Chief Operating Officer and General Counsel

0001140361-15-041834.txt : 20151116 0001140361-15-041834.hdr.sgml : 20151116 20151116165709 ACCESSION NUMBER: 0001140361-15-041834 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20150930 FILED AS OF DATE: 20151116 DATE AS OF CHANGE: 20151116 EFFECTIVENESS DATE: 20151116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ionic Capital Management LLC CENTRAL INDEX KEY: 0001386462 IRS NUMBER: 680629832 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12913 FILM NUMBER: 151235930 BUSINESS ADDRESS: STREET 1: 475 FIFTH AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-294-8531 MAIL ADDRESS: STREET 1: 475 FIFTH AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001386462 XXXXXXXX 09-30-2015 09-30-2015 Ionic Capital Management LLC

475 FIFTH AVENUE 9TH FLOOR NEW YORK NY 10017

13F HOLDINGS REPORT 028-12913 N John C. Richardson Chief Operating Officer and General Counsel 212-294-8500 /s/ John C. Richardson New York NY 11-16-2015 1 348 1845243 false 1 0001426600 028-12955 Ionic Capital Partners LP INFORMATION TABLE 2 form13fInfoTable.xml ADVANCE AUTO PARTS INC COM 00751Y106 15925 84025 SH DFND 1 84025 0 0 ADVAXIS INC *W EXP 07/15/201 007624117 82 12621 SH DFND 1 12621 0 0 ADVENT CLAYMORE ENH GRW & IN COM 00765E104 881 107493 SH DFND 107493 0 0 AERCAP HOLDINGS NV SHS N00985106 12089 316144 SH DFND 1 316144 0 0 AEROJET ROCKETDYNE HLDGS INC COM 007800105 8198 506691 SH DFND 1 506691 0 0 AGROFRESH SOLUTIONS *W EXP 07/31/202 00856G117 526 240246 SH DFND 1 240246 0 0 AGROFRESH SOLUTIONS *W EXP 07/31/202 00856G117 94 43100 SH DFND 43100 0 0 AIR PRODS & CHEMS INC COM 009158106 30884 242075 SH DFND 1 242075 0 0 AKORN INC COM 009728106 12497 438345 SH DFND 1 438345 0 0 ALLERGAN PLC SHS G0177J108 26371 97020 SH DFND 1 97020 0 0 ALLERGAN PLC PFD CONV SER A G0177J116 1465 1550 SH DFND 1 1550 0 0 ALLIANZGI CONV & INCOME FD COM 018828103 421 72155 SH DFND 1 72155 0 0 ALLIANZGI CONV & INCOME FD COM 018828103 465 79736 SH DFND 79736 0 0 ALLIANZGI CONV & INCOME FD I COM 018825109 191 36199 SH DFND 1 36199 0 0 ALLIANZGI CONV & INCOME FD I COM 018825109 210 39796 SH DFND 39796 0 0 AMAZON COM INC COM 023135106 4095 8000 SH DFND 8000 0 0 AMAZON COM INC COM 023135106 10238 20000 SH Put DFND 20000 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 2572 66245 SH DFND 66245 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 7766 200000 SH Put DFND 200000 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 3495 90000 SH Call DFND 90000 0 0 ANADARKO PETE CORP COM 032511107 1136 18814 SH DFND 18814 0 0 ANADARKO PETE CORP COM 032511107 1335 22100 SH Put DFND 22100 0 0 APPLE INC COM 037833100 11261 102096 SH DFND 102096 0 0 APPLE INC COM 037833100 27575 250000 SH Call DFND 250000 0 0 APPLE INC COM 037833100 29285 265500 SH Put DFND 265500 0 0 APPLIED DNA SCIENCES INC *W EXP 11/21/201 03815U110 341 113684 SH DFND 1 113684 0 0 APPLIED MATLS INC COM 038222105 4370 297500 SH DFND 297500 0 0 APPLIED MATLS INC COM 038222105 4407 300000 SH Put DFND 300000 0 0 APPLIED MATLS INC COM 038222105 1469 100000 SH Call DFND 100000 0 0 AR CAP ACQUISITION CORP COM 00191R109 445 45164 SH DFND 1 45164 0 0 ARAMARK COM 03852U106 38772 1308082 SH DFND 1 1308082 0 