0001085146-19-002384.txt : 20190816
0001085146-19-002384.hdr.sgml : 20190816
20190816131701
ACCESSION NUMBER: 0001085146-19-002384
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190630
FILED AS OF DATE: 20190816
DATE AS OF CHANGE: 20190816
EFFECTIVENESS DATE: 20190816
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14571
FILM NUMBER: 191032500
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/A
1
primary_doc.xml
13F-HR/A
LIVE
false
true
false
0001466538
XXXXXXXX
06-30-2019
06-30-2019
true
1
RESTATEMENT
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
08-14-2019
4
511
1388432
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
206800
SH
Call
DFND
1
206800
0
0
ABBVIE INC
COM
00287Y109
29
143500
SH
Put
DFND
1
143500
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
ACCELERATE DIAGNOSTICS INC
COM
00430H102
197
8600
SH
DFND
1
8600
0
0
ACCELERATE DIAGNOSTICS INC
COM
00430H102
2
5000
SH
Put
DFND
1
5000
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
40000
SH
Put
DFND
1
40000
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
AMICUS THERAPEUTICS INC
COM
03152W109
2
22500
SH
Call
DFND
1
22500
0
0
ANADARKO PETE CORP
COM
032511107
42756
605955
SH
DFND
4
605955
0
0
ANADARKO PETE CORP
COM
032511107
91
113500
SH
Put
DFND
1
113500
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
ANTERO RES CORP
COM
03674X106
2
31000
SH
Call
DFND
1
31000
0
0
APHRIA INC
COM
03765K104
245
35000
SH
DFND
1
35000
0
0
APHRIA INC
COM
03765K104
4927
702864
SH
DFND
2
702864
0
0
APHRIA INC
COM
03765K104
15
97600
SH
Call
DFND
1
97600
0
0
APHRIA INC
COM
03765K104
257
117200
SH
Put
DFND
2
117200
0
0
APPLIED MATLS INC
COM
038222105
221
55000
SH
Call
DFND
1
55000
0
0
ARCHER DANIELS MIDLAND CO
COM
039483102
19
20500
SH
Call
DFND
1
20500
0
0
ARQULE INC
COM
04269E107
192
37200
SH
Call
DFND
1
37200
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
371
546400
SH
Call
DFND
4
546400
0
0
AT HOME GROUP INC
COM
04650Y100
343
51449
SH
DFND
4
51449
0
0
AT HOME GROUP INC
COM
04650Y100
21
25000
SH
Call
DFND
1
25000
0
0
AT&T INC
COM
00206R102
88
100000
SH
Call
DFND
1
100000
0
0
AT&T INC
COM
00206R102
898
26800
SH
DFND
1
26800
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
60600
SH
Call
DFND
1
60600
0
0
AVAYA HLDGS CORP
COM
05351X101
655
55000
SH
DFND
1
55000
0
0
AVAYA HLDGS CORP
COM
05351X101
2
20200
SH
Call
DFND
1
20200
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
753200
SH
Call
DFND
1
753200
0
0
AVON PRODS INC
COM
054303102
4
40000
SH
Put
DFND
1
40000
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
BANC OF CALIFORNIA INC
COM
05990K106
8
150000
SH
Call
DFND
1
150000
0
0
BANC OF CALIFORNIA INC
COM
05990K106
38
150000
SH
Put
DFND
1
150000
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
BARNES & NOBLE INC
COM
067774109
1
50000
SH
Put
DFND
1
50000
0
0
BB&T CORP
COM
054937107
198
201300
SH
Put
DFND
4
201300
0
0
BEST BUY INC
COM
086516101
15
24000
SH
Put
DFND
1
24000
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
12500
SH
Put
DFND
1
12500
0
0
BIOHAVEN PHARMACTL HLDG CO L
COM
G11196105
543
105000
SH
Call
DFND
4
105000
0
0
BIOHAVEN PHARMACTL HLDG CO L
COM
G11196105
48
30200
SH
Call
DFND
1
30200
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
1
100
SH
DFND
1
100
0
0
BLACK RIDGE ACQUISITION CORP
