Chief Compliance Officer

0001085146-20-001412.txt : 20200511 0001085146-20-001412.hdr.sgml : 20200511 20200511165207 ACCESSION NUMBER: 0001085146-20-001412 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200511 DATE AS OF CHANGE: 20200511 EFFECTIVENESS DATE: 20200511 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COWEN AND COMPANY, LLC CENTRAL INDEX KEY: 0000048966 IRS NUMBER: 841702964 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19611 FILM NUMBER: 20865708 BUSINESS ADDRESS: STREET 1: 599 LEXINGTON AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 646-562-1727 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: COWEN & CO., LLC DATE OF NAME CHANGE: 20060208 FORMER COMPANY: FORMER CONFORMED NAME: SG COWEN & CO., LLC DATE OF NAME CHANGE: 20040521 FORMER COMPANY: FORMER CONFORMED NAME: SG COWEN SECURITIES CORPORATION DATE OF NAME CHANGE: 20040503 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0000048966 XXXXXXXX 03-31-2020 03-31-2020 false COWEN AND COMPANY, LLC

599 Lexington Avenue 20th Floor NEW YORK NY 10022

13F HOLDINGS REPORT 028-19611 N Steven Cohen Chief Compliance Officer 646-562-1727 /s/ Steven Cohen New York NY 05-11-2020 2 416 435486 2 0000917380 028-18771 COWEN EXECUTION SERVICES LLC 3 0001771015 028-19614 Cowen Financial Products LLC INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 8I ENTERPRISES ACQUISITION C *W EXP 10/29/202 G2956M112 51 122000 SH DFND 3 122000 0 0 ABBVIE INC COM 00287Y109 1521 19960 SH DFND 19960 0 0 ACAMAR PARTNERS ACQSITION CO *W EXP 02/26/202 004285110 132 275467 SH DFND 275467 0 0 ACAMAR PARTNERS ACQSITION CO CL A 004285102 165 16731 SH DFND 16731 0 0 ACORDA THERAPEUTICS INC COM 00484M106 1 25000 SH Call DFND 25000 0 0 ACT II GLOBAL ACQUISITION CO *W EXP 04/30/202 G0080J120 242 345636 SH DFND 345636 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 42 445 SH DFND 445 0 0 ADVANCE AUTO PARTS INC COM 00751Y106 4 30000 SH Call DFND 30000 0 0 ADVERUM BIOTECHNOLOGIES INC COM 00773U108 2136 218624 SH DFND 3 218624 0 0 ADVISORSHARES TR PURE CANNABIS 00768Y495 5 39800 SH Call DFND 39800 0 0 AGBA ACQUISITION LTD *W EXP 05/10/202 G0120M117 9 154050 SH DFND 154050 0 0 AGBA ACQUISITION LTD RIGHT 05/10/2024 G0120M125 17 116403 SH DFND 116403 0 0 AGBA ACQUISITION LTD SHS G0120M109 906 89750 SH DFND 89750 0 0 AKAZOO SA SHS L0164E108 151 53804 SH DFND 53804 0 0 ALBERTON ACQUISITION CORP *W EXP 04/26/202 G35006124 77 851868 SH DFND 851868 0 0 ALBERTON ACQUISITION CORP RIGHT 10/04/2020 G35006132 29 153050 SH DFND 153050 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 3039 15624 SH DFND 15624 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 387 22900 SH Put DFND 22900 0 0 ALLEGRO MERGER CORP *W EXP 01/06/202 01749N111 3 64250 SH DFND 64250 0 0 ALLEGRO MERGER CORP RIGHT 12/31/2023 01749N129 4 41978 SH DFND 41978 0 0 ALLERGAN PLC SHS G0177J108 1288 7274 SH DFND 7274 0 0 ALUSSA ENERGY ACQUISITION CO SHS CL A G0232J101 2040 212535 SH DFND 212535 