0001085146-18-002175.txt : 20180817 0001085146-18-002175.hdr.sgml : 20180817 20180816183640 ACCESSION NUMBER: 0001085146-18-002175 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180817 DATE AS OF CHANGE: 20180816 EFFECTIVENESS DATE: 20180817 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COWEN INC. CENTRAL INDEX KEY: 0001466538 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-14571 FILM NUMBER: 181024266 BUSINESS ADDRESS: STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-845-7900 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: COWEN GROUP, INC. DATE OF NAME CHANGE: 20091102 FORMER COMPANY: FORMER CONFORMED NAME: LexingtonPark Parent Corp DATE OF NAME CHANGE: 20090617 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001466538 XXXXXXXX 06-30-2018 06-30-2018 true 1 RESTATEMENT false COWEN INC.

599 LEXINGTON AVENUE, 20TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-14571 N Owen Littman 212-201-4841 /s/ Owen Littman New York NY 08-06-2018 5 559 2356616 1 0001066036 028-04125 COWEN & COMPANY, LLC 2 0000917380 028-18771 COWEN EXECUTION SERVICES LLC 3 0001475770 028-13626 Cowen Investment Management LLC 4 0001731137 028-18662 Margate Capital Management LP 5 0001275893 028-10674 RAMIUS ADVISORS LLC INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 22ND CENTY GROUP INC COM 90137F103 185 75000 SH DFND 1 75000 0 0 3M CO COM 88579Y101 157 800 SH DFND 3 800 0 0 3M CO COM 88579Y101 29 3600 SH Call DFND 3 3600 0 0 3M CO COM 88579Y101 84 2700 SH Put DFND 3 2700 0 0 ACADIA PHARMACEUTICALS INC COM 004225108 115 7500 SH DFND 1 7500 0 0 ACADIA PHARMACEUTICALS INC COM 004225108 208 13600 SH Call DFND 1 13600 0 0 ACCELERATE DIAGNOSTICS INC COM 00430H102 1896 85000 SH Put DFND 1 85000 0 0 ADOBE SYS INC COM 00724F101 12969 53192 SH DFND 4 53192 0 0 ADVERUM BIOTECHNOLOGIES INC COM 00773U108 371 70000 SH DFND 3 70000 0 0 AETNA INC NEW COM 00817Y108 6092 33200 SH Call DFND 1 33200 0 0 AETNA INC NEW COM 00817Y108 32815 178827 SH DFND 5 178827 0 0 AGCO CORP COM 001084102 1324 21800 SH Call DFND 1 21800 0 0 AGROFRESH SOLUTIONS *W EXP 07/31/202 00856G117 220 594393 SH DFND 1 594393 0 0 AKORN INC COM 009728106 136 8200 SH Call DFND 1 8200 0 0 AKORN INC COM 009728106 505 109900 SH Call DFND 5 109900 0 0 AKORN INC COM 009728106 473 28500 SH Put DFND 1 28500 0 0 ALDER BIOPHARMACEUTICALS INC COM 014339105 277 17500 SH Put DFND 1 17500 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 3965 21369 SH DFND 4 21369 0 0 ALPHABET INC CAP STK CL A 02079K305 198 175 SH DFND 3 175 0 0 ALPHABET INC CAP STK CL A 02079K305 33 300 SH Call DFND 3 300 0 0 ALPHABET INC CAP STK CL A 02079K305 26 500 SH Put DFND 3 500 0 0 ALPHABET INC CAP STK CL C 02079K107 849 761 SH DFND 3 761 0 0 ALPHABET INC CAP STK CL C 02079K107 20 200 SH Call DFND 3 200 0 0 ALPHABET INC CAP STK CL C 02079K107 37 700 SH Put DFND 3 700 0 0 ALTA MESA RES INC *W EXP 03/28/202 02133L117 825 589266 SH DFND 1 589266 0 0 ALTABA INC COM 021346101 6647 90800 SH DFND 3 90800 0 0 ALTICE USA INC CL A 02156K103 2131 124933 SH DFND 3 124933 0 0 AMAZON COM INC COM 023135106 13488 7935 SH DFND 3 7935 0 0 AMAZON COM INC COM 023135106 3532 2078 SH DFND 4 2078 0 0 AMAZON COM INC COM 023135106 224 400 SH Call DFND 3 400 0 0 AMICUS THERAPEUTICS INC COM 03152W109 383 24500 SH DFND 1 24500 0 0 AMICUS THERAPEUTICS INC COM 03152W109 2088 133700 SH Call DFND 1 133700 0 0 ANDEAVOR COM 03349M105 60900 464244 SH DFND 5 464244 0 0 APPLE INC COM 037833100 2079 11231 SH DFND 3 11231 0 0 APPLE INC COM 037833100 9 400 SH Call DFND 3 400 0 0 APPLE INC COM 037833100 11 700 SH Put DFND 3 700 0 0 APTINYX INC COM 03836N103 546 24691 SH DFND 3 24691 0 0 APTIV PLC SHS G6095L109 87 948 SH DFND 1 948 0 0 APTIV PLC SHS G6095L109 10413 113638 SH DFND 4 113638 0 0 AQUINOX PHARMACEUTICALS INC COM 03842B101 53 20000 SH DFND 1 20000 0 0 AQUINOX PHARMACEUTICALS INC COM 03842B101 53 20000 SH Put DFND 1 20000 0 0 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L203 4673 171100 SH Call DFND 1 171100 0 0 ARRAY BIOPHARMA INC COM 04269X105 923 55000 SH Put DFND 1 55000 0 0 AT&T INC COM 00206R102 14692 457500 SH Put DFND 1 457500 0 0 AT&T INC COM 00206R102 10 72000 SH Call DFND 5 72000 0 0 AT&T INC COM 00206R102 6810 212093 SH DFND 1 212093 0 0 AT&T INC COM 00206R102 2395 74600 SH Call DFND 1 74600 0 0 ATARA BIOTHERAPEUTICS INC COM 046513107 129 3500 SH DFND 1 3500 0 0 ATARA BIOTHERAPEUTICS INC COM 046513107 239 6500 SH Call DFND 1 6500 0 0 ATARA BIOTHERAPEUTICS INC COM 046513107 368 10000 SH Put DFND 1 10000 0 0 AUDENTES THERAPEUTICS INC COM 05070R104 3057 80000 SH DFND 3 80000 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 24 5600 SH Put DFND 3 5600 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 18780 140000 SH Put DFND 1 140000 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 86 4200 SH Call DFND 3 4200 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 134 1000 SH DFND 1 1000 0 0 AV HOMES INC COM 00234P102 3274 152994 SH DFND 3 152994 0 0 AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 1080 107724 SH DFND 1 107724 0 0 BANK AMER CORP COM 060505104 22 