Chief Compliance Officer

0001085146-21-001440.txt : 20210504 0001085146-21-001440.hdr.sgml : 20210504 20210504141757 ACCESSION NUMBER: 0001085146-21-001440 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210504 DATE AS OF CHANGE: 20210504 EFFECTIVENESS DATE: 20210504 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: 21887665 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 03-31-2021 03-31-2021 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 Chief Compliance Officer 646-562-1727 /s/ Steven Cohen New York NY 05-03-2021 1 547 1454717 false 3 0001771015 028-19614 Cowen Financial Products LLC INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 10X CAPITAL VENTURE ACQU COR COM CL A 88025V107 208 20779 SH DFND 20779 0 0 180 LIFE SCIENCES CORP COM 68236V104 72 39800 SH Call DFND 39800 0 0 21VIANET GROUP INC SPONSORED ADS A 90138A103 75 677400 SH Call DFND 677400 0 0 7GC & CO HOLDINGS INC *W EXP 12/23/202 81786A115 124 163798 SH DFND 3 163798 0 0 7GC & CO HOLDINGS INC COM CL A 81786A107 2473 300000 SH DFND 3 300000 0 0 890 5TH AVE PARTNERS INC COM CL A 28250A105 702 72412 SH DFND 72412 0 0 890 5TH AVE PARTNERS INC UNIT 01/12/2026 28250A204 394 39611 SH DFND 39611 0 0 ACADIA PHARMACEUTICALS INC COM 004225108 194 7500 SH DFND 7500 0 0 ACADIA PHARMACEUTICALS INC COM 004225108 2 2300 SH Call DFND 2300 0 0 ACADIA PHARMACEUTICALS INC COM 004225108 148 7500 SH Put DFND 7500 0 0 ACE CONVERGENCE ACQU CORP CL A G0083D120 2244 225109 SH DFND 225109 0 0 ACON S2 ACQUISITION CORP CL SHS G00748106 1874 191000 SH DFND 3 191000 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 53 150000 SH Call DFND 150000 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 15 75000 SH Put DFND 75000 0 0 AEA-BRIDGES IMPACT CORP *W EXP 09/19/202 G01046112 319 354730 SH DFND 354730 0 0 AEA-BRIDGES IMPACT CORP SHS CL A G01046104 1394 142000 SH DFND 3 142000 0 0 AEQUI ACQUISITION CORP *W EXP 11/30/202 00775W110 189 198514 SH DFND 198514 0 0 AEQUI ACQUISITION CORP COM CL A 00775W102 1945 201538 SH DFND 201538 0 0 AEQUI ACQUISITION CORP UNIT 11/30/2027 00775W201 821 82063 SH DFND 82063 0 0 AEROJET ROCKETDYNE HLDGS INC COM 007800105 8 33200 SH Call DFND 33200 0 0 AERSALE CORPORATION *W EXP 12/22/202 00810F114 279 126166 SH DFND 126166 0 0 AERSALE CORPORATION COM 00810F106 2198 178803 SH DFND 178803 0 0 AGIOS PHARMACEUTICALS INC COM 00847X104 137 20900 SH Call DFND 20900 0 0 AGIOS PHARMACEUTICALS INC COM 00847X104 74 24400 SH Put DFND 24400 0 0 AIR LEASE CORP CL A 00912X302 51 11100 SH Call DFND 11100 0 0 AIR LEASE CORP CL A 00912X302 31 21100 SH Put DFND 21100 0 0 AJAX I *W EXP 10/27/202 G0190X126 87 51362 SH DFND 51362 0 0 AJAX I COM G0190X100 368 35822 SH DFND 35822 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 3143 20554 SH DFND 20554 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 422 48500 SH Put DFND 48500 0 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 38 268 SH DFND 268 0 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 17 6000 SH Call DFND 6000 0 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 18 5000 SH Put DFND 5000 0 0 ALPHA HEALTHCARE ACQUISTN CO *W EXP 09/21/202 020751111 487 167525 SH DFND 167525 0 0 ALTIMAR ACQUISITION CORP II UNIT 99/99/9999 G03709113 255 25000 SH DFND 25000 0 0 AMC ENTMT HLDGS INC CL A COM 00165C104 1955 191450 SH DFND 191450 0 0 AMC ENTMT HLDGS INC CL A COM 00165C104 14 208000 SH Put DFND 208000 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 49 2055 SH DFND 2055 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 48 121400 SH Put DFND 121400 0 0 AMGEN INC COM 031162100 204 4500 SH Call DFND 4500 0 0 AMGEN INC COM 031162100 10 4500 SH Put DFND 4500 0 0 AMICUS THERAPEUTICS INC COM 03152W109 99 10000 SH DFND 10000 0 0 AMICUS THERAPEUTICS INC COM 03152W109 101 160600 SH Call DFND 160600 0 0 AMICUS THERAPEUTICS INC COM 03152W109 99 74900 SH Put DFND 74900 0 0 ANDINA ACQUISITION CORP III SHS G04415108 4 409967 SH DFND 409967 0 0 ANDINA ACQUISITION CORP III UNIT 09/24/2020 G04415116 1127 92157 SH DFND 92157 0 0 ANIKA THERAPEUTICS INC COM 035255108 64 73000 SH Call DFND 73000 0 0 AON PLC SHS CL A G0403H108 226 981 SH DFND 981 0 0 APHRIA INC COM 03765K104 1299 70713 SH DFND 70713 0 0 APOLLO STRATEGIC GROWTH CAPT *W EXP 10/29/202 G0411R114 153 121237 SH DFND 121237 0 0 APPHARVEST INC COM 03783T103 7173 391943 SH DFND 391943 0 0 APYX MEDICAL CORPORATION COM 03837C106 5043 522042 SH DFND 3 522042 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 71 21400 SH DFND 21400 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 1550 465317 SH DFND 3 465317 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 7 32400 SH Call DFND 32400 0 0 ARBUTUS BIOPHARMA CORP COM 03879J100 79 37500 SH Put DFND 37500 0 0 ARGENX SE SPONSORED ADR 04016X101 544 1975 SH DFND 1975 0 0 ARGENX SE SPONSORED ADR 04016X101 11 4500 SH Call DFND 4500 0 0 ARGENX SE SPONSORED ADR 04016X101 169 3400 SH Put DFND 3400 0 0 ARRIVAL GROUP SHS L0423Q108 1194 74323 SH DFND 3 74323 0 0 ARTIUS ACQUISITION INC COM CL