0001085146-20-002728.txt : 20201103 0001085146-20-002728.hdr.sgml : 20201103 20201103085920 ACCESSION NUMBER: 0001085146-20-002728 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201103 DATE AS OF CHANGE: 20201103 EFFECTIVENESS DATE: 20201103 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: 201282043 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 09-30-2020 09-30-2020 false COWEN AND COMPANY, LLC

599 LEXINGTON AVENUE 20TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-19611 Y On May 1, 2020, Cowen Execution Services LLC (CES) merged with its affiliate, Cowen and Company, LLC (Cowen and Company). As a result of the merger, Cowen and Company is the surviving entity and CES has ceased to exist as a separate operating broker-dealer and 13F Notice Filer. All CES positions became positions of Cowen and Company. Steven Cohen 646-562-1727 /s/ Steven Cohen New York NY 11-03-2020 1 440 612608 false 3 0001771015 028-19614 Cowen Financial Products LLC INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 8I ENTERPRISES ACQUISITION C *W EXP 10/29/202 G2956M112 163 122000 SH DFND 3 122000 0 0 ABB LTD SPONSORED ADR 000375204 6363 250000 SH DFND 250000 0 0 ABBVIE INC COM 00287Y109 12 39700 SH Call DFND 39700 0 0 ABBVIE INC COM 00287Y109 282 3222 SH DFND 3222 0 0 ACACIA COMMUNICATIONS INC COM 00401C108 4 37600 SH Call DFND 37600 0 0 ACADIA PHARMACEUTICALS INC COM 004225108 51 20800 SH Put DFND 20800 0 0 ACADIA PHARMACEUTICALS INC COM 004225108 33 20500 SH Call DFND 20500 0 0 ACADIA PHARMACEUTICALS INC COM 004225108 58 1417 SH DFND 1417 0 0 ACAMAR PARTNERS ACQSITION CO CL A 004285102 171 16685 SH DFND 16685 0 0 ACAMAR PARTNERS ACQSITION CO *W EXP 02/26/202 004285110 39 35869 SH DFND 35869 0 0 ACCELERON PHARMA INC COM 00434H108 11 15000 SH Put DFND 15000 0 0 ACCELERON PHARMA INC COM 00434H108 263 15000 SH Call DFND 15000 0 0 ACE CONVERGENCE ACQU CORP UNIT 99/99/9999 G0083D112 998 97400 SH DFND 3 97400 0 0 ADVERUM BIOTECHNOLOGIES INC COM 00773U108 1440 139781 SH DFND 3 139781 0 0 AIMMUNE THERAPEUTICS INC COM 00900T107 12 156200 SH Call DFND 156200 0 0 ALBERTON ACQUISITION CORP *W EXP 04/26/202 G35006124 26 125757 SH DFND 125757 0 0 ALBIREO PHARMA INC COM 01345P106 20022 600000 SH DFND 600000 0 0 ALBIREO PHARMA INC COM 01345P106 1 35000 SH Put DFND 35000 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 18 27000 SH Put DFND 27000 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 82 13500 SH Call DFND 13500 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 4430 15070 SH DFND 15070 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 28 22900 SH Put DFND 22900 0 0 ALPHA HEALTHCARE ACQUISTN CO UNIT 09/21/2027 020751202 496 50000 SH DFND 50000 0 0 ALUSSA ENERGY ACQUISITION CO SHS CL A G0232J101 1463 147353 SH DFND 147353 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 274 65028 SH DFND 65028 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 111 176900 SH Put DFND 176900 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 6 27000 SH Call DFND 27000 0 0 AMC ENTMT HLDGS INC CL A COM 00165C104 8 59300 SH Put DFND 59300 0 0 AMC ENTMT HLDGS INC CL A COM 00165C104 10 60000 SH Call DFND 60000 0 0 AMC ENTMT HLDGS INC CL A COM 00165C104 48 10294 SH DFND 10294 0 0 AMCI