13000 SH Call DFND 3 13000 0 0 BANK AMER CORP COM 060505104 17 7700 SH Put DFND 3 7700 0 0 BANK NEW YORK MELLON CORP COM 064058100 19 6600 SH Call DFND 3 6600 0 0 BANK NEW YORK MELLON CORP COM 064058100 42 9000 SH Put DFND 3 9000 0 0 BANK NEW YORK MELLON CORP COM 064058100 65 1200 SH DFND 3 1200 0 0 BED BATH & BEYOND INC COM 075896100 2491 125000 SH Put DFND 1 125000 0 0 BED BATH & BEYOND INC COM 075896100 2909 146000 SH DFND 1 146000 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 282 1 SH DFND 3 1 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 187 1000 SH DFND 3 1000 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 25 3500 SH Call DFND 3 3500 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 19 1000 SH Put DFND 3 1000 0 0 BIG ROCK PARTNERS ACQUISI CO *W EXP 12/01/202 089482111 6 16476 SH DFND 1 16476 0 0 BIG ROCK PARTNERS ACQUISI CO RIGHT 12/01/2022 089482129 18 39652 SH DFND 1 39652 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 94 1000 SH DFND 1 1000 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 1235 13100 SH Call DFND 1 13100 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 122 1300 SH Put DFND 1 1300 0 0 BISON CAP ACQUISITION CORP *W EXP 06/20/202 G1142P112 10 27002 SH DFND 1 27002 0 0 BISON CAP ACQUISITION CORP RIGHT 03/20/2019 G1142P138 12 37372 SH DFND 1 37372 0 0 BLACK RIDGE ACQUISITION CORP *W EXP 07/10/202 09216T115 52 120481 SH DFND 1 120481 0 0 BLACK RIDGE ACQUISITION CORP UNIT 10/05/2022 09216T206 523 50000 SH DFND 3 50000 0 0 BLACK RIDGE ACQUISITION CORP UNIT 10/05/2022 09216T206 512 49002 SH DFND 1 49002 0 0 BLUEBIRD BIO INC COM 09609G100 942 6000 SH DFND 3 6000 0 0 BLUEPRINT MEDICINES CORP COM 09627Y109 2158 34000 SH DFND 3 34000 0 0 BOEING CO COM 097023105 5501 16397 SH DFND 4 16397 0 0 BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN G16249107 1286 67600 SH DFND 2 67600 0 0 BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN G16249107 385 50000 SH Put DFND 2 50000 0 0 BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN G16249107 385 50000 SH Put DFND 3 50000 0 0 BUNGE LIMITED COM G16962105 1046 15000 SH Call DFND 1 15000 0 0 CADENCE DESIGN SYSTEM INC COM 127387108 6406 147917 SH DFND 4 147917 0 0 CAESARS ENTMT CORP COM 127686103 3628 339026 SH DFND 4 339026 0 0 CAESARS ENTMT CORP COM 127686103 0 1 SH DFND 1 1 0 0 CAESARS ENTMT CORP COM 127686103 319 29850 SH DFND 3 29850 0 0 CAMPBELL SOUP CO COM 134429109 3932 97000 SH Call DFND 1 97000 0 0 CAMPBELL SOUP CO COM 134429109 3085 76100 SH Put DFND 1 76100 0 0 CAMPING WORLD HLDGS INC CL A 13462K109 57 2280 SH DFND 1 2280 0 0 CAMPING WORLD HLDGS INC CL A 13462K109 375 15000 SH Call DFND 1 15000 0 0 CAPITAL ONE FINL CORP COM 14040H105 460 5000 SH DFND 3 5000 0 0 CAPITOL INVT CORP IV *W EXP 01/01/202 G18920127 24 17426 SH DFND 1 17426 0 0 CAPITOL INVT CORP IV CL A ORD G18920101 987 100000 SH DFND 3 100000 0 0 CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 53 5159 SH DFND 1 5159 0 0 CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 515 50000 SH DFND 3 50000 0 0 CARLISLE COS INC COM 142339100 1593 14700 SH Call DFND 1 14700 0 0 CARLISLE COS INC COM 142339100 6098 56300 SH Put DFND 1 56300 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 57 1000 SH DFND 1 1000 0 0 CARNIVAL CORP UNIT 99/99/9999 143658300 5731 100000 SH Call DFND 1 100000 0 0 CARNIVAL PLC ADR 14365C103 317 5495 SH DFND 3 5495 0 0 CBS CORP NEW CL B 124857202 163 100000 SH Put DFND 5 100000 0 0 CELGENE CORP COM 151020104 707 8900 SH DFND 3 8900 0 0 CHARTER COMMUNICATIONS INC N CL A 16119P108 948 3234 SH DFND 4 3234 0 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 157 1500 SH Call DFND 3 1500 0 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 75 3200 SH Put DFND 3 3200 0 0 CIGNA CORPORATION COM 125509109 2464 14500 SH DFND 1 14500 0 0 CIGNA CORPORATION COM 125509109 1700 10000 SH Call DFND 1 10000 0 0 CIGNA CORPORATION COM 125509109 3399 20000 SH Put DFND 1 20000 0 0 CISCO SYS INC COM 17275R102 65 1500 SH DFND 3 1500 0 0 CISCO SYS INC COM 17275R102 20 6900 SH Call DFND 3 6900 0 0 CISCO SYS INC COM 17275R102 47 13300 SH Put DFND 3 13300 0 0 CM SEVEN STAR ACQUISITION CO SHS G2345N102 344 34746 SH DFND 1 34746 0 0 CM SEVEN STAR ACQUISITION CO UNIT 08/21/2022 G2345N128 0 1 SH DFND 1 1 0 0 CM SEVEN STAR ACQUISITION CO UNIT 08/21/2022 G2345N128 2588 250000 SH DFND 3 250000 0 0 CME GROUP INC COM CL A 12572Q105 462 120000 SH Put DFND 5 120000 0 0 COBIZ FINANCIAL INC COM 190897108 1620 75400 SH DFND 5 75400 0 0 COCA COLA CO COM 191216100 31 9800 SH Put DFND 3 9800 0 0 COCA COLA CO COM 191216100 30 10300 SH Call DFND 3 10300 0 0 COHERUS BIOSCIENCES INC COM 19249H103 728 52000 SH Call DFND 1 52000 0 0 COHERUS BIOSCIENCES INC COM 19249H103 56 4000 SH DFND 1 4000 0 0 COHU INC COM 192576106 1020 41604 SH DFND 5 41604 0 0 COMCAST CORP NEW CL A 20030N101 1555 47400 SH DFND 1 47400 0 0 COMCAST CORP NEW CL A 20030N101 1496 45600 SH Call DFND 1 45600 0 0 COMCAST CORP NEW CL A 20030N101 171 160000 SH Call DFND 5 160000 0 0 COMCAST CORP NEW CL A 20030N101 4101 125000 SH Put DFND 1 125000 0 0 COMMUNITY HEALTH SYS