0 ARCELORMITTAL SA LUXEMBOURG MAND CV NT 16 L0302D178 1178 137820 SH DFND 1 137820 0 0 ARCELORMITTAL SA LUXEMBOURG MAND CV NT 16 L0302D178 10226 1196241 SH DFND 1196241 0 0 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 359 69800 SH Call DFND 1 69800 0 0 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 175 34000 SH Put DFND 1 34000 0 0 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 808 156900 SH Put DFND 156900 0 0 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 6290 1221300 SH Call DFND 1221300 0 0 AROWANA INC *W EXP 04/29/202 G05011112 16 146453 SH DFND 1 146453 0 0 AROWANA INC UNIT 99/99/9999 G05011138 102 10000 SH DFND 1 10000 0 0 ASSOCIATED BANC CORP *W EXP 11/21/201 045487113 256 113689 SH DFND 1 113689 0 0 ASSOCIATED BANC CORP COM 045487105 539 30000 SH Call DFND 1 30000 0 0 AT&T INC COM 00206R102 5571 171006 SH DFND 171006 0 0 AT&T INC COM 00206R102 8634 265000 SH Put DFND 265000 0 0 AXALTA COATING SYS LTD COM G0750C108 6158 243000 SH DFND 1 243000 0 0 B/E AEROSPACE INC COM 073302101 8098 184458 SH DFND 1 184458 0 0 BALL CORP COM 058498106 26058 418945 SH DFND 1 418945 0 0 BALL CORP COM 058498106 4534 72900 SH DFND 72900 0 0 BALL CORP COM 058498106 4062 65300 SH Call DFND 65300 0 0 BALL CORP COM 058498106 933 15000 SH Put DFND 15000 0 0 BANK AMER CORP COM 060505104 539 34617 SH DFND 1 34617 0 0 BANK AMER CORP COM 060505104 312 20000 SH Call DFND 1 20000 0 0 BANK AMER CORP COM 060505104 5305 340494 SH DFND 340494 0 0 BANK AMER CORP COM 060505104 11373 730000 SH Call DFND 730000 0 0 BANK AMER CORP COM 060505104 7371 473100 SH Put DFND 473100 0 0 BARCLAYS BK PLC IPATH S&P500 VIX 06742E711 2220 86604 SH DFND 1 86604 0 0 BARCLAYS BK PLC IPATH S&P500 VIX 06742E711 4096 159800 SH Put DFND 1 159800 0 0 BARCLAYS BK PLC IPATH S&P500 VIX 06742E711 3350 130698 SH DFND 130698 0 0 BARCLAYS BK PLC IPATH S&P500 VIX 06742E711 13774 537400 SH Put DFND 537400 0 0 BERRY PLASTICS GROUP INC COM 08579W103 28219 938434 SH DFND 1 938434 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 519 16400 SH DFND 1 16400 0 0 BHP BILLITON LTD SPONSORED ADR 088606108 1080 34159 SH DFND 34159 0 0 BIOTIME INC *W EXP 10/01/201 09066L162 208 247194 SH DFND 1 247194 0 0 BIOTIME INC *W EXP 10/01/201 09066L162 18 21871 SH DFND 21871 0 0 BLACKROCK CORPOR HI YLD FD I COM 09255P107 378 38276 SH DFND 1 38276 0 0 BLACKROCK CR ALLCTN INC TR COM 092508100 381 31308 SH DFND 1 31308 0 0 BLACKROCK RES & COMM STRAT T SHS 09257A108 217 30582 SH DFND 1 30582 0 0 BLACKROCK RES & COMM STRAT T SHS 09257A108 938 132129 SH DFND 132129 0 0 BLUE BUFFALO PET PRODS INC COM 09531U102 3033 169341 SH DFND 1 169341 0 0 BOULEVARD ACQUISITION UNIT 99/99/9999 10157Q201 297 29800 SH DFND 1 29800 0 0 BROADCOM CORP CL A 111320107 7165 139320 SH DFND 1 139320 0 0 CAPITAL ONE FINL CORP *W EXP 11/14/201 14040H139 317 10000 SH DFND 1 10000 0 0 CARNIVAL CORP PAIRED CTF 143658300 486 9782 SH DFND 1 9782 0 0 CARNIVAL CORP PAIRED CTF 143658300 99 2000 SH Call DFND 1 2000 0 0 CARNIVAL CORP PAIRED CTF 143658300 7075 142363 SH DFND 142363 0 0 CARNIVAL CORP PAIRED CTF 143658300 2485 50000 SH Call DFND 50000 0 0 CARNIVAL PLC ADR 14365C103 672 12985 SH DFND 12985 0 0 CATHAY GEN BANCORP *W EXP 12/05/201 149150112 3923 392087 