Chief Operating Officer and General Counsel

0001140361-18-008220.txt : 20180214 0001140361-18-008220.hdr.sgml : 20180214 20180214163414 ACCESSION NUMBER: 0001140361-18-008220 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180214 DATE AS OF CHANGE: 20180214 EFFECTIVENESS DATE: 20180214 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: 18612896 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 12-31-2017 12-31-2017 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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ISHARES INC MSCI JPN ETF NEW 46434G822 102 1700 SH DFND 1 1700 0 0 ISHARES INC MSCI MEXICO ETF 464286822 986 20000 SH Put DFND 1 20000 0 0 ISHARES INC MSCI STH AFR ETF 464286780 490 7000 SH DFND 7000 0 0 ISHARES INC MSCI SWEDEN ETF 464286756 2888 85185 SH DFND 1 85185 0 0 ISHARES TR 20 YR TR BD ETF 464287432 12686 100000 SH Put DFND 1 100000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 3806 30000 SH DFND 1 30000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 63430 500000 SH Call DFND 500000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 13851 300000 SH Put DFND 1 300000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 3645 78943 SH DFND 1 78943 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 6833 148000 SH Call DFND 148000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 19156 414900 SH Put DFND 414900 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 1654 35817 SH DFND 35817 0 0 ISHARES TR IBOXX HI YD ETF 464288513 8726 100000 SH Call DFND 1 100000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 69808 800000 SH Put DFND 1 800000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 202731 2323300 SH Put DFND 2323300 0 0 ISHARES TR JPMORGAN USD EMG 464288281 23975 206500 SH Call DFND 206500 0 0 ISHARES TR JPMORGAN USD EMG 464288281 62253 536200 SH DFND 536200 0 0 ISHARES TR MSCI EAFE ETF 464287465 17578 250000 SH Put DFND 1 250000 0 0 ISHARES TR MSCI EAFE ETF 464287465 422 6000 SH DFND 1 6000 0 0 ISHARES TR MSCI EAFE ETF 464287465 15117 215000 SH Call DFND 215000 0 0 ISHARES TR MSCI EAFE ETF 464287465 20200 287300 SH Put DFND 287300 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 723 15350 SH DFND 1 15350 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 1743 37000 SH Call DFND 37000 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 7158 151900 SH Put DFND 151900 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 3130 66427 SH DFND 66427 0 0 ISHARES TR NASDAQ BIOTECH 464287556 6406 60000 SH Call DFND 1 60000 0 0 ISHARES TR NASDAQ BIOTECH 464287556 19881 186200 SH Put DFND 1 186200 0 0 KKR & CO L P DEL COM UNITS 48248M102 1919 91100 SH Call DFND 1 91100 0 0 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DOLL INDX BULL 73936D107 531 22107 SH DFND 22107 0 0 PRUDENTIAL SHT DURATION HG Y COM 74442F107 950 64300 SH DFND 64300 0 0 QUALCOMM INC COM 747525103 960 15000 SH Call DFND 1 15000 0 0 QUALCOMM INC COM 747525103 5186 81000 SH Put DFND 1 81000 0 0 QUALCOMM INC COM 747525103 2084 32545 SH DFND 1 32545 0 0 RAYONIER ADVANCED MATLS INC COM 75508B104 294 14400 SH Call DFND 1 14400 0 0 RAYONIER ADVANCED MATLS INC COM 75508B104 319 15600 SH Call DFND 15600 0 0 RAYONIER ADVANCED MATLS INC PFD CV SER A 75508B203 2760 18994 SH DFND 1 18994 0 0 RAYONIER ADVANCED MATLS INC PFD CV SER A 75508B203 3427 23587 SH DFND 23587 0 0 REALPAGE INC COM 75606N109 4018 90699 SH DFND 90699 0 0 REXNORD CORP NEW COM 76169B102 96 3700 SH Put DFND 1 3700 0 0 REXNORD CORP NEW COM 76169B102 260 10000 SH Call DFND 10000 0 0 REXNORD CORP NEW COM 76169B102 229 8800 SH Put DFND 8800 0 0 ROSEHILL RES INC *W EXP 09/16/202 777385113 98 99200 SH DFND 1 99200 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 6699 92700 SH Put DFND 1 92700 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 3572 49431 SH DFND 1 49431 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 2845 50000 SH Put DFND 1 50000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 8373 300000 SH Put DFND 300000 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 7567 100000 SH Put DFND 1 100000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 5268 100000 SH Put DFND 1 