INC NEW RIGHT 12/31/2019 203668116 39 3858817 SH DFND 1 3858817 0 0 CONAGRA BRANDS INC COM 205887102 1072 30000 SH Call DFND 1 30000 0 0 CONCHO RES INC COM 20605P101 138 1000 SH DFND 1 1000 0 0 CONCHO RES INC COM 20605P101 6074 43900 SH Call DFND 1 43900 0 0 CONSTELLATION ALPHA CAP CORP SHS G2379F108 1844 185172 SH DFND 1 185172 0 0 CONSTELLATION ALPHA CAP CORP UNIT 99/99/9999 G2379F124 1460 136450 SH DFND 1 136450 0 0 CONSTELLATION BRANDS INC CL A 21036P108 2134 9750 SH DFND 1 9750 0 0 CONSTELLATION BRANDS INC CL A 21036P108 25082 114600 SH Call DFND 1 114600 0 0 CONSTELLATION BRANDS INC CL A 21036P108 10418 47600 SH Put DFND 1 47600 0 0 COREPOINT LODGING INC COM 21872L104 3616 139628 SH DFND 3 139628 0 0 CORVUS PHARMACEUTICALS INC COM 221015100 5868 534397 SH DFND 3 534397 0 0 CSX CORP COM 126408103 30 5900 SH Put DFND 3 5900 0 0 CSX CORP COM 126408103 25 5500 SH Call DFND 3 5500 0 0 CVR PARTNERS LP COM 126633106 565 171079 SH DFND 3 171079 0 0 CVR REFNG LP COMUNIT REP LT 12663P107 3465 155014 SH DFND 3 155014 0 0 DASEKE INC *W EXP 02/27/202 23753F115 80 74518 SH DFND 1 74518 0 0 DCT INDUSTRIAL TRUST INC COM NEW 233153204 7 98 SH DFND 1 98 0 0 DCT INDUSTRIAL TRUST INC COM NEW 233153204 59648 893878 SH DFND 5 893878 0 0 DEL TACO RESTAURANTS INC *W EXP 06/30/202 245496112 64 16348 SH DFND 1 16348 0 0 DFB HEALTHCARE ACQUISTION CO *W EXP 04/11/202 23291E117 15 13719 SH DFND 1 13719 0 0 DFB HEALTHCARE ACQUISTION CO COM 23291E109 348 36157 SH DFND 1 36157 0 0 DFB HEALTHCARE ACQUISTION CO UNIT 01/30/2023 23291E208 2770 272944 SH DFND 1 272944 0 0 DISCOVERY INC COM SER A 25470F104 336 15000 SH Call DFND 1 15000 0 0 DISNEY WALT CO COM DISNEY 254687106 2699 25756 SH DFND 4 25756 0 0 DISNEY WALT CO COM DISNEY 254687106 679 250000 SH Put DFND 5 250000 0 0 DOWDUPONT INC COM 26078J100 45 9700 SH Call DFND 3 9700 0 0 DOWDUPONT INC COM 26078J100 19 2800 SH Put DFND 3 2800 0 0 DR PEPPER SNAPPLE GROUP INC COM 26138E109 1464 12000 SH Call DFND 1 12000 0 0 DR PEPPER SNAPPLE GROUP INC COM 26138E109 1220 10000 SH DFND 1 10000 0 0 DRAPER OAKWOOD TECHNOLOGY UNIT 09/30/2024 26146L202 301 25100 SH DFND 1 25100 0 0 DROPBOX INC CL A 26210C104 453880 14000 SH DFND 2 14000 0 0 DROPBOX INC CL A 26210C104 125300 14000 SH Put DFND 2 140000 0 0 DXC TECHNOLOGY CO COM 23355L106 387 4803 SH DFND 1 4803 0 0 DXC TECHNOLOGY CO COM 23355L106 1612 20000 SH Call DFND 1 20000 0 0 ELECTRONIC ARTS INC COM 285512109 35199 249600 SH Put DFND 1 249600 0 0 ELECTRONIC ARTS INC COM 285512109 7728 54800 SH DFND 1 54800 0 0 ELECTRONIC ARTS INC COM 285512109 9537 67629 SH DFND 4 67629 0 0 ELECTRONIC ARTS INC COM 285512109 78082 553700 SH Call DFND 1 553700 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 830 30000 SH Put DFND 1 30000 0 0 ENVISION HEALTHCARE CORP COM 29414D100 35036 796091 SH DFND 5 796091 0 0 EQT CORP COM 26884L109 28 500 SH DFND 1 500 0 0 EQT CORP COM 26884L109 210 3800 SH Put DFND 1 3800 0 0 ESTRE AMBIENTAL INC *W EXP 12/21/202 G3206V118 92 216478 SH DFND 1 216478 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 6763 87600 SH Put DFND 1 87600 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 15913 206105 SH DFND 5 206105 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 1351 17500 SH Call DFND 1 17500 0 0 EXXON MOBIL CORP COM 30231G102 31 6100 SH Put DFND 3 6100 0 0 EXXON MOBIL CORP COM 30231G102 52 6100 SH Call DFND 3 6100 0 0 EXXON MOBIL CORP COM 30231G102 8273 100000 SH Call DFND 1 100000 0 0 FACEBOOK INC CL A 30303M102 44 2500 SH Put DFND 3 2500 0 0 FACEBOOK INC CL A 30303M102 2157 11100 SH DFND 1 11100 0 0 FACEBOOK INC CL A 30303M102 19 100 SH DFND 3 100 0 0 FACEBOOK INC CL A 30303M102 2138 11000 SH Call DFND 1 11000 0 0 FACEBOOK INC CL A 30303M102 15 1000 SH Call DFND 3 1000 0 0 FACEBOOK INC CL A 30303M102 2138 11000 SH Put DFND 1 11000 0 0 FAR PT ACQUISITION CORP *W EXP 06/01/202 30734W117 27 19700 SH DFND 1 19700 0 0 FAR PT ACQUISITION CORP COM CL A 30734W109 2270 222294 SH DFND 1 222294 0 0 FINTECH ACQUISITION CORP II *W EXP 01/19/202 31810G117 111 69105 SH DFND 1 69105 0 0 FITBIT INC CL A 33812L102 85 12950 SH DFND 1 12950 0 0 FITBIT INC CL A 33812L102 229 35000 SH Put DFND 1 35000 0 0 FOREST CITY RLTY TR INC COM CL A 345605109 2808 123110 SH DFND 5 123110 0 0 FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 9 180000 SH Call DFND 2 180000 0 0 FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 666 180000 SH Put DFND 2 180000 0 0 G1 THERAPEUTICS INC COM 3621LQ109 4778 109944 SH DFND 3 109944 0 0 GCI LIBERTY INC COM CLASS A 36164V305 7083 157116 SH DFND 3 157116 0 0 GENERAL DYNAMICS CORP COM 369550108 839 4500 SH DFND 3 4500 0 0 GENERAL DYNAMICS CORP COM 369550108 24 3600 SH Call DFND 3 3600 0 0 GENERAL DYNAMICS CORP COM 369550108 91 2700 SH Put DFND 3 2700 0 0 GENERAL MTRS CO COM 37045V100 87 2200 SH DFND 3 2200 0 0 GENERAL MTRS CO COM 37045V100 15 8000 SH Call DFND 3 8000 0 0 GENERAL MTRS CO COM 37045V100 46 9400 SH Put DFND 3 9400 0 0 GERON CORP COM 374163103 103 30000 SH Call DFND 1 30000 0 0 GGP INC COM 36174X101 4597 225000 SH DFND 3 225000 0 0 GIGCAPITAL INC *W EXP 06/08/202 37518N122 16 