Chief Operating Officer and General Counsel

0001140361-17-007349.txt : 20170214 0001140361-17-007349.hdr.sgml : 20170214 20170214164204 ACCESSION NUMBER: 0001140361-17-007349 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 EFFECTIVENESS DATE: 20170214 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: 17609716 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 12-31-2016 12-31-2016 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. 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ISHARES TR CHINA LG-CAP ETF 464287184 2759 79500 SH Put DFND 79500 0 0 ISHARES TR IBOXX HI YD ETF 464288513 12117 140000 SH Call DFND 1 140000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 13848 160000 SH Put DFND 1 160000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 2563 29617 SH DFND 1 29617 0 0 ISHARES TR IBOXX HI YD ETF 464288513 13311 153800 SH Put DFND 153800 0 0 ISHARES TR JP MOR EM MK ETF 464288281 68336 620000 SH Call DFND 620000 0 0 ISHARES TR MIN VOL USA ETF 46429B697 9379 207400 SH Call DFND 207400 0 0 ISHARES TR MSCI EAFE ETF 464287465 11546 200000 SH Put DFND 1 200000 0 0 ISHARES TR MSCI EAFE ETF 464287465 543 9411 SH DFND 1 9411 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 14004 400000 SH Call DFND 1 400000 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 8227 235000 SH Put DFND 1 235000 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 3641 104000 SH Call DFND 104000 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 3641 104000 SH Put DFND 104000 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 5390 153970 SH 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100000 SH Put DFND 1 100000 0 0 NEWMONT MINING CORP COM 651639106 2565 75300 SH Put DFND 1 75300 0 0 NEWMONT MINING CORP COM 651639106 68 2000 SH DFND 1 2000 0 0 NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 291 416175 SH DFND 1 416175 0 0 NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 108 154974 SH DFND 154974 0 0 NEXEO SOLUTIONS INC COM SHS 65342H102 3089 331770 SH DFND 331770 0 0 NEXSTAR BROADCASTING GROUP I CL A 65336K103 10861 171572 SH DFND 171572 0 0 NOMAD HLDGS LTD USD ORD SHS G6564A105 14453 1510258 SH DFND 1510258 0 0 NORFOLK SOUTHERN CORP COM 655844108 2918 27000 SH DFND 27000 0 0 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 1790 202291 SH DFND 202291 0 0 NXP SEMICONDUCTORS N V COM N6596X109 399 4070 SH DFND 1 4070 0 0 NXP SEMICONDUCTORS N V COM N6596X109 4078 41610 SH DFND 41610 0 0 PACE HLDGS CORP CL A G6865N103 0 1 SH DFND 1 0 0 PACE HLDGS CORP UNIT 99/99/9999 G6865N129 289 26935 SH DFND 26935 0 0 PFIZER INC COM 717081103 4258 131100 SH Call DFND 1 131100 0 0 PFIZER INC COM 717081103 1462 45000 SH Put DFND 1 45000 0 0 PFIZER INC COM 717081103 2654 81700 SH DFND 1 81700 0 0 PNC FINL SVCS GROUP INC *W EXP 12/31/201 693475121 15056 305272 SH DFND 1 305272 0 0 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 2299 98400 SH Put DFND 1 98400 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 11848 100000 SH Call DFND 1 100000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 498 4200 SH DFND 1 4200 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 16162 610800 SH Call DFND 610800 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 39531 1494000 SH Put DFND 1494000 0 0 QUALCOMM INC COM 747525103 1304 20000 SH Put DFND 1 20000 0 0 QUALCOMM INC COM 747525103 3912 60000 SH DFND 1 60000 0 0 QUINPARIO ACQUISITION CORP 2 COM 74874U101 