Chief Compliance Officer

0001085146-20-000581.txt : 20200211 0001085146-20-000581.hdr.sgml : 20200211 20200211171406 ACCESSION NUMBER: 0001085146-20-000581 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200211 DATE AS OF CHANGE: 20200211 EFFECTIVENESS DATE: 20200211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COWEN AND COMPANY, LLC CENTRAL INDEX KEY: 0000048966 IRS NUMBER: 841702964 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19611 FILM NUMBER: 20598070 BUSINESS ADDRESS: STREET 1: 599 LEXINGTON AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646-562-1727 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: COWEN & CO., LLC DATE OF NAME CHANGE: 20060208 FORMER COMPANY: FORMER CONFORMED NAME: SG COWEN & CO., LLC DATE OF NAME CHANGE: 20040521 FORMER COMPANY: FORMER CONFORMED NAME: SG COWEN SECURITIES CORPORATION DATE OF NAME CHANGE: 20040503 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000048966 XXXXXXXX 12-31-2019 12-31-2019 false COWEN AND COMPANY, LLC

599 Lexington Avenue 20th Floor NEW YORK NY 10022

13F HOLDINGS REPORT 028-19611 N Steven Cohen Chief Compliance Officer 646-562-1727 /s/ Steven Cohen New York NY 02-11-2020 2 453 1151129 2 0000917380 028-18771 COWEN EXECUTION SERVICES LLC 3 0001771015 028-19614 Cowen Financial Products LLC INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 8I ENTERPRISES ACQUISITIN CO SHS G2956M104 376 37480 SH DFND 37480 0 0 8X8 INC NEW COM 282914100 11 40000 SH Put DFND 40000 0 0 ABBVIE INC COM 00287Y109 1286 80000 SH Call DFND 80000 0 0 ABBVIE INC COM 00287Y109 1 40000 SH Put DFND 40000 0 0 ACAMAR PARTNERS ACQSITION CO *W EXP 02/26/202 004285110 318 424203 SH DFND 424203 0 0 ACHILLION PHARMACEUTICALS IN COM 00448Q201 83 2266600 SH Call DFND 2266600 0 0 ACHILLION PHARMACEUTICALS IN COM 00448Q201 140 722200 SH Put DFND 722200 0 0 ACT II GLOBAL ACQUISITION CO *W EXP 04/30/202 G0080J120 173 172888 SH DFND 172888 0 0 ACT II GLOBAL ACQUISITION CO UNIT 04/30/2026 G0080J112 211 19880 SH DFND 19880 0 0 ADVERUM BIOTECHNOLOGIES INC COM 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G5463L113 41 62216 SH DFND 62216 0 0 LGL SYS ACQUISITION CORP UNIT 10/24/2024 50201G205 1138 111575 SH DFND 111575 0 0 LINCOLN NATL CORP IND COM 534187109 174 2942 SH DFND 2942 0 0 LINCOLN NATL CORP IND COM 534187109 27 110000 SH Put DFND 110000 0 0 LIV CAP ACQUISITION CORP UNIT 99/99/9999 G5510C124 742 73708 SH DFND 73708 0 0 MARATHON PETE CORP COM 56585A102 267 150000 SH Call DFND 150000 0 0 MARATHON PETE CORP COM 56585A102 249 50000 SH Put DFND 50000 0 0 MASTEC INC COM 576323109 25 21100 SH Call DFND 21100 0 0 MATCH GROUP INC COM 57665R106 215 25000 SH Put DFND 2 25000 0 0 MEDALLIA INC COM 584021109 2031 65300 SH DFND 2 65300 0 0 