Chief Compliance Officer

0001085146-21-000509.txt : 20210208 0001085146-21-000509.hdr.sgml : 20210208 20210208082005 ACCESSION NUMBER: 0001085146-21-000509 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210208 DATE AS OF CHANGE: 20210208 EFFECTIVENESS DATE: 20210208 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: 21598645 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 12-31-2020 12-31-2020 false COWEN AND COMPANY, LLC

599 LEXINGTON AVENUE 20TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-19611 Y On May 1, 2020, Cowen Execution Services LLC (CES) merged with its affiliate, Cowen and Company, LLC (Cowen and Company). As a result of the merger, Cowen and Company is the surviving entity and CES has ceased to exist as a separate operating broker-dealer and 13F Notice Filer. All CES positions became positions of Cowen and Company. Steven Cohen Chief Compliance Officer 646-562-1727 /s/ Steven Cohen New York NY 02-05-2021 1 394 1119113 false 3 0001771015 028-19614 Cowen Financial Products LLC INFORMATION TABLE 2 infotable.xml INFORMATION TABLE ABB LTD SPONSORED ADR 000375204 6990 250000 SH DFND 250000 0 0 ABBVIE INC COM 00287Y109 1038 96400 SH Call DFND 96400 0 0 ACACIA COMMUNICATIONS INC COM 00401C108 3648 50000 SH DFND 50000 0 0 ACACIA COMMUNICATIONS INC COM 00401C108 452 67500 SH Call DFND 67500 0 0 ACACIA COMMUNICATIONS INC COM 00401C108 82 80000 SH Put DFND 80000 0 0 ADVISORSHARES TR PURE CANNABIS 00768Y495 238 13989 SH DFND 13989 0 0 AEA-BRIDGES IMPACT CORP *W EXP 09/19/202 G01046112 39 25000 SH DFND 25000 0 0 AERSALE CORPORATION *W EXP 11/04/202 00810F114 235 126166 SH DFND 126166 0 0 AERSALE CORPORATION COM 00810F106 3806 283804 SH DFND 283804 0 0 AGIOS PHARMACEUTICALS INC COM 00847X104 63 10000 SH Call DFND 10000 0 0 AGIOS PHARMACEUTICALS INC COM 00847X104 26 10000 SH Put DFND 10000 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 1030 6593 SH DFND 6593 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 151 31600 SH Call DFND 31600 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 297 32000 SH Put DFND 32000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 3763 16171 SH DFND 16171 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 9 16900 SH Put DFND 16900 0 0 ALLSTATE CORP COM 020002101 784 7129 SH DFND 7129 0 0 ALPHA HEALTHCARE ACQUISTN CO *W EXP 09/21/202 020751111 52 45000 SH DFND 45000 0 0 ALPHA HEALTHCARE ACQUISTN CO UNIT 09/21/2027 020751202 1149 108698 SH DFND 108698 0 0 ALUSSA ENERGY ACQUISITION CO *W EXP 10/31/202 G0232J119 43 34600 SH DFND 34600 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 120 24625 SH DFND 24625 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 10 32500 SH Call DFND 32500 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 13 32500 SH Put DFND 32500 0 0 AMC ENTMT HLDGS INC CL A COM 00165C104 165 537900 SH Call DFND 537900 0 0 AMC ENTMT HLDGS INC CL A COM 00165C104 274 544200 SH Put DFND 544200 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 76 4820 SH DFND 4820 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 7 196200 SH Put DFND 196200 0 0 AMICUS