General Counsel

0001085146-19-000755.txt : 20190214 0001085146-19-000755.hdr.sgml : 20190214 20190214084401 ACCESSION NUMBER: 0001085146-19-000755 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: 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 SEC ACT: 1934 Act SEC FILE NUMBER: 028-14571 FILM NUMBER: 19601137 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 1 primary_doc.xml 13F-HR LIVE false false false 0001466538 XXXXXXXX 12-31-2018 12-31-2018 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 02-08-2019 5 363 903420 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 ACCELERATE DIAGNOSTICS INC COM 00430H102 264 22960 SH DFND 1 22960 0 0 ACCELERON PHARMA INC COM 00434H108 236 5411 SH DFND 1 5411 0 0 ACTIVISION BLIZZARD INC COM 00507V109 75 100000 SH Call DFND 4 100000 0 0 ADOBE INC COM 00724F101 9325 41219 SH DFND 4 41219 0 0 ALBERTON ACQUISITION CORP *W EXP 04/26/202 G35006124 44 383790 SH DFND 1 383790 0 0 ALBERTON ACQUISITION CORP UNIT 04/22/2020 G35006116 1042 103851 SH DFND 1 103851 0 0 ALLEGRO MERGER CORP COM 01749N103 2639 270677 SH DFND 1 270677 0 0 ALPHABET INC CAP STK CL A 02079K305 73 70 SH DFND 3 70 0 0 ALPHABET INC CAP STK CL A 02079K305 6988 6687 SH DFND 4 6687 0 0 ALTA MESA RES INC *W EXP 03/28/202 02133L117 116 1652742 SH DFND 1 1652742 0 0 ALTABA INC COM 021346101 3088 53300 SH DFND 3 53300 0 0 AMAZON COM INC COM 023135106 3512 2338 SH DFND 3 2338 0 0 AMBARELLA INC SHS G037AX101 20 40000 SH Call DFND 4 40000 0 0 AMBARELLA INC SHS G037AX101 1027 29357 SH DFND 4 29357 0 0 AMICUS THERAPEUTICS INC COM 03152W109 118 12353 SH DFND 1 12353 0 0 ANALOG DEVICES INC COM 032654105 2520 29362 SH DFND 4 29362 0 0 ANTERO RES CORP COM 03674X106 352 37500 SH DFND 1 37500 0 0 APHRIA INC COM 03765K104 192 33800 SH DFND 1 33800 0 0 APPLE INC COM 037833100 747 4736 SH DFND 3 4736 0 0 APTINYX INC COM 03836N103 347 20998 SH DFND 3 20998 0 0 ARCONIC INC COM 03965L100 140 180000 SH Call DFND 5 180000 0 0 ARCONIC INC COM 03965L100 169 10000 SH DFND 1 10000 0 0 ARCONIC INC COM 03965L100 337 20000 SH DFND 5 20000 0 0 ARCOSA INC COM 039653100 332 12000 SH DFND 1 12000 0 0 ARRIS INTL INC SHS G0551A103 27884 912146 SH DFND 5 912146 0 0 ASPEN INSURANCE HOLDINGS LTD SHS G05384105 25106 597902 SH DFND 5 597902 0 0 ATHENAHEALTH INC COM 04685W103 25373 192324 SH DFND 5 192324 0 0 AUDENTES THERAPEUTICS INC COM 05070R104 2985 140000 SH DFND 3 140000 0 0 AUDENTES THERAPEUTICS INC COM 05070R104 18 20000 SH Call DFND 3 20000 0 0 AVISTA CORP COM 05379B107 829 19513 SH DFND 5 19513 0 0 BANK AMER CORP COM 060505104 16203 657597 SH DFND 1 657597 0 0 BARRICK GOLD CORP COM 067901108 3852 44979 SH DFND 3 44979 0 0 BEMIS INC COM 081437105 21107 459843 SH DFND 5 459843 0 0 BIG LOTS INC COM 089302103 2186 75600 