A 04316G105 1294 128079 SH DFND 128079 0 0 ARTIUS ACQUISITION INC COM CL A 04316G105 291 160300 SH Put DFND 160300 0 0 ASCENDIS PHARMA A/S SPONSORED ADR 04351P101 61 10900 SH Call DFND 10900 0 0 ASCENDIS PHARMA A/S SPONSORED ADR 04351P101 59 8800 SH Put DFND 8800 0 0 ATHLON ACQUISITION CORP *W EXP 01/12/202 04748A114 15 28328 SH DFND 28328 0 0 ATLANTIC AVE ACQUISITION COR *W EXP 10/06/202 04906P119 557 752216 SH DFND 752216 0 0 ATLAS CREST INVESTMENT CORP UNIT 99/99/9999 049287204 2001 200000 SH DFND 3 200000 0 0 AURINIA PHARMACEUTICALS INC COM 05156V102 270 20776 SH DFND 20776 0 0 AURINIA PHARMACEUTICALS INC COM 05156V102 3 25000 SH Call DFND 25000 0 0 AURINIA PHARMACEUTICALS INC COM 05156V102 52 25000 SH Put DFND 25000 0 0 AURORA ACQUISITION CORP UNIT 03/02/2026 G0698L111 349 33700 SH DFND 33700 0 0 AURORA CANNABIS INC COM 05156X884 9 96400 SH Call DFND 96400 0 0 AVADEL PHARMACEUTICALS PLC SPONSORED ADR 05337M104 22560 2495573 SH DFND 3 2495573 0 0 AVANTI ACQUISITION CORP *W EXP 99/99/999 G0682V125 145 138080 SH DFND 138080 0 0 BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 05946K101 5220 1000000 SH DFND 1000000 0 0 BANCO SANTANDER S.A. ADR 05964H105 3531 1029560 SH DFND 1029560 0 0 BANDWIDTH INC COM CL A 05988J103 801 6322 SH DFND 6322 0 0 BANDWIDTH INC COM CL A 05988J103 42 7400 SH Call DFND 7400 0 0 BANDWIDTH INC COM CL A 05988J103 13 2700 SH Put DFND 2700 0 0 BARCLAYS BANK PLC IPTH SR B S&P 06746P621 1149 100800 SH DFND 100800 0 0 BEIGENE LTD SPONSORED ADR 07725L102 1748 11800 SH Call DFND 11800 0 0 BETTER WORLD ACQUISITION COR *W EXP 11/15/202 08772B112 564 541943 SH DFND 541943 0 0 BETTER WORLD ACQUISITION COR COM 08772B104 413 41500 SH DFND 41500 0 0 BETTER WORLD ACQUISITION COR COM 08772B104 1493 150000 SH DFND 3 150000 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 769 10181 SH DFND 10181 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 20 15000 SH Call DFND 15000 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 153 15000 SH Put DFND 15000 0 0 BIO-TECHNE CORP COM 09073M104 1667 4364 SH DFND 4364 0 0 BIO-TECHNE CORP COM 09073M104 82 10000 SH Put DFND 10000 0 0 BK OF AMERICA CORP COM 060505104 395 10201 SH DFND 10201 0 0 BK OF AMERICA CORP COM 060505104 1266 199000 SH Call DFND 199000 0 0 BLINK CHARGING CO COM 09354A100 2055 50000 SH DFND 3 50000 0 0 BLINK CHARGING CO COM 09354A100 6177 150300 SH DFND 150300 0 0 BLINK CHARGING CO COM 09354A100 674 150300 SH Put DFND 150300 0 0 BLUEBIRD BIO INC COM 09609G100 130 4303 SH DFND 4303 0 0 BLUEBIRD BIO INC COM 09609G100 16 9300 SH Put DFND 9300 0 0 BOSTON SCIENTIFIC CORP COM 101137107 5400 139705 SH DFND 139705 0 0 BOSTON SCIENTIFIC CORP COM 101137107 168 209500 SH Call DFND 209500 0 0 BOSTON SCIENTIFIC CORP COM 101137107 448 209800 SH Put DFND 209800 0 0 BOWX ACQUISITION CORP *W EXP 08/03/202 103085114 234 109483 SH DFND 109483 0 0 BRAINSWAY LTD SPONSORED ADS 10501L106 8838 978759 SH DFND 3 978759 0 0 BREEZE HOLDINGS ACQUISITN CO *W EXP 05/25/202 106762115 14 20000 SH DFND 20000 0 0 BRIDGEBIO PHARMA INC COM 10806X102 32 21000 SH Call DFND 21000 0 0 BRIGHT LIGHTS ACQUISITION CO *W EXP 01/01/202 10920K119 44 70300 SH DFND 70300 0 0 BRILLIANT ACQUISITION CORP *W EXP 03/31/202 G1643W129 11 19601 SH DFND 19601 0 0 BROOKFIELD PPTY REIT INC CL A 11282X103 1452 80885 SH DFND 80885 0 0 BTRS HOLDINGS INC *W EXP 01/12/202 11778X112 49 10284 SH DFND 10284 0 0 BUILD ACQUISITION CORP UNIT 99/99/9999 12008J204 343 34702 SH DFND 34702 0 0 BULL HORN HLDGS CORP *W EXP 10/31/202 G1686P122 34 78675 SH DFND 78675 0 0 BURGUNDY TECHNOLOGY ACQU COR *W EXP 08/31/202 G1702T124 63 59090 SH DFND 59090 0 0 BURGUNDY TECHNOLOGY ACQU COR CL A G1702T116 1367 138189 SH DFND 138189 0 0 BURGUNDY TECHNOLOGY ACQU COR CL A G1702T116 1484 150000 SH DFND 3 150000 0 0 CAESARS ENTERTAINMENT INC NE COM 12769G100 110 84000 SH Put DFND 84000 0 0 CANADIAN PAC RY LTD COM 13645T100 7703 20310 SH DFND 20310 0 0 CANADIAN PAC RY LTD COM 13645T100 35 49500 SH Put DFND 49500 0 0 CAPITAL ONE FINL CORP COM 14040H105 698 137300 SH Call DFND 137300 0 0 CAPITAL ONE FINL CORP COM 14040H105 4 600 SH Put DFND 600 0 0 CAPITOL INVESTMENT CORP V *W EXP 99/99/999 14064F118 34 25000 SH DFND 25000 0 0 CAPSTAR SPL PURP ACQUISITION *W EXP 99/99/999 14070Y119 44 61818 SH DFND 61818 0 0 CARA THERAPEUTICS INC COM 140755109 562 25892 SH DFND 25892 0 0 CARA THERAPEUTICS INC COM 140755109 162 99400 SH Call DFND 99400 0 0 CARA THERAPEUTICS INC COM 140755109 11 21300 SH Put DFND 21300 0 0 CARNEY TECHNOLOGY ACQU CORP CL A COMMON STK 143636108 376 38843 SH DFND 38843 0 0 CASCADE ACQUISITION CORP *W EXP 11/30/202 147151112 18 20300 SH DFND 20300 0 0 CBRE ACQUISITION HLDGS INC COM CL A 12510J106 1706 175000 SH DFND 3 175000 0 0 CC NEUBERGER PRIN HLDGS II SHS CL A G3166T103 1972 200000 SH DFND 3 200000 0 0 CC NEUBERGER PRIN HLDGS II SHS CL A G3166T103 144 14588 SH DFND 14588 0 0 CC NEUBERGER PRINCIPAL HOLDN UNIT 99/99/9999 G1992N118 1998 200000 SH DFND 3 200000 0 0 CERBERUS TELECOM ACQUISITION *W EXP 99/99/999 G2040C120 31 29806 