ACQUISITION CORP CLASS A 00165R101 1034 100000 SH DFND 100000 0 0 AMCI ACQUISITION CORP *W EXP 05/20/202 00165R119 10 14939 SH DFND 14939 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 340 27633 SH DFND 27633 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 380 212800 SH Put DFND 212800 0 0 AMPLITUDE HLTHCRE AQUSTIN CO *W EXP 12/01/202 03212A113 18 15000 SH DFND 15000 0 0 AMPLITUDE HLTHCRE AQUSTIN CO COM CL A 03212A105 347 35000 SH DFND 35000 0 0 ANDINA ACQUISITION CORP III SHS G04415108 4 409967 SH DFND 409967 0 0 ANDINA ACQUISITION CORP III UNIT 09/24/2020 G04415116 1014 92157 SH DFND 92157 0 0 ANDINA ACQUISITION CORP III *W EXP 07/31/202 G04415124 8 24000 SH DFND 24000 0 0 ANDINA ACQUISITION CORP III RIGHT 10/01/2025 G04415132 18 49995 SH DFND 49995 0 0 ANGI HOMESERVICES INC COM CL A 00183L102 14 78500 SH Call DFND 78500 0 0 ANGI HOMESERVICES INC COM CL A 00183L102 115 10398 SH DFND 10398 0 0 ANGI HOMESERVICES INC COM CL A 00183L102 35 21500 SH Put DFND 21500 0 0 ANIKA THERAPEUTICS INC COM 035255108 131 56800 SH Call DFND 56800 0 0 ANTERO RESOURCES CORP COM 03674X106 14 275000 SH Put DFND 275000 0 0 ANTERO RESOURCES CORP COM 03674X106 60 300000 SH Call DFND 300000 0 0 APEX TECHNOLOGY ACQUISITION COM CL A 03768F102 13454 1269253 SH DFND 3 1269253 0 0 APEX TECHNOLOGY ACQUISITION UNIT 06/11/2026 03768F201 282 23900 SH DFND 23900 0 0 APEX TECHNOLOGY ACQUISITION COM CL A 03768F102 1025 96721 SH DFND 96721 0 0 APEX TECHNOLOGY ACQUISITION *W EXP 09/18/202 03768F110 246 126691 SH DFND 126691 0 0 APYX MEDICAL CORPORATION COM 03837C106 2281 484246 SH DFND 3 484246 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 23 7332 SH DFND 7332 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 1456 465317 SH DFND 3 465317 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 8 25000 SH Call DFND 25000 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 58 25000 SH Put DFND 25000 0 0 ARYA SCIENCES ACQUISTION CO *W EXP 06/09/202 G31655106 29 16323 SH DFND 16323 0 0 ARYA SCIENCES ACQUISTION CO COM CL A G31655122 146 14000 SH DFND 14000 0 0 ATHENEX INC COM 04685N103 11 18500 SH Call DFND 18500 0 0 AVADEL PHARMACEUTICALS PLC SPONSORED ADR 05337M104 9606 1905990 SH DFND 3 1905990 0 0 AVAYA HLDGS CORP COM 05351X101 88 24000 SH Call DFND 24000 0 0 AXALTA COATING SYS LTD COM G0750C108 401 18101 SH DFND 18101 0 0 BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 05946K101 2740 1000000 SH DFND 1000000 0 0 BANCO SANTANDER S.A. 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0 0 INVESCO EXCHANGE TRADED FD T S&P500 PUR VAL 46137V258 2500 51000 SH DFND 3 51000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 147950 532500 SH DFND 3 532500 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 2057 7405 SH DFND 7405 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 28 7400 SH Put DFND 7400 0 0 IONIS PHARMACEUTICALS INC COM 462222100 16 16500 SH Call DFND 16500 0 0 IONIS PHARMACEUTICALS INC COM 462222100 116 16500 SH Put DFND 16500 0 0 IONIS PHARMACEUTICALS INC COM 462222100 382 8061 SH DFND 8061 0 0 IOVANCE BIOTHERAPEUTICS INC COM 462260100 31 40300 SH Call DFND 40300 0 0 ISHARES TR NASDAQ BIOTECH 464287556 67 20500 SH Put DFND 20500 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 