SH DFND 1 75600 0 0 BIG ROCK PARTNERS ACQUISI CO COM 089482103 323 31625 SH DFND 1 31625 0 0 BIG ROCK PARTNERS ACQUISI CO RIGHT 12/01/2022 089482129 4 10000 SH DFND 1 10000 0 0 BISON CAP ACQUISITION CORP *W EXP 06/20/202 G1142P112 11 65786 SH DFND 1 65786 0 0 BISON CAP ACQUISITION CORP ORD SHS G1142P104 3124 300338 SH DFND 1 300338 0 0 BLACK RIDGE ACQUISITION CORP COM 09216T107 105 10458 SH DFND 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10000 0 0 DD3 ACQUISITION CORP SHS G2692M103 817 85000 SH DFND 1 85000 0 0 DD3 ACQUISITION CORP UNIT 10/12/2023 G2692M129 1986 198222 SH DFND 1 198222 0 0 DELL TECHNOLOGIES INC CL C 24703L202 1759 36000 SH DFND 1 36000 0 0 DENBURY RES INC COM NEW 247916208 255 148967 SH DFND 5 148967 0 0 DENBURY RES INC COM NEW 247916208 123 605100 SH Call DFND 5 605100 0 0 DFB HEALTHCARE ACQUISTION CO *W EXP 04/11/202 23291E117 89 103580 SH DFND 1 103580 0 0 DFB HEALTHCARE ACQUISTION CO COM 23291E109 969 98899 SH DFND 1 98899 0 0 DISNEY WALT CO COM DISNEY 254687106 285 200000 SH Call DFND 5 200000 0 0 DISNEY WALT CO COM DISNEY 254687106 197 236700 SH Put DFND 5 236700 0 0 DISNEY WALT CO COM DISNEY 254687106 2158 19678 SH DFND 4 19678 0 0 EDTECHX HLDGS ACQUISITION CO *W EXP 12/31/202 28138X111 19 79200 SH DFND 1 79200 0 0 EDTECHX HLDGS ACQUISITION CO COM 28138X103 1218 125536 SH DFND 1 125536 0 0 ELECTRONIC ARTS INC COM 285512109 189 2400 SH DFND 1 2400 0 0 ELECTRONIC ARTS INC COM 285512109 108 94200 SH Call DFND 4 94200 0 0 ENCANA CORP COM 292505104 97 313800 SH Put DFND 5 313800 0 0 ENCANA CORP COM 292505104 581 100502 SH DFND 5 100502 0 0 ENCANA CORP COM 292505104 135 387500 SH Call DFND 5 387500 0 0 FAIR ISAAC CORP COM 303250104 206 1100 SH DFND 1 1100 0 0 FALCON MINERALS CORP *W EXP 07/21/202 30607B208 86 143647 SH DFND 1 143647 0 0 FAR PT ACQUISITION CORP *W EXP 06/01/202 30734W117 71 58805 SH DFND 1 58805 0 0 FEDERAL STR ACQUISITION CORP *W EXP 07/24/202 31421V115 146 207964 SH DFND 1 207964 0 0 FIFTH THIRD BANCORP COM 316773100 3064 130200 SH DFND 5 130200 0 0 FIFTH THIRD BANCORP COM 316773100 301 274500 SH Call DFND 5 274500 0 0 FIFTH THIRD BANCORP COM 316773100 42 100000 SH Put DFND 5 100000 0 0 FORUM MERGER II CORP UNIT 09/30/2025 34986F202 1569 155020 SH DFND 1 155020 0 0 FORUM MERGER II CORP UNIT 09/30/2025 34986F202 5060 500000 SH DFND 3 500000 0 0 FOSSIL GROUP INC COM 34988V106 346 22000 SH DFND 1 22000 0 0 GCI LIBERTY INC COM CLASS A 36164V305 6649 161543 SH DFND 3 161543 0 0 GENWORTH FINL INC COM CL A 37247D106 350 75136 SH DFND 1 75136 0 0 GENWORTH FINL INC COM CL A 37247D106 898 192629 SH DFND 5 192629 0 0 GIGCAPITAL INC *W EXP 06/08/202 37518N122 57 229174 SH DFND 1 229174 0 0 GIGCAPITAL INC COM 37518N106 1598 158240 SH DFND 1 158240 0 0 GIGCAPITAL INC