COM
09216T107
6894
670000
SH
DFND
3
670000
0
0
BLACK RIDGE ACQUISITION CORP
RIGHT 07/10/2019
09216T123
21
50000
SH
DFND
3
50000
0
0
BLACK RIDGE ACQUISITION CORP
RIGHT 07/10/2019
09216T123
208
494461
SH
DFND
1
494461
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
428
22659
SH
DFND
3
22659
0
0
BROOKFIELD PROPERTY REIT INC
CL A
11282X103
3468
183600
SH
DFND
2
183600
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
CANNTRUST HLDGS INC
COM
137800207
14
80000
SH
Call
DFND
1
80000
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
CAPRI HOLDINGS LIMITED
SHS
G1890L107
8
17500
SH
Call
DFND
1
17500
0
0
CBS CORP NEW
CL B
124857202
156
250000
SH
Put
DFND
4
250000
0
0
CELGENE CORP
COM
151020104
62684
678108
SH
DFND
4
678108
0
0
CELGENE CORP
COM
151020104
12
200100
SH
Put
DFND
4
200100
0
0
CELGENE CORP
COM
151020104
6
25000
SH
Call
DFND
1
25000
0
0
CELGENE CORP
COM
151020104
188
222300
SH
Put
DFND
1
222300
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
416500
SH
Call
DFND
1
416500
0
0
CENTENE CORP DEL
COM
15135B101
832
538500
SH
Put
DFND
1
538500
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
CHESAPEAKE ENERGY CORP
COM
165167107
12
481200
SH
Call
DFND
1
481200
0
0
CHURCHILL CAP CORP II
UNIT 99/99/9999
17143G205
11246
1107985
SH
DFND
1
1107985
0
0
CIGNA CORP NEW
COM
125523100
25
15500
SH
Call
DFND
1
15500
0
0
CISCO SYS INC
COM
17275R102
153
2790
SH
DFND
1
2790
0
0
CISCO SYS INC
COM
17275R102
179
130000
SH
Put
DFND
1
130000
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
3000
300000
SH
DFND
3
300000
0
0
COLLIER CREEK HOLDINGS
COM CL A
G22707106
679
67909
SH
DFND
1
67909
0
0
COLLIER CREEK HOLDINGS
UNIT 99/99/9999
G22707122
795
75000
SH
DFND
1
75000
0
0
COMCAST CORP NEW
CL A
20030N101
14
18000
SH
Call
DFND
1
18000
0
0
CONAGRA BRANDS INC
COM
205887102
4
25000
SH
Call
DFND
1
25000
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
CORBUS PHARMACEUTICALS HLDGS
COM
21833P103
3
14400
SH
Call
DFND
1
14400
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
55000
SH
Call
DFND
1
55000
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
1
7500
SH
Put
DFND
1
7500
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
40946
1841078
SH
DFND
4
1841078
0
0
CYPRESS SEMICONDUCTOR CORP
COM
232806109
3
100000
SH
Call
DFND
1
100000
0
0
DASEKE INC
*W EXP 02/27/202
23753F115
87
394501
SH
DFND
1
394501
0
0
DAVITA INC
COM
23918K108
183
111800
SH
Put
DFND
1
111800
0
0
DAVITA INC
COM
23918K108
996
111800
SH
Call
DFND
1
111800
0
0
DD3 ACQUISITION CORP
*W EXP 10/20/202
G2692M111
15
50799
SH
DFND
1
50799
0
0
DECIPHERA PHARMACEUTICALS IN
COM
24344T101
19
20000
SH
Put
DFND
1
20000
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
17
25000
SH
Call
DFND
1
25000
0
0
DELTA AIR LINES INC DEL
COM NEW
247361702
22
25000
SH
Put
DFND
1
25000
0
0
DENBURY RES INC
COM NEW
247916208
3
18100
SH
Call
DFND
4
18100
0
0
DEUTSCHE BANK AG
NAMEN AKT
D18190898
240
160000
SH
Put
DFND
2
160000
0
0
DEUTSCHE BANK AG
NAMEN AKT
D18190898
1221
160000
SH
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
DISNEY WALT CO
COM DISNEY
254687106
179
40000
SH
Call
DFND
1
40000
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
31700
SH
Call
DFND
1
31700
0
0
ELECTRONIC ARTS INC
COM
285512109
13
10000
SH
Put
DFND
1
10000
0
0
EMCOR GROUP INC