34867 SH DFND 1 34867 0 0 GIGCAPITAL INC COM 37518N106 377 508466 SH DFND 1 508466 0 0 GIGCAPITAL INC RIGHT 03/06/2020 37518N114 17 37660 SH DFND 1 37660 0 0 GIGCAPITAL INC UNIT 03/06/2025 37518N205 951 90594 SH DFND 1 90594 0 0 GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 1130 25000 SH DFND 3 25000 0 0 GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 18 1400000 SH Call DFND 3 1400000 0 0 GLOBALSTAR INC COM 378973408 31 62863 SH DFND 1 62863 0 0 GOPRO INC CL A 38268T103 428 66500 SH Put DFND 1 66500 0 0 GORDON POINTE ACQUISITION CO COM CLASS A 382788107 1122 115432 SH DFND 1 115432 0 0 GORES HLDGS II INC *W EXP 01/13/202 382867117 254 137511 SH DFND 1 137511 0 0 GORES HLDGS II INC COM CL A 382867109 7913 779214 SH DFND 1 779214 0 0 GORES HLDGS II INC UNIT 99/99/9999 382867208 222 20671 SH DFND 1 20671 0 0 GS ACQUISITION HLDGS CORP UNIT 06/12/2023 36255F201 1420 138890 SH DFND 1 138890 0 0 GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 784 77577 SH DFND 1 77577 0 0 GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 1010 100000 SH DFND 3 100000 0 0 GW PHARMACEUTICALS PLC ADS 36197T103 698 5000 SH Put DFND 1 5000 0 0 GW PHARMACEUTICALS PLC ADS 36197T103 126 900 SH DFND 1 900 0 0 GW PHARMACEUTICALS PLC ADS 36197T103 698 5000 SH Call DFND 1 5000 0 0 HAIN CELESTIAL GROUP INC COM 405217100 1207 40500 SH DFND 1 40500 0 0 HAIN CELESTIAL GROUP INC COM 405217100 1642 55100 SH Put DFND 1 55100 0 0 HALLIBURTON CO COM 406216101 586 13000 SH DFND 1 13000 0 0 HALLIBURTON CO COM 406216101 451 10000 SH Put DFND 1 10000 0 0 HAYMAKER ACQUISITION CORP *W EXP 10/27/202 420870115 42 50911 SH DFND 1 50911 0 0 HAYMAKER ACQUISITION CORP COM CLASS A 420870107 910 93281 SH DFND 1 93281 0 0 HAYMAKER ACQUISITION CORP UNIT 10/19/2022 420870206 5055 500000 SH DFND 3 500000 0 0 HAYMAKER ACQUISITION CORP UNIT 10/19/2022 420870206 1 100 SH DFND 1 100 0 0 HENNESSY CAP ACQUSTON CORP I *W EXP 06/15/202 42588L113 342 237500 SH DFND 3 237500 0 0 HENNESSY CAP ACQUSTON CORP I *W EXP 06/15/202 42588L113 88 61450 SH DFND 1 61450 0 0 HENNESSY CAP ACQUSTON CORP I COM 42588L105 4563 450000 SH DFND 3 450000 0 0 HENNESSY CAP ACQUSTON CORP I COM 42588L105 1121 99904 SH DFND 1 99904 0 0 HENNESSY CAP ACQUSTON CORP I UNIT 06/15/2024 42588L204 558 50001 SH DFND 1 50001 0 0 HL ACQUISITIONS CORP UNIT 06/21/2023 G4603R114 528 52495 SH DFND 1 52495 0 0 HP INC COM 40434L105 23 20200 SH Call DFND 3 20200 0 0 HUNTER MARITIME ACQUISITION *W EXP 11/17/202 Y37828129 58 135000 SH DFND 1 135000 0 0 HUNTER MARITIME ACQUISITION *W EXP 11/17/202 Y37828129 124 287500 SH DFND 3 287500 0 0 HUNTER MARITIME ACQUISITION CL A Y37828111 5681 575000 SH DFND 3 575000 0 0 HUNTER MARITIME ACQUISITION CL A Y37828111 2545 257637 SH DFND 1 257637 0 0 I AM CAP ACQUISITION CO *W EXP 05/22/202 45074Q116 12 27548 SH DFND 1 27548 0 0 I AM CAP ACQUISITION CO COM 45074Q108 3145 309241 SH DFND 1 309241 0 0 IAC INTERACTIVECORP COM 44919P508 1464 9600 SH DFND 3 9600 0 0 ILG INC COM 44967H101 27019 818013 SH DFND 5 818013 0 0 IMMUNOMEDICS INC COM 452907108 3539 149500 SH Put DFND 1 149500 0 0 IMMUNOMEDICS INC COM 452907108 3551 150000 SH DFND 1 150000 0 0 INDUSTREA ACQUISITION CORP *W EXP 08/01/202 45579J112 194 324095 SH DFND 1 324095 0 0 INDUSTREA ACQUISITION CORP CL A 45579J104 99 10000 SH DFND 3 10000 0 0 INDUSTREA ACQUISITION CORP CL A 45579J104 1549 157050 SH DFND 1 157050 0 0 INDUSTREA ACQUISITION CORP UNIT 07/21/2024 45579J203 522 50000 SH DFND 3 50000 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 622 4450 SH DFND 3 4450 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 26 4000 SH Call DFND 3 4000 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 60 3600 SH Put DFND 3 3600 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 169 120000 SH Put DFND 4 120000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 249 375000 SH Put DFND 3 375000 0 0 JABIL INC COM 466313103 2 30000 SH Call DFND 4 30000 0 0 JINKOSOLAR HLDG CO LTD SPONSORED ADR 47759T100 14 50000 SH Call DFND 2 50000 0 0 JOHNSON & JOHNSON COM 478160104 517 4257 SH DFND 3 4257 0 0 JOHNSON & JOHNSON COM 478160104 26 6000 SH Call DFND 3 6000 0 0 JOHNSON & JOHNSON COM 478160104 149 6900 SH Put DFND 3 6900 0 0 JUNIPER NETWORKS INC COM 48203R104 595 21700 SH Put DFND 1 21700 0 0 KAPSTONE PAPER & PACKAGING C COM 48562P103 1311 38014 SH DFND 5 38014 0 0 KAYNE ANDERSON ACQUISITION COM CL A 48661U102 59 6000 SH DFND 3 6000 0 0 KAYNE ANDERSON ACQUISITION COM CL A 48661U102 183 17941 SH DFND 1 17941 0 0 KAYNE ANDERSON ACQUISITION UNIT 06/30/2022 48661U201 10409 1000826 SH DFND 3 1000826 0 0 KAYNE ANDERSON ACQUISITION UNIT 06/30/2022 48661U201 43 4100 SH DFND 1 4100 0 0 KBL MERGER CORP IV *W EXP 01/15/202 48242A112 35 120256 SH DFND 1 120256 0 0 KEMPHARM INC COM 488445107 2381 366313 SH DFND 3 366313 0 0 KEZAR LIFE SCIENCES INC COM 49372L100 18207 1052422 SH DFND 3 1052422 0 0 KLA-TENCOR CORP COM 482480100 803 110800 SH Put DFND 5 110800 0 0 KLX INC COM 482539103 691 9600 SH Put DFND 1 9600 0 0 KLX INC COM 482539103 3415 47500 SH Call DFND 1 47500 0 0 L3 TECHNOLOGIES INC COM 502413107 385 2000 SH