UNIT 03/06/2025 37518N205 989 93496 SH DFND 1 93496 0 0 GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 3202 78000 SH DFND 3 78000 0 0 GLOBALSTAR INC COM 378973408 32 50000 SH DFND 1 50000 0 0 GORDON POINTE ACQUISITION CO *W EXP 07/30/202 382788115 19 48900 SH DFND 1 48900 0 0 GRAF INDL CORP *W EXP 12/31/202 384278115 122 303925 SH DFND 1 303925 0 0 GRAF INDL CORP COM 384278107 434 45200 SH DFND 1 45200 0 0 GREENLAND ACQUISITIN CORPORA RIGHT 04/27/2025 G40981113 36 173156 SH DFND 1 173156 0 0 GS ACQUISITION HLDGS CORP *W EXP 06/12/202 36255F110 569 454078 SH DFND 1 454078 0 0 GS ACQUISITION HLDGS CORP COM CL A 36255F102 8789 896824 SH DFND 1 896824 0 0 GS ACQUISITION HLDGS CORP UNIT 06/12/2023 36255F201 417 40721 SH DFND 1 40721 0 0 GTY TECHNOLOGY HOLDINGS INC *W EXP 10/25/202 G4182A128 53 68613 SH DFND 1 68613 0 0 GUARANTY BANCORP DEL COM NEW 40075T607 2221 107019 SH DFND 3 107019 0 0 HALCON RES CORP *W EXP 09/09/202 40537Q118 4 140099 SH DFND 1 140099 0 0 HAYMAKER ACQUISITION CORP *W EXP 10/27/202 420870115 34 41061 SH DFND 1 41061 0 0 HAYMAKER ACQUISITION CORP COM CLASS A 420870107 743 74272 SH DFND 1 74272 0 0 HAYMAKER ACQUISITION CORP UNIT 10/19/2022 420870206 452 42800 SH DFND 1 42800 0 0 HAYMAKER ACQUISITION CORP UNIT 10/19/2022 420870206 5275 500000 SH DFND 3 500000 0 0 HIBBETT SPORTS INC COM 428567101 1537 107500 SH DFND 1 107500 0 0 HL ACQUISITIONS CORP RIGHT 07/17/2023 G4603R130 20 26230 SH DFND 1 26230 0 0 HOME DEPOT INC COM 437076102 387 2251 SH DFND 1 2251 0 0 HOME DEPOT INC COM 437076102 7 40 SH DFND 3 40 0 0 INPHI CORP COM 45772F107 21 125000 SH Call DFND 4 125000 0 0 INTEGRATED DEVICE TECHNOLOGY COM 458118106 6085 125645 SH DFND 5 125645 0 0 INTEGRATED DEVICE TECHNOLOGY COM 458118106 0 1800 SH Put DFND 4 1800 0 0 INVESTORS BANCORP INC NEW COM 46146L101 2915 280274 SH DFND 5 280274 0 0 INVESTORS BANCORP INC NEW COM 46146L101 182 195000 SH Call DFND 5 195000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 770 9500 SH DFND 1 9500 0 0 ISHARES TR NASDAQ BIOTECH 464287556 222 2300 SH DFND 1 2300 0 0 JACK IN THE BOX INC COM 466367109 7680 98929 SH DFND 5 98929 0 0 JASON INDS INC *W EXP 06/30/201 471172114 0 49669 SH DFND 1 49669 0 0 KB HOME COM 48666K109 287 15000 SH DFND 1 15000 0 0 KEMPHARM INC COM 488445107 1008 566313 SH DFND 3 566313 0 0 KEZAR LIFE SCIENCES INC COM 49372L100 19663 833197 SH DFND 3 833197 0 0 LAM RESEARCH CORP COM 512807108 2781 20425 SH DFND 1 20425 0 0 LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 66 200014 SH DFND 1 200014 0 0 LEGACY ACQUISITION CORP COM CL A 524643103 221 22500 SH DFND 1 22500 0 0 LEGACY ACQUISITION CORP UNIT 05/31/2024 524643202 853 83757 SH DFND 1 83757 0 0 LEGACY ACQUISITION CORP UNIT 05/31/2024 