THERAPEUTICS INC COM 03152W109 154 95600 SH Call DFND 95600 0 0 AMPLITUDE HLTHCRE AQUSTIN CO *W EXP 12/01/202 03212A113 22 15000 SH DFND 15000 0 0 AMPLITUDE HLTHCRE AQUSTIN CO COM CL A 03212A105 250 25000 SH DFND 25000 0 0 ANDINA ACQUISITION CORP III SHS G04415108 4 409967 SH DFND 409967 0 0 ANDINA ACQUISITION CORP III UNIT 09/24/2020 G04415116 948 92157 SH DFND 92157 0 0 ANIKA THERAPEUTICS INC COM 035255108 289 75000 SH Call DFND 75000 0 0 APYX MEDICAL CORPORATION COM 03837C106 3622 503081 SH DFND 3 503081 0 0 AQUABOUNTY TECHNOLOGIES INC COM NEW 03842K200 4 10000 SH Put DFND 10000 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 1652 465317 SH DFND 3 465317 0 0 ARCLIGHT CLEAN TRANSITION CO *W EXP 09/22/202 G04561125 115 50000 SH DFND 50000 0 0 ARCLIGHT CLEAN TRANSITION CO CL A G04561109 166 15000 SH DFND 15000 0 0 ARENA PHARMACEUTICALS INC COM NEW 040047607 145 11800 SH Call DFND 11800 0 0 ARENA PHARMACEUTICALS INC COM NEW 040047607 4 8200 SH Put DFND 8200 0 0 ARGENX SE SPONSORED ADR 04016X101 291 5000 SH Call DFND 5000 0 0 ARGENX SE SPONSORED ADR 04016X101 15 5000 SH Put DFND 5000 0 0 ARTIUS ACQUISITION INC *W EXP 07/13/202 04316G113 43 19400 SH DFND 19400 0 0 ASCENDANT DIGITAL ACQUISITIO *W EXP 07/28/202 G05155117 86 50200 SH DFND 50200 0 0 ATLANTIC AVE ACQUISITION COR *W EXP 10/06/202 04906P119 55 50000 SH DFND 50000 0 0 AURINIA PHARMACEUTICALS INC COM 05156V102 90 34800 SH Call DFND 34800 0 0 AURINIA PHARMACEUTICALS INC COM 05156V102 204 54400 SH Put DFND 54400 0 0 AURORA CANNABIS INC COM 05156X884 298 299400 SH Call DFND 299400 0 0 AVADEL PHARMACEUTICALS PLC SPONSORED ADR 05337M104 12639 1892043 SH DFND 3 1892043 0 0 AVANTI ACQUISITION CORP *W EXP 99/99/999 G0682V125 38 25000 SH DFND 25000 0 0 AVAYA HLDGS CORP COM 05351X101 161 24000 SH Call DFND 24000 0 0 BALLARD PWR SYS INC NEW COM 058586108 3 18800 SH Put DFND 18800 0 0 BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 05946K101 4940 1000000 SH DFND 1000000 0 0 BANCO SANTANDER S.A. 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0 0 NEKTAR THERAPEUTICS COM 640268108 399 23488 SH DFND 23488 0 0 NEKTAR THERAPEUTICS COM 640268108 4 23400 SH Call DFND 23400 0 0 NEKTAR THERAPEUTICS COM 640268108 59 28700 SH Put DFND 28700 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 51 12500 SH Call DFND 12500 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 42 12500 SH Put DFND 12500 0 0 NEW BEGINNINGS ACQUISITION C *W EXP 11/01/202 64222H118 25 25000 SH DFND 25000 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 40 3803 SH DFND 3803 0 0 NEW YORK CMNTY BANCORP INC COM 649445103 2 24200 SH Put DFND 24200 0 0 NEWHOLD INVESTMENT CORP UNIT 03/10/2025 651448201 880 84258 SH DFND 84258 0 0 NEWMONT CORP COM 651639106 1753 29264 SH DFND 29264 0 0 NEWMONT CORP COM 651639106 47 9200 SH Call DFND 9200 0 0 NEWMONT CORP COM 651639106 31 74400 SH Put DFND 74400 0 0 NEXTGEN ACQUISITION CORP *W EXP 10/06/202 G65305123 67 45000 SH DFND 45000 0 0 NOMURA HLDGS INC SPONSORED ADR 65535H208 1870 350900 SH DFND 350900 0 0 NORTH MOUNTAIN MERGER CORP *W EXP 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701877102 