Chief Operating Officer and General Counsel

0001567619-20-010503.txt : 20200515 0001567619-20-010503.hdr.sgml : 20200515 20200515161123 ACCESSION NUMBER: 0001567619-20-010503 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200515 DATE AS OF CHANGE: 20200515 EFFECTIVENESS DATE: 20200515 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: 20885262 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 03-31-2020 03-31-2020 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 05-15-2020 0 126 123143 false INFORMATION TABLE 2 form13fInfoTable.xml ACACIA COMMUNICATIONS INC COM 00401C108 336 5008 SH DFND 5008 0 0 ACCEL ENTERTAINMENT INC *W EXP 11/20/202 00436Q114 53 35565 SH DFND 35565 0 0 ACT II GLOBAL ACQUISITION CO *W EXP 04/30/202 G0080J120 7 10000 SH DFND 10000 0 0 ADAMS DIVERSIFIED EQUITY FD COM 006212104 793 63018 SH DFND 63018 0 0 AKAZOO SA *W EXP 09/11/202 L0164E116 35 112332 SH DFND 112332 0 0 ALLEGRO MERGER CORP *W EXP 01/06/202 01749N111 5 102000 SH DFND 102000 0 0 ALLERGAN PLC SHS G0177J108 644 3636 SH DFND 3636 0 0 ALLIANZGI NFJ DIVID INT & PR COM 01883A107 192 19967 SH DFND 19967 0 0 ALLIED ESPORTS ENTMT INC COM 019170109 16 10000 SH DFND 10000 0 0 ALTA EQUIPMENT GROUP INC *W EXP 02/14/202 02128L114 70 86100 SH DFND 86100 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 183 15000 SH Put DFND 15000 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 30 2500 SH DFND 2500 0 0 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 89 111222 SH DFND 111222 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 61 2500 SH Call DFND 2500 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 449 18500 SH DFND 18500 0 0 APPLE INC COM 037833100 1271 5000 SH Put DFND 5000 0 0 APPLIED DNA SCIENCES INC COM 03815U300 69 70000 SH DFND 70000 0 0 ATLAS TECHNICAL CONSULTANTS *W EXP 11/26/202 049430119 36 50000 SH DFND 50000 0 0 BIOCERES CROP SOLUTIONS CORP *W EXP 03/14/202 G1117K106 70 500000 SH DFND 500000 0 0 BLACKROCK ENHANCED EQUITY DI COM 09251A104 406 62192 SH DFND 62192 0 0 BLACKROCK MUNIHLDGS NJ QLTY COM 09254X101 213 16128 SH DFND 16128 0 0 BLINK CHARGING CO *W EXP 01/31/202 09354A118 105 175177 SH DFND 175177 0 0 BLINK CHARGING CO COM 09354A100 41 23924 SH DFND 23924 0 0 BRISTOL-MYERS SQUIBB CO RIGHT 99/99/9999 110122157 285 75000 SH DFND 75000 0 0 BROADMARK RLTY CAP INC *W EXP 11/15/202 11135B118 46 208844 SH DFND 208844 0 0 BROOGE HLDGS LTD *W EXP 12/20/202 G1611B115 8 10000 SH DFND 10000 0 0 CASEYS GEN STORES INC COM 147528103 344 2600 SH DFND 2600 0 0 CHEVRON CORP NEW COM 166764100 333 4600 SH DFND 4600 0 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 1963 3000 SH Put DFND 3000 0 0 COHEN & STEERS QUALITY INCOM COM 19247L106 2487 275069 SH DFND 275069 0 0 CREE INC NOTE 0.875% 9/0 225447AB7 1848 2000000 PRN DFND 2000000 0 0 CROWN HLDGS INC COM 228368106 1519 26180 SH DFND 26180 0 0 DASEKE INC *W EXP 02/27/202 23753F115 28 313400 SH DFND 313400 0 0 DEL TACO RESTAURANTS INC *W EXP 06/30/202 245496112 29 485855 SH DFND 485855 0 0 DIAMOND EAGLE ACQUISITION CO *W EXP 06/30/202 25258L117 143 50000 SH DFND 50000 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25490K133 1056 350700 