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539439109 1280 500000 SH DFND 3 500000 0 0 LOGMEIN INC COM 54142L109 56 75000 SH Call DFND 4 75000 0 0 LONGEVITY ACQUISITION CORP *W EXP 07/31/202 G56372116 42 302500 SH DFND 1 302500 0 0 LONGEVITY ACQUISITION CORP ORD SHS G56372132 2118 210791 SH DFND 1 210791 0 0 LONGEVITY ACQUISITION CORP UNIT 08/29/2024 G56372108 240 23653 SH DFND 1 23653 0 0 MARATHON PETE CORP COM 56585A102 325 5500 SH DFND 1 5500 0 0 MB FINANCIAL INC NEW COM 55264U108 2546 64247 SH DFND 5 64247 0 0 MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 49 129457 SH DFND 1 129457 0 0 MEGALITH FINL ACQUISITION CO UNIT 09/30/2025 58518F208 301 29890 SH DFND 1 29890 0 0 MEGALITH FINL ACQUISITION CO UNIT 09/30/2025 58518F208 8355 828900 SH DFND 3 828900 0 0 MIDSTATES PETE CO INC COM PAR 59804T407 84 11173 SH DFND 1 11173 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 6190 1271000 SH DFND 2 1271000 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 7618 1564243 SH DFND 3 1564243 0 0 MIZUHO FINL GROUP INC SPONSORED ADR 60687Y109 2661 887000 SH DFND 2 887000 0 0 MODERN MEDIA ACQUISITION *W EXP 05/17/202 60765P111 8 29212 SH DFND 1 29212 0 0 MODERN MEDIA ACQUISITION UNIT 99/99/9999 60765P202 1806 173999 SH DFND 1 173999 0 0 MOSAIC ACQUISITION CORP COM CL A 61946M100 126 12805 SH DFND 1 12805 0 0 MOSAIC ACQUISITION CORP UNIT 99/99/9999 61946M209 3 300 SH DFND 1 300 0 0 MOSAIC ACQUISITION CORP UNIT 99/99/9999 61946M209 1518 150000 SH DFND 3 150000 0 0 MTECH ACQUISITION CORP COM CLASS A 55378W107 2907 288154 SH DFND 1 288154 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 2 5200 SH DFND 1 5200 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 113 250000 SH DFND 3 250000 0 0 MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 4177 423237 SH DFND 1 423237 0 0 MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 2470 250000 SH DFND 3 250000 0 0 MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 165 16290 SH DFND 1 16290 0 0 MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 1050 100000 SH DFND 3 100000 0 0 MYLAN N V SHS EURO N59465109 781 28500 SH DFND 5 28500 0 0 MYOKARDIA INC COM 62857M105 1710 35000 SH DFND 3 35000 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 147 122639 SH DFND 1 122639 0 0 NAVIGATORS GROUP INC COM 638904102 2461 35409 SH DFND 5 35409 0 0 NEBULA ACQUISITION CORP *W EXP 03/12/202 629076118 127 133863 SH DFND 1 133863 0 0 NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 144 14359 SH DFND 1 14359 0 0 NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 1006 100000 SH DFND 3 100000 0 0 NEW AGE BEVERAGES CORP COM 64157V108 22 174800 SH Call DFND 2 174800 0 0 NEW FRONTIER CORP *W EXP 99/99/999 G6485P124 408 463937 SH DFND 1 463937 0 0 NEW FRONTIER CORP COM