16 50000 SH Call DFND 50000 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 8980 86100 SH Call DFND 86100 0 0 PERSPECTA INC COM 715347100 279 11597 SH DFND 11597 0 0 PERSPECTA INC COM 715347100 4 7100 SH Call DFND 7100 0 0 PERSPECTA INC COM 715347100 1 3800 SH Put DFND 3800 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 255 196300 SH Call DFND 196300 0 0 PLURALSIGHT INC COM CL A 72941B106 10358 494200 SH DFND 494200 0 0 PLURALSIGHT INC COM CL A 72941B106 28 71700 SH Call DFND 71700 0 0 PLURALSIGHT INC COM CL A 72941B106 2 16500 SH Put DFND 16500 0 0 PMV CONSUMER ACQUISITION COR *W EXP 08/31/202 693486110 17 15000 SH DFND 15000 0 0 PREVAIL THERAPEUTICS INC COM 74140Y101 127 5523 SH DFND 5523 0 0 PREVAIL THERAPEUTICS INC COM 74140Y101 2 20000 SH Call DFND 20000 0 0 PREVAIL THERAPEUTICS INC COM 74140Y101 39 22000 SH Put DFND 22000 0 0 PRIME IMPACT ACQUISITION I *W EXP 10/01/203 G61074129 54 35000 SH DFND 35000 0 0 PROPERTY SOLUTIONS ACQUISITI UNIT 03/30/2027 74348Q207 136 12331 SH DFND 12331 0 0 PROQR THRAPEUTICS N V SHS EURO N71542109 1200 285696 SH DFND 3 285696 0 0 QUANTUMSCAPE CORP *W EXP 11/25/202 74767V117 2584 68000 SH DFND 68000 0 0 QUANTUMSCAPE CORP COM CL A 74767V109 18 25300 SH Call DFND 25300 0 0 QUANTUMSCAPE CORP COM CL A 74767V109 1775 54000 SH Put DFND 54000 0 0 QUDIAN INC ADR 747798106 209 151470 SH DFND 151470 0 0 QUDIAN INC ADR 747798106 815 304800 SH Put DFND 304800 0 0 RADIUS HEALTH INC COM NEW 750469207 18 15000 SH Call DFND 15000 0 0 RADIUS HEALTH INC COM NEW 750469207 2 5000 SH Put DFND 5000 0 0 REALPAGE INC COM 75606N109 320 3673 SH DFND 3673 0 0 REALPAGE INC COM 75606N109 9 123400 SH Put DFND 123400 0 0 REDBALL ACQUISITION CORP *W EXP 08/17/202 G7417R113 56 25000 SH DFND 25000 0 0 REDBALL ACQUISITION CORP COM CL A G7417R105 272 25000 SH DFND 25000 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 93 30000 SH Call DFND 30000 0 0 REINVENT TECHNOLOGY PARTNERS CL A G7483N129 231 20000 SH DFND 20000 0 0 REVLON INC CL A NEW 761525609 108 71000 SH Call DFND 71000 0 0 REVLON INC CL A NEW 761525609 158 224500 SH Put DFND 224500 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 43 59700 SH Call DFND 59700 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 32 64700 SH Put DFND 64700 0 0 ROMAN DBDR TECH ACQUISITION *W EXP 10/31/202 77584N119 61 50000 SH DFND 50000 0 0 SANDBRIDGE ACQUISITION CORP *W EXP 09/14/202 799793112 26 20000 SH DFND 20000 0 0 SANDSTORM GOLD LTD COM NEW 80013R206 22 28300 SH Call DFND 28300 0 0 SANGAMO THERAPEUTICS INC COM 800677106 89 20000 SH Call DFND 20000 0 0 SANGAMO THERAPEUTICS INC COM 800677106 5 20000 SH Put DFND 20000 0 0 SARISSA CAPITAL ACQUISITN CO UNIT 10/23/2027 G7823W128 3195 300000 SH DFND 3 300000 0 0 SARISSA CAPITAL ACQUISITN CO UNIT 10/23/2027 G7823W128 373 35000 SH DFND 35000 0 0 SCVX CORP *W EXP 01/24/202 G79448117 110 64827 SH DFND 64827 0 0 SCVX CORP COM G79448208 949 92092 SH DFND 92092 0 0 SEAPORT GLOBAL ACQUISITN COR *W EXP 12/15/202 812227114 15 15000 SH DFND 15000 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 38570 340000 SH DFND 3 