943 233600 SH Put DFND 233600 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 18822 125658 SH DFND 125658 0 0 ISHARES TR CORE S&P SCP ETF 464287804 202 2881 SH DFND 2881 0 0 ISHARES TR NASDAQ BIOTECH 464287556 1492 11020 SH DFND 11020 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1272 841500 SH Call DFND 841500 0 0 JAWS ACQUISITION CORP SHS G50744104 463 44432 SH DFND 44432 0 0 JUNIPER INDL HLDGS INC *W EXP 11/13/202 48205G114 491 283716 SH DFND 283716 0 0 JUNIPER INDL HLDGS INC COM CL A 48205G106 2493 238294 SH DFND 238294 0 0 KALEYRA INC *W EXP 12/12/202 483379111 119 83889 SH DFND 83889 0 0 KALEYRA INC COM 483379103 4685 618103 SH DFND 618103 0 0 KINDER MORGAN INC DEL COM 49456B101 1 37000 SH Call DFND 37000 0 0 KINDER MORGAN INC DEL COM 49456B101 32 2587 SH DFND 2587 0 0 KISMET ACQUISITION ONE CORP UNIT 08/06/2025 G52753129 2778 277796 SH DFND 277796 0 0 LEGACY ACQUISITION CORP COM CL A 524643103 319 30721 SH DFND 30721 0 0 LEISURE ACQUISITION CORP *W EXP 12/05/201 52539T115 12 25060 SH DFND 25060 0 0 LGL SYS ACQUISITION CORP *W EXP 11/12/202 50201G114 58 53661 SH DFND 53661 0 0 LIBERTY MEDIA CORP DEL COM C SIRIUSXM 531229607 1512 45700 SH DFND 45700 0 0 LIFESCI ACQUISITION CORP *W EXP 02/14/202 53228P117 98 64000 SH DFND 3 64000 0 0 LIFESCI ACQUISITION CORP COM 53228P109 794 64000 SH DFND 3 64000 0 0 LONGVIEW ACQUISITION CORP UNIT 99/99/9999 543195200 321 31670 SH DFND 31670 0 0 LONGVIEW ACQUISITION CORP *W EXP 05/27/202 543195119 556 572848 SH DFND 572848 0 0 LUMBER LIQUIDATORS HLDGS INC COM 55003T107 301 23700 SH Call DFND 23700 0 0 MACYS INC COM 55616P104 8 1436 SH DFND 1436 0 0 MACYS INC COM 55616P104 162 2342200 SH Put DFND 2342200 0 0 MCDONALDS CORP COM 580135101 582 75100 SH Put DFND 75100 0 0 MCDONALDS CORP COM 580135101 149 75100 SH Call DFND 75100 0 0 MCDONALDS CORP COM 580135101 10686 48686 SH DFND 48686 0 0 MERCK & CO. INC COM 58933Y105 9 7000 SH Put DFND 7000 0 0 MERCK & CO. INC COM 58933Y105 2 2000 SH Call DFND 2000 0 0 MERCK & CO. INC COM 58933Y105 1027 12381 SH DFND 12381 0 0 MERIDA MERGER CORP I *W EXP 11/07/202 58953M114 30 55321 SH DFND 55321 0 0 MESOBLAST LTD SPONS ADR 590717104 4832 260000 SH DFND 260000 0 0 MESOBLAST LTD SPONS ADR 590717104 365 100000 SH Call DFND 100000 0 0 METEN EDTECHX ED GROUP LTD *W EXP 03/31/202 G6055H106 13 62053 SH DFND 3 62053 0 0 METEN EDTECHX ED GROUP LTD *W EXP 03/31/202 G6055H106 6 30592 SH DFND 30592 0 0 MILESTONE PHARMACEUTICALS IN COM 59935V107 88 11990 SH DFND 11990 0 0 MILESTONE PHARMACEUTICALS IN COM 59935V107 47 27600 SH Put DFND 27600 0 0 MIRATI THERAPEUTICS INC COM 60468T105 66 15400 SH Put DFND 15400 0 0 MIRATI THERAPEUTICS INC COM 60468T105 85 5300 SH Call DFND 5300 0 0 MIRATI THERAPEUTICS INC COM 60468T105 681 4101 SH DFND 4101 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 943 235213 SH DFND 235213 0 0 MOMENTA PHARMACEUTICALS INC COM 60877T100 6 216400 SH Call DFND 216400 0 0 MONGODB INC CL A 60937P106 2 10300 SH Call DFND 10300 0 0 MONOCLE ACQUISITION CORP UNIT 99/99/9999 609754205 1510 126166 SH DFND 126166 0 0 MONOCLE ACQUISITION CORP COM 609754106 79 277050 SH DFND 277050 0 0 MYOKARDIA INC COM 62857M105 115 844 SH DFND 844 0 0 MYOKARDIA INC COM 62857M105 149 5600 SH Call DFND 5600 0 