Chief Operating Officer and General Counsel

0001140361-17-020737.txt : 20170515 0001140361-17-020737.hdr.sgml : 20170515 20170515164155 ACCESSION NUMBER: 0001140361-17-020737 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170515 DATE AS OF CHANGE: 20170515 EFFECTIVENESS DATE: 20170515 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: 17845016 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 03-31-2017 03-31-2017 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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DFND 1 305777 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 938 332680 SH DFND 332680 0 0 HOSTESS BRANDS INC CL A 44109J106 4424 278784 SH DFND 278784 0 0 HUDBAY MINERALS INC *W EXP 07/20/201 443628136 90 169965 SH DFND 1 169965 0 0 HUMANA INC COM 444859102 8099 39287 SH DFND 1 39287 0 0 ILG INC COM 44967H101 2096 100000 SH Put DFND 1 100000 0 0 ILG INC COM 44967H101 94 4500 SH DFND 1 4500 0 0 ILG INC COM 44967H101 13889 662633 SH DFND 662633 0 0 IMPERVA INC COM 45321L100 6460 157381 SH DFND 157381 0 0 INTEL CORP SDCV 12/1 458140AD2 7947 5837000 PRN DFND 1 5837000 0 0 INTEL CORP SDCV 12/1 458140AD2 3353 2463000 PRN DFND 2463000 0 0 INTL PAPER CO COM 460146103 5078 100000 SH Put DFND 1 100000 0 0 INTL PAPER CO COM 460146103 4130 81326 SH DFND 1 81326 0 0 ISHARES MSCI SPAN CP ETF 464286764 222 7287 SH DFND 7287 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 3045 176500 SH Call DFND 1 176500 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 3045 176500 SH Put DFND 1 176500 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 17321 450000 SH Call DFND 1 450000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 38490 1000000 SH Put DFND 1 1000000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 2760 71700 SH DFND 71700 0 0 ISHARES TR IBOXX HI YD ETF 464288513 14045 160000 SH Put DFND 1 160000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 8471 96500 SH Put DFND 96500 0 0 ISHARES TR JP MOR EM MK ETF 464288281 56986 501200 SH DFND 501200 0 0 ISHARES TR MSCI EAFE ETF 464287465 4360 70000 SH Call DFND 1 70000 0 0 ISHARES TR MSCI EAFE ETF 464287465 18687 300000 SH Put DFND 1 300000 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 1268 32189 SH DFND 1 32189 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 7484 190000 SH Call DFND 190000 0 0 ISHARES TR PHLX SEMICND ETF 464287523 267 1950 SH DFND 1 1950 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 60491 440000 SH Put DFND 440000 0 0 ISHARES TR U.S. REAL ES ETF 464287739 3925 50000 SH Put DFND 1 50000 0 0 ISHARES TR U.S. REAL ES ETF 464287739 7064 90000 SH DFND 1 90000 0 0 JPMORGAN 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LIBERTY GLOBAL PLC SHS CL A G5480U104 154 4291 SH DFND 1 4291 0 0 LIBERTY GLOBAL PLC SHS CL A G5480U104 135 3763 SH DFND 3763 0 0 LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 3468 89099 SH DFND 1 89099 0 0 LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 820 21063 SH DFND 21063 0 0 LIBERTY MEDIA CORP DELAWARE COM SER A FRMLA 531229870 3215 98322 SH DFND 1 98322 0 0 LIBERTY MEDIA CORP DELAWARE COM SER A FRMLA 531229870 547 16725 SH DFND 16725 0 0 M I ACQUISITIONS INC UNIT 99/99/9999 55304A203 463 45000 SH DFND 45000 0 0 MARATHON PETE CORP COM 56585A102 9542 188800 SH Put DFND 1 188800 0 0 MCDONALDS CORP COM 580135101 842 6500 SH DFND 1 6500 0 0 MEDTRONIC PLC SHS G5960L103 2014 25000 SH Call DFND 1 25000 0 0 MERCK & CO INC COM 58933Y105 25416 400000 SH Call DFND 1 400000 0 0 MERCK & CO INC COM 58933Y105 12708 200000 SH Put DFND 1 