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 880 220000 SH DFND 220000 0 0 AMARIN CORP 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50000 SH DFND 2 50000 0 0 MATCH GROUP INC COM 57665R106 16510 250000 SH DFND 3 250000 0 0 MATCH GROUP INC COM 57665R106 1230 50000 SH Put DFND 2 50000 0 0 MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 44 198182 SH DFND 198182 0 0 MEREDITH CORP COM 589433101 79 6468 SH DFND 6468 0 0 MEREDITH CORP COM 589433101 490 69500 SH Put DFND 69500 0 0 MERIDA MERGER CORP I *W EXP 11/07/202 58953M114 47 94922 SH DFND 94922 0 0 MICRON TECHNOLOGY INC COM 595112103 168 84000 SH Call DFND 84000 0 0 MIRATI THERAPEUTICS INC COM 60468T105 80 28000 SH Call DFND 28000 0 0 MIRATI THERAPEUTICS INC COM 60468T105 195 4700 SH Put DFND 4700 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 2832 773813 SH DFND 2 773813 0 0 MIZUHO FINL GROUP INC SPONSORED ADR 60687Y109 1837 795350 SH DFND 2 795350 0 0 MONOCLE ACQUISITION CORP *W EXP 12/06/202 609754114 40 132463 SH DFND 132463 0 0 MONOCLE ACQUISITION CORP COM 609754106 2 269531 SH DFND 269531 0 0 MONOCLE ACQUISITION CORP UNIT 99/99/9999 609754205 1287 126166 SH DFND 126166 0 0 MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 54 153856 SH DFND 153856 0 0 NATIONAL ENERGY SERVICES REU *W EXP 05/05/202 G6375R115 183 554597 SH DFND 554597 0 0 NAVISTAR INTL CORP NEW COM 63934E108 2728 165458 SH DFND 165458 0 0 NEBULA ACQUISITION CORP *W EXP 03/12/202 629076118 154 152968 SH DFND 152968 0 0 NESCO HLDGS INC *W EXP 01/01/202 64083J112 27 151480 SH DFND 151480 0 0 NETFIN ACQUISITION CORP *W EXP 08/01/202 G6455A115 66 168487 SH DFND 168487 0 0 NETFIN ACQUISITION CORP SHS CL A G6455A107 314 31891 SH DFND 31891 0 0 NEW PROVIDENCE ACQUISITION UNIT 09/01/2024 64822P205 1027 100000 SH DFND 100000 0 0 NEWBORN ACQUISITION CORP UNIT 99/99/9999 G6463T130 1785 184000 SH DFND 3 184000 0 0 NEWBORN ACQUISITION CORP UNIT 99/99/9999 G6463T130 362 37350 SH DFND 37350 0 0 NEWMONT CORP COM 651639106 1 27 SH DFND 27 0 0 NEWMONT CORP COM 651639106 116 38500 SH Call DFND 38500 0 0 NEWMONT CORP COM 651639106 306 63100 SH Put DFND 63100 0 0 NIO INC SPON ADS 62914V106 1390 500000 SH DFND 2 500000 0 0 NIO INC SPON ADS 62914V106 1725 500000 SH Put DFND 2 500000 0 0 NOMURA HLDGS INC SPONSORED ADR 65535H208 2678 627100 SH DFND 2 627100 0 0 OAKTREE ACQUISITION CORP *W EXP 99/99/999 G67145113 308 295859 SH DFND 295859 0 0 OAKTREE ACQUISITION CORP SHS CL A G67145105 1078 107762 SH DFND 107762 0 0 OCCIDENTAL PETE CORP COM 674599105 1110 1000000 SH Put DFND 1000000 0 0 OCULAR THERAPEUTIX INC COM 67576A100 16 32900 SH Call DFND 32900 0 0 OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 10 191809 SH DFND 191809 0 0 ORISUN ACQUISITION CORP *W EXP 05/31/202 68632T117 32 498050 SH DFND 498050 0 0 ORISUN ACQUISITION CORP RIGHT 05/31/2024 68632T125 23 129400 SH DFND 129400 0 0 ORISUN ACQUISITION CORP UNIT 99/99/9999 68632T208 816 80000 SH DFND 3 80000 0 0 OSPREY TECHNLGY AQUISTION CO *W EXP 10/30/202 68839R120 