418 42029 SH DFND 42029 0 0 RAYONIER ADVANCED MATLS INC PFD CV SER A 75508B203 2076 17862 SH DFND 17862 0 0 RITE AID CORP COM 767754104 285 34600 SH Call DFND 1 34600 0 0 RITE AID CORP COM 767754104 5035 611000 SH Put DFND 1 611000 0 0 RITE AID CORP COM 767754104 41 5000 SH DFND 1 5000 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1459 26838 SH DFND 1 26838 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1511 27786 SH DFND 27786 0 0 RUSH ENTERPRISES INC CL B 781846308 309 9996 SH DFND 1 9996 0 0 RUSH ENTERPRISES INC CL B 781846308 331 10728 SH DFND 10728 0 0 SCIENTIFIC GAMES CORP CL A 80874P109 3356 239700 SH Call DFND 1 239700 0 0 SEANERGY MARITIME HLDGS CORP *W EXP 11/10/202 Y73760145 69 202398 SH DFND 1 202398 0 0 SEANERGY MARITIME HLDGS CORP *W EXP 11/10/202 Y73760145 60 177082 SH DFND 177082 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 10729 131800 SH Call DFND 1 131800 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 613 8142 SH DFND 1 8142 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3055 131409 SH DFND 1 131409 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 3111 50000 SH Call DFND 1 50000 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 21155 340000 SH Put DFND 1 340000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 21856 450000 SH Call DFND 1 450000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 7285 150000 SH Put DFND 1 150000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 146 3000 SH DFND 1 3000 0 0 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 4970 100000 SH Call DFND 1 100000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 895 18500 SH DFND 1 18500 0 0 SHORETEL INC COM 825211105 5771 807193 SH DFND 807193 0 0 SINA CORP NOTE 1.000%12/0 82922RAD5 4924 5000000 PRN DFND 1 5000000 0 0 SINA CORP NOTE 1.000%12/0 82922RAD5 3939 4000000 PRN DFND 4000000 0 0 SINA CORP ORD G81477104 3556 58500 SH Put DFND 1 58500 0 0 SINA CORP ORD G81477104 470 7735 SH DFND 1 7735 0 0 SINA CORP ORD G81477104 2857 47000 SH Put DFND 47000 0 0 SINA CORP ORD G81477104 329 5406 SH DFND 5406 0 0 SONOMA PHARMACEUTICALS INC *W EXP 01/21/202 83558L113 76 199317 SH DFND 199317 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 12380 370000 SH Put DFND 1 370000 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 14445 431700 SH Call DFND 431700 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 4858 145200 SH Put DFND 145200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 33529 150000 SH Call DFND 1 150000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 8441 37764 SH DFND 1 37764 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4305 19257 SH DFND 19257 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 2453 8130 SH DFND 1 8130 0 0 SPDR SERIES TRUST BLOOMBERG BRCLYS 78464A417 1677 46000 SH DFND 1 46000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 10773 182000 SH Put DFND 1 182000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 108 1821 SH DFND 1 1821 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 369 8900 SH Call DFND 1 8900 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 4975 120100 SH Put DFND 1 120100 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 1624 39210 SH DFND 1 39210 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 3541 85500 SH Put DFND 85500 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 16532 297500 SH Put DFND 1 297500 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 