CL A G6485P108 3944 402466 SH DFND 1 402466 0 0 NEW FRONTIER CORP UNIT 99/99/9999 G6485P116 168 16635 SH DFND 1 16635 0 0 NEWFIELD EXPL CO COM 651290108 2721 185600 SH DFND 5 185600 0 0 NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 20 50000 SH DFND 5 50000 0 0 NEXSTAR MEDIA GROUP INC CL A 65336K103 51 25000 SH Call DFND 5 25000 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 3905 167365 SH DFND 5 167365 0 0 NII HLDGS INC COM PAR 62913F508 110 25000 SH DFND 1 25000 0 0 NOMURA HLDGS INC SPONSORED ADR 65535H208 874 235000 SH DFND 2 235000 0 0 NOVARTIS A G SPONSORED ADR 66987V109 2145 25000 SH DFND 1 25000 0 0 NRC GROUP HLDGS CORP *W EXP 10/17/202 629375114 89 109651 SH DFND 1 109651 0 0 NVIDIA CORP COM 67066G104 271 2027 SH DFND 3 2027 0 0 NXP SEMICONDUCTORS N V COM N6596X109 1334 18200 SH DFND 1 18200 0 0 NXSTAGE MEDICAL INC COM 67072V103 3638 127107 SH DFND 5 127107 0 0 ONE MADISON CORP COM CL A G6772P100 443 44186 SH DFND 1 44186 0 0 OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 245 843176 SH DFND 1 843176 0 0 OPES ACQUISITION CORP COM 68373P100 317 31922 SH DFND 1 31922 0 0 OPES ACQUISITION CORP UNIT 03/07/2023 68373P209 387 37700 SH DFND 1 37700 0 0 ORBOTECH LTD ORD M75253100 1616 28587 SH DFND 5 28587 0 0 ORCHARD THERAPEUTICS PLC ADS 68570P101 99 6296 SH DFND 1 6296 0 0 ORCHARD THERAPEUTICS PLC ADS 68570P101 45955 2921483 SH DFND 3 2921483 0 0 OVID THERAPEUTICS INC COM 690469101 2060 851414 SH DFND 3 851414 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 737 99660 SH DFND 1 99660 0 0 PAGSEGURO DIGITAL LTD COM CL A G68707101 332 17700 SH DFND 1 17700 0 0 PANDORA MEDIA INC COM 698354107 3606 445759 SH DFND 5 445759 0 0 PANDORA MEDIA INC COM 698354107 29 350000 SH Put DFND 5 350000 0 0 PANDORA MEDIA INC COM 698354107 2004 247714 SH DFND 2 247714 0 0 PAPA JOHNS INTL INC COM 698813102 1608 40390 SH DFND 5 40390 0 0 PAPA JOHNS INTL INC COM 698813102 8 25000 SH Call DFND 5 25000 0 0 PAPA JOHNS INTL INC COM 698813102 100 2500 SH DFND 1 2500 0 0 PATTERSON COMPANIES INC COM 703395103 236 12000 SH DFND 1 12000 0 0 PENN NATL GAMING INC COM 707569109 269 14300 SH DFND 3 14300 0 0 PENSARE ACQUISITION CORP COM 70957E105 2878 284100 SH DFND 1 284100 0 0 PENSARE ACQUISITION CORP COM 70957E105 7650 755218 SH DFND 3 755218 0 0 PIMCO ETF TR ENHAN SHRT MA AC 72201R833 4227 41877 SH DFND 1 41877 0 0 PLATINUM EAGLE ACQUISITIN CO *W EXP 01/17/202 G7126L118 359 275903 SH DFND 1 275903 0 0 PLATINUM EAGLE ACQUISITIN CO SHS CL A G7126L100 488 48419 SH DFND 1 48419 0 0 PLATINUM EAGLE ACQUISITIN CO UNIT 01/09/2023 G7126L126 865 82553 SH DFND 1 82553 0 0 PRIORITY TECHNOLOGY HLDGS IN *W EXP 11/15/202 74275G115 198 158132 SH DFND 1 158132 0 0 PROSHARES TR ULTRASHRT S&P500 74347B383 638 14863 SH DFND 3 