SH Put DFND 350700 0 0 DIREXION SHS ETF TR DAILY GOLD MINER 25490K133 905 300500 SH DFND 300500 0 0 EAST STONE ACQUISITION CORP UNIT 12/31/2026 G2911D124 466 47522 SH DFND 47522 0 0 ELECTRAMECCANICA VEHS CORP *W EXP 08/03/202 284849114 38 135126 SH DFND 135126 0 0 EXACT SCIENCES CORP COM 30063P105 1160 20000 SH Call DFND 20000 0 0 EXACT SCIENCES CORP NOTE 0.375% 3/0 30063PAC9 1980 2500000 PRN DFND 2500000 0 0 EXXON MOBIL CORP COM 30231G102 323 8500 SH DFND 8500 0 0 FAR PT ACQUISITION CORP COM CL A 30734W109 231 22807 SH DFND 22807 0 0 FITBIT INC CL A 33812L102 110 16575 SH DFND 16575 0 0 GABELLI DIVID & INCOME TR COM 36242H104 3706 250257 SH DFND 250257 0 0 GENWORTH FINL INC COM CL A 37247D106 4 1100 SH Call DFND 1100 0 0 GENWORTH FINL INC COM CL A 37247D106 115 34590 SH DFND 34590 0 0 GLRY STR NW MDIA GRUP HLDG L *W EXP 02/13/202 G39973113 50 630869 SH DFND 630869 0 0 GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 228 48000 SH DFND 48000 0 0 GRANITE CONSTR INC COM 387328107 152 10000 SH Put DFND 10000 0 0 HEALTHCARE MERGER CORP UNIT 12/17/2021 42227L201 200 19381 SH DFND 19381 0 0 HIGHLAND INCOME FD HIGHLAND INCOME 43010E404 3144 368594 SH DFND 368594 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 261 457707 SH DFND 457707 0 0 IAA INC COM 449253103 1433 47840 SH DFND 47840 0 0 IAC INTERACTIVECORP COM 44919P508 1792 10000 SH DFND 10000 0 0 IMMUNOVANT INC *W EXP 12/18/202 45258J110 649 270566 SH DFND 270566 0 0 INFRA AND ENERGY ALTRNTIVE I *W EXP 05/20/202 45686J112 27 545341 SH DFND 545341 0 0 INVESCO VALUE MUN INCOME TR COM 46132P108 200 14162 SH DFND 14162 0 0 INVITAE CORP COM 46185L103 174 12700 SH Call DFND 12700 0 0 ISHARES TR IBOXX INV CP ETF 464287242 9881 80000 SH DFND 80000 0 0 ISHARES TR JPMORGAN USD EMG 464288281 12564 129952 SH DFND 129952 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 788 23093 SH DFND 23093 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1216 10628 SH DFND 10628 0 0 JAPAN SMALLER CAPITALIZATION COM 47109U104 175 24775 SH DFND 24775 0 0 JOYY INC ADS REPSTG COM A 46591M109 607 11400 SH Call DFND 11400 0 0 LIBERTY TRIPADVISOR HLDGS IN COM SER A 531465102 227 126115 SH DFND 126115 0 0 LIV CAP ACQUISITION CORP *W EXP 12/13/202 G5510C116 26 100000 SH DFND 100000 0 0 LOWES COS INC COM 548661107 4991 58000 SH Put DFND 58000 0 0 LULULEMON ATHLETICA INC COM 550021109 948 5000 SH Put DFND 5000 0 0 MELLANOX TECHNOLOGIES LTD SHS M51363113 268 2206 SH DFND 2206 0 0 MYLAN NV SHS EURO N59465109 713 47800 SH Call DFND 47800 0 0 NESCO HLDGS INC *W EXP 01/01/202 64083J112 6 35000 SH DFND 35000 0 0 NEWMONT CORP COM 651639106 1662 36700 SH Call DFND 36700 0 0 NEWMONT CORP COM 651639106 566 12500 SH Put DFND 12500 0 0 NEWMONT CORP COM 651639106 60 1328 SH DFND 1328 0 0 NOMAD FOODS LTD USD ORD SHS G6564A105 684 36828 SH DFND 36828 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 1342 80000 SH DFND 80000 0 0 NUVEEN AMT FREE QLTY MUN INC COM 670657105 188 13872 SH DFND 13872 0 0 NUVEEN DOW 30 DYNAMIC OVERWR SHS 67075F105 2279 182023 SH DFND 182023 0 0 NUVEEN S&P 500 DYNAMIC OVERW COM 6706EW100 672 58063 SH DFND 58063 0 0 O REILLY AUTOMOTIVE INC NEW COM 67103H107 