SH DFND 392087 0 0 CEL SCI CORP *W EXP 10/11/201 150837177 23 92250 SH DFND 1 92250 0 0 CHANTICLEER HLDGS INC *W EXP 06/11/201 15930P131 12 81278 SH DFND 1 81278 0 0 CHESAPEAKE ENERGY CORP NOTE 2.750%11/1 165167BW6 2968 3000000 PRN DFND 3000000 0 0 CISCO SYS INC COM 17275R102 3281 125000 SH Call DFND 125000 0 0 CITIGROUP INC COM NEW 172967424 94 1900 SH DFND 1 1900 0 0 CITIGROUP INC COM NEW 172967424 893 18000 SH Call DFND 1 18000 0 0 CITIGROUP INC COM NEW 172967424 496 10000 SH DFND 10000 0 0 CITIGROUP INC COM NEW 172967424 7442 150000 SH Call DFND 150000 0 0 COMCAST CORP NEW CL A 20030N101 644 11319 SH DFND 1 11319 0 0 COMCAST CORP NEW CL A 20030N101 13340 234527 SH DFND 234527 0 0 COMCAST CORP NEW CL A 20030N101 7110 125000 SH Call DFND 125000 0 0 COMCAST CORP NEW CL A 20030N101 1422 25000 SH Put DFND 25000 0 0 CREDIT SUISSE ASSET MGMT INC COM 224916106 65 23058 SH DFND 1 23058 0 0 CREDIT SUISSE ASSET MGMT INC COM 224916106 92 32653 SH DFND 32653 0 0 CREDIT SUISSE NASSAU BRH INVRS VIX STERM 22542D795 378 15504 SH DFND 1 15504 0 0 CROWN CASTLE INTL CORP NEW CNV PFD STK SR A 22822V200 800 7847 SH DFND 1 7847 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 371 4700 SH Put DFND 1 4700 0 0 CTRIP COM INTL LTD AMERICAN DEP SHS 22943F100 967 15300 SH Put DFND 1 15300 0 0 CTRIP COM INTL LTD AMERICAN DEP SHS 22943F100 2571 40700 SH Put DFND 40700 0 0 CTRIP COM INTL LTD NOTE 1.250%10/1 22943FAD2 1301 1200000 PRN DFND 1 1200000 0 0 CURRENCYSHARES EURO TR EURO SHS 23130C108 61 559 SH DFND 1 559 0 0 CURRENCYSHARES EURO TR EURO SHS 23130C108 1742 15900 SH Call DFND 1 15900 0 0 CURRENCYSHARES EURO TR EURO SHS 23130C108 2082 19000 SH Put DFND 1 19000 0 0 CUSHING ENERGY INCOME COM SH BEN INT 23162T102 227 16268 SH DFND 16268 0 0 DBX ETF TR DBXTR HAR CS 300 233051879 778 24070 SH DFND 24070 0 0 DEL TACO RESTAURANTS INC *W EXP 06/30/202 245496112 1198 231750 SH DFND 1 231750 0 0 DELTA TECHNOLOGY HLDGS LTD *W EXP 12/18/201 G8477B113 11 150000 SH DFND 150000 0 0 DELTA TECHNOLOGY HLDGS LTD USD ORD SHS G8477B105 216 91071 SH DFND 1 91071 0 0 DELTA TECHNOLOGY HLDGS LTD USD ORD SHS G8477B105 231 97388 SH DFND 97388 0 0 DEPOMED INC NOTE 2.500% 9/0 249908AA2 1548 1300000 PRN DFND 1 1300000 0 0 DIGITALGLOBE INC COM NEW 25389M877 10191 535816 SH DFND 1 535816 0 0 DIREXION SHS ETF TR DLY ENERBR3X NEW 25459Y454 459 14000 SH DFND 14000 0 0 DOUBLE EAGLE ACQUISITION COR UNIT 99/99/9999 G28195108 456 45000 SH DFND 1 45000 0 0 DRAGONWAVE INC *W EXP 08/01/201 26144M129 1 36849 SH DFND 1 36849 0 0 DT ASIA INVTS LTD SHS G2615J104 260 25888 SH DFND 1 25888 0 0 DYCOM INDS INC COM 267475101 948 13100 SH Put DFND 1 13100 0 0 DYCOM INDS INC COM 267475101 204 2822 SH DFND 2822 0 0 DYCOM INDS INC COM 267475101 2055 28400 SH Put DFND 28400 0 0 EASTMAN KODAK CO *W EXP 09/03/201 277461133 113 32941 SH DFND 1 32941 0 0 EASTMAN KODAK CO *W EXP 09/03/201 277461141 50 16567 SH DFND 1 16567 0 0 ENPRO INDS INC COM 29355X107 21244 542361 SH DFND 1 542361 0 0 ETFS PLATINUM TR SH BEN INT 26922V101 2649 30150 SH DFND 30150 0 0 EXXON MOBIL CORP COM 30231G102 1718 23105 SH DFND 23105 0 0 EXXON MOBIL CORP COM 30231G102 9666 130000 SH Call DFND 130000 0 0 EXXON MOBIL CORP COM 30231G102 6692 90000 SH Put DFND 90000 0 0 EYEGATE