100000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 416 7900 SH DFND 1 7900 0 0 SIMPLY GOOD FOODS CO *W EXP 07/07/202 82900L110 520 133585 SH DFND 1 133585 0 0 SIMPLY GOOD FOODS CO *W EXP 07/07/202 82900L110 764 196415 SH DFND 196415 0 0 SINA CORP NOTE 1.000%12/0 82922RAD5 1850 1657000 PRN DFND 1 1657000 0 0 SINA CORP NOTE 1.000%12/0 82922RAD5 1381 1237000 PRN DFND 1237000 0 0 SINA CORP ORD G81477104 594 5917 SH DFND 1 5917 0 0 SINA CORP ORD G81477104 238 2368 SH DFND 2368 0 0 SOHU COM INC COM 83408W103 659 15211 SH DFND 1 15211 0 0 SOHU COM INC COM 83408W103 676 15594 SH DFND 15594 0 0 SOUTHWESTERN ENERGY CO COM 845467109 68 12200 SH Call DFND 12200 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 7914 64000 SH Call DFND 1 64000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 5316 42995 SH DFND 1 42995 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 123650 1000000 SH Call DFND 1000000 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 5300 130200 SH Call DFND 1 130200 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 5300 130200 SH Put DFND 1 130200 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 30610 751900 SH Call DFND 751900 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 5239 128700 SH Put DFND 128700 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 1313 32250 SH DFND 32250 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4162 15596 SH DFND 1 15596 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 109679 411000 SH Call DFND 411000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 53372 200000 SH Put DFND 200000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2163 8105 SH DFND 8105 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 2234 6467 SH DFND 1 6467 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 2294 83235 SH DFND 83235 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 15446 182000 SH Put DFND 1 182000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 10 121 SH DFND 1 121 0 0 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 1815 41000 SH DFND 1 41000 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 5949 160000 SH Call DFND 1 160000 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 3718 100000 SH Put DFND 1 100000 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 2259 50000 SH Call DFND 1 50000 0 0 STELLAR ACQUISITION III INC *W EXP 03/22/202 Y8172W115 24 78069 SH DFND 78069 0 0 STERICYCLE INC COM 858912108 448 6588 SH DFND 6588 0 0 SUNCOR ENERGY INC NEW COM 867224107 2589 70500 SH Call DFND 1 70500 0 0 SUNTRUST BKS INC *W EXP 11/14/201 867914111 5876 281037 SH DFND 1 281037 0 0 SUNTRUST BKS INC *W EXP 11/14/201 867914111 370 17694 SH DFND 17694 0 0 SUNTRUST BKS INC COM 867914103 6459 100000 SH Call DFND 1 100000 0 0 SUNTRUST BKS INC COM 867914103 2261 35000 SH Call DFND 35000 0 0 SYMANTEC CORP COM 871503108 1403 50000 SH Call DFND 1 50000 0 0 SYMANTEC CORP COM 871503108 2806 100000 SH Put DFND 1 100000 0 0 TCF FINL CORP *W EXP 11/14/201 872275128 614 157457 SH DFND 1 157457 0 0 TCF FINL CORP *W EXP 11/14/201 872275128 1340 343521 SH DFND 343521 0 0 TCF FINL CORP COM 872275102 3100 151200 SH Put DFND 151200 0 0 TEMPUR SEALY INTL INC COM 88023U101 1254 20000 SH Call DFND 1 20000 0 0 TEMPUR SEALY INTL INC COM 88023U101 627 10000 SH Put DFND 1 10000 0 0 TEMPUR SEALY INTL INC COM 88023U101 1285 20500 SH DFND 1 20500 0 0 TESARO INC COM 881569107 4061 49000 SH Call DFND 49000 0 0 TESARO INC COM 881569107 4865 58701 SH DFND 58701 0 0 TESLA INC COM 88160R101 14322 46000 SH Put DFND 1 46000 0 0 TESLA INC COM 88160R101 9465 30400 SH Put DFND 30400 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 358 18900 SH Call DFND 1 18900 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 576 30400 SH Call DFND 30400 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADR 881624209 67 3520 SH DFND 3520 0 0 TIME WARNER INC COM NEW 887317303 3887 42500 SH Call DFND 1 42500 0 0 TIME WARNER INC COM NEW 887317303 3915 42800 SH Call DFND 42800 0 0 TIME WARNER INC COM NEW 887317303 9248 101100 SH DFND 101100 0 0 TURQUOISE HILL RES LTD COM 900435108 1115 325000 SH Put DFND 1 325000 0 0 TURQUOISE HILL RES LTD COM 900435108 1063 310000 