Chief Operating Officer and General Counsel

0001567619-19-004408.txt : 20190214 0001567619-19-004408.hdr.sgml : 20190214 20190214161838 ACCESSION NUMBER: 0001567619-19-004408 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181231 FILED AS OF DATE: 20190214 DATE AS OF CHANGE: 20190214 EFFECTIVENESS DATE: 20190214 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: 19606623 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 12-31-2018 12-31-2018 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 02-14-2019 0 140 990325 false INFORMATION TABLE 2 form13fInfoTable.xml ABERDEEN TOTAL DYNAMIC DIVD COM SH BEN INT 00326L100 156 21691 SH DFND 21691 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 1766 55000 SH Put DFND 55000 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 321 10000 SH DFND 10000 0 0 AMERICAN AXLE & MFG HLDGS IN COM 024061103 278 25000 SH DFND 25000 0 0 ANADARKO PETE CORP COM 032511107 2192 50000 SH Put DFND 50000 0 0 ANADARKO PETE CORP COM 032511107 1797 41000 SH DFND 41000 0 0 ANGLOGOLD ASHANTI LTD SPONSORED ADR 035128206 1330 106000 SH Call DFND 106000 0 0 APPLE INC COM 037833100 5000 31700 SH Call DFND 31700 0 0 APPLE INC COM 037833100 3155 20000 SH Put DFND 20000 0 0 APPLE INC COM 037833100 631 4000 SH DFND 4000 0 0 ASA GOLD AND PRECIOUS MTLS L SHS G3156P103 3182 336335 SH DFND 336335 0 0 BANK AMER CORP COM 060505104 2957 120000 SH Put DFND 120000 0 0 BARRICK GOLD CORP COM 067901108 2696 199100 SH Call DFND 199100 0 0 BLACKROCK RES & COMM STRAT T SHS 09257A108 941 133228 SH DFND 133228 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 4418 85000 SH Put DFND 85000 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 1575 30300 SH DFND 30300 0 0 CARNIVAL PLC ADR 14365C103 340 6979 SH DFND 6979 0 0 CF FIN ACQUISITION CORP UNIT 04/30/2025 12528N206 3456 345600 SH DFND 345600 0 0 CHESAPEAKE ENERGY CORP NOTE 5.500% 9/1 165167CY1 2034 2500000 PRN DFND 2500000 0 0 CISCO SYS INC COM 17275R102 2816 65000 SH Call DFND 65000 0 0 CONSTELLATION BRANDS INC CL A 21036P108 6433 40000 SH Call DFND 40000 0 0 CONSTELLATION BRANDS INC CL A 21036P108 161 1000 SH DFND 1000 0 0 CONSTELLIUM NV CL A N22035104 359 51335 SH DFND 51335 0 0 CRAWFORD & CO CL B 224633107 432 47975 SH DFND 47975 0 0 CROWN HOLDINGS INC COM 228368106 1155 27780 SH DFND 27780 0 0 CTRIP COM INTL LTD AMERICAN DEP SHS 22943F100 1218 45000 SH Call DFND 45000 0 0 DEL TACO RESTAURANTS INC *W EXP 06/30/202 245496112 896 807155 SH DFND 807155 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 736 14750 SH DFND 14750 0 0 DOMINION ENERGY INC COM 25746U109 3223 45100 SH Call DFND 45100 0 0 DOMINION ENERGY INC COM 25746U109 586 8200 SH Put DFND 8200 0 0 DOMINION ENERGY INC UNIT 08/15/2019 25746U836 8431 176009 SH DFND 176009 0 0 DROPBOX INC CL A 26210C104 245 11980 SH DFND 11980 0 0 DYCOM INDS INC COM 267475101 1081 20000 SH Put DFND 20000 0 0 DYCOM INDS INC NOTE 0.750% 9/1 267475AB7 1392 1500000 PRN DFND 1500000 0 0 ENSCO JERSEY FIN LTD NOTE 3.000% 1/3 29359WAB1 291 450000 PRN DFND 450000 0 0 EXXON MOBIL CORP COM 30231G102 3069 45000 SH Put DFND 45000 0 0 FACEBOOK INC CL A 30303M102 3277 25000 SH Put DFND 25000 0 0 FACEBOOK INC CL A 30303M102 2884 22000 SH DFND 22000 0 0 FALCON MINERALS CORP *W EXP 07/21/202 30607B208 107 178524 SH DFND 178524 0 0 FIRST DATA CORP NEW COM CL A 32008D106 790 46725 SH DFND 46725 0 0 FLEXION THERAPEUTICS INC NOTE 3.375% 5/0 33938JAB2 648 803000 PRN DFND 803000 0 0 FORTIVE CORP 5% PFD CNV SER A 34959J207 240 264 SH DFND 264 0 0 FREEPORT-MCMORAN INC