PHARMACEUTICALS INC *W EXP 08/05/202 30233M115 24 27873 SH DFND 1 27873 0 0 FIELDPOINT PETROLEUM CORP *W EXP 03/23/201 316570126 11 222536 SH DFND 1 222536 0 0 FORESTAR GROUP INC COM 346233109 636 48400 SH Call DFND 1 48400 0 0 FREEPORT-MCMORAN INC CL B 35671D857 218 22494 SH DFND 1 22494 0 0 FREEPORT-MCMORAN INC CL B 35671D857 734 75700 SH Put DFND 1 75700 0 0 FREEPORT-MCMORAN INC CL B 35671D857 291 30000 SH DFND 30000 0 0 FREEPORT-MCMORAN INC CL B 35671D857 969 100000 SH Put DFND 100000 0 0 GENERAL ELECTRIC CO COM 369604103 3382 134100 SH Put DFND 134100 0 0 GENERAL ELECTRIC CO COM 369604103 8623 341900 SH Call DFND 341900 0 0 GENERAL MTRS CO COM 37045V100 5 162 SH DFND 1 162 0 0 GENERAL MTRS CO COM 37045V100 1801 60000 SH Call DFND 1 60000 0 0 GENERAL MTRS CO COM 37045V100 2402 80000 SH Call DFND 80000 0 0 GENERAL MTRS CO COM 37045V100 1801 60000 SH Put DFND 60000 0 0 GLOBAL DEFENSE & NATL SEC SY COM 37953N108 630 59884 SH DFND 1 59884 0 0 GLOBAL EAGLE ENTMT INC COM 37951D102 57 5000 SH Call DFND 1 5000 0 0 GLOBAL EAGLE ENTMT INC COM 37951D102 111 9700 SH Put DFND 1 9700 0 0 GLOBAL EAGLE ENTMT INC COM 37951D102 274 23900 SH Put DFND 23900 0 0 GOOGLE INC CL C 38259P706 24002 39450 SH DFND 1 39450 0 0 GOOGLE INC CL C 38259P706 3217 5287 SH DFND 5287 0 0 GORES HLDGS INC UNIT 99/99/9999 382866200 439 43500 SH DFND 1 43500 0 0 GRAY TELEVISION INC COM 389375106 11176 875823 SH DFND 1 875823 0 0 HENNESSY CAP ACQUISITION COR UNIT 99/99/9999 42588J209 564 57250 SH DFND 1 57250 0 0 HRG GROUP INC COM 40434J100 10946 933193 SH DFND 1 933193 0 0 HUBBELL INC CL A 443510102 8888 82188 SH DFND 1 82188 0 0 HUDBAY MINERALS INC *W EXP 07/20/201 443628136 18 50000 SH DFND 1 50000 0 0 ILLUMINA INC COM 452327109 466 2650 SH DFND 2650 0 0 INTEL CORP COM 458140100 9328 309490 SH DFND 309490 0 0 INTEL CORP COM 458140100 7987 265000 SH Call DFND 265000 0 0 INTEL CORP COM 458140100 24419 810200 SH Put DFND 810200 0 0 INTEL CORP SDCV 3.250% 8/0 458140AF7 1510 1000000 PRN DFND 1 1000000 0 0 INTELSAT S A COM L5140P101 76 11800 SH Call DFND 1 11800 0 0 INTERXION HOLDING N.V SHS N47279109 2156 79607 SH DFND 1 79607 0 0 INVESCO DYNAMIC CR OPP FD COM 46132R104 591 55949 SH DFND 1 55949 0 0 ISHARES MSCI BRZ CAP ETF 464286400 30 1364 SH DFND 1 1364 0 0 ISHARES MSCI BRZ CAP ETF 464286400 1098 50000 SH Call DFND 1 50000 0 0 ISHARES MSCI CDA ETF 464286509 575 25000 SH Call DFND 1 25000 0 0 ISHARES MSCI CDA ETF 464286509 2381 103500 SH DFND 103500 0 0 ISHARES MSCI CDA ETF 464286509 3450 150000 SH Put DFND 150000 0 0 ISHARES MSCI SPAN CP ETF 464286764 1439 48500 SH Call DFND 1 48500 0 0 ISHARES TR 20+ YR TR BD ETF 464287432 3677 29765 SH DFND 29765 0 0 ISHARES TR 20+ YR TR BD ETF 464287432 12354 100000 SH Call DFND 100000 0 0 ISHARES TR 20+ YR TR BD ETF 464287432 4942 40000 SH Put DFND 40000 0 0 ISHARES TR 3-7 YR TR BD ETF 464288661 1109 8900 SH Call DFND 1 8900 0 0 ISHARES TR 3-7 YR TR BD ETF 464288661 1583 12700 SH Put DFND 1 12700 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 845 23829 SH DFND 1 23829 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 1756 49500 SH Put DFND 1 49500 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 560 15800 SH Call DFND 1 15800 