DFND 3 2000 0 0 LANDCADIA HLDGS INC *W EXP 06/01/202 51476W115 21 25078 SH DFND 1 25078 0 0 LAS VEGAS SANDS CORP COM 517834107 6262 82000 SH Put DFND 1 82000 0 0 LASALLE HOTEL PPTYS COM SH BEN INT 517942108 19457 568409 SH DFND 5 568409 0 0 LEGACY ACQUISITION CORP COM CL A 524643103 1731 179891 SH DFND 1 179891 0 0 LEGACY ACQUISITION CORP UNIT 05/31/2024 524643202 3006 300000 SH DFND 3 300000 0 0 LEISURE ACQUISITION CORP *W EXP 12/05/201 52539T115 18 26016 SH DFND 1 26016 0 0 LEISURE ACQUISITION CORP COM 52539T107 1196 123831 SH DFND 1 123831 0 0 LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 1005 100000 SH DFND 3 100000 0 0 LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 298 29700 SH DFND 1 29700 0 0 LEO HOLDINGS CORP *W EXP 02/07/202 G5463L113 297 277596 SH DFND 1 277596 0 0 LEO HOLDINGS CORP COM CL A G5463L105 532 54947 SH DFND 1 54947 0 0 LF CAP ACQUISITION CORP UNIT 06/19/2025 50200K207 9156 905803 SH DFND 1 905803 0 0 LIBERTY BROADBAND CORP COM SER C 530307305 635 8383 SH DFND 3 8383 0 0 LIBERTY LATIN AMERICA LTD COM CL C G9001E128 229 11800 SH DFND 3 11800 0 0 LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 15246 338421 SH DFND 3 338421 0 0 LILLY ELI & CO COM 532457108 49 6000 SH Call DFND 3 6000 0 0 LILLY ELI & CO COM 532457108 26 6700 SH Put DFND 3 6700 0 0 LIONS GATE ENTMNT CORP CL B NON VTG 535919500 1023 43598 SH DFND 4 43598 0 0 LIONS GATE ENTMNT CORP CL B NON VTG 535919500 1773 75587 SH DFND 3 75587 0 0 LOWES COS INC COM 548661107 287 3000 SH DFND 1 3000 0 0 LOWES COS INC COM 548661107 143 1500 SH DFND 3 1500 0 0 LOWES COS INC COM 548661107 25 2800 SH Call DFND 3 2800 0 0 LOWES COS INC COM 548661107 1911 20000 SH Put DFND 1 20000 0 0 LOWES COS INC COM 548661107 57 8200 SH Put DFND 3 8200 0 0 M I ACQUISITIONS INC COM 55304A104 1128 107387 SH DFND 1 107387 0 0 MADISON SQUARE GARDEN CO NEW CL A 55825T103 1371 4419 SH DFND 4 4419 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 122 5669 SH DFND 5 5669 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 858 40000 SH Call DFND 1 40000 0 0 MASCO CORP COM 574599106 150 4000 SH DFND 1 4000 0 0 MASCO CORP COM 574599106 374 10000 SH Put DFND 1 10000 0 0 MATLIN & PARTNERS ACQUISITIO CL A 57682V106 65 6595 SH DFND 1 6595 0 0 MATLIN & PARTNERS ACQUISITIO CL A 57682V106 52 5250 SH DFND 3 5250 0 0 MATLIN & PARTNERS ACQUISITIO UNIT 05/28/2021A 57682V205 6300 600000 SH DFND 3 600000 0 0 MATLIN & PARTNERS ACQUISITIO UNIT 05/28/2021A 57682V205 17 1600 SH DFND 1 1600 0 0 MEDTRONIC PLC SHS G5960L103 48 6400 SH Call DFND 3 6400 0 0 MEDTRONIC PLC SHS G5960L103 33 7100 SH Put DFND 3 7100 0 0 MERCK & CO INC COM 58933Y105 55 8600 SH Call DFND 3 8600 0 0 MERCK & CO INC COM 58933Y105 28 10200 SH Put DFND 3 10200 0 0 METLIFE INC COM 59156R108 26 600 SH DFND 3 600 0 0 METLIFE INC COM 59156R108 24 13000 SH Call DFND 3 13000 0 0 METLIFE INC COM 59156R108 60 9700 SH Put DFND 3 9700 0 0 MICHAELS COS INC COM 59408Q106 748 39000 SH Put DFND 1 39000 0 0 MICHAELS COS INC COM 59408Q106 383 20000 SH DFND 1 20000 0 0 MICRON TECHNOLOGY INC COM 595112103 656 12500 SH DFND 1 12500 0 0 MICROSOFT CORP COM 594918104 6938 70359 SH DFND 4 70359 0 0 MICROSOFT CORP COM 594918104 30 3400 SH Call DFND 3 3400 0 0 MICROSOFT CORP COM 594918104 39 5300 SH Put DFND 3 5300 0 0 MICROSOFT CORP COM 594918104 123 1251 SH DFND 3 1251 0 0 MIDSTATES PETE CO INC COM PAR 59804T407 272 20000 SH DFND 1 20000 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 6509 1152000 SH DFND 3 1152000 0 0 MODERN MEDIA ACQUISITION UNIT 99/99/9999 60765P202 1937 178699 SH DFND 3 178699 0 0 MODERN MEDIA ACQUISITION UNIT 99/99/9999 60765P202 499 46074 SH DFND 1 46074 0 0 MONDELEZ INTL INC CL A 609207105 38 13100 SH Call DFND 3 13100 0 0 MONDELEZ INTL INC CL A 609207105 17 9800 SH Put DFND 3 9800 0 0 MOSAIC ACQUISITION CORP *W EXP 10/23/202 G62848125 41 32950 SH DFND 1 32950 0 0 MOSAIC ACQUISITION CORP SHS CL A G62848109 1033 106713 SH DFND 1 106713 0 0 MOSAIC ACQUISITION CORP UNIT 99/99/9999 G62848117 164 16400 SH DFND 1 16400 0 0 MOSAIC ACQUISITION CORP UNIT 99/99/9999 G62848117 1503 150000 SH DFND 3 150000 0 0 MTGE INVT CORP COM 55378A105 1224 62473 SH DFND 3 62473 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 16 25039 SH DFND 1 25039 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 160 250000 SH DFND 3 250000 0 0 MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 2410 250000 SH DFND 3 250000 0 0 MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 1230 127633 SH DFND 1 127633 0 0 MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 1 100 SH DFND 1 100 0 0 MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 1022 100000 SH DFND 3 100000 0 0 MYOKARDIA INC COM 62857M105 993 20000 SH DFND 3 20000 0 0 NANOVIRICIDES INC COM NEW 630087203 0 373750 SH DFND 3 373750 0 0 NATIONAL ENERGY SERVICES REU *W EXP 05/05/202 G6375R115 389 324477 SH DFND 1 324477 0 0 NEBULA ACQUISITION CORP COM CLASS A 629076100 189 19548 SH DFND 1 19548 0 0 NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 3495 347066 SH DFND 1 347066 0 0 NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 