COM
29084Q100
20
24200
SH
Call
DFND
4
24200
0
0
ENEL AMERICAS S A
SPONSORED ADR
29274F104
162
44600
SH
Put
DFND
3
44600
0
0
ENEL AMERICAS S A
SPONSORED ADR
29274F104
444
50000
SH
DFND
3
50000
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
42500
SH
Call
DFND
1
42500
0
0
FASTENAL CO
COM
311900104
272
170000
SH
Put
DFND
1
170000
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
FIRST BANCORP N C
COM
318910106
42
45000
SH
Call
DFND
1
45000
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
COM
37518N106
262
31318301
SH
DFND
1
31318301
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
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
2500
SH
Call
DFND
1
2500
0
0
GLOBAL BLOOD THERAPEUTICS IN
COM
37890U108
20
40000
SH
Call
DFND
3
40000
0
0
GLOBAL BLOOD THERAPEUTICS IN
COM
37890U108
50
13500
SH
Put
DFND
1
13500
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
GOPRO INC
CL A
38268T103
66
65000
SH
Call
DFND
1
65000
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
4907
475000
SH
DFND
3
475000
0
0
GORDON POINTE ACQUISITION CO
COM CLASS A
382788107
362
35000
SH
DFND
1
35000
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
1571
150000
SH
DFND
3
150000
0
0
GORES HOLDINGS III INC
UNIT 09/07/2024
38286G208
526
50262
SH
DFND
1
50262
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
3015
300000
SH
DFND
3
300000
0
0
GX ACQUISITION CORP
UNIT 05/24/2026
36251A206
426
42396
SH
DFND
1
42396
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
HORIZON THERAPEUTICS PUB LTD
SHS
G46188101
144
6000
SH
DFND
1
6000
0
0
HORIZON THERAPEUTICS PUB LTD
SHS
G46188101
10
20000
SH
Put
DFND
1
20000
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
140000
SH
Call
DFND
1
140000
0
0
INTEC PHARMA LTD JERUSALEM
SHS
M53644106
20
4525
SH
DFND
1
4525
0
0
INTEC PHARMA LTD JERUSALEM
SHS
M53644106
24
20200
SH
Put
DFND
1
20200
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
IOVANCE BIOTHERAPEUTICS INC
COM
462260100
85
30900
SH
Call
DFND
1
30900
0
0
IRON MTN INC NEW
COM
46284V101
5
100000
SH
Call
DFND
1
100000
0
0
IRON MTN INC NEW
COM
46284V101
97
10000
SH
Put
DFND
1
10000
0
0
ISHARES INC
MSCI STH AFR ETF
464286780
437
8000
SH
DFND
3
8000
0
0
ISHARES TR
20 YR TR BD ETF
464287432
88
952100
SH
Put
DFND
1
952100
0
0
ISHARES TR
20 YR TR BD ETF
464287432
33
20000
SH
Call
DFND
1
20000
0
0
ISHARES TR
CHINA LG-CAP ETF
464287184
26
50000
SH
Call
DFND
1
50000
0
0
ISHARES TR
CHINA LG-CAP ETF
464287184
24
50000
SH
Put
DFND
1
50000
0
0
JD COM INC
SPON ADR CL A
47215P106
140
57600
SH
Call
DFND
1
57600
0
0
JPMORGAN CHASE & CO
COM
46625H100
4629
41400
SH
DFND
1
41400
0
0
JPMORGAN CHASE & CO
COM
46625H100
71
22500
SH
Put
DFND
1
22500
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
KROGER CO
COM
501044101
68
50000
SH
Call
DFND
1
50000
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
82
258200
SH
Call
DFND
1
258200
0
0
LENNAR CORP
CL A
526057104
1001
20663
SH
DFND
1
20663
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
LIVE OAK BANCSHARES INC
COM
53803X105
50
80000
SH
Call
DFND
1
80000
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
40000
SH
Put
DFND
1
40000
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
MASTEC INC
COM
576323109
3
10000
SH
Put
DFND
1
10000
0
0
MEDICINES CO
COM
584688105