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 30311 854547 SH DFND 854547 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 8868 250000 SH Call DFND 250000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 38130 1075000 SH Put DFND 1075000 0 0 ISHARES TR CORE US CR BD 464288620 65 600 SH Call DFND 1 600 0 0 ISHARES TR CORE US CR BD 464288620 141 1300 SH Put DFND 1 1300 0 0 ISHARES TR IBOXX HI YD ETF 464288513 12244 147000 SH Put DFND 1 147000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 40 482 SH DFND 482 0 0 ISHARES TR IBOXX HI YD ETF 464288513 16658 200000 SH Call DFND 200000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 19157 230000 SH Put DFND 230000 0 0 ISHARES TR MSCI EAFE ETF 464287465 3 49 SH DFND 1 49 0 0 ISHARES TR MSCI EAFE ETF 464287465 11263 196500 SH Put DFND 1 196500 0 0 ISHARES TR MSCI EAFE ETF 464287465 4299 75000 SH Put DFND 75000 0 0 ISHARES TR MSCI USAMOMFCT 46432F396 363 5321 SH DFND 1 5321 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 4277 14100 SH Put DFND 1 14100 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 114 1700 SH DFND 1 1700 0 0 ISHARES TR RUS MDCP VAL ETF 464287473 4126 61500 SH Call DFND 1 61500 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 109 1000 SH DFND 1 1000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 16063 147100 SH Call DFND 1 147100 0 0 ISHARES TR U.S. REAL ES ETF 464287739 102 1439 SH DFND 1 1439 0 0 ISHARES TR U.S. REAL ES ETF 464287739 6946 97900 SH Put DFND 1 97900 0 0 ISHARES TR U.S. REAL ES ETF 464287739 7095 100000 SH Call DFND 100000 0 0 ISHARES TR U.S. REAL ES ETF 464287739 22491 317000 SH Put DFND 317000 0 0 JOHNSON & JOHNSON COM 478160104 2614 28000 SH DFND 28000 0 0 JOHNSON & JOHNSON COM 478160104 3734 40000 SH Call DFND 40000 0 0 JOHNSON & JOHNSON COM 478160104 3734 40000 SH Put DFND 40000 0 0 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 22 24237 SH DFND 1 24237 0 0 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 116 125946 SH DFND 125946 0 0 LIBERTY GLOBAL PLC SHS CL C G5480U120 792 19300 SH DFND 1 19300 0 0 LIBERTY GLOBAL PLC SHS CL C G5480U120 6456 157376 SH DFND 157376 0 0 LINDBLAD EXPEDITIONS HLDGS I *W EXP 07/08/202 535219117 322 172356 SH DFND 1 172356 0 0 LINDBLAD EXPEDITIONS HLDGS I *W EXP 07/08/202 535219117 345 184329 SH DFND 184329 0 0 LINKEDIN CORP COM CL A 53578A108 285 1500 SH DFND 1500 0 0 LINKEDIN CORP COM CL A 53578A108 951 5000 SH Call DFND 5000 0 0 LINKEDIN CORP COM CL A 53578A108 951 5000 SH Put DFND 5000 0 0 MADISON CVRED CALL & EQ STR COM 557437100 72 10163 SH DFND 1 10163 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 124 9000 SH DFND 1 9000 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 938 68300 SH Call DFND 1 68300 0 0 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 3443 250600 SH Call DFND 250600 0 0 MARKETO INC COM 57063L107 28630 1007378 SH DFND 1 1007378 0 0 MCDERMOTT INTL INC COM 580037109 65 15000 SH Call DFND 1 15000 0 0 MCDONALDS CORP COM 580135101 2463 25000 SH Put DFND 25000 0 0 MCDONALDS CORP COM 580135101 6404 65000 SH Call DFND 65000 0 0 MEDGENICS INC *W EXP 03/31/201 58436Q112 53 19694 SH DFND 1 19694 0 0 MEDIA GEN INC NEW COM 58441K100 27118 1938368 SH DFND 1 1938368 0 0 MICRON TECHNOLOGY INC COM 595112103 