542 1800 SH DFND 1800 0 0 ONESPAWORLD HOLDINGS LIMITED COM P73684113 90 22100 SH Call DFND 22100 0 0 PAE INC *W EXP 09/11/202 69290Y117 152 102268 SH DFND 102268 0 0 PAVMED INC *W EXP 04/30/202 70387R122 72 77066 SH DFND 77066 0 0 PGIM HIGH YIELD BOND FUND IN COM 69346H100 637 55025 SH DFND 55025 0 0 PINDUODUO INC SPONSORED ADS 722304102 540 15000 SH Call DFND 15000 0 0 PINDUODUO INC SPONSORED ADS 722304102 1081 30000 SH Put DFND 30000 0 0 RANPAK HLDGS CORP *W EXP 06/03/202 75321W111 130 103969 SH DFND 103969 0 0 REDFIN CORP NOTE 1.750% 7/1 75737FAA6 1373 1500000 PRN DFND 1500000 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 1441 36000 SH Put DFND 36000 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 30 750 SH DFND 750 0 0 RINGCENTRAL INC CL A 76680R206 212 1000 SH Put DFND 1000 0 0 RIVERNORTH / DOUBLELINE STRA COM 76882G107 1460 114059 SH DFND 114059 0 0 RMR REAL ESTATE INCOME FD COM 76970B101 573 56432 SH DFND 56432 0 0 ROYAL GOLD INC COM 780287108 421 4800 SH DFND 4800 0 0 SEA LTD SPONSORED ADS 81141R100 2216 50000 SH Put DFND 50000 0 0 SIBANYE STILLWATER LTD SPONSORED ADR 82575P107 193 40800 SH DFND 40800 0 0 SIMPLY GOOD FOODS CO COM 82900L102 815 42300 SH DFND 42300 0 0 SOHU COM LTD SPONSORED ADS 83410S108 409 65614 SH DFND 65614 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 5542 21500 SH Call DFND 21500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 5542 21500 SH Put DFND 21500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 593 2300 SH DFND 2300 0 0 SQUARE INC CL A 852234103 157 3000 SH Put DFND 3000 0 0 SQUARE INC CL A 852234103 157 3000 SH DFND 3000 0 0 STARBUCKS CORP COM 855244109 657 10000 SH Put DFND 10000 0 0 TELECOM ARGENTINA S A SPON ADR REP B 879273209 185 20100 SH Call DFND 20100 0 0 TELECOM ARGENTINA S A SPON ADR REP B 879273209 171 18600 SH Put DFND 18600 0 0 TIFFANY & CO NEW COM 886547108 389 3000 SH DFND 3000 0 0 TRI CONTL CORP COM 895436103 563 26948 SH DFND 26948 0 0 TWITTER INC NOTE 0.250% 6/1 90184LAF9 9303 10366000 PRN DFND 10366000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1728 75000 SH Put DFND 75000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 3846 166907 SH DFND 166907 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 1304 46405 SH DFND 46405 0 0 VERB TECHNOLOGY CO INC *W EXP 03/14/202 92337U112 7 24117 SH DFND 24117 0 0 VERTIV HOLDINGS CO *W EXP 06/12/202 92537N116 1223 679273 SH DFND 679273 0 0 VIACOMCBS INC CL B 92556H206 2295 163800 SH Call DFND 163800 0 0 VIACOMCBS INC CL B 92556H206 393 28034 SH DFND 28034 0 0 VIVINT SMART HOME INC *W EXP 01/17/202 928542117 140 100099 SH DFND 100099 0 0 VOYA GLBL EQTY DIV & PREM OP COM 92912T100 963 211141 SH DFND 211141 0 0 VOYA NAT RES EQUITY INCOME F COM 92913C106 756 350207 SH DFND 350207 0 0 WILLSCOT CORP COM 971375126 884 87286 SH DFND 87286 0 0 XPO LOGISTICS INC COM 983793100 478 9800 SH DFND 9800 0 0 YATRA ONLINE INC ORD SHS G98338109 147 142361 SH DFND 142361 0 0 YUNHONG INTL UNIT 99/99/9999 G98882114 807 83219 SH DFND 83219 0 0 ZIONS BANCORPORATION N A *W EXP 05/21/202 989701115 45 138168 SH DFND 138168 0 0 ZIONS BANCORPORATION N A COM 989701107 7 245 SH DFND 245 0 0