0 NATIONAL ENERGY SERVICES REU *W EXP 05/05/202 G6375R115 28 40214 SH DFND 40214 0 0 NAVISTAR INTL CORP NEW COM 63934E108 2184 164600 SH Call DFND 164600 0 0 NEW PROVIDENCE ACQUISITION *W EXP 09/11/202 64822P114 24 19917 SH DFND 19917 0 0 NEW PROVIDENCE ACQUISITION COM CL A 64822P106 795 78922 SH DFND 78922 0 0 NEWBORN ACQUISITION CORP RIGHT 02/03/2025 G6463T122 48 184000 SH DFND 3 184000 0 0 NEWBORN ACQUISITION CORP *W EXP 02/03/202 G6463T114 53 184000 SH DFND 3 184000 0 0 NEWBORN ACQUISITION CORP SHS G6463T106 1836 184000 SH DFND 3 184000 0 0 NEWBORN ACQUISITION CORP SHS G6463T106 24 2386 SH DFND 2386 0 0 NEWBORN ACQUISITION CORP *W EXP 02/03/202 G6463T114 42 144689 SH DFND 144689 0 0 NEWHOLD INVESTMENT CORP *W EXP 03/10/202 651448110 17 25000 SH DFND 25000 0 0 NEWMONT CORP COM 651639106 17 46100 SH Put DFND 46100 0 0 NEWMONT CORP COM 651639106 1939 30556 SH DFND 30556 0 0 NEWMONT CORP COM 651639106 290 39400 SH Call DFND 39400 0 0 NIKOLA CORP COM 654110105 758 50000 SH Put DFND 50000 0 0 NIKOLA CORP COM 654110105 39952 1950774 SH DFND 1950774 0 0 NOBLE ENERGY INC COM 655044105 347 40592 SH DFND 40592 0 0 NOMURA HLDGS INC SPONSORED ADR 65535H208 1397 305000 SH DFND 305000 0 0 NORTHERN GENESIS ACQUISITION UNIT 07/31/2027 66516T203 674 67500 SH DFND 67500 0 0 NOVUS CAP CORP *W EXP 06/30/202 67012U116 135 48363 SH DFND 48363 0 0 NOVUS CAP CORP COM 67012U108 290 24669 SH DFND 24669 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 272 8181 SH DFND 8181 0 0 ORISUN ACQUISITION CORP *W EXP 05/31/202 68632T117 24 80000 SH DFND 3 80000 0 0 ORISUN ACQUISITION CORP COM 68632T109 814 80000 SH DFND 3 80000 0 0 ORISUN ACQUISITION CORP RIGHT 05/31/2024 68632T125 48 80000 SH DFND 3 80000 0 0 ORISUN ACQUISITION CORP RIGHT 05/31/2024 68632T125 15 25000 SH DFND 25000 0 0 OSPREY TECHNLGY AQUISTION CO COM CL A 68839R104 458 44970 SH DFND 44970 0 0 OSPREY TECHNLGY AQUISTION CO *W EXP 10/30/202 68839R120 189 135311 SH DFND 135311 0 0 PAE INC *W EXP 09/11/202 69290Y117 1251 568470 SH DFND 568470 0 0 PANACEA ACQUISITION CORP CL A 698102100 468 41811 SH DFND 41811 0 0 PANACEA ACQUISITION CORP UNIT 99/99/9999 698102209 2600 216658 SH DFND 216658 0 0 PDL BIOPHARMA INC COM 69329Y104 567 180000 SH DFND 180000 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 9033 156100 SH Call DFND 156100 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 43 6056 SH DFND 6056 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 22 196300 SH Call DFND 196300 0 0 PFENEX INC COM 717071104 37 70000 SH Put DFND 70000 0 0 PFENEX INC COM 717071104 64 5000 SH DFND 5000 0 0 PFIZER INC COM 717081103 734 20000 SH DFND 20000 0 0 PFIZER INC COM 717081103 8 15000 SH Put DFND 15000 0 0 PROQR THRAPEUTICS N V SHS EURO N71542109 1428 298022 SH DFND 3 298022 0 0 PROTARA THERAPEUTICS INC COM STK 74365U107 2090 124171 SH DFND 124171 0 0 PTK ACQUISITION CORP UNIT 99/99/9999 69375F207 482 47332 SH DFND 47332 0 0 QIAGEN NV SHS NEW N72482123 4131 79044 SH DFND 79044 0 0 QUDIAN INC ADR 747798106 853 304800 SH Put DFND 304800 0 0 QUDIAN INC ADR 747798106 189 152247 SH DFND 152247 0 0 QUIDEL CORP COM 74838J101 27 1500 SH Call DFND 1500 0 0 QUIDEL CORP COM 74838J101 1245 5676 SH DFND 5676 0 0 QUIDEL CORP COM 74838J101 15 15900 SH Put DFND 15900 