CL B 35671D857 309 30000 SH DFND 30000 0 0 GENERAL ELECTRIC CO COM 369604103 379 50000 SH Call DFND 50000 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V126 446 28059 SH DFND 28059 0 0 GENERAL MTRS CO COM 37045V100 1004 30000 SH Call DFND 30000 0 0 HERBALIFE NUTRITION LTD COM SHS G4412G101 4575 77600 SH Put DFND 77600 0 0 HIGHLAND FLOATNG RATE OPPRT SHS BEN INT 43010E404 9717 759106 SH DFND 759106 0 0 HILTON GRAND VACATIONS INC COM 43283X105 515 19530 SH DFND 19530 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 600 645847 SH DFND 645847 0 0 INTERNATIONAL GAME TECHNOLOG SHS USD G4863A108 834 56980 SH DFND 56980 0 0 INTL PAPER CO COM 460146103 404 10000 SH DFND 10000 0 0 INVESCO CURRENCYSHARES EURO EURO SHS 46138K103 46179 421800 SH Call DFND 421800 0 0 INVESCO CURRENCYSHARES EURO EURO SHS 46138K103 15787 144200 SH Put DFND 144200 0 0 INVESCO DYNAMIC CR OPP FD COM 46132R104 392 38218 SH DFND 38218 0 0 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 2178 100000 SH Put DFND 100000 0 0 INVESCO EXCHNG TRADED FD TR SR LN ETF 46138G508 414 19000 SH DFND 19000 0 0 INVESCO SR INCOME TR COM 46131H107 512 130854 SH DFND 130854 0 0 IQIYI INC SPONSORED ADS 46267X108 2231 150000 SH Put DFND 150000 0 0 IQIYI INC SPONSORED ADS 46267X108 112 7500 SH DFND 7500 0 0 ISHARES INC MSCI BRAZIL ETF 464286400 3438 90000 SH Put DFND 90000 0 0 ISHARES INC MSCI BRAZIL ETF 464286400 840 22000 SH DFND 22000 0 0 ISHARES INC MSCI STH AFR ETF 464286780 350 6946 SH DFND 6946 0 0 ISHARES TR 20 YR TR BD ETF 464287432 34630 285000 SH Call DFND 285000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 1215 10000 SH Put DFND 10000 0 0 ISHARES TR 20 YR TR BD ETF 464287432 6076 50000 SH DFND 50000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 625 16000 SH Call DFND 16000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 23214 594000 SH Put DFND 594000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 9898 253272 SH DFND 253272 0 0 ISHARES TR IBOXX HI YD ETF 464288513 8110 100000 SH Put DFND 100000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 608 7500 SH DFND 7500 0 0 ISHARES TR JPMORGAN USD EMG 464288281 86681 834193 SH DFND 834193 0 0 ISHARES TR MSCI EAFE ETF 464287465 2939 50000 SH Put DFND 50000 0 0 ISHARES TR MSCI EAFE ETF 464287465 2939 50000 SH DFND 50000 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 1953 50000 SH Call DFND 50000 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 1953 50000 SH Put DFND 50000 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 166 4250 SH DFND 4250 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 6915 51641 SH DFND 51641 0 0 KROGER CO COM 501044101 688 25000 SH Call DFND 25000 0 0 KROGER CO COM 501044101 688 25000 SH Put DFND 25000 0 0 KROGER CO COM 501044101 91 3300 SH DFND 3300 0 0 MAGNOLIA OIL & GAS CORP *W EXP 07/31/202 559663117 683 225458 SH DFND 225458 0 0 MARRIOTT VACATIONS WRLDWDE C COM 57164Y107 1273 18060 SH DFND 18060 0 0 MELLANOX TECHNOLOGIES LTD SHS M51363113 1478 15995 SH DFND 15995 0 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 9883 7000000 PRN DFND 7000000 0 0 MICRON TECHNOLOGY INC NOTE 3.000%11/1 595112AY9 11088 10000000 PRN DFND 10000000 0 0 MICROSOFT CORP COM 594918104 6094 60000 SH Call DFND 60000 0 0 MICROSOFT CORP COM 594918104 10157 100000 SH Put DFND 100000 0 0 MICROSOFT CORP COM 594918104 9704 95540 SH DFND 95540 0 0 NEWELL BRANDS INC COM 651229106 892 48000 SH Call DFND 48000 0 0 NEWMONT MINING CORP COM 651639106 3368 97200 SH Call DFND 97200 0 0 NIKE INC CL B 654106103 