1007 100000 SH DFND 3 100000 0 0 NEW FRONTIER CORP UNIT 99/99/9999 G6485P116 2474 246180 SH DFND 1 246180 0 0 NEWELL BRANDS INC COM 651229106 155 6000 SH DFND 3 6000 0 0 NEWELL BRANDS INC COM 651229106 25 9600 SH Call DFND 3 9600 0 0 NEWELL BRANDS INC COM 651229106 82 29900 SH Put DFND 3 29900 0 0 NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 166 290017 SH DFND 1 290017 0 0 NEXTERA ENERGY INC COM 65339F101 835 5000 SH DFND 3 5000 0 0 NII HLDGS INC COM PAR 62913F508 198 50765 SH DFND 1 50765 0 0 NORTHROP GRUMMAN CORP COM 666807102 615 2000 SH DFND 3 2000 0 0 NVIDIA CORP COM 67066G104 1379 5820 SH DFND 3 5820 0 0 NXP SEMICONDUCTORS N V COM N6596X109 900 250000 SH Put DFND 5 250000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 15298 140000 SH DFND 1 140000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 2431 22245 SH DFND 3 22245 0 0 NXP SEMICONDUCTORS N V COM N6596X109 21441 196221 SH DFND 5 196221 0 0 NXP SEMICONDUCTORS N V COM N6596X109 58405 534500 SH Call DFND 1 534500 0 0 NXP SEMICONDUCTORS N V COM N6596X109 77473 709000 SH Put DFND 1 709000 0 0 OASIS PETE INC NEW COM 674215108 649 50000 SH Put DFND 1 50000 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 24 9200 SH Put DFND 3 9200 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 169 8600 SH Call DFND 3 8600 0 0 OCI PARTNERS LP COM UNIT REP LP 67091N108 7346 638744 SH DFND 3 638744 0 0 OKTA INC CL A 679295105 3483 69139 SH DFND 4 69139 0 0 OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 187 526376 SH DFND 1 526376 0 0 ORACLE CORP COM 68389X105 68 13700 SH Put DFND 3 13700 0 0 ORACLE CORP COM 68389X105 154 3500 SH DFND 3 3500 0 0 ORACLE CORP COM 68389X105 23 10900 SH Call DFND 3 10900 0 0 ORBOTECH LTD ORD M75253100 25192 407642 SH DFND 5 407642 0 0 OSPREY ENERGY ACQUISITION CO *W EXP 07/21/202 688397116 269 168355 SH DFND 1 168355 0 0 OSPREY ENERGY ACQUISITION CO CL A COM 688397108 5381 530132 SH DFND 1 530132 0 0 OSPREY ENERGY ACQUISITION CO UNIT 07/21/2022 688397207 1099 100000 SH DFND 3 100000 0 0 OVID THERAPEUTICS INC COM 690469101 5169 662643 SH DFND 3 662643 0 0 OWENS ILL INC COM NEW 690768403 1204 71600 SH Call DFND 1 71600 0 0 PAGSEGURO DIGITAL LTD COM CL A G68707101 1110 40000 SH DFND 1 40000 0 0 PAGSEGURO DIGITAL LTD COM CL A G68707101 1138 41000 SH Call DFND 1 41000 0 0 PAYPAL HLDGS INC COM 70450Y103 2 25 SH DFND 3 25 0 0 PAYPAL HLDGS INC COM 70450Y103 17054 204800 SH Call DFND 1 204800 0 0 PAYPAL HLDGS INC COM 70450Y103 6737 80900 SH Put DFND 1 80900 0 0 PENN NATL GAMING INC COM 707569109 3614 107588 SH DFND 5 107588 0 0 PENSARE ACQUISITION CORP COM 70957E105 890 90011 SH DFND 1 90011 0 0 PENSARE ACQUISITION CORP COM 70957E105 50 5100 SH DFND 3 5100 0 0 PENSARE ACQUISITION CORP RIGHT 99/99/9999 70957E121 24 48376 SH DFND 1 48376 0 0 PEPSICO INC COM 713448108 18 3100 SH Put DFND 3 3100 0 0 PEPSICO INC COM 713448108 2563 23544 SH DFND 4 23544 0 0 PEPSICO INC COM 713448108 42 4500 SH Call DFND 3 4500 0 0 PERSPECTA INC COM 715347100 231 11250 SH DFND 1 11250 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 451 45000 SH Call DFND 1 45000 0 0 PG&E CORP COM 69331C108 40 6800 SH Call DFND 3 6800 0 0 PG&E CORP COM 69331C108 29 5300 SH Put DFND 3 5300 0 0 PHH CORP COM NEW 693320202 815 75000 SH DFND 5 75000 0 0 PHILIP MORRIS INTL INC COM 718172109 108 7100 SH Put DFND 3 7100 0 0 PHILIP MORRIS INTL INC COM 718172109 145 1800 SH DFND 3 1800 0 0 PHILIP MORRIS INTL INC COM 718172109 36 9400 SH Call DFND 3 9400 0 0 PHILLIPS 66 COM 718546104 106 5400 SH Call DFND 3 5400 0 0 PHILLIPS 66 COM 718546104 20 4700 SH Put DFND 3 4700 0 0 PINNACLE FOODS INC DEL COM 72348P104 6604 101500 SH DFND 1 101500 0 0 PINNACLE FOODS INC DEL COM 72348P104 6174 94900 SH DFND 5 94900 0 0 PINNACLE FOODS INC DEL COM 72348P104 4834 74300 SH Call DFND 1 74300 0 0 PINNACLE FOODS INC DEL COM 72348P104 5855 90000 SH Put DFND 1 90000 0 0 PLATINUM EAGLE ACQUISITIN CO *W EXP 01/17/202 G7126L118 445 317661 SH DFND 1 317661 0 0 PLATINUM EAGLE ACQUISITIN CO UNIT 01/09/2023 G7126L126 3831 376361 SH DFND 1 376361 0 0 PROCTER AND GAMBLE CO COM 742718109 73 941 SH DFND 3 941 0 0 PROCTER AND GAMBLE CO COM 742718109 107 10200 SH Put DFND 3 10200 0 0 PROCTER AND GAMBLE CO COM 742718109 38 11500 SH Call DFND 3 11500 0 0 PROSHARES TR ULTRASHRT S&P500 74347B383 1051 27488 SH DFND 3 27488 0 0 PURE ACQUISITION CORP *W EXP 04/17/202 74621Q114 18 13908 SH DFND 1 13908 0 0 PURE ACQUISITION CORP CL A 74621Q106 1820 188767 SH DFND 1 188767 0 0 PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 2563 250000 SH DFND 3 250000 0 0 QUALCOMM INC COM 747525103 61 55000 SH Put DFND 5 55000 0 0 QUALCOMM INC COM 747525103 1543 27500 SH DFND 1 27500 0 0 QUALCOMM INC COM 747525103 4893 87200 SH Put DFND 1 87200 0 0 QUALITY CARE PPTYS INC COM 747545101 779 36212 SH DFND 5 36212 0 0 RAMBUS INC DEL COM 750917106 9 200000 SH Call DFND 4 200000 0 0 RAYTHEON CO COM NEW 755111507 676 3500 SH DFND 3 3500 0 0 RED HAT INC COM 756577102 6205 46180 SH DFND 4 46180 0 0 REGALWOOD GLOBAL ENERGY LTD *W EXP 12/05/202 G74760128 27 21488 SH DFND 1 21488 0 0 RELX NV SPONSORED ADR 75955B102 