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
General Counsel
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