SH DFND 29806 0 0 CERBERUS TELECOM ACQUISITION SHS CL A G2040C104 1733 175000 SH DFND 3 175000 0 0 CERUS CORP COM 157085101 68 11233 SH DFND 11233 0 0 CF ACQUISITION CORP IV *W EXP 12/31/202 12520T110 43 49167 SH DFND 49167 0 0 CF ACQUISITION CORP IV COM CL A 12520T102 2363 241533 SH DFND 3 241533 0 0 CF ACQUISITION CORP V *W EXP 01/25/202 12520R114 46 67340 SH DFND 3 67340 0 0 CF ACQUISITION CORP V *W EXP 01/25/202 12520R114 5 7033 SH DFND 7033 0 0 CF ACQUISITION CORP V CL A 12520R106 1992 202022 SH DFND 3 202022 0 0 CHANGE HEALTHCARE INC UNIT 99/99/9999 15912K209 3277 43796 SH DFND 43796 0 0 CHARDAN HEALTHCR ACQSTN 2 CO *W EXP 03/05/202 15957T115 21 21977 SH DFND 21977 0 0 CHARDAN HEALTHCR ACQSTN 2 CO COM 15957T107 1396 138896 SH DFND 3 138896 0 0 CHARGEPOINT HOLDINGS INC COM CL A 15961R105 2170 81261 SH DFND 81261 0 0 CHARGEPOINT HOLDINGS INC COM CL A 15961R105 175 113600 SH Put DFND 113600 0 0 CHESAPEAKE ENERGY CORP *W EXP 03/01/202 165167180 740 43510 SH DFND 43510 0 0 CHESAPEAKE ENERGY CORP *W EXP 99/99/999 165167172 422 21383 SH DFND 21383 0 0 CHP MERGER CORP COM CL A 12558Y106 99 10000 SH DFND 10000 0 0 CHURCHILL CAP CORP II CL A 17143G106 1250 125000 SH DFND 125000 0 0 CHURCHILL CAP CORP II CL A 17143G106 4 52000 SH Call DFND 52000 0 0 CHURCHILL CAPITAL CORP IV CL A 171439102 580 25000 SH DFND 25000 0 0 CHURCHILL CAPITAL CORP IV CL A 171439102 1457 25000 SH Put DFND 25000 0 0 CITIC CAPITAL ACQUISITION CO *W EXP 01/17/202 G21513117 63 56934 SH DFND 56934 0 0 CITIC CAPITAL ACQUISITION CO COM CL A G21513109 10000 1000000 SH DFND 3 1000000 0 0 CITIC CAPITAL ACQUISITION CO COM CL A G21513109 705 70497 SH DFND 70497 0 0 CITIGROUP INC COM NEW 172967424 780 10721 SH DFND 10721 0 0 CITIGROUP INC COM NEW 172967424 669 50000 SH Call DFND 50000 0 0 CITIGROUP INC COM NEW 172967424 136 16900 SH Put DFND 16900 0 0 CLASS ACCELERATION CORP *W EXP 03/31/202 18274B114 88 142711 SH DFND 142711 0 0 CLASS ACCELERATION CORP COM 18274B106 97 10000 SH DFND 10000 0 0 CLEANSPARK INC COM NEW 18452B209 2382 100000 SH DFND 3 100000 0 0 CLEVER LEAVES HOLDINGS INC COM 186760104 146 14204 SH DFND 14204 0 0 CLIMATE CHANGE CRISIS REAL I CL A COM 18716C100 685 50000 SH DFND 3 50000 0 0 COHERENT INC COM 192479103 68 25000 SH Call DFND 25000 0 0 COHERUS BIOSCIENCES INC COM 19249H103 109 7479 SH DFND 7479 0 0 COHERUS BIOSCIENCES INC COM 19249H103 1 15000 SH Call DFND 15000 0 0 COHERUS BIOSCIENCES INC COM 19249H103 8 15300 SH Put DFND 15300 0 0 COHN ROBBINS HOLDINGS CORP *W EXP 08/28/202 G23726113 82 68152 SH DFND 68152 0 0 COHN ROBBINS HOLDINGS CORP COM CL A G23726105 327 33304 SH DFND 33304 0 0 COLICITY INC UNIT 02/24/2026 194170205 7070 700000 SH DFND 3 700000 0 0 COLICITY INC UNIT 02/24/2026 194170205 551 54527 SH DFND 54527 0 0 COLLECTIVE GROWTH CORP COM CL A 19424L101 2490 250000 SH DFND 3 250000 0 0 COLONNADE ACQUISITION CORP I UNIT 99/99/9999 G2284B127 167 16970 SH DFND 16970 0 0 CONCORD ACQUISITION CORP *W EXP 12/28/202 206071110 471 523030 SH DFND 523030 0 0 CONSONANCE HFW ACQUISITION C UNIT 99/99/9999 G2445M129 826 84653 SH DFND 84653 0 0 CONSTELLATION PHARMCETICLS I COM 210373106 113 4813 SH DFND 4813 0 0 CONSTELLATION PHARMCETICLS I COM 210373106 18 30700 SH Call DFND 30700 0 0 CONSTELLATION PHARMCETICLS I COM 210373106 30 29700 SH Put DFND 29700 0 0 CONX CORP *W EXP 10/30/202 212873111 137 111555 SH DFND 111555 0 0 CORELOGIC INC COM 21871D103 14 47500 SH Call DFND 47500 0 0 CRUCIBLE ACQUISITION CORP *W EXP 12/26/202 22877P116 274 196889 SH DFND 196889 0 0 D8 HOLDINGS CORP SHS CL A G2614K110 994 100000 SH DFND 3 100000 0 0 DASEKE INC *W EXP 02/27/202 23753F115 455 1340298 SH DFND 1340298 0 0 DBV TECHNOLOGIES S A SPONSORED ADR 23306J101 1412 264895 SH DFND 264895 0 0 DECARBONIZATION PLUS ACQU CO COM CL A 242797108 922 87900 SH DFND 3 87900 0 0 DECIPHERA PHARMACEUTICALS IN COM 24344T101 364 8109 SH DFND 8109 0 0 DECIPHERA PHARMACEUTICALS IN COM 24344T101 47 30000 SH Call DFND 30000 0 0 DECIPHERA PHARMACEUTICALS IN COM 24344T101 124 30000 SH Put DFND 30000 0 0 DEEP LAKE CAPITAL ACQUSTN CO *W EXP 01/04/202 G27029118 61 102122 SH DFND 102122 0 0 DEEP LAKE CAPITAL ACQUSTN CO CL A SHS G27029100 490 50000 SH DFND 50000 0 0 DELWINDS INS ACQUISITION COR UNIT 99/99/9999 24803C201 611 61208 SH DFND 61208 0 0 DEXCOM INC COM 252131107 1283 3571 SH DFND 3571 0 0 DFP HEALTHCARE ACQUISITNS CO *W EXP 03/31/202 23343Q118 22 16000 SH DFND 16000 0 0 DICERNA PHARMACEUTICALS INC COM 253031108 35 10000 SH Call DFND 10000 0 0 DICERNA PHARMACEUTICALS INC COM 253031108 8 10000 SH Put DFND 10000 0 0 DICKS SPORTING GOODS INC COM 253393102 77 39500 SH Put DFND 39500 0 0 DISCOVERY INC COM SER A 25470F104 1128 25962 SH DFND 25962 0 0 DISCOVERY INC COM SER A 25470F104 5 37800 SH Call DFND 37800 0 0 DISCOVERY INC COM SER A 25470F104 372 50600 SH Put DFND 50600 0 0 DISH NETWORK CORPORATION CL A 25470M109 13 50000 SH Call DFND 50000 0 0 DOVER CORP COM 260003108 60 8300 SH Call DFND 8300 0 0 DOVER CORP COM 260003108 8 3800 SH Put DFND 3800 0 0 DRAGONEER GROWTH OPPORTUN CO *W