715 47758 SH DFND 47758 0 0 MICRON TECHNOLOGY INC COM 595112103 921 61500 SH Put DFND 61500 0 0 MICROSOFT CORP COM 594918104 3320 75000 SH Call DFND 75000 0 0 MICROSOFT CORP COM 594918104 4767 107700 SH Put DFND 107700 0 0 MORGAN STANLEY COM NEW 617446448 1099 34904 SH DFND 34904 0 0 MORGAN STANLEY COM NEW 617446448 3150 100000 SH Put DFND 100000 0 0 MORGAN STANLEY CHINA A SH FD COM 617468103 2023 90172 SH DFND 90172 0 0 MYLAN N V SHS EURO N59465109 30464 756689 SH DFND 1 756689 0 0 NEXSTAR BROADCASTING GROUP I CL A 65336K103 2983 63000 SH DFND 1 63000 0 0 NEXTERA ENERGY INC UNIT 08/31/2018 65339F846 283 5500 SH DFND 1 5500 0 0 NOBLE ENERGY INC COM 655044105 6036 200000 SH Call DFND 200000 0 0 NVIDIA CORP NOTE 1.000%12/0 67066GAC8 1351 1025000 PRN DFND 1 1025000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 11160 128174 SH DFND 1 128174 0 0 OCULUS INNOVATIVE SCIENCES I *W EXP 01/21/202 67575P116 60 208360 SH DFND 1 208360 0 0 OFFICE DEPOT INC COM 676220106 1618 252056 SH DFND 1 252056 0 0 OM GROUP INC COM 670872100 204 6200 SH DFND 1 6200 0 0 ORION ENGINEERED CARBONS S A COM L72967109 2668 184671 SH DFND 1 184671 0 0 PACE HLDGS CORP UNIT 99/99/9999 G6865N129 459 45000 SH DFND 1 45000 0 0 PARTNERRE LTD COM G6852T105 208 1500 SH DFND 1 1500 0 0 PARTY CITY HOLDCO INC COM 702149105 9072 568084 SH DFND 1 568084 0 0 PEPSICO INC COM 713448108 1294 13720 SH DFND 13720 0 0 PEPSICO INC COM 713448108 2735 29000 SH Put DFND 29000 0 0 PERRIGO CO PLC SHS G97822103 16251 103333 SH DFND 1 103333 0 0 PFIZER INC COM 717081103 4239 134950 SH DFND 134950 0 0 PFIZER INC COM 717081103 9172 292000 SH Put DFND 292000 0 0 PFIZER INC COM 717081103 9109 290000 SH Call DFND 290000 0 0 PIMCO ETF TR TTL RTN ACTV ETF 72201R775 598 5667 SH DFND 1 5667 0 0 PIMCO ETF TR TTL RTN ACTV ETF 72201R775 1002 9500 SH Call DFND 1 9500 0 0 PIMCO ETF TR TTL RTN ACTV ETF 72201R775 1002 9500 SH Put DFND 1 9500 0 0 PINNACLE FOODS INC DEL COM 72348P104 22167 529299 SH DFND 1 529299 0 0 PLANET FITNESS INC CL A 72703H101 3736 217954 SH DFND 1 217954 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 13310 130800 SH Call DFND 1 130800 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 28493 280000 SH Call DFND 280000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 4070 40000 SH Put DFND 40000 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 756 30132 SH DFND 1 30132 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 4169 166100 SH Call DFND 1 166100 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 4169 166100 SH Put DFND 1 166100 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347B201 1167 26900 SH Call DFND 1 26900 0 0 PROSHARES TR II SHT VIX ST TRM 74347W627 1648 34600 SH Call DFND 1 34600 0 0 PROSHARES TR II SHT VIX ST TRM 74347W627 9528 200000 SH Call DFND 200000 0 0 QIHOO 360 TECHNOLOGY CO LTD ADS 74734M109 127 2650 SH DFND 1 2650 0 0 QIHOO 360 TECHNOLOGY CO LTD ADS 74734M109 1315 27500 SH Put DFND 1 27500 0 0 QIHOO 360 TECHNOLOGY CO LTD ADS 74734M109 62 1300 SH DFND 1300 0 0 QIHOO 360 TECHNOLOGY CO LTD ADS 74734M109 167 3500 SH Put DFND 3500 0 0 QIHOO 360 TECHNOLOGY CO LTD NOTE 1.750% 8/1 74734MAF6 630 750000 PRN DFND 1 750000 0 0 QIHOO 360 TECHNOLOGY CO LTD NOTE 1.750% 8/1 74734MAF6 