MEDALLIA INC COM 584021109 281 65300 SH Put DFND 2 65300 0 0 MEDICINES CO COM 584688105 13983 689300 SH Call DFND 689300 0 0 MEDICINES CO COM 584688105 41 718800 SH Put DFND 718800 0 0 MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 69 216974 SH DFND 216974 0 0 MERIDA MERGER CORP I *W EXP 11/07/202 58953M114 47 94622 SH DFND 94622 0 0 MERIDA MERGER CORP I COM 58953M106 690 70805 SH DFND 70805 0 0 MICRON TECHNOLOGY INC COM 595112103 281 56100 SH Put DFND 56100 0 0 MICRON TECHNOLOGY INC COM 595112103 960 122000 SH Call DFND 122000 0 0 MIRATI THERAPEUTICS INC COM 60468T105 2569 19938 SH DFND 19938 0 0 MIRATI THERAPEUTICS INC COM 60468T105 59 3000 SH Call DFND 3000 0 0 MIRATI THERAPEUTICS INC COM 60468T105 88 14700 SH Put DFND 14700 0 0 MIZUHO FINL GROUP INC SPONSORED ADR 60687Y109 1803 583650 SH DFND 2 583650 0 0 MOHAWK INDS INC COM 608190104 59 433 SH DFND 433 0 0 MOHAWK INDS INC COM 608190104 7 15400 SH Put DFND 15400 0 0 MONOCLE ACQUISITION CORP *W EXP 12/06/202 609754114 243 324174 SH DFND 324174 0 0 MONOCLE ACQUISITION CORP COM 609754106 1176 384865 SH DFND 384865 0 0 MONOCLE ACQUISITION CORP UNIT 99/99/9999 609754205 1369 126166 SH DFND 126166 0 0 MOSAIC ACQUISITION CORP COM CL A 61946M100 1119 108843 SH DFND 108843 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 20 40788 SH DFND 40788 0 0 NATIONAL VISION HLDGS INC COM 63845R107 7 201 SH DFND 201 0 0 NATIONAL VISION HLDGS INC COM 63845R107 2 17600 SH Put DFND 17600 0 0 NEBULA ACQUISITION CORP *W EXP 03/12/202 629076118 318 254207 SH DFND 254207 0 0 NEPTUNE WELLNESS SOLUTIONS I COM 64079L105 180 65329 SH DFND 65329 0 0 NEPTUNE WELLNESS SOLUTIONS I COM 64079L105 336 160000 SH Put DFND 160000 0 0 NESCO HLDGS INC *W EXP 01/01/202 64083J112 52 111300 SH DFND 111300 0 0 NETFIN ACQUISITION CORP *W EXP 08/01/202 G6455A115 101 336327 SH DFND 336327 0 0 NETFIN ACQUISITION CORP SHS CL A G6455A107 169 17000 SH DFND 17000 0 0 NEW FRONTIER HEALTH CORP *W EXP 11/30/202 G6461G114 33 21785 SH DFND 21785 0 0 NEW PROVIDENCE ACQUISITIN CO COM CL A 64822P106 164 16573 SH DFND 16573 0 0 NEW PROVIDENCE ACQUISITIN CO UNIT 09/01/2024 64822P205 472 45892 SH DFND 45892 0 0 NII HLDGS INC COM PAR 62913F508 4176 1924557 SH DFND 1924557 0 0 NOMURA HLDGS INC SPONSORED ADR 65535H208 6907 1338500 SH DFND 2 1338500 0 0 NORTONLIFELOCK INC COM 668771108 999 39150 SH DFND 39150 0 0 NORTONLIFELOCK INC COM 668771108 3 100000 SH Put DFND 100000 0 0 OAKTREE ACQUISITION CORP *W EXP 99/99/999 G67145113 88 92383 SH DFND 92383 0 0 OAKTREE ACQUISITION CORP UNIT 99/99/9999 G67145121 150 14701 SH DFND 14701 0 0 OASIS PETE INC NEW COM 674215108 6520 2000000 SH DFND 3 2000000 0 0 OCCIDENTAL PETE CORP COM 674599105 759 18419 SH DFND 18419 0 0 OCCIDENTAL PETE CORP COM 