309 367459 SH DFND 367459 0 0 OSPREY TECHNLGY AQUISTION CO UNIT 10/30/2024 68839R401 160 16432 SH DFND 16432 0 0 PAE INC *W EXP 09/11/202 69290Y117 1792 1202686 SH DFND 1202686 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 1069 40277 SH DFND 40277 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 189 132300 SH Call DFND 132300 0 0 PENSARE ACQUISITION CORP RIGHT 99/99/9999 70957E121 16 117849 SH DFND 117849 0 0 PERDOCEO ED CORP COM 71363P106 23 72000 SH Call DFND 72000 0 0 PERDOCEO ED CORP COM 71363P106 50 28000 SH Put DFND 28000 0 0 PFIZER INC COM 717081103 1 50000 SH Call DFND 50000 0 0 PG&E CORP COM 69331C108 1894 210695 SH DFND 210695 0 0 PG&E CORP COM 69331C108 957 787500 SH Call DFND 787500 0 0 PIVOTAL INVT CORP II *W EXP 06/01/202 72582K118 168 240004 SH DFND 240004 0 0 PORTOLA PHARMACEUTICALS INC COM 737010108 186 26081 SH DFND 26081 0 0 PORTOLA PHARMACEUTICALS INC COM 737010108 144 40000 SH Put DFND 40000 0 0 PRIORITY TECHNOLOGY HLDGS IN COM 74275G107 118 60811 SH DFND 60811 0 0 PROFICIENT ALPHA ACQUSTN COR *W EXP 04/30/202 74317H113 41 797513 SH DFND 797513 0 0 PROFICIENT ALPHA ACQUSTN COR RIGHT 04/30/2026 74317H121 166 831731 SH DFND 831731 0 0 PROPTECH ACQUISITION CORP *W EXP 05/26/202 74349F119 50 71475 SH DFND 71475 0 0 PROQR THRAPEUTICS N V SHS EURO N71542109 1948 354849 SH DFND 3 354849 0 0 PURE ACQUISITION CORP CL A 74621Q106 75 7240 SH DFND 7240 0 0 PURE ACQUISITION CORP CL A 74621Q106 5185 499000 SH DFND 3 499000 0 0 QIAGEN NV SHS NEW N72482123 374 8993 SH DFND 8993 0 0 QUDIAN INC ADR 747798106 800 304800 SH Put DFND 304800 0 0 QUIDEL CORP COM 74838J101 1010 10324 SH DFND 10324 0 0 QUIDEL CORP COM 74838J101 12 900 SH Call DFND 900 0 0 QUIDEL CORP COM 74838J101 7 12300 SH Put DFND 12300 0 0 RADIUS HEALTH INC COM NEW 750469207 58 4433 SH DFND 4433 0 0 RADIUS HEALTH INC COM NEW 750469207 1 6000 SH Call DFND 6000 0 0 RADIUS HEALTH INC COM NEW 750469207 47 4000 SH Put DFND 4000 0 0 RANGE RES CORP COM 75281A109 2 20000 SH Call DFND 20000 0 0 REEBONZ HLDG LTD SHS G7457R122 12 29942 SH DFND 29942 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 20 30000 SH Call DFND 30000 0 0 REPLAY ACQUISITION CORP *W EXP 03/01/202 G75130115 158 267295 SH DFND 267295 0 0 REPLAY ACQUISITION CORP UNIT 03/01/2024 G75130123 2736 278884 SH DFND 278884 0 0 RMG ACQUISITION CORP *W EXP 02/21/202 749641114 27 42764 SH DFND 42764 0 0 SANDSTORM GOLD LTD COM NEW 80013R206 26 28300 SH Call DFND 28300 0 0 SAREPTA THERAPEUTICS INC COM 803607100 615 20500 SH Put DFND 20500 0 0 SAREPTA THERAPEUTICS INC COM 803607100 351 3589 SH DFND 3589 0 0 SC HEALTH CORP *W EXP 99/99/999 G78516401 244 255183 SH DFND 255183 0 0 SCHULTZE SPL PURP ACQUSTN CO *W EXP 12/31/202 80821R117 157 712048 SH DFND 712048 0 0 SCVX CORP *W EXP 99/99/999 G79448117 60 150000 SH DFND 150000 0 0 SCVX CORP UNIT 99/99/9999 G79448109 1390 139419 SH DFND 139419 0 0 SERVICENOW INC COM 81762P102 18 62 SH DFND 62 0 0 SERVICENOW INC COM 81762P102 292 25400 SH Call DFND 25400 0 0 