340000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 155 5269 SH DFND 5269 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 27 540700 SH Put DFND 540700 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1157 8895 SH DFND 8895 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 4 8900 SH Put DFND 8900 0 0 SEVEN OAKS ACQUISITION CORP UNIT 12/18/2025 81787X205 16043 1550000 SH DFND 3 1550000 0 0 SIO GENE THERAPIES INC COMMON 829399104 53 19000 SH DFND 19000 0 0 SIO GENE THERAPIES INC COMMON 829399104 4 19000 SH Call DFND 19000 0 0 SIO GENE THERAPIES INC COMMON 829399104 31 19000 SH Put DFND 19000 0 0 SLACK TECHNOLOGIES INC COM CL A 83088V102 2658 62934 SH DFND 62934 0 0 SLACK TECHNOLOGIES INC COM CL A 83088V102 17 31300 SH Call DFND 31300 0 0 SLACK TECHNOLOGIES INC COM CL A 83088V102 19 76800 SH Put DFND 76800 0 0 SOFTWARE ACQUISITN GRUP INC *W EXP 09/17/202 83407F119 81 59920 SH DFND 59920 0 0 SOFTWARE ACQUISITN GRUP INC COM CL A 83407F101 149 14949 SH DFND 14949 0 0 SOLAREDGE TECHNOLOGIES INC COM 83417M104 448 19200 SH Call DFND 19200 0 0 SOLAREDGE TECHNOLOGIES INC COM 83417M104 159 38400 SH Put DFND 38400 0 0 SOUTH MTN MERGER CORP *W EXP 06/20/202 838884112 43 10000 SH DFND 10000 0 0 SPARTACUS ACQUISITION CORP *W EXP 10/31/202 84677L117 45 40000 SH DFND 40000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1957 5233 SH DFND 5233 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 70925 189700 SH DFND 3 189700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 37 15000 SH Put DFND 15000 0 0 SPDR SER TR S&P BIOTECH 78464A870 11262 80000 SH DFND 3 80000 0 0 SPDR SER TR S&P BIOTECH 78464A870 236 49600 SH Call DFND 49600 0 0 SPINNAKER ETF SERIES CANNABIS ETF 84858T400 938 75000 SH DFND 75000 0 0 SPORTS ENTERTAINMENT ACQU CO *W EXP 10/30/202 84918M114 41 30000 SH DFND 30000 0 0 SPORTS ENTERTAINMENT ACQU CO COM CL A 84918M106 1518 150000 SH DFND 3 350000 0 0 STARBOARD VALUE ACQUISITN CO *W EXP 09/10/202 85521J117 49 25000 SH DFND 25000 0 0 STARBOARD VALUE ACQUISITN CO UNIT 09/10/2025 85521J208 312 30321 SH DFND 30321 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 39498 6401605 SH DFND 6401605 0 0 SUMMIT MATLS INC CL A 86614U100 395 19666 SH DFND 19666 0 0 SUNDIAL GROWERS INC COM 86730L109 96 203101 SH DFND 203101 0 0 SWITCH INC CL A 87105L104 406 24775 SH DFND 24775 0 0 SWITCH INC CL A 87105L104 104 104300 SH Put DFND 104300 0 0 TAILWIND ACQUISITION CORP *W EXP 09/07/202 87403Q110 87 62257 SH DFND 62257 0 0 TATTOOED CHEF INC COM CL A 87663X102 2 35000 SH Put DFND 35000 0 0 TELA BIO INC COM 872381108 6043 401776 SH DFND 3 401776 0 0 THERAVANCE BIOPHARMA INC COM G8807B106 260 14622 SH DFND 14622 0 0 TIFFANY & CO NEW COM 886547108 1 59900 SH Call DFND 59900 0 0 TIFFANY & CO NEW COM 886547108 42 599300 SH Put DFND 599300 0 0 TILRAY INC COM CL 2 88688T100 969 117263 SH DFND 117263 0 0 TILRAY INC COM CL 2 88688T100 256 352600 SH Call DFND 352600 0 0 TILRAY INC COM CL 2 88688T100 808 516200 SH Put DFND 516200 0 0 TREBIA ACQUISITION CORP *W EXP 99/99/999 G9027T117 191 91700 SH DFND 91700 0 0 TREBIA ACQUISITION CORP COM CL A G9027T109 10790 