368
10100
SH
DFND
1
10100
0
0
MEDICINES CO
COM
584688105
65
15000
SH
Put
DFND
1
15000
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
MELLANOX TECHNOLOGIES LTD
SHS
M51363113
86858
784841
SH
DFND
4
784841
0
0
MIDSOUTH BANCORP INC
COM
598039105
153
12900
SH
DFND
4
12900
0
0
MIRATI THERAPEUTICS INC
COM
60468T105
36
12500
SH
Call
DFND
1
12500
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
MOLINA HEALTHCARE INC
COM
60855R100
86
15000
SH
Call
DFND
1
15000
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
385
37716
SH
DFND
1
37716
0
0
MOSAIC ACQUISITION CORP
COM CL A
61946M100
510
50000
SH
DFND
3
50000
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
169
8000
SH
Put
DFND
1
8000
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
1630
16700
SH
DFND
1
16700
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
635
120500
SH
Call
DFND
1
120500
0
0
OAKTREE CAP GROUP LLC
UNIT CL A
674001201
5591
112859
SH
DFND
4
112859
0
0
OCCIDENTAL PETE CORP
COM
674599105
22
212000
SH
Call
DFND
1
212000
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
20100
SH
Put
DFND
1
20100
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
PORTOLA PHARMACEUTICALS INC
COM
737010108
24
63500
SH
Call
DFND
1
63500
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
17000
SH
Put
DFND
1
17000
0
0
QEP RES INC
COM
74733V100
36
5000
SH
DFND
1
5000
0
0
QEP RES INC
COM
74733V100
2
7400
SH
Put
DFND
1
7400
0
0
QEP RES INC
COM
74733V100
145
109600
SH
Call
DFND
4
109600
0
0
QEP RES INC
COM
74733V100
21
30200
SH
Call
DFND
1
30200
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
17500
SH
Call
DFND
1
17500
0
0
RED HAT INC
COM
756577102
1398
50000
SH
Call
DFND
4
50000
0
0
RED HAT INC
COM
756577102
31
118300
SH
Put
DFND
1
118300
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
SAVARA INC
COM
805111101
2
33000
SH
Call
DFND
1
33000
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
SEATTLE GENETICS INC
COM
812578102
20
10000
SH
Call
DFND
1
10000
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
5
52300
SH
Call
DFND
1
52300
0
0
SHUTTERFLY INC
COM
82568P304
76
125900
SH
Put
DFND
4
125900
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
*W EXP 09/14/202
G8250R129
384
286233
SH
DFND
3
286233
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
4000
SH
Call
DFND
1
4000
0
0
SPARK THERAPEUTICS INC
COM
84652J103
47
9900
SH
Put
DFND
1
9900
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
519
70000
SH
Put
DFND
4
70000
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
9
30
SH
DFND
1
30
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
517
521000
SH
Call
DFND
4
521000
0
0
SPDR SERIES TRUST
S&P BIOTECH
78464A870
72
30000
SH
Call
DFND
1
30000
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
60200
SH
Call
DFND
1
60200
0
0
SPRINT CORPORATION
COM
85207U105
63
293000
SH
Put
DFND
1
293000
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
140000
SH
Put
DFND
1
140000
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
THERAPEUTICSMD INC
COM
88338N107
6
49000
SH
Call
DFND
1
49000
0
0
THERAPEUTICSMD INC
COM
88338N107
2
1200
SH
Put
DFND
1
1200
0
0
THUNDER BRIDGE ACQUISITION L
*W EXP 01/01/202
G8857R126
62
30800
SH
DFND
3
30800
0
0
THUNDER BRIDGE ACQUISITION L
*W EXP 01/01/202
G8857R126
7
3430
SH
DFND
1
3430