EXP 08/18/202 G28302118 88 55280 SH DFND 55280 0 0 EASTMAN KODAK CO COM NEW 277461406 394 50000 SH DFND 50000 0 0 EASTMAN KODAK CO COM NEW 277461406 223 50000 SH Put DFND 50000 0 0 EDITAS MEDICINE INC COM 28106W103 7 24200 SH Call DFND 24200 0 0 EDTECHX HOLDINGS ACQU CORP I *W EXP 06/15/202 28139A110 5 10000 SH DFND 10000 0 0 EMPOWERMENT & INCLUSION CAPI COM CL A 29248N100 1695 175324 SH DFND 175324 0 0 ENEL AMERICAS S A SPONSORED ADR 29274F104 4653 548700 SH DFND 548700 0 0 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 48 48500 SH Call DFND 48500 0 0 ENVIRONMENTAL IMPACT ACQU CO *W EXP 09/30/202 29408N114 40 46234 SH DFND 46234 0 0 ENVIRONMENTAL IMPACT ACQU CO COM CL A 29408N106 2907 300000 SH DFND 3 300000 0 0 EQUINIX INC COM 29444U700 104 3500 SH Call DFND 3500 0 0 EQUINIX INC COM 29444U700 126 3500 SH Put DFND 3500 0 0 EQUITY DISTR ACQUISITION COR *W EXP 09/09/202 29465E114 208 192497 SH DFND 192497 0 0 EQUITY DISTR ACQUISITION COR COM CL A 29465E106 1978 199600 SH DFND 3 199600 0 0 ESPERION THERAPEUTICS INC NE COM 29664W105 200 7139 SH DFND 7139 0 0 ESPERION THERAPEUTICS INC NE COM 29664W105 95 22500 SH Put DFND 22500 0 0 ESTABLISHMENT LABS HLDGS INC COM G31249108 24140 386047 SH DFND 3 386047 0 0 EUCRATES BIOMEDICAL ACQU COR *W EXP 10/23/202 G3141W122 60 47922 SH DFND 47922 0 0 EUCRATES BIOMEDICAL ACQU COR SHS G3141W106 652 65296 SH DFND 65296 0 0 EUROPEAN SUSTAINABLE GROWTH *W EXP 01/21/202 G3194F117 24 39836 SH DFND 39836 0 0 EUROPEAN SUSTAINABLE GROWTH CL A SHS G3194F109 346 35600 SH DFND 35600 0 0 EXAGEN INC COM 30068X103 7907 451821 SH DFND 3 451821 0 0 EXTENDED STAY AMER INC UNIT 99/99/9999B 30224P200 46 168700 SH Call DFND 168700 0 0 FAR PEAK ACQUISITION CORP SHS CL A G3312L103 295 30227 SH DFND 30227 0 0 FARFETCH LTD ORD SH CL A 30744W107 24 29800 SH Call DFND 29800 0 0 FAST ACQUISITION CORP II UNIT 03/16/2026 311874200 410 41279 SH DFND 41279 0 0 FG NEW AMER ACQUISITION CORP *W EXP 08/31/202 30259V114 30 19462 SH DFND 19462 0 0 FIFTH THIRD BANCORP COM 316773100 1113 29707 SH DFND 29707 0 0 FINSERV ACQUISITION CORP CL A 318085107 233 17820 SH DFND 17820 0 0 FINSERV ACQUISITION CORP CL A 318085107 7 92200 SH Call DFND 92200 0 0 FINTECH ACQUISITION CORP V COM CL A 31810Q107 1042 92940 SH DFND 3 92940 0 0 FIRSTENERGY CORP COM 337932107 75 2162 SH DFND 2162 0 0 FIRSTENERGY CORP COM 337932107 113 94900 SH Call DFND 94900 0 0 FIVE PRIME THERAPEUTICS INC COM 33830X104 7 90200 SH Call DFND 90200 0 0 FLAME ACQUISITION CORP UNIT 99/99/9999 33850F207 2483 250000 SH DFND 3 250000 0 0 FORESIGHT ACQUISITION CORP UNIT 01/29/2026 34552Y205 4955 500000 SH DFND 3 500000 0 0 FORESIGHT ACQUISITION CORP UNIT 01/29/2026 34552Y205 1719 173440 SH DFND 173440 0 0 FORTISTAR SUSTAINABLE SOL CO *W EXP 01/14/202 34962M114 75 106746 SH DFND 106746 0 0 FORTISTAR SUSTAINABLE SOL CO UNIT 01/14/2026 34962M205 544 54892 SH DFND 54892 0 0 FORTISTAR SUSTAINABLE SOL CO UNIT 01/14/2026 34962M205 1982 200000 SH DFND 3 200000 0 0 FORTRESS VALUE ACQUIS CORP I COM CL A 34964G107 1977 199960 SH DFND 3 199960 0 0 FRAZIER LIFESCIENCES ACQU CO CL A SHS G3710A105 243 24397 SH DFND 24397 0 0 FREEPORT-MCMORAN INC CL B 35671D857 1361 41315 SH DFND 41315 0 0 FREEPORT-MCMORAN INC CL B 35671D857 26 10000 SH Call DFND 10000 0 0 FREEPORT-MCMORAN INC CL B 35671D857 47 20000 SH Put DFND 20000 0 0 FTAC HERA ACQUISITION CORP UNIT 02/28/2026 G3728Y129 102 10242 SH DFND 10242 0 0 FTAC OLYMPUS ACQUISITION COR CL A SHS G37288100 347 32871 SH DFND 32871 0 0 FULCRUM THERAPEUTICS INC COM 359616109 10388 881832 SH DFND 3 881832 0 0 FUSION ACQUISITION CORP CL A 36118H105 10272 1031309 SH DFND 3 1031309 0 0 GABELLI UTIL TR RIGHT 04/14/2021 36240A168 6 50000 SH DFND 50000 0 0 GAMESTOP CORP NEW CL A 36467W109 21 111 SH DFND 111 0 0 GAMESTOP CORP NEW CL A 36467W109 18 69000 SH Put DFND 69000 0 0 GENERAL ELECTRIC CO COM 369604103 15 1166 SH DFND 1166 0 0 GENERAL ELECTRIC CO COM 369604103 2012 373100 SH Call DFND 373100 0 0 GENERAL ELECTRIC CO COM 369604103 540 732700 SH Put DFND 732700 0 0 GENERAL MTRS CO COM 37045V100 170 30000 SH Call DFND 30000 0 0 GLOBAL SYNERGY ACQUISIT CORP *W EXP 99/99/999 G3934J122 63 125000 SH DFND 3 125000 0 0 GLOBAL SYNERGY ACQUISIT CORP CL A SHS G3934J106 2430 250500 SH DFND 3 250500 0 0 GLRY STR NW MDIA GRUP HLDG L *W EXP 02/13/202 G39973113 13 85000 SH DFND 85000 0 0 GLU MOBILE INC COM 379890106 79 763100 SH Call DFND 763100 0 0 GO ACQUISITION CORP *W EXP 08/31/202 362019119 499 554698 SH DFND 554698 0 0 GOAL ACQUISITIONS CORP *W EXP 02/11/202 38021H115 44 100600 SH DFND 100600 0 0 GOLDEN FALCON ACQUISITION CO *W EXP 11/04/202 38102H117 68 96286 SH DFND 96286 0 0 GOLDEN FALCON ACQUISITION CO CL A 38102H109 831 85956 SH DFND 85956 0 0 GOODYEAR TIRE & RUBR CO COM 382550101 1 16800 SH Call DFND 16800 0 0 GORES HLDGS V INC *W EXP 08/05/202 382864114 47 30000 SH DFND 30000 0 0 GORES METROPOULOS II INC UNIT 01/31/2028 382873206 2020 200000 SH DFND 3 200000 0 0 GREENLANE HLDGS INC CL A 395330103 1786 336686 SH DFND 336686 0 0 GREENROSE ACQUISITION CORP *W EXP 08/11/202 395392111 17 20000 SH DFND 20000 0 0 GRUBHUB INC COM 400110102 343 5714 SH DFND 5714 0 0 GW PHARMACEUTICALS PLC ADS 36197T103 1916 39300 SH Call DFND 39300 0 0 H I G ACQUISITION CORP *W EXP 99/99/999 G44898123 26 25000 SH DFND 25000 0 0 HALOZYME THERAPEUTICS INC COM 40637H109 313 7513 SH DFND 7513 0 0 HALOZYME THERAPEUTICS INC COM 40637H109 25 25000 SH Put DFND 25000 0 0 HANESBRANDS INC COM 410345102 2 101 SH DFND 101 0 0 HANESBRANDS INC COM 410345102 2 37500 SH Put DFND 37500 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 296 95000 SH Call DFND 95000 0 0 HARTFORD FINL SVCS GROUP INC COM 416515104 200 82500 SH Put DFND 82500 0 0 HIGHCAPE CAP ACQUISITION COR COM CL A 42984L105 692 58034 SH DFND 58034 0 0 HIGHCAPE CAP ACQUISITION COR COM CL A 42984L105 4 71100 SH Call DFND 71100 0 0 HIGHCAPE CAP ACQUISITION COR COM CL A 42984L105 73 76700 SH Put DFND 76700 0 0 HORIZON ACQUISITION CORPORAT SHS CL A G46044106 122 11934 SH DFND 11934 0 0 HOUSTON WIRE & CABLE CO COM 44244K109 157 30000 SH DFND 30000 0 0 HUDSON EXECUTIVE INVES III UNIT 02/22/2026 44376L206 368 37066 SH DFND 37066 0 0 HUDSON EXECUTIVE INVS CORP I *W EXP 01/31/202 443760111 39 50000 SH DFND 3 50000 0 0 HUDSON EXECUTIVE INVS CORP I *W EXP 01/31/202 443760111 4 5000 SH DFND 5000 0 0 HUDSON EXECUTIVE INVS CORP I COM CL A 443760103 1022 100000 SH DFND 3 100000 0 0 HUDSON EXECUTIVE INVT CORP *W EXP 06/21/202 443761119 60 41122 SH DFND 41122 0 0 HUDSON EXECUTIVE INVT CORP COM CL A 443761101 8837 890804 SH DFND 3 890804 0 0 HUMANIGEN INC COM NEW 444863203 40 2097 SH DFND 2097 0 0 HUMANIGEN INC COM NEW 444863203 29 15200 SH Call DFND 15200 0 0 II-VI INC COM 902104108 9 23500 SH Call DFND 23500 0 0 INDUSTRIAL TECH ACQU INC COM CL A 456357102 389 38835 SH DFND 38835 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 59 13100 SH Call DFND 13100 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 47 13100 SH Put DFND 13100 0 0 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1410 26600 SH DFND 3 26600 0 0 INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 1253 10375 SH DFND 3 10375 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 246687 787250 SH DFND 3 787250 0 0 ION ACQUISITION CORP 1 LTD *W EXP 10/05/202 G49392114 1583 697500 SH DFND 697500 0 0 IONIS PHARMACEUTICALS INC COM 462222100 318 7081 SH DFND 7081 0 0 IONIS PHARMACEUTICALS INC COM 462222100 33 40300 SH Call DFND 40300 0 0 IONIS PHARMACEUTICALS INC COM 462222100 210 15900 SH Put DFND 15900 0 0 IQIYI INC SPONSORED ADS 46267X108 3307 198955 SH DFND 198955 0 0 IQIYI INC SPONSORED ADS 46267X108 51 117300 SH Call DFND 117300 0 0 IQIYI INC SPONSORED ADS 46267X108 285 369500 SH Put DFND 369500 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 81 160000 SH Call DFND 160000 0 0 ISHARES TR CHINA LG-CAP ETF 464287184 63 50000 SH Put DFND 50000 0 0 ISHARES TR IBOXX HI YD ETF 464288513 265027 3040000 SH DFND 3 3040000 0 0 ISHARES TR IBOXX INV CP ETF 464287242 107291 825000 SH DFND 3 825000 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 258 134300 SH Call DFND 134300 0 0 ISHARES TR MSCI EMG MKT ETF 464287234 190 150000 SH Put DFND 150000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 92006 416430 SH DFND 3 416430 0 0 ITEOS THERAPEUTICS INC COM 46565G104 20106 588238 SH DFND 3 588238 0 0 JAWS MUSTANG ACQUISITION COR *W EXP 01/30/202 G50737124 20 17400 SH DFND 17400 0 0 JAWS MUSTANG ACQUISITION COR UNIT 99/99/9999 G50737116 1523 150000 SH DFND 3 150000 0 0 JAWS SPITFIRE ACQUISITION CO *W EXP 12/01/202 G50740110 576 293745 SH DFND 293745 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 2184 8274 SH DFND 8274 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 127 13200 SH Call DFND 13200 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 6 4900 SH Put DFND 4900 0 0 KERNEL GROUP HOLDINGS INC *W EXP 02/02/202 G5259L129 11 12515 SH DFND 12515 0 0 KEYCORP COM 493267108 89 17800 SH Call DFND 17800 0 0 KINGSWOOD ACQUISITION CORP *W EXP 05/01/202 496861113 137 258266 SH DFND 258266 0 0 KINGSWOOD ACQUISITION CORP COM CL A 496861105 399 40105 SH DFND 40105 0 0 KISMET ACQUISITION THREE COR UNIT 99/99/9999 G5276C128 464 47009 SH DFND 47009 0 0 KKR ACQUISITION HOLDING I CO UNIT 99/99/9999 48253T208 948 94746 SH DFND 94746 0 0 KL ACQUISITION CORP *W EXP 01/12/202 49837C117 33 51364 SH DFND 51364 0 0 KLUDEIN I ACQUISITION CORP CL A 49878L109 973 100000 SH DFND 3 100000 0 0 LAZARD GROWTH ACQUISITION CO UNIT 99/99/9999 G54035129 7500 750000 SH DFND 3 750000 0 0 LEO HLDGS CORP II *W EXP 01/07/202 G5463R128 17 22500 SH DFND 22500 0 0 LIONHEART ACQUISITION CORP I COM CL A 53625R104 1560 158837 SH DFND 3 158837 0 0 LIVE OAK ACQUISITION CORP II COM CL A 53804W106 1998 200000 SH DFND 3 200000 0 0 LUMINAR TECHNOLOGIES INC COM CL A 550424105 3647 150000 SH DFND 150000 0 0 LUMINAR TECHNOLOGIES INC COM CL A 550424105 1785 150000 SH Put DFND 150000 0 0 LUX HEALTH TECH ACQUISITION *W EXP 11/30/202 55068A118 35 23657 SH DFND 23657 0 0 MAGNUM OPUS ACQUISITION LTD UNIT 06/03/2026 G5S70A120 221 