168 200000 PRN DFND 200000 0 0 QUALCOMM INC COM 747525103 44804 833876 SH DFND 833876 0 0 QUALCOMM INC COM 747525103 52784 982400 SH Put DFND 982400 0 0 QUALCOMM INC COM 747525103 45671 850000 SH Call DFND 850000 0 0 RACKSPACE HOSTING INC COM 750086100 23369 946892 SH DFND 1 946892 0 0 RESTORATION HARDWARE HLDGS I COM 761283100 1026 11000 SH Put DFND 1 11000 0 0 ROI ACQUISITION CORP II COM 74966G101 180 18007 SH DFND 1 18007 0 0 ROYCE MICRO-CAP TR INC COM 780915104 292 37726 SH DFND 1 37726 0 0 SCHLUMBERGER LTD COM 806857108 6897 100000 SH Call DFND 100000 0 0 SCIENTIFIC GAMES CORP CL A 80874P109 1095 104775 SH DFND 104775 0 0 SCIENTIFIC GAMES CORP CL A 80874P109 8706 833100 SH Call DFND 833100 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 3639 49000 SH Put DFND 1 49000 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1179 24975 SH DFND 24975 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 9438 200000 SH Call DFND 200000 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 5508 90000 SH Call DFND 90000 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 3060 50000 SH Put DFND 50000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 154 3909 SH DFND 1 3909 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 423 10714 SH DFND 10714 0 0 SOLARCITY CORP COM 83416T100 854 20000 SH Put DFND 1 20000 0 0 SOUTHWESTERN ENERGY CO COM 845467109 102 8000 SH Call DFND 1 8000 0 0 SOUTHWESTERN ENERGY CO COM 845467109 343 27000 SH Put DFND 1 27000 0 0 SOUTHWESTERN ENERGY CO DEP SHS 1/20 B 845467208 1143 36779 SH DFND 1 36779 0 0 SOUTHWESTERN ENERGY CO DEP SHS 1/20 B 845467208 332 10682 SH DFND 10682 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 383 1998 SH DFND 1 1998 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3373 17600 SH Call DFND 1 17600 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 113809 593900 SH Put DFND 1 593900 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 3733 15000 SH Call DFND 1 15000 0 0 SPDR SERIES TRUST S&P METALS MNG 78464A755 167 10000 SH Call DFND 10000 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 1589 48400 SH Call DFND 48400 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 1317 40100 SH Put DFND 40100 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 1012 24577 SH DFND 1 24577 0 0 STERICYCLE INC DEP PFD A 1/10 858912207 925 9090 SH DFND 1 9090 0 0 STERICYCLE INC DEP PFD A 1/10 858912207 722 7100 SH DFND 7100 0 0 STRATEGIC HOTELS & RESORTS I COM 86272T106 203 14700 SH DFND 1 14700 0 0 SUNCOKE ENERGY INC COM 86722A103 6861 881866 SH DFND 1 881866 0 0 SUNEDISON INC COM 86732Y109 94 13150 SH DFND 1 13150 0 0 SUNEDISON INC COM 86732Y109 98 13600 SH Put DFND 1 13600 0 0 SUNTRUST BKS INC *W EXP 11/14/201 867914111 423 125403 SH DFND 1 125403 0 0 SWISS HELVETIA FD INC COM 870875101 335 30881 SH DFND 1 30881 0 0 SYSCO CORP COM 871829107 3897 100000 SH Put DFND 100000 0 0 T MOBILE US INC CONV PFD SER A 872590203 525 7600 SH DFND 1 7600 0 0 TE CONNECTIVITY LTD REG SHS H84989104 16075 268405 SH DFND 1 268405 0 0 TECNOGLASS INC SHS G87264100 894 65165 SH DFND 1 65165 0 0 TERRAPIN 3 ACQUISITION CORP COM CL A 88104P104 102 10360 SH DFND 1 10360 0 0 TESLA MTRS INC NOTE 1.500% 6/0 88160RAA9 1630 800000 PRN