674599105 3 184400 SH Call DFND 184400 0 0 OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 34 190709 SH DFND 190709 0 0 ORGANIGRAM HLDGS INC COM 68620P101 33 59500 SH Call DFND 59500 0 0 ORISUN ACQUISITION CORP *W EXP 05/31/202 68632T117 27 498500 SH DFND 498500 0 0 ORISUN ACQUISITION CORP RIGHT 05/31/2024 68632T125 30 129400 SH DFND 129400 0 0 OSPREY TECHNLGY AQUISTION CO *W EXP 10/30/202 68839R120 41 46014 SH DFND 46014 0 0 OSPREY TECHNLGY AQUISTION CO COM CL A 68839R104 815 83626 SH DFND 83626 0 0 PACIFIC DRILLING SA LUXEMBOU COM L7257P205 61 15000 SH DFND 15000 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 778 27400 SH DFND 27400 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 355 50000 SH Put DFND 2 50000 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 209 64400 SH Call DFND 64400 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 1420 50000 SH DFND 2 50000 0 0 PENSARE ACQUISITION CORP RIGHT 99/99/9999 70957E121 54 186441 SH DFND 186441 0 0 PG&E CORP COM 69331C108 163 15000 SH DFND 15000 0 0 PG&E CORP COM 69331C108 68 91200 SH Call DFND 91200 0 0 PIVOTAL INVT CORP II *W EXP 06/01/202 72582K118 222 280603 SH DFND 280603 0 0 PIVOTAL INVT CORP II UNIT 06/01/2025 72582K209 219 21435 SH DFND 21435 0 0 PRIORITY TECHNOLOGY HLDGS IN COM 74275G107 177 72337 SH DFND 72337 0 0 PROCTER & GAMBLE CO COM 742718109 6259 50109 SH DFND 50109 0 0 PROCTER & GAMBLE CO COM 742718109 76 50000 SH Put DFND 50000 0 0 PROFICIENT ALPHA ACQUSTN COR *W EXP 04/30/202 74317H113 76 509758 SH DFND 509758 0 0 PROFICIENT ALPHA ACQUSTN COR RIGHT 04/30/2026 74317H121 51 301258 SH DFND 301258 0 0 PROFICIENT ALPHA ACQUSTN COR UNIT 04/30/2026 74317H204 1288 125001 SH DFND 125001 0 0 PROPTECH ACQUISITION CORPORA UNIT 10/01/2026 74349F200 231 22526 SH DFND 22526 0 0 PROQR THRAPEUTICS N V SHS EURO N71542109 1028 103727 SH DFND 3 103727 0 0 PURE ACQUISITION CORP *W EXP 04/17/202 74621Q114 1859 1884928 SH DFND 1884928 0 0 PURE ACQUISITION CORP CL A 74621Q106 408 39323 SH DFND 39323 0 0 PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 869 80421 SH DFND 80421 0 0 QUDIAN INC ADR 747798106 65 13779 SH DFND 13779 0 0 QUDIAN INC ADR 747798106 288 287900 SH Put DFND 287900 0 0 RADIUS HEALTH INC COM NEW 750469207 21 20000 SH Call DFND 20000 0 0 RADNET INC COM 750491102 212 10456 SH DFND 10456 0 0 RADNET INC COM 750491102 9 25200 SH Put DFND 25200 0 0 RANGE RES CORP COM 75281A109 83 17092 SH DFND 17092 0 0 RANGE RES CORP COM 75281A109 45 48200 SH Call DFND 48200 0 0 RECRO PHARMA INC COM 75629F109 442 24134 SH DFND 24134 0 0 RECRO PHARMA INC COM 75629F109 10 19300 SH Put DFND 19300 0 0 REEBONZ HLDG LTD SHS G7457R122 35 29942 SH DFND 29942 0 0 REPLAY ACQUISITION CORP *W EXP 03/01/202 G75130115 166 198185 