22306 SH DFND 22306 0 0 MALLARD ACQUISITION CORP COM 561204108 2392 242604 SH DFND 3 242604 0 0 MARLIN TECHNOLOGY CORP UNIT 99/99/9999 G58411128 702 71067 SH DFND 71067 0 0 MASON INDUSTRIAL TECHNOLGY I *W EXP 99/99/999 57520Y114 73 116466 SH DFND 116466 0 0 MATTEL INC COM 577081102 21 1030 SH DFND 1030 0 0 MATTEL INC COM 577081102 2 20500 SH Put DFND 20500 0 0 MCAP ACQUISITION CORP UNIT 02/18/2030 55282T208 1990 200000 SH DFND 3 200000 0 0 MDH ACQUISITION CORP *W EXP 02/02/202 55283P114 8 12500 SH DFND 12500 0 0 MEDTECH ACQUISITION CORP *W EXP 12/18/202 58507N113 26 23440 SH DFND 23440 0 0 MERSANA THERAPEUTICS INC COM 59045L106 341 21100 SH DFND 21100 0 0 MESOBLAST LTD SPONS ADR 590717104 1232 149000 SH DFND 149000 0 0 MICHAELS COS INC COM 59408Q106 9 378700 SH Call DFND 378700 0 0 MICRON TECHNOLOGY INC COM 595112103 19 12500 SH Call DFND 12500 0 0 MILESTONE PHARMACEUTICALS IN COM 59935V107 30 5166 SH DFND 5166 0 0 MILESTONE PHARMACEUTICALS IN COM 59935V107 21 8700 SH Put DFND 8700 0 0 MIRATI THERAPEUTICS INC COM 60468T105 3482 20324 SH DFND 20324 0 0 MIRATI THERAPEUTICS INC COM 60468T105 42 13500 SH Call DFND 13500 0 0 MIRATI THERAPEUTICS INC COM 60468T105 409 29600 SH Put DFND 29600 0 0 MONTES ARCHIMEDES ACQUISITIO *W EXP 99/99/999 612657114 16 18845 SH DFND 18845 0 0 MOTIVE CAPITAL CORP *W EXP 12/31/202 G6293A111 9 10000 SH DFND 10000 0 0 MP MATERIALS CORP *W EXP 05/04/202 553368119 267 11031 SH DFND 11031 0 0 MUDRICK CAPITAL ACQU CORP II *W EXP 09/10/202 62477L115 37 58027 SH DFND 58027 0 0 NATERA INC COM 632307104 309 3039 SH DFND 3039 0 0 NATERA INC COM 632307104 23 22800 SH Put DFND 22800 0 0 NATURAL ORDER ACQUISITION CO COM 63889L107 1956 200000 SH DFND 3 200000 0 0 NCR CORP NEW COM 62886E108 280 7379 SH DFND 7379 0 0 NCR CORP NEW COM 62886E108 6 4000 SH Call DFND 4000 0 0 NCR CORP NEW COM 62886E108 1 13800 SH Put DFND 13800 0 0 NEKTAR THERAPEUTICS COM 640268108 7 5000 SH Call DFND 5000 0 0 NEKTAR THERAPEUTICS COM 640268108 7 5000 SH Put DFND 5000 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 344 3537 SH DFND 3537 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 28 6500 SH Call DFND 6500 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 77 6500 SH Put DFND 6500 0 0 NEW BEGINNINGS ACQUISITION C *W EXP 11/01/202 64222H118 26 39236 SH DFND 39236 0 0 NEWHOLD INVESTMENT CORP *W EXP 03/10/202 651448110 337 202843 SH DFND 202843 0 0 NEWHOLD INVESTMENT CORP COM CL A 651448102 671 67082 SH DFND 67082 0 0 NEXTGEN ACQUISITION CORP CL A G65305107 757 76328 SH DFND 76328 0 0 NEXTGEN ACQUISITION CORP II UNIT 03/23/2026 G65317110 1229 124166 SH DFND 124166 0 0 NOBLE ROCK ACQUISITION CORP *W EXP 01/31/202 G6546R119 15 21542 SH DFND 21542 0 0 NORTH MOUNTAIN MERGER CORP *W EXP 09/16/202 661204115 88 80257 SH DFND 80257 0 0 NORTHERN STAR INVEST CORP IV UNIT 02/25/2028 66575B200 139 13992 SH DFND 13992 0 0 NORTHERN STAR INVSTMNT CORP *W EXP 01/31/202 66573W115 38 28064 SH DFND 28064 0 0 NOVUS CAPITAL CORPORATION II UNIT 99/99/9999 67012W203 2122 212200 SH DFND 3 212200 0 0 NUVATION BIO INC *W EXP 07/07/202 67080N119 124 46554 SH DFND 46554 0 0 NUVATION BIO INC COM CL A 67080N101 4264 408125 SH DFND 408125 0 0 OCCIDENTAL PETE CORP COM 674599105 1346 160000 SH Call DFND 160000 0 0 OMEGA ALPHA SPAC CL A G6749V107 1306 131955 SH DFND 131955 0 0 OMEROS CORP COM 682143102 374 21035 SH DFND 21035 0 0 OMEROS CORP COM 682143102 195 49400 SH Put DFND 49400 0 0 OPENDOOR TECHNOLOGIES INC *W EXP 12/18/202 683712111 267 26169 SH DFND 26169 0 0 OPENDOOR TECHNOLOGIES INC COM 683712103 2119 100000 SH DFND 100000 0 0 OPENDOOR TECHNOLOGIES INC COM 683712103 29 10000 SH Put DFND 10000 0 0 OTIS WORLDWIDE CORP COM 68902V107 46 16400 SH Call DFND 16400 0 0 OTIS WORLDWIDE CORP COM 68902V107 19 19900 SH Put DFND 19900 0 0 PAYA HOLDINGS INC *W EXP 10/16/202 70434P111 273 86587 SH DFND 86587 0 0 PERIDOT ACQUISITION CORP SHS CL A G7008A115 995 93400 SH DFND 3 93400 0 0 PLURALSIGHT INC COM CL A 72941B106 510 273300 SH Call DFND 273300 0 0 PLURALSIGHT INC COM CL A 72941B106 4 8000 SH Put DFND 8000 0 0 PONTEM CORPORATION *W EXP 01/05/202 G71707122 44 58266 SH DFND 58266 0 0 PONTEM CORPORATION SHS CL A G71707106 968 100000 SH DFND 100000 0 0 PONTEM CORPORATION UNIT 99/99/9999 G71707114 1513 152851 SH DFND 152851 0 0 PRIME IMPACT ACQUISITION I *W EXP 10/01/203 G61074129 12 15000 SH DFND 15000 0 0 PROGRESS ACQUISITION CORP *W EXP 11/11/202 74327P113 14 31250 SH DFND 31250 0 0 PROPERTY SOLUTIONS ACQUISITI COM 74348Q108 43 101800 SH Call DFND 101800 0 0 PROPERTY SOLUTIONS ACQUISITI COM 74348Q108 126 40000 SH Put DFND 40000 0 0 PROQR THRAPEUTICS N V SHS EURO N71542109 1888 285696 SH DFND 3 285696 0 0 PTK ACQUISITION CORP COM 69375F108 2560 260000 SH DFND 3 260000 0 0 QELL ACQUISITION CORP CL A G7307X105 559 54901 SH DFND 54901 0 0 QUANTUMSCAPE CORP *W EXP 11/25/202 74767V117 253 7602 SH DFND 7602 0 0 QUANTUMSCAPE CORP COM CL A 74767V109 1248 27887 SH DFND 27887 0 0 QUANTUMSCAPE CORP COM CL A 74767V109 993 28500 SH Put DFND 28500 0 0 QUEENS GAMBIT GROWTH