DFND 1 800000 0 0 TIME WARNER CABLE INC COM 88732J207 10933 60953 SH DFND 1 60953 0 0 TIME WARNER CABLE INC COM 88732J207 11569 64500 SH Call DFND 1 64500 0 0 TRIPADVISOR INC COM 896945201 612 9710 SH DFND 1 9710 0 0 TRIPADVISOR INC COM 896945201 1254 19900 SH Call DFND 1 19900 0 0 TRIPADVISOR INC COM 896945201 1254 19900 SH Put DFND 1 19900 0 0 TYSON FOODS INC CL A 902494103 129 3000 SH Put DFND 1 3000 0 0 TYSON FOODS INC UNIT 99/99/9999 902494301 1475 28781 SH DFND 1 28781 0 0 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 369 23800 SH DFND 1 23800 0 0 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 1486 95900 SH DFND 95900 0 0 UBS AG LONDON BRH ETRACS MTH2XRE 90269A302 385 26790 SH DFND 1 26790 0 0 UNILEVER N V N Y SHS NEW 904784709 362 9000 SH DFND 1 9000 0 0 UNITED RENTALS INC COM 911363109 11452 190709 SH DFND 1 190709 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 2055 140000 SH Call DFND 140000 0 0 UNITED STS BRENT OIL FD LP UNIT 91167Q100 1655 99459 SH DFND 99459 0 0 UNITED STS BRENT OIL FD LP UNIT 91167Q100 1664 100000 SH Put DFND 100000 0 0 VALERO ENERGY CORP NEW COM 91913Y100 601 10000 SH Call DFND 1 10000 0 0 VALERO ENERGY CORP NEW COM 91913Y100 180 3000 SH DFND 3000 0 0 VALERO ENERGY CORP NEW COM 91913Y100 3005 50000 SH Put DFND 50000 0 0 VALLEY NATL BANCORP *W EXP 11/14/201 919794131 28 182776 SH DFND 1 182776 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 207 2524 SH DFND 1 2524 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1262 15400 SH Call DFND 1 15400 0 0 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 1180 14400 SH Put DFND 1 14400 0 0 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 10453 86200 SH Call DFND 1 86200 0 0 VANGUARD WORLD FDS CONSUM STP ETF 92204A207 7409 61100 SH Call DFND 61100 0 0 VMWARE INC CL A COM 928563402 16793 213135 SH DFND 1 213135 0 0 WASHINGTON FED INC *W EXP 11/14/201 938824117 238 43864 SH DFND 1 43864 0 0 WESTERN ASSET CLYM INFL OPP COM 95766R104 383 36812 SH DFND 1 36812 0 0 WESTERN DIGITAL CORP COM 958102105 15262 192123 SH DFND 1 192123 0 0 WISDOMTREE TR INDIA ERNGS FD 97717W422 38 1930 SH DFND 1 1930 0 0 WISDOMTREE TR INDIA ERNGS FD 97717W422 1534 77000 SH Put DFND 1 77000 0 0 WISDOMTREE TR INDIA ERNGS FD 97717W422 438 22000 SH DFND 22000 0 0 WISDOMTREE TR INDIA ERNGS FD 97717W422 11813 593000 SH Put DFND 593000 0 0 WISDOMTREE TR INDIA ERNGS FD 97717W422 1992 100000 SH Call DFND 100000 0 0 XPO LOGISTICS INC COM 983793100 21239 891264 SH DFND 1 891264 0 0 YAHOO INC COM 984332106 17310 598755 SH DFND 1 598755 0 0 YAHOO INC COM 984332106 1282 44332 SH DFND 44332 0 0 YAHOO INC COM 984332106 7228 250000 SH Call DFND 250000 0 0 YAHOO INC COM 984332106 2694 93200 SH Put DFND 93200 0 0 YUM BRANDS INC COM 988498101 34434 430691 SH DFND 1 430691 0 0 YUM BRANDS INC COM 988498101 29486 368800 SH Call DFND 1 368800 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 356 98815 SH DFND 1 98815 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 2173 603554 SH DFND 603554 0 0 ZIONS BANCORPORATION *W EXP 11/14/201 989701131 117 59956 SH DFND 1 59956 0 0 ZIONS BANCORPORATION COM 989701107 63 2300 SH Call DFND 2300 0 0 ZIONS BANCORPORATION COM 989701107 2754 100000 SH Put DFND 100000 0 0