14863 0 0 PURE ACQUISITION CORP *W EXP 04/17/202 74621Q114 22 19316 SH DFND 1 19316 0 0 PURE ACQUISITION CORP CL A 74621Q106 2818 286425 SH DFND 1 286425 0 0 PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 338 32860 SH DFND 1 32860 0 0 PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 2625 250000 SH DFND 3 250000 0 0 PURE STORAGE INC CL A 74624M102 651 40514 SH DFND 4 40514 0 0 PURE STORAGE INC CL A 74624M102 22 225000 SH Call DFND 4 225000 0 0 RED HAT INC COM 756577102 49940 284331 SH DFND 5 284331 0 0 REGALWOOD GLOBAL ENERGY LTD *W EXP 12/05/202 G74760128 81 81200 SH DFND 1 81200 0 0 RENT A CTR INC NEW COM 76009N100 575 35500 SH DFND 1 35500 0 0 RIMINI STR INC DEL COM 76674Q107 1223 237500 SH DFND 1 237500 0 0 ROYAL DUTCH SHELL PLC SPON ADR B 780259107 1073 17900 SH DFND 1 17900 0 0 SALESFORCE COM INC COM 79466L302 7354 53692 SH DFND 4 53692 0 0 SCHEIN HENRY INC COM 806407102 32 176000 SH Call DFND 3 176000 0 0 SCHULTZE SPL PURP ACQUISITIO UNIT 12/31/2023 80821R208 570 57300 SH DFND 1 57300 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 238 10000 SH DFND 1 10000 0 0 SENTINEL ENERGY SVCS INC CL A 81728P105 1263 126000 SH DFND 1 126000 0 0 SERVICENOW INC COM 81762P102 5550 31172 SH DFND 4 31172 0 0 SHIRE PLC SPONSORED ADR 82481R106 37185 513656 SH DFND 2 513656 0 0 SHIRE PLC SPONSORED ADR 82481R106 343 50100 SH Call DFND 5 50100 0 0 SIERRA ONCOLOGY INC COM 82640U107 66 50000 SH DFND 1 50000 0 0 SIRIUS XM HLDGS INC COM 82968B103 3021 1358000 SH Put DFND 3 1358000 0 0 SIRIUS XM HLDGS INC COM 82968B103 1049 450000 SH Put DFND 2 450000 0 0 SIRIUS XM HLDGS INC COM 82968B103 29 5000 SH DFND 3 5000 0 0 SIRIUS XM HLDGS INC COM 82968B103 2570 450000 SH DFND 2 450000 0 0 SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 09/14/202 G8250R129 10 14500 SH DFND 1 14500 0 0 SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 1111 111111 SH DFND 1 111111 0 0 SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 10000 1000000 SH DFND 3 1000000 0 0 SPARTAN ENERGY ACQUISITON CO *W EXP 08/27/202 846784122 176 181587 SH DFND 1 181587 0 0 SPARTAN ENERGY ACQUISITON CO CL A COM STK 846784106 6238 647758 SH DFND 1 647758 0 0 SPARTAN ENERGY ACQUISITON CO UNIT 99/99/9999 846784114 10000 1000000 SH DFND 3 1000000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 187 30000 SH Call DFND 4 30000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3 200000 SH Call DFND 5 200000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7657 30638 SH DFND 4 30638 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 400 1600 SH DFND 1 1600 0 0 SPRINT CORP COM SER 1 85207U105 524 90000 SH DFND 1 90000 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 10152 809600 SH DFND 3 809600 0 0 SS&C TECHNOLOGIES HLDGS