CAPITAL *W EXP 01/19/202 G7315C119 129 121016 SH DFND 121016 0 0 QUEENS GAMBIT GROWTH CAPITAL CL A SHS G7315C101 631 65099 SH DFND 65099 0 0 RADIUS HEALTH INC COM NEW 750469207 4 174 SH DFND 174 0 0 RADIUS HEALTH INC COM NEW 750469207 6 15000 SH Call DFND 15000 0 0 RADIUS HEALTH INC COM NEW 750469207 1 10000 SH Put DFND 10000 0 0 RALPH LAUREN CORP CL A 751212101 846 6867 SH DFND 6867 0 0 RALPH LAUREN CORP CL A 751212101 10 21900 SH Call DFND 21900 0 0 REDBALL ACQUISITION CORP *W EXP 08/17/202 G7417R113 42 30572 SH DFND 30572 0 0 REDBALL ACQUISITION CORP COM CL A G7417R105 1990 200000 SH DFND 200000 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 587 28402 SH DFND 28402 0 0 REINVENT TECHNOLOGY PARTNERS UNIT 03/12/2026 G7484L114 251 25000 SH DFND 25000 0 0 REKOR SYSTEMS INC COM 759419104 278 27300 SH Call DFND 27300 0 0 RELMADA THERAPEUTICS INC COM 75955J402 5878 166942 SH DFND 3 166942 0 0 REVLON INC CL A NEW 761525609 80 99800 SH Call DFND 99800 0 0 REVOLVE GROUP INC CL A 76156B107 1381 30727 SH DFND 30727 0 0 REVOLVE GROUP INC CL A 76156B107 63 45000 SH Put DFND 45000 0 0 RICE ACQUISITION CORP *W EXP 10/26/202 762594117 170 114651 SH DFND 114651 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 137 40000 SH DFND 40000 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 42 78400 SH Call DFND 78400 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 77 106900 SH Put DFND 106900 0 0 RMG ACQUISITION CORP II CL A SHS G76083107 915 91365 SH DFND 3 91365 0 0 RMG ACQUISITION CORP III UNIT 02/08/2026 G76088114 1990 200000 SH DFND 3 200000 0 0 ROMAN DBDR TECH ACQUISITION *W EXP 10/31/202 77584N119 400 528141 SH DFND 528141 0 0 ROMAN DBDR TECH ACQUISITION COM CL A 77584N101 2487 249975 SH DFND 3 249975 0 0 ROOT INC COM CL A 77664L108 409 32100 SH DFND 32100 0 0 ROOT INC COM CL A 77664L108 96 32100 SH Put DFND 32100 0 0 RXR ACQUISITION CORP UNIT 01/01/2025 74981W206 1384 140474 SH DFND 140474 0 0 SANDSTORM GOLD LTD COM NEW 80013R206 17 28300 SH Call DFND 28300 0 0 SARISSA CAPITAL ACQUISITN CO *W EXP 10/23/202 G7823W110 150 100000 SH DFND 3 100000 0 0 SARISSA CAPITAL ACQUISITN CO CL A G7823W102 3030 300000 SH DFND 3 300000 0 0 SARISSA CAPITAL ACQUISITN CO CL A G7823W102 58 5697 SH DFND 5697 0 0 SC HEALTH CORP *W EXP 99/99/999 G78516401 66 35000 SH DFND 35000 0 0 SCIPLAY CORPORATION CL A 809087109 656 40516 SH DFND 40516 0 0 SCIPLAY CORPORATION CL A 809087109 85 100000 SH Put DFND 100000 0 0 SCP & CO HEALTHCARE ACQUSTN UNIT 10/27/2025 784065203 750 75200 SH DFND 75200 0 0 SCVX CORP *W EXP 01/24/202 G79448117 268 268222 SH DFND 268222 0 0 SEAGEN INC COM 81181C104 168 10000 SH Call DFND 10000 0 0 SEAGEN INC COM 81181C104 56 7500 SH Put DFND 7500 0 0 SEAPORT GLOBAL ACQUISITN COR *W EXP 12/15/202 812227114 28 50100 SH DFND 50100 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1675 9964 SH DFND 9964 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 229 205200 SH Put DFND 205200 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 39692 340000 SH DFND 3 340000 0 0 SILVER SPIKE ACQUISITION COR CL A SHS G8136L106 63 250000 SH Call DFND 250000 0 0 SIO GENE THERAPIES INC COMMON 829399104 59 22500 SH DFND 22500 0 0 SIO GENE THERAPIES INC COMMON 829399104 3 22500 SH Call DFND 22500 0 0 SIO GENE THERAPIES INC COMMON 829399104 43 22500 SH Put DFND 22500 0 0 SKILLZ INC COM 83067L109 1457 76500 SH DFND 76500 0 0 SKILLZ INC COM 83067L109 1235 76500 SH Put DFND 76500 0 0 SLACK TECHNOLOGIES INC COM CL A 83088V102 654 16107 SH DFND 16107 0 0 SLACK TECHNOLOGIES INC COM CL A 83088V102 93 93900 SH Call DFND 93900 0 0 SOCIAL CAPITAL HEDOSOPHA HLD *W EXP 09/26/202 G82514111 61 25000 SH DFND 25000 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G82514103 110 10000 SH DFND 10000 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8251L105 268 25000 SH DFND 25000 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8252P105 1751 102100 SH DFND 102100 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8252P105 2 16700 SH Call DFND 16700 0 0 SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8252P105 395 113800 SH Put DFND 113800 0 0 SPARTACUS ACQUISITION CORP *W EXP 10/31/202 84677L117 31 48855 SH DFND 48855 0 0 SPARTACUS ACQUISITION CORP CL A 84677L109 1970 200000 SH DFND 3 200000 0 0 SPARTAN ACQUISITION CORP III UNIT 99/99/9999 84677R205 251 25000 SH DFND 25000 0 0 SPARTAN ACQUISITION CORP III UNIT 99/99/9999 84677R205 2006 200000 SH DFND 3 200000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 75184 189700 SH DFND 3 189700 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 793 2000 SH DFND 2000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 18 105000 SH Put DFND 105000 0 0 SPDR SER TR S&P BIOTECH 78464A870 338 2494 SH DFND 2494 0 0 SPDR SER TR S&P BIOTECH 78464A870 54260 400000 SH DFND 3 400000 0 0 SPDR SER TR S&P BIOTECH 78464A870 25 8500 SH Call DFND 8500 0 0 SPDR SER TR S&P BIOTECH 78464A870 236 34900 SH Put DFND 34900 0 0 SPDR SER TR S&P RETAIL ETF 78464A714 1299 14558 SH DFND 14558 0 0 SPDR SER TR S&P RETAIL