SH DFND 198185 0 0 REPLAY ACQUISITION CORP UNIT 03/01/2024 G75130123 306 29518 SH DFND 29518 0 0 RIMINI STR INC DEL COM 76674Q107 157 40545 SH DFND 40545 0 0 RMG ACQUISITION CORP *W EXP 02/21/202 749641114 83 143664 SH DFND 143664 0 0 SAGE THERAPEUTICS INC COM 78667J108 120 18000 SH Call DFND 18000 0 0 SAREPTA THERAPEUTICS INC COM 803607100 406 3145 SH DFND 3145 0 0 SAREPTA THERAPEUTICS INC COM 803607100 351 20200 SH Put DFND 20200 0 0 SC HEALTH CORP *W EXP 99/99/999 G78516401 332 345783 SH DFND 345783 0 0 SCHULTZE SPL PURP ACQUSTN CO *W EXP 12/31/202 80821R117 205 539737 SH DFND 539737 0 0 SEATTLE GENETICS INC COM 812578102 29 12900 SH Call DFND 12900 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 37626 300000 SH DFND 3 300000 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1837 18030 SH DFND 18030 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 136 68800 SH Put DFND 68800 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 125 1941 SH DFND 1941 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 5 100000 SH Put DFND 100000 0 0 SILVER SPIKE ACQUISITION COR *W EXP 08/02/202 G8136L114 307 768500 SH DFND 768500 0 0 SILVER SPIKE ACQUISITION COR CL A SHS G8136L106 8857 893762 SH DFND 893762 0 0 SOUTH MTN MERGER CORP *W EXP 06/20/202 838884112 82 91544 SH DFND 91544 0 0 SOUTH MTN MERGER CORP COM CL A 838884104 2972 301078 SH DFND 301078 0 0 SOUTH MTN MERGER CORP UNIT 99/99/9999 838884203 291 28000 SH DFND 28000 0 0 SPARTAN ENERGY ACQUISITON CO *W EXP 08/27/202 846784122 65 117879 SH DFND 117879 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 102673 319000 SH DFND 3 319000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 803 46700 SH Call DFND 46700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 415 500100 SH Put DFND 500100 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 38044 400000 SH DFND 3 400000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 250 110000 SH Call DFND 110000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 171 370700 SH Put DFND 370700 0 0 SPDR SERIES TRUST S&P METALS MNG 78464A755 64 40000 SH Call DFND 40000 0 0 SPINNAKER ETF SERIES CANNABIS ETF 84858T400 1254 100000 SH DFND 2 100000 0 0 SPRINT CORPORATION COM 85207U105 457 604500 SH Put DFND 604500 0 0 SPRINT CORPORATION COM 85207U105 76 220000 SH Call DFND 220000 0 0 STABLE RD ACQUISITION CORP UNIT 05/15/2026 85236Q208 1000 97213 SH DFND 97213 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 73000 9851605 SH DFND 2 9851605 0 0 SUNDIAL GROWERS INC COM 86730L109 695 231084 SH DFND 231084 0 0 SUNDIAL GROWERS INC COM 86730L109 9 22400 SH Call DFND 22400 0 0 SWITCH INC CL A 87105L104 92 90000 SH Call DFND 90000 0 0 SWITCH INC CL A 87105L104 97 90000 SH Put DFND 