0 0 REDBALL ACQUISITION CORP UNIT 99/99/9999 G7417R121 793 75000 SH DFND 3 75000 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 18 30000 SH Call DFND 30000 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 70 6057 SH DFND 6057 0 0 REPLAY ACQUISITION CORP *W EXP 03/01/202 G75130115 174 183249 SH DFND 183249 0 0 REPLAY ACQUISITION CORP COM G75130107 588 57768 SH DFND 57768 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 23 37500 SH Put DFND 37500 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 19 37500 SH Call DFND 37500 0 0 RMG ACQUISITION CORP CL A 749641106 4978 465632 SH DFND 465632 0 0 RMG ACQUISITION CORP *W EXP 02/21/202 749641114 528 246594 SH DFND 246594 0 0 ROTH CH ACQUISITION I CO UNIT 01/28/2025 778675207 107 10000 SH DFND 10000 0 0 ROTH CH ACQUISITION I CO COM 778675108 204 20496 SH DFND 20496 0 0 SANDBRIDGE ACQUISITION CORP UNIT 99/99/9999 799793203 4991 500000 SH DFND 3 500000 0 0 SANDSTORM GOLD LTD COM NEW 80013R206 47 28300 SH Call DFND 28300 0 0 SC HEALTH CORP *W EXP 99/99/999 G78516401 58 50000 SH DFND 50000 0 0 SCVX CORP UNIT 99/99/9999 G79448109 331 30802 SH DFND 30802 0 0 SCVX CORP *W EXP 01/24/202 G79448117 25 16500 SH DFND 16500 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 231 150000 SH Call DFND 150000 0 0 SIRIUS XM HOLDINGS INC COM 82968B103 550 102700 SH DFND 102700 0 0 SOCIAL CAP HDOSPHIA HLDG CO UNIT 99/99/9999 G8250T117 706 33885 SH DFND 33885 0 0 SOCIAL CAP HEDSPIA HLDG CO I UNIT 99/99/9999 G8251K123 551 40101 SH DFND 40101 0 0 SOFTWARE ACQUISITION GROUP I COM CL A 83406B101 1555 156110 SH DFND 156110 0 0 SORRENTO THERAPEUTICS INC COM NEW 83587F202 195 129200 SH Put DFND 129200 0 0 SORRENTO THERAPEUTICS INC COM NEW 83587F202 1441 129200 SH DFND 129200 0 0 SOUTH MTN MERGER CORP *W EXP 06/20/202 838884112 505 361019 SH DFND 361019 0 0 SOUTH MTN MERGER CORP COM CL A 838884104 302 28900 SH DFND 28900 0 0 SPARTAN ENERGY ACQUISITION C UNIT 99/99/9999 846784114 648 40102 SH DFND 40102 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 163 151000 SH Put DFND 151000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 866 25500 SH Call DFND 25500 0 0 SPDR SER TR S&P BIOTECH 78464A870 8914 80000 SH DFND 3 80000 0 0 SPDR SER TR S&P BIOTECH 78464A870 27 22000 SH Put DFND 22000 0 0 SPDR SER TR S&P BIOTECH 78464A870 26 22000 SH Call DFND 22000 0 0 SPINNAKER ETF SERIES CANNABIS ETF 84858T400 622 75000 SH DFND 75000 0 0 STABLE RD ACQUISITION CORP *W EXP 05/15/202 85236Q117 35 30060 SH DFND 30060 0 0 STABLE RD ACQUISITION CORP COM CL A 85236Q109 316 31362 SH DFND 31362 0 0 STAR PEAK ENERGY TRANSITION UNIT 99/99/9999 855185203 1101 107457 SH DFND 107457 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 35785 6401605 SH DFND 6401605 0 0 SUNDIAL GROWERS INC COM 86730L109 49 203101 SH DFND 203101 0 0 SURGERY PARTNERS INC COM 86881A100 51 25000 SH Call DFND 25000 0 0 SUSTAINABLE OPPORTNTS ACQ CO UNIT 99/99/9999 G8598Y125 1110 100000 SH DFND 100000 0 0 SWITCH INC CL A 87105L104 6 8500 SH Put DFND 8500 0 0 SWITCH INC CL A 87105L104 35 2272 SH DFND 2272 0 0 SYNDAX PHARMACEUTICALS INC COM 87164F105 61 20200 SH Put DFND 20200 0 0 SYNDAX PHARMACEUTICALS INC COM 87164F105 191 12946 SH DFND 12946 0 0 TAUBMAN CTRS INC COM 876664103 999 30000 SH DFND 