881 20000 SH Call DFND 1 20000 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 881 20000 SH Put DFND 1 20000 0 0 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 3750 616719 SH DFND 1 616719 0 0 ST JUDE MED INC COM 790849103 401 5000 SH DFND 1 5000 0 0 ST JUDE MED INC COM 790849103 412 5134 SH DFND 5134 0 0 STELLAR ACQUISITION III INC UNIT 03/22/2022 Y8172W123 925 89800 SH DFND 89800 0 0 SUNPOWER CORP COM 867652406 740 111900 SH Put DFND 1 111900 0 0 SUNPOWER CORP COM 867652406 278 42040 SH DFND 1 42040 0 0 SUNPOWER CORP COM 867652406 198 30000 SH Call DFND 30000 0 0 SUNPOWER CORP COM 867652406 1047 158400 SH Put DFND 158400 0 0 SUNPOWER CORP COM 867652406 195 29518 SH DFND 29518 0 0 SUNTRUST BKS INC *W EXP 11/14/201 867914111 7776 585576 SH DFND 1 585576 0 0 SUNTRUST BKS INC *W EXP 11/14/201 867914111 7481 563331 SH DFND 563331 0 0 SUNTRUST BKS INC COM 867914103 8228 150000 SH Call DFND 1 150000 0 0 SUNTRUST BKS INC COM 867914103 713 13000 SH Put DFND 13000 0 0 SWISS HELVETIA FD INC COM 870875101 586 57426 SH DFND 1 57426 0 0 SWISS HELVETIA FD INC COM 870875101 631 61774 SH DFND 61774 0 0 SYNCHRONY FINL COM 87165B103 8266 227900 SH DFND 227900 0 0 SYNGENTA AG SPONSORED ADR 87160A100 2372 30000 SH DFND 30000 0 0 TCF FINL CORP *W EXP 11/14/201 872275128 1336 381700 SH DFND 381700 0 0 TERADYNE INC COM 880770102 1636 64400 SH Call DFND 1 64400 0 0 TERADYNE INC COM 880770102 274 10790 SH DFND 1 10790 0 0 TEREX CORP NEW COM 880779103 3724 118100 SH Call DFND 1 118100 0 0 TEREX CORP NEW COM 880779103 1577 50000 SH Put DFND 1 50000 0 0 TIME WARNER INC COM NEW 887317303 424 4390 SH DFND 1 4390 0 0 TIME WARNER INC COM NEW 887317303 5443 56385 SH DFND 56385 0 0 TRANSOCEAN LTD REG SHS H8817H100 1319 89500 SH Call DFND 1 89500 0 0 TRANSOCEAN LTD REG SHS H8817H100 1642 111400 SH Call DFND 111400 0 0 TRIVAGO N V SPON ADS A SHS 89686D105 1505 128066 SH DFND 128066 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 2363 86710 SH DFND 1 86710 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 1327 48690 SH DFND 48690 0 0 TWILIO INC CL A 90138F102 3029 105000 SH Put DFND 1 105000 0 0 TYSON FOODS INC CL A 902494103 1240 20100 SH Put DFND 1 20100 0 0 TYSON FOODS INC UNIT 99/99/9999 902494301 16 238 SH DFND 1 238 0 0 U S SILICA HLDGS INC COM 90346E103 1134 20000 SH Put DFND 1 20000 0 0 U S SILICA HLDGS INC COM 90346E103 1134 20000 SH DFND 1 20000 0 0 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 1889 112781 SH DFND 1 112781 0 0 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 1198 71515 SH DFND 71515 0 0 UNDER ARMOUR INC CL C 904311206 4027 160000 SH Put DFND 1 160000 0 0 UNDER ARMOUR INC CL C 904311206 4423 175717 SH DFND 1 175717 0 0 UNDER ARMOUR INC CL C 904311206 1007 40000 SH Put DFND 40000 0 0 UNDER ARMOUR INC CL C 904311206 2029 80617 SH DFND 80617 0 0 UNILEVER PLC SPON ADR NEW 904767704 2019 49596 SH DFND 1 49596 0 0 UNILEVER PLC SPON ADR NEW 904767704 618 15192 SH DFND 15192 0 0 UNION PAC CORP COM 907818108 1763 17000 SH DFND 17000 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 1154 98500 SH Call DFND 1 98500 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 410 35000 SH Put DFND 1 35000 0 0 US BANCORP DEL COM NEW 902973304 4932 96000 SH Call DFND 1 96000 0 0 VALE S A ADR 91912E105 1248 163767 SH DFND 1 163767 0 0 VALE S A ADR 91912E105 1724 226245 SH DFND 226245 0 0 VALERO ENERGY CORP NEW COM 91913Y100 3416 50000 SH Put DFND 1 50000 0 0 VALSPAR