90000 0 0 SWITCHBACK ENERGY ACQUISITIO *W EXP 07/25/202 87105M110 195 325015 SH DFND 325015 0 0 SWITCHBACK ENERGY ACQUISITIO COM CL A 87105M102 1661 169540 SH DFND 169540 0 0 TARGA RES CORP COM 87612G101 2060 50441 SH DFND 50441 0 0 TARGA RES CORP COM 87612G101 1358 431700 SH Call DFND 431700 0 0 TARGA RES CORP COM 87612G101 366 181500 SH Put DFND 181500 0 0 TARGET HOSPITALITY CORP *W EXP 03/15/202 87615L115 213 409117 SH DFND 409117 0 0 TELA BIO INC COM 872381108 309 23831 SH DFND 3 23831 0 0 TELLURIAN INC NEW COM 87968A104 364 50000 SH DFND 2 50000 0 0 TELLURIAN INC NEW COM 87968A104 139 50000 SH Put DFND 2 50000 0 0 TENABLE HLDGS INC COM 88025T102 277 11572 SH DFND 11572 0 0 TENZING ACQUISITION CORP *W EXP 02/23/202 G8708A108 27 108600 SH DFND 108600 0 0 THE CHARLES SCHWAB CORPORATI COM 808513105 343 7215 SH DFND 7215 0 0 THE CHARLES SCHWAB CORPORATI COM 808513105 79 175000 SH Put DFND 175000 0 0 THUNDER BRDG ACQUISTION II L *W EXP 11/30/202 G8857S108 72 79680 SH DFND 79680 0 0 THUNDER BRDG ACQUISTION II L CL A SHS G8857S116 888 89278 SH DFND 89278 0 0 TIBERIUS ACQUISITION CORP *W EXP 02/28/202 88633A115 183 160300 SH DFND 160300 0 0 TIFFANY & CO NEW COM 886547108 2655 19867 SH DFND 19867 0 0 TIFFANY & CO NEW COM 886547108 35 74600 SH Call DFND 74600 0 0 TIFFANY & CO NEW COM 886547108 185 984700 SH Put DFND 984700 0 0 TILRAY INC COM CL 2 88688T100 43 2524 SH DFND 2 2524 0 0 TILRAY INC COM CL 2 88688T100 161 20400 SH Put DFND 2 20400 0 0 TILRAY INC COM CL 2 88688T100 78 58700 SH Put DFND 58700 0 0 TILRAY INC COM CL 2 88688T100 11 75000 SH Call DFND 2 75000 0 0 TILRAY INC COM CL 2 88688T100 352 131400 SH Call DFND 131400 0 0 TKK SYMPHONY ACQUISITION COR *W EXP 02/20/202 G88950129 17 285100 SH DFND 285100 0 0 TKK SYMPHONY ACQUISITION COR RIGHT 02/20/2020 G88950137 46 182275 SH DFND 182275 0 0 TORTOISE ACQUISITION CORP *W EXP 03/04/202 89154L118 16 34720 SH DFND 34720 0 0 TORTOISE ACQUISITION CORP CL A 89154L100 118 11767 SH DFND 11767 0 0 TOTTENHAM ACQUISITION I LTD RIGHT 06/05/2020 G8959N122 35 214379 SH DFND 214379 0 0 TOWER SEMICONDUCTOR LTD SHS NEW M87915274 481 19987 SH DFND 19987 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 195 18500 SH DFND 18500 0 0 TRINE ACQUISITION CORP *W EXP 03/31/202 89628U116 226 237432 SH DFND 237432 0 0 TRINE ACQUISITION CORP COM CL A 89628U108 1417 142000 SH DFND 142000 0 0 TRINE ACQUISITION CORP UNIT 03/31/2021 89628U207 1385 132539 SH DFND 132539 0 0 TRUIST FINL CORP COM 89832Q109 17971 320000 SH DFND 3 320000 0 0 TURNING PT BRANDS INC COM 90041L105 1 20000 SH Call DFND 20000 0 0 TUSCAN HLDGS CORP II *W EXP 99/99/999 90070A111 22 49480 SH DFND 49480 0 0 TUSCAN HLDGS CORP II COM 90070A103 1500 152134 SH DFND 152134 0 0 TUSCAN HOLDINGS CORP *W