602 0 0 SPRINT CORPORATION COM 85207U105 63 2930 SH Put DFND 1 2930 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 4592 347094 SH DFND 3 347094 0 0 STEWART INFORMATION SVCS COR COM 860372101 1230 30377 SH DFND 4 30377 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 24018 3402000 SH DFND 2 3402000 0 0 SUNTRUST BKS INC COM 867914103 5442 86581 SH DFND 4 86581 0 0 T MOBILE US INC COM 872590104 31 25000 SH Put DFND 4 25000 0 0 TABLEAU SOFTWARE INC CL A 87336U105 63525 382632 SH DFND 4 382632 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 5308 299914 SH DFND 3 299914 0 0 TARGA RES CORP COM 87612G101 2846 72500 SH DFND 1 72500 0 0 TARGA RES CORP COM 87612G101 945 1400 SH Put DFND 1 1400 0 0 TARGET HOSPITALITY CORP *W EXP 03/15/202 87615L115 132 65993 SH DFND 1 65993 0 0 TARGET HOSPITALITY CORP COM 87615L107 958 105314 SH DFND 1 105314 0 0 TELECOM ITALIA S P A NEW SPON ADR SVGS 87927Y201 1015 197552 SH DFND 3 197552 0 0 TENZING ACQUISITION CORP *W EXP 02/23/202 G8708A108 4 20000 SH DFND 1 20000 0 0 TENZING ACQUISITION CORP ORD SHS G8708A116 1796 175000 SH DFND 3 175000 0 0 TESLA INC COM 88160R101 11173 50000 SH DFND 2 50000 0 0 TESLA INC COM 88160R101 2383 50000 SH Put DFND 2 50000 0 0 THUNDER BRIDGE ACQUISITION L *W EXP 01/01/202 G8857R126 7 3430 SH DFND 1 3430 0 0 THUNDER BRIDGE ACQUISITION L *W EXP 01/01/202 G8857R126 62 30800 SH DFND 3 30800 0 0 THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 401 38429 SH DFND 1 38429 0 0 THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 1521 145800 SH DFND 3 145800 0 0 TIBERIUS ACQUISITION CORP COM 88633A107 2381 233421 SH DFND 1 233421 0 0 TILRAY INC COM CL 2 88688T100 2868 61600 SH DFND 2 61600 0 0 TILRAY INC COM CL 2 88688T100 341 61600 SH Put DFND 2 61600 0 0 TKK SYMPHONY ACQUISITION COR *W EXP 02/20/202 G88950129 5 36298 SH DFND 1 36298 0 0 TKK SYMPHONY ACQUISITION COR ORD SHS G88950103 265 26507 SH DFND 1 26507 0 0 TKK SYMPHONY ACQUISITION COR UNIT 08/15/2023 G88950111 7 662 SH DFND 1 662 0 0 TKK SYMPHONY ACQUISITION COR UNIT 08/15/2023 G88950111 591 57500 SH DFND 3 57500 0 0 TORTOISE ACQUISITION CORP UNIT 03/04/2024 89154L209 292 29140 SH DFND 1 29140 0 0 TORTOISE ACQUISITION CORP UNIT 03/04/2024 89154L209 3006 300000 SH DFND 3 300000 0 0 TOTAL SYS SVCS INC COM 891906109 8708 67888 SH DFND 4 67888 0 0 TOTTENHAM ACQUISITION I LTD *W EXP 05/06/202 G8959N114 6 60743 SH DFND 1 60743 0 0 TOTTENHAM ACQUISITION I LTD RIGHT 06/05/2020 G8959N122 74 200871 SH DFND 1 200871 0 0 TOTTENHAM ACQUISITION I LTD SHS G8959N106 1987 194837 SH DFND 1 194837 0 0 TOTTENHAM ACQUISITION I LTD SHS G8959N106 2040 200000 SH DFND 3 200000 0 0 TPG PACE HLDGS CORP *W EXP 06/27/202 G89827110 69 43819 SH DFND 1 43819 0 0 TPG PACE HLDGS CORP CL A G89827128 3776 363094 SH DFND 1 363094 0 0 TPG PACE HLDGS CORP CL A G89827128 2080 200000 SH DFND 3 200000 0 0 TRIBUNE MEDIA CO CL A 896047503 50 99900 SH Put DFND 4 99900 0 0 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 49 326711 SH DFND 1 326711 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 3045 294449 SH DFND 1 294449 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 7238 700000 SH DFND 3 700000 0 0 TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 362 34505 SH DFND 1 34505 0 0 TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 6870 654300 SH DFND 3 654300 0 0 TRINE ACQUISITION CORP *W EXP 03/31/202 89628U116 24 32500 SH DFND 1 32500 0 0 TRINE ACQUISITION CORP UNIT 