SERVICENOW INC COM 81762P102 268 15100 SH Put DFND 15100 0 0 SILVER SPIKE ACQUISITION COR *W EXP 08/02/202 G8136L114 247 633431 SH DFND 633431 0 0 SILVER SPIKE ACQUISITION COR CL A SHS G8136L106 1276 129774 SH DFND 129774 0 0 SOFTWARE ACQUISITION GROUP I *W EXP 10/01/202 83406B119 70 127751 SH DFND 127751 0 0 SOUTH MTN MERGER CORP *W EXP 06/20/202 838884112 165 175969 SH DFND 175969 0 0 SPARTAN ENERGY ACQUISITION C *W EXP 08/27/202 846784122 62 123728 SH DFND 123728 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 17140 66500 SH DFND 66500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1739 220000 SH Put DFND 220000 0 0 SPDR SER TR S&P BIOTECH 78464A870 35 7200 SH Call DFND 7200 0 0 SPDR SER TR S&P BIOTECH 78464A870 46 77000 SH Put DFND 77000 0 0 SPDR SER TR S&P REGL BKG 78464A698 3224 528600 SH Put DFND 528600 0 0 SPINNAKER ETF SERIES CANNABIS ETF 84858T400 594 75000 SH DFND 2 75000 0 0 SPRINT CORPORATION COM 85207U105 1904 220885 SH DFND 220885 0 0 SPRINT CORPORATION COM 85207U105 295 182300 SH Call DFND 182300 0 0 SPRINT CORPORATION COM 85207U105 8 263500 SH Put DFND 263500 0 0 STABLE RD ACQUISITION CORP *W EXP 05/15/202 85236Q117 60 79456 SH DFND 79456 0 0 STAGE STORES INC COM NEW 85254C305 9 25000 SH DFND 25000 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 30664 6401605 SH DFND 2 6401605 0 0 SUNDIAL GROWERS INC COM 86730L109 1 22400 SH Call DFND 22400 0 0 SUNDIAL GROWERS INC COM 86730L109 135 211370 SH DFND 211370 0 0 SWITCH INC CL A 87105L104 255 17649 SH DFND 17649 0 0 SWITCH INC CL A 87105L104 13 4100 SH Call DFND 4100 0 0 SWITCH INC CL A 87105L104 21 25900 SH Put DFND 25900 0 0 SWITCHBACK ENERGY ACQUISTN C *W EXP 07/25/202 87105M110 304 488104 SH DFND 488104 0 0 SWITCHBACK ENERGY ACQUISTN C COM CL A 87105M102 6003 622030 SH DFND 622030 0 0 TARGET HOSPITALITY CORP *W EXP 03/15/202 87615L115 135 693409 SH DFND 693409 0 0 TAUBMAN CTRS INC COM 876664103 221 143500 SH Put DFND 143500 0 0 TECH DATA CORP COM 878237106 896 262800 SH Put DFND 262800 0 0 TELA BIO INC COM 872381108 3171 405507 SH DFND 3 405507 0 0 TENZING ACQUISITION CORP *W EXP 02/23/202 G8708A108 5 57100 SH DFND 57100 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 200 336500 SH Call DFND 336500 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 3385 1426300 SH Put DFND 1426300 0 0 THUNDER BRDG ACQUISTION II L *W EXP 11/30/202 G8857S108 69 98501 SH DFND 98501 0 0 TIFFANY & CO NEW COM 886547108 19 62600 SH Call DFND 62600 0 0 TIFFANY & CO NEW COM 886547108 513 192800 SH Put DFND 192800 0 0 TILRAY INC COM CL 2 88688T100 165 263600 SH Call DFND 263600 0 0 TILRAY INC COM CL 2 88688T100 16 130000 SH Call DFND 2 130000 0 0 TILRAY INC COM CL 2 88688T100 1475 1037700 SH Put DFND 1037700 0 0 TIVO CORP COM 88870P106 120 16996 SH DFND 16996 0 0 TORTOISE ACQUISITION CORP *W EXP 03/04/202 89154L118 22 80000 SH DFND 80000 0 0 TOTTENHAM ACQUISITION I LTD RIGHT 06/05/2020 G8959N122 21 188479 SH DFND 188479 0 0 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 