200000 0 0 MERCK & CO INC COM 58933Y105 654 10299 SH DFND 1 10299 0 0 MICHAEL KORS HLDGS LTD SHS G60754101 1227 32200 SH Call DFND 1 32200 0 0 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NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 90 125178 SH DFND 125178 0 0 NEXEO SOLUTIONS INC COM SHS 65342H102 3453 389770 SH DFND 389770 0 0 NEXSTAR MEDIA GROUP INC CL A 65336K103 9531 135872 SH DFND 135872 0 0 NOMAD HLDGS LTD USD ORD SHS G6564A105 16743 1462258 SH DFND 1462258 0 0 NORFOLK SOUTHERN CORP COM 655844108 5834 52101 SH DFND 52101 0 0 NXP SEMICONDUCTORS N V COM N6596X109 421 4070 SH DFND 1 4070 0 0 NXP SEMICONDUCTORS N V COM N6596X109 5590 54013 SH DFND 54013 0 0 ORACLE CORP COM 68389X105 10624 238150 SH DFND 238150 0 0 PALO ALTO NETWORKS INC NOTE 7/0 697435AB1 2304 1931000 PRN DFND 1 1931000 0 0 PALO ALTO NETWORKS INC NOTE 7/0 697435AB1 2469 2069000 PRN DFND 2069000 0 0 PARK HOTELS RESORTS INC COM 700517105 3933 153200 SH DFND 153200 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 4845 500000 SH Call DFND 1 500000 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 4845 500000 SH Put DFND 1 500000 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 1058 109171 SH DFND 1 109171 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 194 20067 SH DFND 20067 0 0 PFIZER INC COM 717081103 311 9100 SH DFND 1 9100 0 0 PLAYA HOTELS & RESORTS NV *W EXP 03/10/202 N70544114 20 26471 SH DFND 26471 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 10 400 SH DFND 1 400 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 1090 42000 SH Call DFND 42000 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 4627 178300 SH Put DFND 178300 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 470 18104 SH DFND 18104 0 0 PURE STORAGE INC CL A 74624M102 5714 581306 SH DFND 581306 0 0 QUALCOMM INC COM 747525103 4587 80000 SH Put DFND 1 80000 0 0 QUALCOMM INC COM 747525103 3723 64925 SH DFND 1 64925 0 0 RAYONIER ADVANCED MATLS INC PFD CV SER A 75508B203 3710 36024 SH DFND 36024 0 0 RITE AID CORP COM 767754104 396 93200 SH DFND 1 93200 0 0 RITE AID CORP COM 767754104 175 41210 SH DFND 41210 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1441 27320 SH DFND 1 27320 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 1352 25649 SH DFND 25649 0 0 SEANERGY MARITIME HLDGS CORP *W EXP 11/10/202 Y73760145 46 286630 SH DFND 1 286630 0 0 SEANERGY MARITIME HLDGS CORP *W EXP 11/10/202 Y73760145 36 227187 SH DFND 227187 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 3495 50000 SH Call DFND 1 50000 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 20292 290300 SH Put DFND 1 290300 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3101 130659 SH DFND 1 130659 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 6506 100000 SH Put DFND 1 100000 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1383 21250 SH DFND 1 21250 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 4023 78400 SH Call DFND 1 78400 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 5131 100000 SH Put DFND 1 100000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 180 3500 SH DFND 1 3500 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1378 25850 SH DFND 1 25850 0 0 SHORETEL INC COM 825211105 3565 579622 SH DFND 579622 0 0 SILVER RUN ACQUISITION UNIT 99/99/9999 82812A202 261 25000 SH DFND 25000 0 0 SIMON PPTY GROUP INC NEW COM 828806109 224 1302 SH DFND 1302 0 0 SINA CORP NOTE 1.000%12/0 82922RAD5 1654 1657000 PRN DFND 1 1657000 0 0 SINA CORP NOTE 1.000%12/0 82922RAD5 1341 1343000 PRN DFND 