EXP 04/01/202 90069K112 23 38520 SH DFND 38520 0 0 TUSCAN HOLDINGS CORP COM 90069K104 435 43700 SH DFND 43700 0 0 TUSCAN HOLDINGS CORP UNIT 99/99/9999 90069K203 1273 121200 SH DFND 121200 0 0 TWITTER INC COM 90184L102 2039 63629 SH DFND 63629 0 0 TWITTER INC COM 90184L102 19 7500 SH Call DFND 7500 0 0 TWITTER INC COM 90184L102 334 127500 SH Put DFND 127500 0 0 UNION ACQUISITION CORP II SHS G9402Q100 1378 139925 SH DFND 139925 0 0 UNITED AIRLINES HLDGS INC COM 910047109 16 99900 SH Call DFND 99900 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 179 24400 SH Put DFND 24400 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 1563 17742 SH DFND 17742 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 10 24400 SH Call DFND 24400 0 0 UNITI GROUP INC COM 91325V108 227 416500 SH Put DFND 416500 0 0 US BANCORP DEL COM NEW 902973304 34981 590000 SH DFND 3 590000 0 0 VANECK VECTORS ETF TRUST GOLD MINERS ETF 92189F106 914 31217 SH DFND 31217 0 0 VANECK VECTORS ETF TRUST GOLD MINERS ETF 92189F106 549 900000 SH Call DFND 900000 0 0 VANECK VECTORS ETF TRUST GOLD MINERS ETF 92189F106 1 40000 SH Put DFND 40000 0 0 VANECK VECTORS ETF TRUST SEMICONDUCTOR ET 92189F676 2980 21072 SH DFND 21072 0 0 VANECK VECTORS ETF TRUST SEMICONDUCTOR ET 92189F676 117 135000 SH Put DFND 135000 0 0 VARIAN MED SYS INC COM 92220P105 152 1067 SH DFND 1067 0 0 VARIAN MED SYS INC COM 92220P105 124 20000 SH Call DFND 20000 0 0 VARIAN MED SYS INC COM 92220P105 122 22500 SH Put DFND 22500 0 0 VECTOIQ ACQUISITION CORP *W EXP 05/11/202 92243N111 243 411851 SH DFND 411851 0 0 VECTOIQ ACQUISITION CORP COM 92243N103 5 1161500 SH DFND 1161500 0 0 VECTOIQ ACQUISITION CORP UNIT 05/11/2023 92243N202 186 17134 SH DFND 3 17134 0 0 VECTOIQ ACQUISITION CORP UNIT 05/11/2023 92243N202 3219 296667 SH DFND 296667 0 0 VIACOMCBS INC CL B 92556H206 719 17140 SH DFND 17140 0 0 VIRGIN GALACTIC HOLDINGS INC *W EXP 11/25/202 92766K114 2657 805128 SH DFND 805128 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 688 316900 SH Call DFND 316900 0 0 VISTRA ENERGY CORP COM 92840M102 345 15000 SH DFND 15000 0 0 WAITR HLDGS INC COM 930752100 97 300651 SH DFND 300651 0 0 WEALTHBRIDGE ACQUISITION LTD RIGHT 11/02/2023 G4887W136 8 24300 SH DFND 24300 0 0 WEALTHBRIDGE ACQUISITION LTD UNIT 99/99/9999 G4887W102 176 16850 SH DFND 16850 0 0 WESTERN DIGITAL CORP COM 958102105 255 4018 SH DFND 4018 0 0 WW INTL INC COM 98262P101 30 25000 SH Call DFND 25000 0 0 YAMANA GOLD INC COM 98462Y100 405 102500 SH DFND 102500 0 0 ZAYO GROUP HLDGS INC COM 98919V105 2 96900 SH Call DFND 96900 0 0 ZAYO GROUP HLDGS INC COM 98919V105 1 6300 SH Put DFND 6300 0 0 ZOGENIX INC COM NEW 98978L204 21 7000 SH Put DFND 7000 0 0 ZOGENIX INC COM NEW 98978L204 270 5176 SH DFND 5176 0 0