1000000 SH DFND 3 1000000 0 0 TREPONT ACQUISITION CORP I UNIT 99/99/9999 G9095M119 114 11019 SH DFND 11019 0 0 TRILLIUM THERAPEUTICS INC COM NEW 89620X506 325 22070 SH DFND 22070 0 0 TRILLIUM THERAPEUTICS INC COM NEW 89620X506 120 81400 SH Put DFND 81400 0 0 TWC TECH HLDGS II CORP *W EXP 09/15/202 90117G113 83 50000 SH DFND 50000 0 0 UBER TECHNOLOGIES INC COM 90353T100 59 16600 SH Call DFND 16600 0 0 UCOMMUNE INTERNATIONAL LTD *W EXP 11/17/202 G9449A118 20 80000 SH DFND 3 80000 0 0 ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 61 12400 SH Call DFND 12400 0 0 ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 80 12400 SH Put DFND 12400 0 0 UNIQURE NV SHS N90064101 643 17799 SH DFND 17799 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 378 10500 SH Call DFND 10500 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 39 10500 SH Put DFND 10500 0 0 USA TECHNOLOGIES INC COM 90328S500 23295 2222778 SH DFND 3 2222778 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 28423 130130 SH DFND 130130 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 11 3000 SH Call DFND 3000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 94 150800 SH Put DFND 150800 0 0 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 1468 10400 SH DFND 3 10400 0 0 VECTOR ACQUISITION CORP COM CL A G9442R126 253 25000 SH DFND 25000 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 990 4190 SH DFND 4190 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 18 7500 SH Call DFND 7500 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 118 7500 SH Put DFND 7500 0 0 VG ACQUISITION CORP SHS CL A G9446E105 343 30006 SH DFND 30006 0 0 VILLAGE FARMS INTL INC COM 92707Y108 85 42500 SH Call DFND 42500 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 1307 55081 SH DFND 55081 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 52 6000 SH Call DFND 6000 0 0 VISTAS MEDIA ACQUISITION CO *W EXP 08/01/202 92840T115 43 50000 SH DFND 50000 0 0 VIVEON HEALTH ACQUISITION CO UNIT 99/99/9999 92853V205 255 25000 SH DFND 25000 0 0 VPC IMPACT ACQUISITION HLDNG *W EXP 10/22/202 G9441E118 44 40000 SH DFND 40000 0 0 VY GLOBAL GROWTH *W EXP 01/30/203 G9444H118 206 100000 SH DFND 100000 0 0 VY GLOBAL GROWTH COM CL A G9444H100 958 91961 SH DFND 91961 0 0 WORKHORSE GROUP INC COM NEW 98138J206 946 177300 SH Call DFND 177300 0 0 WORKHORSE GROUP INC COM NEW 98138J206 1 52500 SH Put DFND 52500 0 0 YELLOWSTONE ACQUISITION CO *W EXP 10/21/202 98566K113 88 70600 SH DFND 70600 0 0 YELLOWSTONE ACQUISITION CO COM CL A 98566K105 280 27680 SH DFND 27680 0 0 YUCAIPA ACQUISITION CORP *W EXP 99/99/999 G9879L113 64 45000 SH DFND 45000 0 0 YUCAIPA ACQUISITION CORP COM G9879L105 491 48616 SH DFND 3 48616 0 0 YUCAIPA ACQUISITION CORP UNIT 99/99/9999 G9879L121 1285 126028 SH DFND 126028 0 0 YUNHONG INTL *W EXP 01/31/202 G98882122 15 20000 SH DFND 20000 0 0 YUNHONG INTL CL A SHS G98882106 496 49896 SH DFND 49896 0 0 YUNHONG INTL RIGHT 01/31/2027 G98882130 16 50000 SH DFND 50000 0 0 ZIONS BANCORPORATION N A COM 989701107 580 13341 SH DFND 13341 0 0 ZYMEWORKS INC COM 98985W102 85 35000 SH Call DFND 35000 0 0