INC COM 78467J100 496 11000 SH DFND 1 11000 0 0 STERLING BANCORP DEL COM 85917A100 858 51960 SH DFND 3 51960 0 0 STEWART INFORMATION SVCS COR COM 860372101 270 6532 SH DFND 5 6532 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 13 2000 SH DFND 2 2000 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 2604 400000 SH DFND 3 400000 0 0 SUNPOWER CORP COM 867652406 994 200000 SH DFND 2 200000 0 0 SUNPOWER CORP COM 867652406 1020 200000 SH Put DFND 2 200000 0 0 SYMANTEC CORP COM 871503108 3560 188389 SH DFND 5 188389 0 0 SYNOVUS FINL CORP COM NEW 87161C501 98 107900 SH Call DFND 5 107900 0 0 SYNOVUS FINL CORP COM NEW 87161C501 3176 99271 SH DFND 5 99271 0 0 SYNOVUS FINL CORP COM NEW 87161C501 1253 39157 SH DFND 1 39157 0 0 T MOBILE US INC COM 872590104 5010 78761 SH DFND 4 78761 0 0 T MOBILE US INC COM 872590104 12176 191413 SH DFND 5 191413 0 0 T MOBILE US INC COM 872590104 128 107600 SH Call DFND 5 107600 0 0 T MOBILE US INC COM 872590104 38 65000 SH Put DFND 5 65000 0 0 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 29 50000 SH Put DFND 4 50000 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 4119 244874 SH DFND 3 244874 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 5 300 SH DFND 1 300 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 10311 613030 SH DFND 2 613030 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 2220 21567 SH DFND 4 21567 0 0 TARGA RES CORP COM 87612G101 3404 94500 SH DFND 1 94500 0 0 TENNECO INC CL A VTG COM STK 880349105 1027 37500 SH DFND 1 37500 0 0 TENZING ACQUISITION CORP *W EXP 02/23/202 G8708A108 56 171059 SH DFND 1 171059 0 0 TENZING ACQUISITION CORP ORD SHS G8708A116 246 25100 SH DFND 1 25100 0 0 TESARO INC COM 881569107 208 2801 SH DFND 5 2801 0 0 TESARO INC COM 881569107 14 181200 SH Call DFND 5 181200 0 0 THUNDER BRIDGE ACQUISITION L *W EXP 01/01/202 G8857R126 4 10410 SH DFND 1 10410 0 0 THUNDER BRIDGE ACQUISITION L UNIT 01/01/2025 G8857R118 521 51249 SH DFND 1 51249 0 0 THUNDER BRIDGE ACQUISITION L UNIT 01/01/2025 G8857R118 2096 205800 SH DFND 3 205800 0 0 TILRAY INC COM CL 2 88688T100 11925 169055 SH DFND 1 169055 0 0 TILRAY INC COM CL 2 88688T100 4 7200 SH Call DFND 2 7200 0 0 TIVITY HEALTH INC COM 88870R102 35 50000 SH Call DFND 5 50000 0 0 TKK SYMPHONY ACQUISITION COR *W EXP 02/20/202 G88950129 5 30000 SH DFND 1 30000 0 0 TKK SYMPHONY ACQUISITION COR ORD SHS G88950103 140 14486 SH DFND 1 14486 0 0 TOTAL S A SPONSORED ADR 89151E109 357 6741 SH DFND 2 6741 0 0 TOTTENHAM ACQUISITION I LTD *W EXP 05/06/202 G8959N114 5 45100 SH DFND 1 45100 0 0 TOTTENHAM ACQUISITION I LTD RIGHT 06/05/2020 G8959N122 49 224671 SH DFND 1 224671 0 0 TOTTENHAM ACQUISITION I LTD SHS G8959N106 906 92492 SH DFND 1 92492 0 0 TPG PACE HLDGS CORP *W EXP 06/27/202 