CORP COM 920355104 411 3964 SH DFND 1 3964 0 0 VALSPAR CORP COM 920355104 223 2153 SH DFND 2153 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 21671 1035900 SH Put DFND 1 1035900 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1965 93907 SH DFND 1 93907 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1569 75000 SH Call DFND 75000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 726 34716 SH DFND 34716 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 4979 157802 SH DFND 1 157802 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 1893 60000 SH Call DFND 60000 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 3335 100000 SH Put DFND 1 100000 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 2122 100000 SH Call DFND 1 100000 0 0 VANGUARD INDEX FDS REIT ETF 922908553 1106 13400 SH Put DFND 13400 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 16014 300000 SH Call DFND 1 300000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 747 14000 SH DFND 1 14000 0 0 VERSUM MATLS INC COM 92532W103 6496 231413 SH DFND 231413 0 0 VIPSHOP HLDGS LTD SPONSORED ADR 92763W103 2509 227854 SH DFND 1 227854 0 0 VIPSHOP HLDGS LTD SPONSORED ADR 92763W103 2202 200000 SH Put DFND 200000 0 0 VIVOPOWER INTERNATIONAL PLC SHS G9376R100 94 17099 SH DFND 17099 0 0 VMWARE INC CL A COM 928563402 3480 44200 SH Call DFND 1 44200 0 0 VMWARE INC CL A COM 928563402 4362 55400 SH Put DFND 1 55400 0 0 VMWARE INC CL A COM 928563402 230 2918 SH DFND 2918 0 0 VOYA PRIME RATE TR SH BEN INT 92913A100 1955 352857 SH DFND 352857 0 0 WAL-MART STORES INC COM 931142103 6912 100000 SH Call DFND 1 100000 0 0 WAL-MART STORES INC COM 931142103 449 6500 SH Call DFND 6500 0 0 WELLS FARGO & CO NEW COM 949746101 3174 57600 SH Call DFND 1 57600 0 0 WELLS FARGO & CO NEW COM 949746101 1967 35697 SH DFND 1 35697 0 0 WELLS FARGO & CO NEW COM 949746101 353 6400 SH Call DFND 6400 0 0 WELLS FARGO & CO NEW COM 949746101 245 4443 SH DFND 4443 0 0 WEYERHAEUSER CO COM 962166104 553 18390 SH DFND 1 18390 0 0 WEYERHAEUSER CO COM 962166104 594 19754 SH DFND 19754 0 0 WHITEWAVE FOODS CO COM 966244105 405 7288 SH DFND 1 7288 0 0 WHITEWAVE FOODS CO COM 966244105 4390 78953 SH DFND 78953 0 0 WILLIAMS COS INC DEL COM 969457100 2382 76500 SH DFND 76500 0 0 WISDOMTREE TR EUROPE HEDGED EQ 97717X701 28700 500000 SH Call DFND 1 500000 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 6193 125000 SH Call DFND 125000 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 46350 935600 SH Put DFND 935600 0 0 WPX ENERGY INC PFD SER A CV 98212B202 514 7781 SH DFND 7781 0 0 XPO LOGISTICS INC COM 983793100 3994 92550 SH DFND 92550 0 0 YAHOO INC COM 984332106 7209 186423 SH DFND 1 186423 0 0 YAHOO INC COM 984332106 1704 44054 SH DFND 44054 0 0 YAHOO INC NOTE 12/0 984332AF3 2427 2450000 PRN DFND 2450000 0 0 YANDEX N V SHS CLASS A N97284108 2013 100000 SH Call DFND 1 100000 0 0 ZAYO GROUP HLDGS INC COM 98919V105 12621 384085 SH DFND 384085 0 0 ZILLOW GROUP INC CL A 98954M101 608 16672 SH DFND 1 16672 0 0 ZILLOW GROUP INC CL A 98954M101 370 10145 SH DFND 10145 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 10351 880934 SH DFND 1 880934 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 6811 579664 SH DFND 579664 0 0 ZIONS BANCORPORATION *W EXP 11/14/201 989701131 706 81648 SH DFND 1 81648 0 0 ZIONS BANCORPORATION COM 989701107 2380 55300 SH Call DFND 1 55300 0 0 ZIONS BANCORPORATION COM 989701107 1769 41100 SH Put DFND 41100 0 0