1343000 0 0 SOHU COM INC COM 83408W103 572 14534 SH DFND 1 14534 0 0 SOHU COM INC COM 83408W103 646 16414 SH DFND 16414 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 81003 682300 SH Call DFND 1 682300 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 7270 200000 SH Call DFND 1 200000 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 6361 175000 SH Put DFND 1 175000 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 509 14000 SH Call DFND 14000 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 509 14000 SH Put DFND 14000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 5834 24748 SH DFND 1 24748 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 45427 192700 SH Call DFND 192700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7347 31166 SH DFND 31166 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 2032 6505 SH DFND 1 6505 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 12620 182000 SH Put DFND 1 182000 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 845 20000 SH Call DFND 1 20000 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 845 20000 SH Put DFND 1 20000 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 211 5000 SH DFND 1 5000 0 0 SPLUNK INC COM 848637104 1894 30400 SH Call DFND 1 30400 0 0 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 5011 726280 SH DFND 1 726280 0 0 STELLAR ACQUISITION III INC UNIT 03/22/2022 Y8172W123 934 89800 SH DFND 89800 0 0 SUNTRUST BKS INC *W EXP 11/14/201 867914111 7985 601763 SH DFND 1 601763 0 0 SUNTRUST BKS INC *W EXP 11/14/201 867914111 3881 292493 SH DFND 292493 0 0 SUNTRUST BKS INC COM 867914103 5530 100000 SH Put DFND 1 100000 0 0 SUNTRUST BKS INC COM 867914103 3567 64500 SH Put DFND 64500 0 0 SYMANTEC CORP COM 871503108 3068 100000 SH Call DFND 1 100000 0 0 SYNCHRONY FINL COM 87165B103 292 8500 SH DFND 1 8500 0 0 TCF FINL CORP *W EXP 11/14/201 872275128 901 400255 SH DFND 400255 0 0 TECK RESOURCES LTD CL B 878742204 1621 74000 SH DFND 74000 0 0 TELEFONICA S A SPONSORED ADR 879382208 767 68500 SH Call DFND 1 68500 0 0 TELEFONICA S A SPONSORED ADR 879382208 160 14300 SH Put DFND 1 14300 0 0 TELEFONICA S A SPONSORED ADR 879382208 2512 224500 SH Call DFND 224500 0 0 TELEFONICA S A SPONSORED ADR 879382208 49 4400 SH Put DFND 4400 0 0 TERADYNE INC COM 880770102 1555 50000 SH Call DFND 1 50000 0 0 TERADYNE INC COM 880770102 778 25000 SH DFND 1 25000 0 0 TESARO INC COM 881569107 6909 44900 SH DFND 44900 0 0 TESLA INC NOTE 1.250% 3/0 88160RAC5 1290 1315000 PRN DFND 1 1315000 0 0 TESLA INC NOTE 1.250% 3/0 88160RAC5 1654 1685000 PRN DFND 1685000 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 5659 5433000 PRN DFND 1 5433000 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 3403 3267000 PRN DFND 3267000 0 0 TIME WARNER INC COM NEW 887317303 429 4390 SH DFND 1 4390 0 0 TIME WARNER INC COM NEW 887317303 5108 52273 SH DFND 52273 0 0 TRANSOCEAN LTD REG SHS H8817H100 1114 89500 SH Call DFND 1 89500 0 0 TRANSOCEAN LTD REG SHS H8817H100 1257 101000 SH Call DFND 101000 0 0 TURKISH INVT FD INC COM 900145103 910 109493 SH DFND 1 109493 0 0 TURKISH INVT FD INC COM 900145103 609 73305 SH DFND 73305 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 1396 43939 SH DFND 1 43939 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 766 24112 SH DFND 24112 0 0 TWILIO INC CL A 90138F102 2766 95800 SH Put DFND 1 95800 0 0 TWILIO INC CL A 90138F102 1097 38000 SH DFND 1 38000 0 0 TYSON FOODS INC CL A 902494103 463 7500 SH Put DFND 1 7500 0 0 TYSON FOODS INC UNIT 99/99/9999 902494301 1735 25818 SH DFND 1 25818 