03/31/2021 89628U207 4040 400000 SH DFND 3 400000 0 0 TRINE ACQUISITION CORP UNIT 03/31/2021 89628U207 1614 159977 SH DFND 1 159977 0 0 TRINITY MERGER CORP *W EXP 05/11/202 89653L114 10 31900 SH DFND 1 31900 0 0 TRINITY MERGER CORP COM CL A 89653L106 127 12326 SH DFND 1 12326 0 0 TRINITY MERGER CORP COM CL A 89653L106 2060 200000 SH DFND 3 200000 0 0 TRINITY MERGER CORP UNIT 05/11/2025 89653L205 106 10000 SH DFND 1 10000 0 0 TRINITY MERGER CORP UNIT 05/11/2025 89653L205 1331 125240 SH DFND 3 125240 0 0 TURNING PT BRANDS INC COM 90041L105 511 10424 SH DFND 1 10424 0 0 TURNING PT BRANDS INC COM 90041L105 48 200 SH Call DFND 1 200 0 0 TURNING PT BRANDS INC COM 90041L105 64 200 SH Put DFND 1 200 0 0 TUSCAN HOLDINGS CORP UNIT 99/99/9999 90069K203 1 100 SH DFND 1 100 0 0 TUSCAN HOLDINGS CORP UNIT 99/99/9999 90069K203 1060 100000 SH DFND 3 100000 0 0 TWELVE SEAS INVESTMENT COMPA RIGHT 12/22/2019 G9145A131 307 1057298 SH DFND 1 1057298 0 0 TWIN RIV WORLDWIDE HLDGS INC COM 90171V204 1632 54855 SH DFND 1 54855 0 0 ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 2159 34000 SH DFND 3 34000 0 0 UNDER ARMOUR INC CL C 904311206 5352 241102 SH DFND 3 241102 0 0 UNILEVER N V N Y SHS NEW 904784709 11949 196791 SH DFND 3 196791 0 0 UNILEVER PLC SPON ADR NEW 904767704 3173 51204 SH DFND 3 51204 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 350 150000 SH Put DFND 3 150000 0 0 UNITED STS 12 MONTH OIL FD L UNIT BEN INT 91288V103 1846 85300 SH DFND 3 85300 0 0 UNUM THERAPEUTICS INC COM 903214104 2151 820805 SH DFND 3 820805 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 2904 39588 SH Call DFND 1 39588 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 4628 42000 SH DFND 1 42000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 79 3587 SH Call DFND 1 3587 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 251 102500 SH Call DFND 4 102500 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 406 350000 SH Put DFND 4 350000 0 0 VECTOIQ ACQUISITION CORP *W EXP 05/11/202 92243N111 7 14057 SH DFND 1 14057 0 0 VECTOIQ ACQUISITION CORP COM 92243N103 37 1164699 SH DFND 1 1164699 0 0 VECTOIQ ACQUISITION CORP UNIT 05/11/2023 92243N202 3139 296667 SH DFND 1 296667 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 188 850 SH Put DFND 1 850 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 63 1100 SH DFND 1 1100 0 0 VERSUM MATLS INC COM 92532W103 21827 423162 SH DFND 4 423162 0 0 VERSUM MATLS INC COM 92532W103 39 85000 SH Put DFND 4 85000 0 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 12881 788794 SH DFND 3 788794 0 0 WABCO HLDGS INC COM 92927K102 57494 433588 SH DFND 4 433588 0 0 WEALTHBRIDGE ACQUISITION LTD RIGHT 11/02/2023 G4887W136 6 25000 SH DFND 1 25000 0 0 WEALTHBRIDGE ACQUISITION LTD UNIT 99/99/9999 G4887W102 179 17650 SH DFND 1 17650 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 881 380 SH Call DFND 1 380 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 5 45 SH Put DFND 1 45 0 0 WORLDPAY INC CL A 981558109 15928 129972 SH DFND 4 129972 0 0 XYNOMIC PHARMACUTCLS HLDNG I *W EXP 05/15/202 98421X110 11 50000 SH DFND 1 50000 0 0 YOGAWORKS INC COM 986005106 178 296807 SH DFND 1 296807 0 0 ZAYO GROUP HLDGS INC COM 98919V105 18 100000 SH Put DFND 4 100000 0 0 ZAYO GROUP HLDGS INC COM 98919V105 49348 1499493 SH DFND 4 1499493 0 0 ZAYO GROUP HLDGS INC COM 98919V105 28 1402 SH Call DFND 1 1402 0 0 ZAYO GROUP HLDGS INC COM 98919V105 7 63 SH Put DFND 1 63 0 0