2780 37500 SH Call DFND 37500 0 0 NIKE INC CL B 654106103 1483 20000 SH Put DFND 20000 0 0 NIKE INC CL B 654106103 1335 18000 SH DFND 18000 0 0 NORFOLK SOUTHERN CORP COM 655844108 10468 70000 SH Call DFND 70000 0 0 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 439 59271 SH DFND 59271 0 0 PALO ALTO NETWORKS INC COM 697435105 1563 8300 SH Put DFND 8300 0 0 PGIM SHORT DURATION HIGH YIE COM 69346H100 2828 217075 SH DFND 217075 0 0 REALPAGE INC COM 75606N109 744 15445 SH DFND 15445 0 0 REALPAGE INC NOTE 1.500%11/1 75606NAB5 2584 2000000 PRN DFND 2000000 0 0 RESTORATION HARDWARE HLDGS I DBCV 7/1 761283AC4 1022 875000 PRN DFND 875000 0 0 ROYAL GOLD INC COM 780287108 1610 18800 SH Call DFND 18800 0 0 SCHLUMBERGER LTD COM 806857108 920 25500 SH Call DFND 25500 0 0 SCHLUMBERGER LTD COM 806857108 2345 65000 SH Put DFND 65000 0 0 SCHLUMBERGER LTD COM 806857108 2365 65538 SH DFND 65538 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1016 20000 SH Call DFND 20000 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 3555 70000 SH Put DFND 70000 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 1625 32000 SH DFND 32000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 2646 50000 SH Call DFND 50000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 7938 150000 SH Put DFND 150000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 1349 25500 SH DFND 25500 0 0 SERVICENOW INC NOTE 6/0 81762PAC6 2805 2000000 PRN DFND 2000000 0 0 SIRIUS XM HLDGS INC COM 82968B103 1638 286800 SH Put DFND 286800 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 7760 64000 SH Call DFND 64000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 13 105 SH DFND 105 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 459353 1838000 SH Call DFND 1838000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 255 1019 SH DFND 1019 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 3588 50000 SH Put DFND 50000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 2153 30000 SH DFND 30000 0 0 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 1669 298491 SH DFND 298491 0 0 TOTAL S A SPONSORED ADR 89151E109 5077 97300 SH Call DFND 97300 0 0 TURQUOISE HILL RES LTD COM 900435108 701 425000 SH Put DFND 425000 0 0 TURQUOISE HILL RES LTD COM 900435108 619 375000 SH DFND 375000 0 0 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 2110 176707 SH DFND 176707 0 0 US FOODS HLDG CORP COM 912008109 1063 33585 SH DFND 33585 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 8436 400000 SH Call DFND 400000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 6327 300000 SH Put DFND 300000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 174 8250 SH DFND 8250 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 2925 96786 SH DFND 96786 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 1403 100000 SH Call DFND 100000 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 609 8000 SH DFND 8000 0 0 VISTRA ENERGY CORP COM 92840M102 2296 100300 SH Call DFND 100300 0 0 VISTRA ENERGY CORP UNIT 02/02/2024 92840M300 8607 93988 SH DFND 93988 0 0 VMWARE INC CL A COM 928563402 344 2505 SH DFND 2505 0 0 VOYA PRIME RATE TR SH BEN INT 92913A100 789 175671 SH DFND 175671 0 0 WILLSCOT CORP COM 971375126 653 69280 SH DFND 69280 0 0 XPO LOGISTICS INC COM 983793100 323 5670 SH DFND 5670 0 0 ZAYO GROUP HLDGS INC COM 98919V105 365 16000 SH DFND 16000 0 0 ZIONS BANCORPORATION N A *W EXP 05/21/202 989701115 3730 396767 SH DFND 396767 0 0 ZIONS BANCORPORATION N A COM 989701107 5 124 SH DFND 124 0 0