6 60833 SH DFND 60833 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 1163 107510 SH DFND 107510 0 0 TRINE ACQUISITION CORP *W EXP 03/31/202 89628U116 420 699864 SH DFND 699864 0 0 TUSCAN HLDGS CORP II *W EXP 99/99/999 90070A111 17 69543 SH DFND 69543 0 0 TUSCAN HOLDINGS CORP *W EXP 04/01/202 90069K112 72 185720 SH DFND 185720 0 0 UNION ACQUISITION CORP II *W EXP 04/01/202 G9402Q126 13 50391 SH DFND 50391 0 0 UNION ACQUISITION CORP II SHS G9402Q100 1158 118395 SH DFND 118395 0 0 UNIQURE NV SHS N90064101 1452 30599 SH DFND 30599 0 0 UNITED PARCEL SERVICE INC CL B 911312106 415 112300 SH Call DFND 112300 0 0 UNITED PARCEL SERVICE INC CL B 911312106 167 60300 SH Put DFND 60300 0 0 UNITED STATES STL CORP NEW COM 912909108 245 38763 SH DFND 38763 0 0 UNITED STATES STL CORP NEW COM 912909108 376 71100 SH Put DFND 71100 0 0 UNITI GROUP INC COM 91325V108 147 121400 SH Put DFND 121400 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 47 50000 SH Call DFND 50000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 32 1388 SH DFND 1388 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 643 34700 SH Put DFND 34700 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 45 11000 SH Call DFND 11000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 1056 9016 SH DFND 9016 0 0 VARIAN MED SYS INC COM 92220P105 199 1940 SH DFND 1940 0 0 VARIAN MED SYS INC COM 92220P105 1 2000 SH Call DFND 2000 0 0 VARIAN MED SYS INC COM 92220P105 66 2000 SH Put DFND 2000 0 0 VECTOIQ ACQUISITION CORP *W EXP 05/11/202 92243N111 1323 678554 SH DFND 678554 0 0 VECTOIQ ACQUISITION CORP COM 92243N103 138 1173985 SH DFND 1173985 0 0 VECTOIQ ACQUISITION CORP COM 92243N103 6 43200 SH Put DFND 43200 0 0 VECTOIQ ACQUISITION CORP UNIT 05/16/2023 92243N202 4122 296667 SH DFND 296667 0 0 VERTIV HOLDINGS CO *W EXP 06/12/202 92537N116 2021 1122589 SH DFND 1122589 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 739 50000 SH DFND 2 50000 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 254 58000 SH Call DFND 58000 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 115 7805 SH DFND 7805 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 430 50000 SH Put DFND 2 50000 0 0 VIVINT SMART HOME INC *W EXP 01/17/202 928542117 62 44552 SH DFND 44552 0 0 WAITR HLDGS INC COM 930752100 12 10000 SH DFND 10000 0 0 WEALTHBRIDGE ACQUISITION LTD *W EXP 01/31/202 G4887W128 2 16850 SH DFND 16850 0 0 WEALTHBRIDGE ACQUISITION LTD *W EXP 01/31/202 G4887W128 19 153400 SH DFND 3 153400 0 0 WEALTHBRIDGE ACQUISITION LTD RIGHT 11/02/2023 G4887W136 14 29950 SH DFND 29950 0 0 WEALTHBRIDGE ACQUISITION LTD RIGHT 11/02/2023 G4887W136 71 153400 SH DFND 3 153400 0 0 WEALTHBRIDGE ACQUISITION LTD SHS G4887W110 1110 108493 SH DFND 108493 0 0 WEALTHBRIDGE ACQUISITION LTD SHS G4887W110 1570 153400 SH DFND 3 153400 0 0 WESCO INTL INC COM 95082P105 308 12700 SH Put DFND 12700 0 0 ZAI LAB LTD ADR 98887Q104 114 17500 SH Put DFND 17500 0 0 ZAI LAB LTD ADR 98887Q104 210 17500 SH Call DFND 17500 0 0