0 0 U S SILICA HLDGS INC COM 90346E103 3071 64000 SH Call DFND 1 64000 0 0 U S SILICA HLDGS INC COM 90346E103 2400 50000 SH Put DFND 1 50000 0 0 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 1967 112781 SH DFND 1 112781 0 0 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 1064 61035 SH DFND 61035 0 0 UNDER ARMOUR INC CL A 904311107 2041 103200 SH Call DFND 1 103200 0 0 UNDER ARMOUR INC CL A 904311107 510 25800 SH Call DFND 25800 0 0 UNILEVER PLC SPON ADR NEW 904767704 2814 57029 SH DFND 1 57029 0 0 UNILEVER PLC SPON ADR NEW 904767704 781 15833 SH DFND 15833 0 0 US BANCORP DEL COM NEW 902973304 4944 96000 SH Call DFND 1 96000 0 0 VALE S A ADR 91912E105 1738 182948 SH DFND 1 182948 0 0 VALE S A ADR 91912E105 2166 228047 SH DFND 228047 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 503 45633 SH DFND 1 45633 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 424 38414 SH DFND 38414 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 5703 250000 SH Put DFND 1 250000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 633 27767 SH DFND 1 27767 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1711 75000 SH Call DFND 75000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 809 35465 SH DFND 35465 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 2699 75000 SH Put DFND 1 75000 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 3008 83596 SH DFND 1 83596 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 5269 171000 SH Put DFND 1 171000 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 79 2560 SH DFND 1 2560 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 2067 100000 SH Call DFND 1 100000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 931 11682 SH DFND 1 11682 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4875 100000 SH Call DFND 1 100000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 244 5000 SH DFND 1 5000 0 0 VIPSHOP HLDGS LTD SPONSORED ADR 92763W103 189 14194 SH DFND 1 14194 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 1669 17065 SH DFND 1 17065 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 3300 33748 SH DFND 33748 0 0 VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 529 20000 SH Call DFND 1 20000 0 0 WAL-MART STORES INC COM 931142103 3784 52500 SH Put DFND 1 52500 0 0 WAL-MART STORES INC COM 931142103 469 6500 SH Call DFND 6500 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 285 42898 SH DFND 1 42898 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 247 37102 SH DFND 37102 0 0 WELLS FARGO & CO NEW COM 949746101 2783 50000 SH Call DFND 1 50000 0 0 WHITEWAVE FOODS CO COM 966244105 409 7288 SH DFND 1 7288 0 0 WHITEWAVE FOODS CO COM 966244105 201 3584 SH DFND 3584 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 4449 87900 SH Call DFND 87900 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 20567 406300 SH Put DFND 406300 0 0 XPO LOGISTICS INC COM 983793100 5850 122150 SH DFND 122150 0 0 YAHOO INC COM 984332106 6734 145095 SH DFND 1 145095 0 0 YAHOO INC COM 984332106 6516 140406 SH DFND 140406 0 0 ZAYO GROUP HLDGS INC COM 98919V105 10419 316685 SH DFND 316685 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 10997 955400 SH DFND 1 955400 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 5907 513197 SH DFND 513197 0 0 ZIONS BANCORPORATION *W EXP 11/14/201 989701131 732 80648 SH DFND 1 80648 0 0 ZIONS BANCORPORATION COM 989701107 3696 88000 SH Put DFND 88000 0 0 ZIONS BANCORPORATION COM 989701107 27 653 SH DFND 653 0 0 ZOETIS INC CL A 98978V103 1067 20000 SH Call DFND 1 20000 0 0