4345 203708 SH DFND 3 203708 0 0 RIMINI STR INC DEL COM 76674Q107 5023 766778 SH DFND 1 766778 0 0 RITE AID CORP COM 767754104 87 50000 SH DFND 3 50000 0 0 RITE AID CORP COM 767754104 808 466900 SH DFND 5 466900 0 0 RITE AID CORP COM 767754104 19 10800 SH Call DFND 1 10800 0 0 RITE AID CORP COM 767754104 4 2500 SH DFND 1 2500 0 0 ROCKWELL COLLINS INC COM 774341101 1077 8000 SH DFND 1 8000 0 0 ROCKWELL COLLINS INC COM 774341101 48212 357974 SH DFND 5 357974 0 0 ROCKWELL COLLINS INC COM 774341101 2694 20000 SH Call DFND 1 20000 0 0 ROCKWELL COLLINS INC COM 774341101 2694 20000 SH Put DFND 1 20000 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 8789 126952 SH DFND 3 126952 0 0 RSP PERMIAN INC COM 74978Q105 8965 203667 SH DFND 5 203667 0 0 SALESFORCE COM INC COM 79466L302 11664 85511 SH DFND 4 85511 0 0 SALESFORCE COM INC COM 79466L302 25548 187300 SH Call DFND 1 187300 0 0 SANDRIDGE ENERGY INC COM NEW 80007P869 231 13040 SH DFND 3 13040 0 0 SANOFI RIGHT 12/31/2020 80105N113 19 37900 SH DFND 1 37900 0 0 SCHLUMBERGER LTD COM 806857108 34 500 SH DFND 3 500 0 0 SCHLUMBERGER LTD COM 806857108 4726 70500 SH Call DFND 1 70500 0 0 SCHLUMBERGER LTD COM 806857108 34 6000 SH Call DFND 3 6000 0 0 SCHLUMBERGER LTD COM 806857108 56 8400 SH Put DFND 3 8400 0 0 SCHWAB CHARLES CORP NEW COM 808513105 843 16500 SH DFND 3 16500 0 0 SENTINEL ENERGY SVCS INC UNIT 11/02/2022 G8062D128 0 1 SH DFND 1 1 0 0 SENTINEL ENERGY SVCS INC UNIT 11/02/2022 G8062D128 4036 400000 SH DFND 3 400000 0 0 SERVICENOW INC COM 81762P102 5217 30248 SH DFND 4 30248 0 0 SHIRE PLC SPONSORED ADR 82481R106 381 2260 SH DFND 3 2260 0 0 SHIRE PLC SPONSORED ADR 82481R106 63631 376962 SH DFND 5 376962 0 0 SHIRE PLC SPONSORED ADR 82481R106 338 2000 SH Call DFND 1 2000 0 0 SHIRE PLC SPONSORED ADR 82481R106 739 64500 SH Call DFND 5 64500 0 0 SIMPLY GOOD FOODS CO *W EXP 07/07/202 82900L110 3574 861155 SH DFND 1 861155 0 0 SIRIUS XM HLDGS INC COM 82968B103 1276 1000000 SH Put DFND 3 1000000 0 0 SIRIUS XM HLDGS INC COM 82968B103 288 42517 SH DFND 3 42517 0 0 SMUCKER J M CO COM NEW 832696405 2311 21500 SH Call DFND 1 21500 0 0 SNAP INC CL A 83304A106 286 94200 SH Put DFND 2 94200 0 0 SNAP INC CL A 83304A106 1233 94200 SH DFND 2 94200 0 0 SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 09/14/202 G8250R129 733 407176 SH DFND 1 407176 0 0 SOCIAL CAP HEDOSOPHIA HLDGS UNIT 99/99/9999 G8250R111 4760 446160 SH DFND 1 446160 0 0 SPARK THERAPEUTICS INC COM 84652J103 497 6000 SH Put DFND 1 6000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 11725 43222 SH DFND 4 43222 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2 100 SH Put DFND 3 100 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 6104 22500 SH Put DFND 1 22500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 78 381100 SH Call DFND 5 381100 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1 1300 SH Call DFND 3 1300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 543 2000 SH DFND 1 2000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7053 26000 SH Call DFND 1 26000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 2675 28100 SH Call DFND 1 28100 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 5531 58100 SH Put DFND 1 58100 0 0 SPLUNK INC COM 848637104 4245 42834 SH DFND 4 42834 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 6979 41482 SH DFND 4 41482 0 0 SPRINT CORP COM SER 1 85207U105 509 93500 SH DFND 1 93500 0 0 SPRINT CORP COM SER 1 85207U105 3936 723528 SH DFND 5 723528 0 0 SPRINT CORP COM SER 1 85207U105 503 92500 SH Put DFND 1 92500 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 10054 802390 SH DFND 3 802390 0 0 STARBUCKS CORP COM 855244109 83 1700 SH DFND 3 1700 0 0 STARBUCKS CORP COM 855244109 13 11000 SH Call DFND 3 11000 0 0 STARBUCKS CORP COM 855244109 52 7400 SH Put DFND 3 7400 0 0 STEMLINE THERAPEUTICS INC COM 85858C107 364 22700 SH DFND 3 22700 0 0 STERLING BANCORP DEL COM 85917A100 1221 51960 SH DFND 3 51960 0 0 STEWART INFORMATION SVCS COR COM 860372101 13142 305126 SH DFND 5 305126 0 0 STMICROELECTRONICS N V NY REGISTRY 861012102 553 25000 SH DFND 1 25000 0 0 SUNPOWER CORP COM 867652406 2 19100 SH Call DFND 2 19100 0 0 SYNAPTICS INC COM 87157D109 7674 152344 SH DFND 5 152344 0 0 SYNAPTICS INC COM 87157D109 225 100000 SH Put DFND 5 100000 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 12794 108093 SH DFND 4 108093 0 0 TAL ED GROUP SPONSORED ADS 874080104 2208 60000 SH Call DFND 1 60000 0 0 TARGET CORP COM 87612E106 46 6000 SH Call DFND 3 6000 0 0 TARGET CORP COM 87612E106 22 5200 SH Put DFND 3 5200 0 0 TENNECO INC COM 880349105 1152 26200 SH Put DFND 1 26200 0 0 TENNECO INC COM 880349105 286 6500 SH DFND 1 6500 0 0 TIBERIUS ACQUISITION CORP UNIT 02/28/2021 88633A206 445 44200 SH DFND 1 44200 0 0 TOTAL S A SPONSORED ADR 89151E109 3028 50000 SH Call DFND 1 50000 0 0 TPG PACE ENERGY HLDGS CORP CL A 872656103 435 36930 SH DFND 1 36930 0 0 TPG PACE HLDGS CORP CL A G89827128 130 13051 SH DFND 1 13051 0 0 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 261 814466 SH DFND 1 814466 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 