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
TOCAGEN INC
COM
888846102
43
6500
SH
DFND
1
6500
0
0
TOCAGEN INC
COM
888846102
53
22700
SH
Call
DFND
1
22700
0
0
TORTOISE ACQUISITION CORP
UNIT 03/04/2024
89154L209
3006
300000
SH
DFND
3
300000
0
0
TORTOISE ACQUISITION CORP
UNIT 03/04/2024
89154L209
292
29140
SH
DFND
1
29140
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
TOWER SEMICONDUCTOR LTD
SHS NEW
M87915274
4
42800
SH
Call
DFND
1
42800
0
0
TOWER SEMICONDUCTOR LTD
SHS NEW
M87915274
118
7500
SH
DFND
1
7500
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
7238
700000
SH
DFND
3
700000
0
0
TRIDENT ACQUISITIONS CORP
COM
89615T106
3045
294449
SH
DFND
1
294449
0
0
TRIDENT ACQUISITIONS CORP
UNIT 05/09/2023
89615T205
6870
654300
SH
DFND
3
654300
0
0
TRIDENT ACQUISITIONS CORP
UNIT 05/09/2023
89615T205
362
34505
SH
DFND
1
34505
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
1614
159977
SH
DFND
1
159977
0
0
TRINE ACQUISITION CORP
UNIT 03/31/2021
89628U207
4040
400000
SH
DFND
3
400000
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
2060
200000
SH
DFND
3
200000
0
0
TRINITY MERGER CORP
COM CL A
89653L106
127
12326
SH
DFND
1
12326
0
0
TRINITY MERGER CORP
UNIT 05/11/2025
89653L205
1331
125240
SH
DFND
3
125240
0
0
TRINITY MERGER CORP
UNIT 05/11/2025
89653L205
106
10000
SH
DFND
1
10000
0
0
TURNING PT BRANDS INC
COM
90041L105
511
10424
SH
DFND
1
10424
0
0
TURNING PT BRANDS INC
COM
90041L105
48
20000
SH
Call
DFND
1
20000
0
0
TURNING PT BRANDS INC
COM
90041L105
64
20000
SH
Put
DFND
1
20000
0
0
TUSCAN HOLDINGS CORP
UNIT 99/99/9999
90069K203
1060
100000
SH
DFND
3
100000
0
0
TUSCAN HOLDINGS CORP
UNIT 99/99/9999
90069K203
1
100
SH
DFND
1
100
0
0
TWELVE SEAS INVESTMENT COMPA
RIGHT 12/22/2019
G9145A131
307
1057298
SH
DFND
1
1057298
0
0
TWILIO INC
CL A
90138F102
7
10000
SH
Call
DFND
1
10000
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
UNITI GROUP INC
COM
91325V108
56
62700
SH
Put
DFND
1
62700
0
0
UNUM THERAPEUTICS INC
COM
903214104
2151
820805
SH
DFND
3
820805
0
0
VANECK VECTORS ETF TR
GOLD MINERS ETF
92189F106
2904
3958800
SH
Call
DFND
1
3958800
0
0
VANECK VECTORS ETF TR
SEMICONDUCTOR ET
92189F676
406
350000
SH
Put
DFND
4
350000
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
358700
SH
Call
DFND
1
358700
0
0
VANECK VECTORS ETF TR
SEMICONDUCTOR ET
92189F676
251
102500
SH
Call
DFND
4
102500
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
63
1100
SH
DFND
1
1100
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
188
85000
SH
Put
DFND
1
85000
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
VILLAGE FARMS INTL INC
COM
92707Y108
35
3100
SH
DFND
1
3100
0
0
VILLAGE FARMS INTL INC
COM
92707Y108
40
72000
SH
Call
DFND
1
72000
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
38000
SH
Call
DFND
1
38000
0
0
WELLCARE HEALTH PLANS INC
COM
94946T106
5
4500
SH
Put
DFND
1
4500
0
0
WESCO INTL INC
COM
95082P105
1
15700
SH
Call
DFND
1
15700
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
49348
1499493
SH
DFND
4
1499493
0
0
ZAYO GROUP HLDGS INC
COM
98919V105
28
140200
SH
Call
DFND
1
140200
0
0
ZAYO GROUP HLDGS INC
COM
98919V105
7
6300
SH
Put
DFND
1
6300
0
0
ZAYO GROUP HLDGS INC
COM
98919V105
18
100000
SH
Put
DFND
4
100000
0
0
ZOGENIX INC
COM NEW
98978L204
59
20000
SH
Call
DFND
1
20000
0
0