G89827110 21 20579 SH DFND 1 20579 0 0 TRIBUNE PUBG CO NEW COM 89609W107 348 30695 SH DFND 1 30695 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 60 5999 SH DFND 1 5999 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 997 100000 SH DFND 3 100000 0 0 TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 6667 654300 SH DFND 3 654300 0 0 TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 346 33926 SH DFND 1 33926 0 0 TRINITY INDS INC COM 896522109 846 41100 SH DFND 1 41100 0 0 TRINITY MERGER CORP COM CL A 89653L106 1732 173376 SH DFND 1 173376 0 0 TRINITY MERGER CORP UNIT 05/11/2025 89653L205 781 75700 SH DFND 1 75700 0 0 TRINITY MERGER CORP UNIT 05/11/2025 89653L205 1292 125240 SH DFND 3 125240 0 0 TWELVE SEAS INVESTMENT COMPA *W EXP 12/22/202 G9145A115 84 323962 SH DFND 1 323962 0 0 TWELVE SEAS INVESTMENT COMPA RIGHT 12/22/2019 G9145A131 395 1128658 SH DFND 1 1128658 0 0 TWELVE SEAS INVESTMENT COMPA SHS G9145A107 1962 199845 SH DFND 1 199845 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 2406 50000 SH DFND 1 50000 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 166 1254100 SH Put DFND 5 1254100 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 691 14367 SH DFND 5 14367 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 64916 1358640 SH DFND 5 1358640 0 0 ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 1304 30000 SH DFND 3 30000 0 0 UNILEVER PLC SPON ADR NEW 904767704 6216 118960 SH DFND 3 118960 0 0 UNION ACQUISITION CORP *W EXP 07/01/202 G9366W127 9 36961 SH DFND 1 36961 0 0 UNION ACQUISITION CORP RIGHT 12/02/2019 G9366W135 10 25000 SH DFND 1 25000 0 0 UNION ACQUISITION CORP SHS G9366W101 514 51000 SH DFND 1 51000 0 0 UNUM THERAPEUTICS INC COM 903214104 3597 817395 SH DFND 3 817395 0 0 VALERO ENERGY PARTNERS LP COM UNT REP LP 91914J102 10210 242115 SH DFND 3 242115 0 0 VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 171 16746 SH DFND 1 16746 0 0 VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 10402 1000000 SH DFND 3 1000000 0 0 VECTOIQ ACQUISITION CORP *W EXP 05/11/202 92243N111 11 25000 SH DFND 1 25000 0 0 VECTOIQ ACQUISITION CORP COM 92243N103 123 1173700 SH DFND 1 1173700 0 0 VECTOIQ ACQUISITION CORP UNIT 05/11/2023 92243N202 2990 296667 SH DFND 1 296667 0 0 VIACOM INC NEW CL B 92553P201 1028 39993 SH DFND 5 39993 0 0 VISA INC COM CL A 92826C839 3258 24694 SH DFND 4 24694 0 0 VMWARE INC CL A COM 928563402 7090 51700 SH DFND 1 51700 0 0 WESTERN DIGITAL CORP COM 958102105 27 100000 SH Put DFND 4 100000 0 0 YOGAWORKS INC COM 986005106 458 898317 SH DFND 1 898317 0 0 ZAYO GROUP HLDGS INC COM 98919V105 3326 145619 SH DFND 5 145619 0 0 ZENDESK INC COM 98936J101 3944 67570 SH DFND 4 67570 0 0 ZOGENIX INC COM NEW 98978L204 219 6000 SH DFND 1 6000 0 0