SH DFND 1 310000 0 0 TWITTER INC COM 90184L102 1441 60000 SH Put DFND 1 60000 0 0 TWITTER INC COM 90184L102 816 34000 SH DFND 1 34000 0 0 TYSON FOODS INC CL A 902494103 5675 70000 SH Put DFND 1 70000 0 0 TYSON FOODS INC CL A 902494103 243 3000 SH DFND 1 3000 0 0 UBS AG LONDON BRH ETRAC 2X LEV LNG 90267B765 588 35731 SH DFND 35731 0 0 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 907 50037 SH DFND 50037 0 0 UBS AG LONDON BRH ETRACS MTH2XRE 90269A302 895 50727 SH DFND 50727 0 0 UBS AG LONDON BRH NT AMZI 46 90274D259 1133 30066 SH DFND 30066 0 0 UNION PAC CORP COM 907818108 26150 195000 SH Call DFND 1 195000 0 0 UNION PAC CORP COM 907818108 2012 15000 SH Put DFND 1 15000 0 0 UNITED CONTL HLDGS INC COM 910047109 4044 60000 SH Put DFND 1 60000 0 0 UNITED CONTL HLDGS INC COM 910047109 1348 20000 SH DFND 1 20000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 15490 130000 SH Call DFND 1 130000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 1787 15000 SH Put DFND 1 15000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 834 7000 SH DFND 1 7000 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 2402 200000 SH Put DFND 1 200000 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 721 60000 SH DFND 1 60000 0 0 US BANCORP DEL COM NEW 902973304 5144 96000 SH Call DFND 1 96000 0 0 US BANCORP DEL COM NEW 902973304 74 1375 SH DFND 1 1375 0 0 US FOODS HLDG CORP COM 912008109 9965 312100 SH DFND 312100 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 2324 100000 SH Put DFND 1 100000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1859 80000 SH Call DFND 80000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 140 6015 SH DFND 6015 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 2560 75000 SH Put DFND 1 75000 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 4455 171000 SH Put DFND 1 171000 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 6006 230560 SH DFND 1 230560 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 2121 100000 SH Call DFND 1 100000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4626 87400 SH Call DFND 1 87400 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1588 30000 SH Put DFND 1 30000 0 0 VIACOM INC NEW CL B 92553P201 1229 39900 SH Call DFND 1 39900 0 0 VIAVI SOLUTIONS INC COM 925550105 1830 209345 SH DFND 209345 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 2194 21485 SH DFND 1 21485 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 3933 38522 SH DFND 38522 0 0 VISA INC COM CL A 92826C839 5701 50000 SH Call DFND 1 50000 0 0 VISA INC COM CL A 92826C839 6841 60000 SH Put DFND 1 60000 0 0 VISA INC COM CL A 92826C839 3193 28000 SH DFND 1 28000 0 0 VMWARE INC CL A COM 928563402 10289 82100 SH Call DFND 1 82100 0 0 VMWARE INC CL A COM 928563402 8559 68300 SH Call DFND 68300 0 0 VOYA PRIME RATE TR SH BEN INT 92913A100 1447 285343 SH DFND 285343 0 0 WAL-MART STORES INC COM 931142103 6666 67500 SH Put DFND 1 67500 0 0 WAL-MART STORES INC COM 931142103 247 2500 SH DFND 1 2500 0 0 WEIBO CORP SPONSORED ADR 948596101 797 7700 SH Call DFND 1 7700 0 0 WEIBO CORP SPONSORED ADR 948596101 0 2 SH DFND 1 2 0 0 WEIBO CORP SPONSORED ADR 948596101 993 9600 SH Call DFND 9600 0 0 WELLS FARGO CO NEW COM 949746101 7887 130000 SH Put DFND 1 130000 0 0 WELLS FARGO CO NEW COM 949746101 485 8000 SH DFND 1 8000 0 0 WESTERN ASSET GLB HI INCOME COM 95766B109 294 28751 SH DFND 28751 0 0 WESTERN ASSET HIGH INCM OPP COM 95766K109 602 118640 SH DFND 118640 0 0 WILLSCOT CORP *W EXP 09/10/202 971375118 109 75940 SH DFND 1 75940 0 0 WILLSCOT CORP *W EXP 09/10/202 971375118 199 138129 SH DFND 138129 0 0 WORKDAY INC NOTE 0.750% 7/1 98138HAC5 376 300000 PRN DFND 300000 0 0 WRIGHT MED GROUP N V ORD SHS 0.03 PAR N96617118 6218 280105 SH DFND 280105 0 0 XPO LOGISTICS INC COM 983793100 4447 48550 SH DFND 48550 0 0 ZAYO GROUP HLDGS INC COM 98919V105 1771 48134 SH DFND 48134 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 9257 492394 SH DFND 1 492394 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 2159 114822 SH DFND 114822 0 0 ZIONS BANCORPORATION COM 989701107 5083 100000 SH Call DFND 1 100000 0 0 ZIONS BANCORPORATION COM 989701107 1103 21700 SH Call DFND 21700 0 0