4873 499769 SH DFND 1 499769 0 0 TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 1008 100000 SH DFND 3 100000 0 0 TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 1073 106469 SH DFND 1 106469 0 0 TRINITY MERGER CORP *W EXP 05/11/202 89653L114 163 407239 SH DFND 1 407239 0 0 TRINITY MERGER CORP UNIT 05/11/2025 89653L205 6338 626475 SH DFND 1 626475 0 0 TRINITY MERGER CORP UNIT 05/11/2025 89653L205 1006 100000 SH DFND 3 100000 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 11381 231000 SH Call DFND 1 231000 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 928 460200 SH Call DFND 5 460200 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 3252 65441 SH DFND 4 65441 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 1093 22000 SH DFND 1 22000 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 8918 181000 SH Put DFND 1 181000 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 1232 25000 SH Call DFND 1 25000 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 3203 65000 SH Put DFND 1 65000 0 0 U S G CORP COM NEW 903293405 431 10000 SH Call DFND 1 10000 0 0 U S G CORP COM NEW 903293405 5 104100 SH Put DFND 5 104100 0 0 ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 1537 20000 SH DFND 3 20000 0 0 UNION ACQUISITION CORP *W EXP 07/01/202 G9366W127 12 34619 SH DFND 1 34619 0 0 UNION ACQUISITION CORP RIGHT 12/02/2019 G9366W135 18 57474 SH DFND 1 57474 0 0 UNION ACQUISITION CORP SHS G9366W101 238 24522 SH DFND 1 24522 0 0 UNION PAC CORP COM 907818108 15 2100 SH Call DFND 3 2100 0 0 UNION PAC CORP COM 907818108 42 3100 SH Put DFND 3 3100 0 0 UNION PAC CORP COM 907818108 156 1100 SH DFND 3 1100 0 0 UNISYS CORP COM NEW 909214306 194 15000 SH DFND 1 15000 0 0 UNISYS CORP COM NEW 909214306 97 7500 SH Put DFND 1 7500 0 0 UNITED PARCEL SERVICE INC CL B 911312106 16 1100 SH Put DFND 3 1100 0 0 UNITED PARCEL SERVICE INC CL B 911312106 595 5600 SH DFND 1 5600 0 0 UNITED PARCEL SERVICE INC CL B 911312106 10 1100 SH Call DFND 3 1100 0 0 UNITED TECHNOLOGIES CORP COM 913017109 295 257100 SH Put DFND 5 257100 0 0 UNITED TECHNOLOGIES CORP COM 913017109 26 3400 SH Put DFND 3 3400 0 0 UNITED TECHNOLOGIES CORP COM 913017109 33 3500 SH Call DFND 3 3500 0 0 UNITED TECHNOLOGIES CORP COM 913017109 25 200 SH DFND 3 200 0 0 UNITED TECHNOLOGIES CORP COM 913017109 3128 25015 SH DFND 4 25015 0 0 UNUM THERAPEUTICS INC COM 903214104 8341 581255 SH DFND 3 581255 0 0 US BANCORP DEL COM NEW 902973304 28 13800 SH Call DFND 3 13800 0 0 US BANCORP DEL COM NEW 902973304 13 3000 SH Put DFND 3 3000 0 0 VALERO ENERGY CORP NEW COM 91913Y100 3325 30000 SH Call DFND 1 30000 0 0 VALIDUS HOLDINGS LTD COM SHS G9319H102 487 7207 SH DFND 5 7207 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 3717 36200 SH DFND 1 36200 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 10267 100000 SH Put DFND 1 100000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 352 250000 SH Put DFND 5 250000 0 0 VANTAGE ENERGY ACQUISITION *W EXP 04/12/202 92211L113 27 20813 SH DFND 1 20813 0 0 VANTAGE ENERGY ACQUISITION COM CL A 92211L105 638 64626 SH DFND 1 64626 0 0 VANTAGE ENERGY ACQUISITION COM CL A 92211L105 71 7250 SH DFND 3 7250 0 0 VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 118 11308 SH DFND 1 11308 0 0 VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 10400 1000000 SH DFND 3 1000000 0 0 VECTOIQ ACQUISITION CORP COM 92243N103 5275 1711575 SH DFND 1 1711575 0 0 VECTOIQ ACQUISITION CORP UNIT 05/11/2023 92243N202 4045 401767 SH DFND 1 401767 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2113 42000 SH DFND 1 42000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4986 99100 SH Call DFND 1 99100 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 58 12700 SH Call DFND 3 12700 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 23 9200 SH Put DFND 3 9200 0 0 VISTRA ENERGY CORP *W EXP 02/02/202 92840M128 29 24120 SH DFND 1 24120 0 0 VMWARE INC CL A COM 928563402 6540 44500 SH DFND 1 44500 0 0 VMWARE INC CL A COM 928563402 9701 66000 SH Put DFND 1 66000 0 0 VMWARE INC CL A COM 928563402 12566 85500 SH Call DFND 1 85500 0 0 VONAGE HLDGS CORP COM 92886T201 1317 102150 SH DFND 3 102150 0 0 WALMART INC COM 931142103 9 100 SH DFND 3 100 0 0 WALMART INC COM 931142103 48 9800 SH Call DFND 3 9800 0 0 WALMART INC COM 931142103 95 7000 SH Put DFND 3 7000 0 0 WILLSCOT CORP *W EXP 09/10/202 971375118 1295 573156 SH DFND 1 573156 0 0 WPX ENERGY INC COM 98212B103 180 10000 SH Call DFND 1 10000 0 0 WPX ENERGY INC COM 98212B103 25 1400 SH DFND 1 1400 0 0 XEROX CORP COM NEW 984121608 2167 90273 SH DFND 5 90273 0 0 XEROX CORP COM NEW 984121608 231 200000 SH Call DFND 5 200000 0 0 XILINX INC COM 983919101 1747 26773 SH DFND 4 26773 0 0 XL GROUP LTD COM G98294104 100969 1804621 SH DFND 5 1804621 0 0 XL GROUP LTD COM G98294104 241 813500 SH Put DFND 5 813500 0 0 YANDEX N V SHS CLASS A N97284108 700 19500 SH DFND 1 19500 0 0 YANDEX N V SHS CLASS A N97284108 725 20200 SH Call DFND 1 20200 0 0 YANDEX N V SHS CLASS A N97284108 725 20200 SH Put DFND 1 20200 0 0 YOGAWORKS INC COM 986005106 1683 935000 SH DFND 1 935000 0 0