30000 0 0 TAUBMAN CTRS INC COM 876664103 289 93600 SH Put DFND 93600 0 0 TAUBMAN CTRS INC COM 876664103 4 19000 SH Call DFND 19000 0 0 TEGNA INC COM 87901J105 3 50000 SH Call DFND 50000 0 0 TELA BIO INC COM 872381108 6765 409004 SH DFND 3 409004 0 0 TENZING ACQUISITION CORP ORD SHS G8708A116 264 24600 SH DFND 24600 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 11 61100 SH Call DFND 61100 0 0 THUNDER BRDG ACQUISTION II L CL A SHS G8857S116 643 63058 SH DFND 63058 0 0 THUNDER BRDG ACQUISTION II L *W EXP 11/30/202 G8857S108 135 100015 SH DFND 100015 0 0 TIFFANY & CO NEW COM 886547108 1165 750600 SH Call DFND 750600 0 0 TIFFANY & CO NEW COM 886547108 1964 993800 SH Put DFND 993800 0 0 TILRAY INC COM CL 2 88688T100 62 411600 SH Call DFND 411600 0 0 TILRAY INC COM CL 2 88688T100 1656 1168600 SH Put DFND 1168600 0 0 TOLL BROTHERS INC COM 889478103 308 6334 SH DFND 6334 0 0 TOLL BROTHERS INC COM 889478103 60 115200 SH Call DFND 115200 0 0 TORTOISE ACQUISITION CORP CL A 89154L100 1495 30000 SH DFND 3 30000 0 0 TORTOISE ACQUISITION CORP CL A 89154L100 24 480 SH DFND 480 0 0 TORTOISE ACQUISITION CORP CL A 89154L100 1037 84300 SH Call DFND 84300 0 0 TORTOISE ACQUISITION CORP *W EXP 03/04/202 89154L118 1056 41396 SH DFND 41396 0 0 TORTOISE ACQUISITION CORP CL A 89154L100 1168 123400 SH Put DFND 123400 0 0 TORTOISE ACQUISITION CORP II UNIT 06/14/2027 G89554110 544 50000 SH DFND 50000 0 0 TREBIA ACQUISITION CORP COM CL A G9027T109 10180 1000000 SH DFND 3 1000000 0 0 TREBIA ACQUISITION CORP *W EXP 99/99/999 G9027T117 133 88530 SH DFND 88530 0 0 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 10 28166 SH DFND 3 28166 0 0 TRINE ACQUISITION CORP *W EXP 03/31/202 89628U116 36 13826 SH DFND 13826 0 0 UBER TECHNOLOGIES INC COM 90353T100 299 135900 SH Call DFND 135900 0 0 UNION PAC CORP COM 907818108 3574 18155 SH DFND 18155 0 0 UNION PAC CORP COM 907818108 88 32400 SH Put DFND 32400 0 0 UNIQURE NV SHS N90064101 580 15745 SH DFND 15745 0 0 US BANCORP DEL COM NEW 902973304 99 254900 SH Call DFND 254900 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 7497 43038 SH DFND 43038 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 2265 69200 SH Call DFND 69200 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 472 103000 SH Put DFND 103000 0 0 VARIAN MED SYS INC COM 92220P105 59 78500 SH Call DFND 78500 0 0 VECTOR ACQUISITION CORP UNIT 09/30/2027 G9442R100 239 23588 SH DFND 23588 0 0 VEDANTA LIMITED SPONSORED ADR 92242Y100 23 44700 SH Call DFND 44700 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 267 13904 SH DFND 13904 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 229 56000 SH Call DFND 56000 0 0 VISA INC COM CL A 92826C839 17 87 SH DFND 87 0 0 VISA INC COM CL A 92826C839 3 13600 SH Call DFND 13600 0 0 VISTAS MEDIA ACQUISITION CO UNIT 08/03/2025 92840T206 3235 320296 SH DFND 320296 0 0 WELLS FARGO CO NEW COM 949746101 3 100000 SH Call DFND 100000 0 0 WELLS FARGO CO NEW COM 949746101 19 820 SH DFND 820 0 0 WPX ENERGY INC COM 98212B103 50 10115 SH DFND 10115 0 0 WRIGHT MED GROUP N V ORD SHS N96617118 2306 75500 SH DFND 75500 0 0 YUCAIPA ACQUISITION CORP UNIT 99/99/9999 G9879L121 765 75000 SH DFND 3 75000 0 0 YUCAIPA ACQUISITION CORP COM G9879L105 101 10163 SH DFND 10163 0 0