ETF 78464A714 219 138900 SH Put DFND 138900 0 0 SPINNAKER ETF SERIES CANNABIS ETF 84858T400 492 25000 SH DFND 25000 0 0 SPORTS ENTERTAINMENT ACQU CO *W EXP 10/30/202 84918M114 552 501820 SH DFND 501820 0 0 SPORTS ENTERTAINMENT ACQU CO COM CL A 84918M106 977 100000 SH DFND 100000 0 0 SPORTS ENTERTAINMENT ACQU CO COM CL A 84918M106 977 100000 SH DFND 3 100000 0 0 SPRING VY ACQUISITION CORP *W EXP 05/20/202 G8377A124 434 364391 SH DFND 364391 0 0 STARBOARD VALUE ACQUISITN CO COM CL A 85521J109 497 50000 SH DFND 50000 0 0 STERLING BANCORP DEL COM 85917A100 237 10311 SH DFND 10311 0 0 STITCH FIX INC COM CL A 860897107 162 138500 SH Call DFND 138500 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 45977 6341605 SH DFND 6341605 0 0 SUNDIAL GROWERS INC COM 86730L109 230 203101 SH DFND 203101 0 0 SUSTAINABLE DEVELP ACQU I CO UNIT 02/04/2026 86934L202 1493 150000 SH DFND 3 150000 0 0 SUSTAINABLE OPPORTNTS ACQ CO ORD SHS A G8598Y109 944 95099 SH DFND 95099 0 0 SWITCH INC CL A 87105L104 1835 112870 SH DFND 112870 0 0 SWITCH INC CL A 87105L104 108 139600 SH Put DFND 139600 0 0 TAILWIND ACQUISITION CORP *W EXP 09/07/202 87403Q110 15 14900 SH DFND 14900 0 0 TAILWIND INTERNATNAL ACQ COR UNIT 99/99/9999 G8662F127 180 18250 SH DFND 18250 0 0 TASTEMAKER ACQUISITION CORP *W EXP 01/07/202 876545112 6 10000 SH DFND 10000 0 0 TELA BIO INC COM 872381108 5981 401376 SH DFND 3 401376 0 0 TERNS PHARMACEUTICALS INC COM 880881107 550 25000 SH DFND 3 25000 0 0 THE MUSIC ACQUISITION CORP *W EXP 02/05/202 62752R118 15 25000 SH DFND 25000 0 0 THE REALREAL INC COM 88339P101 316 13967 SH DFND 13967 0 0 THUNDER BRIDGE CAP PRTNRS II UNIT 02/15/2028 88605T209 1211 122481 SH DFND 122481 0 0 TILRAY INC COM CL 2 88688T100 1706 75041 SH DFND 75041 0 0 TILRAY INC COM CL 2 88688T100 1879 288200 SH Call DFND 288200 0 0 TILRAY INC COM CL 2 88688T100 588 177700 SH Put DFND 177700 0 0 TISHMAN SPEYER INNOVATION CO UNIT 02/11/2026 88825H209 2500 250000 SH DFND 3 250000 0 0 TLG ACQUISITION ONE CORP *W EXP 01/25/202 87257M116 90 157504 SH DFND 157504 0 0 TLG ACQUISITION ONE CORP COM CL A 87257M108 247 25500 SH DFND 25500 0 0 TPG PACE BEN FIN CORP *W EXP 10/09/202 G8990D117 111 14875 SH DFND 14875 0 0 TPG PACE TECH OPPORTUNITIES CL A COM G8990Y103 423 42647 SH DFND 42647 0 0 TRAVERE THERAPEUTICS INC COM 89422G107 16 25000 SH Call DFND 25000 0 0 TREBIA ACQUISITION CORP COM CL A G9027T109 9960 1000000 SH DFND 3 1000000 0 0 TREEHOUSE FOODS INC COM 89469A104 35 20000 SH Call DFND 20000 0 0 TRITERRAS INC SHS CL A G9103H102 991 144095 SH DFND 3 144095 0 0 UCOMMUNE INTERNATIONAL LTD *W EXP 11/17/202 G9449A118 30 80000 SH DFND 3 80000 0 0 UNION ACQUISITION CORP II *W EXP 04/01/202 G9402Q126 58 85585 SH DFND 85585 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 500 10500 SH Call DFND 10500 0 0 UPSTART HLDGS INC COM 91680M107 6495 50400 SH DFND 50400 0 0 UPSTART HLDGS INC COM 91680M107 6443 50000 SH DFND 3 50000 0 0 UPSTART HLDGS INC COM 91680M107 1421 50400 SH Put DFND 50400 0 0 USA TECHNOLOGIES INC COM 90328S500 26637 2272778 SH DFND 3 2272778 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 199 45000 SH Call DFND 45000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 73 25000 SH Put DFND 25000 0 0 VAXCYTE INC COM 92243G108 30 15000 SH Call DFND 15000 0 0 VECTOIQ ACQUISITION CORP II *W EXP 01/07/202 92244F117 533 372628 SH DFND 372628 0 0 VECTOIQ ACQUISITION CORP II COM CL A 92244F109 239 24065 SH DFND 24065 0 0 VECTOIQ ACQUISITION CORP II UNIT 99/99/9999 92244F208 607 59952 SH DFND 59952 0 0 VELODYNE LIDAR INC COM 92259F101 1074 94200 SH DFND 94200 0 0 VELODYNE LIDAR INC COM 92259F101 526 94200 SH Put DFND 94200 0 0 VENTOUX CCM ACQUISITION CORP COM 92280L101 2741 280000 SH DFND 3 280000 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 1241 5773 SH DFND 5773 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 129 15800 SH Call DFND 15800 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 189 5200 SH Put DFND 5200 0 0 VIATRIS INC COM 92556V106 67 4775 SH DFND 4775 0 0 VIATRIS INC COM 92556V106 7 6100 SH Put DFND 6100 0 0 VILLAGE FARMS INTL INC COM 92707Y108 123 44500 SH Call DFND 44500 0 0 VIRGIN GALACTIC HOLDINGS INC COM 92766K106 217 7097 SH DFND 7097 0 0 VIVEON HEALTH ACQUISITION CO RIGHT 12/31/2025 92853V122 5 25000 SH DFND 25000 0 0 VY GLOBAL GROWTH *W EXP 01/30/203 G9444H118 27 13500 SH DFND 13500 0 0 VY GLOBAL GROWTH COM CL A G9444H100 101 10000 SH DFND 10000 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 71 17200 SH Call DFND 17200 0 0 WELBILT INC COM 949090104 53 41800 SH Call DFND 41800 0 0 WELLS FARGO CO NEW COM 949746101 1017 26022 SH DFND 26022 0 0 WELLS FARGO CO NEW COM 949746101 74 45000 SH Call DFND 45000 0 0 WINGSTOP INC COM 974155103 190 1497 SH DFND 1497 0 0 WINGSTOP INC COM 974155103 8 10300 SH Put DFND 10300 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 59 12100 SH Call DFND 12100 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 36 12100 SH Put DFND 12100 0 0 WORKHORSE GROUP INC COM NEW 98138J206 342 188100 SH Call DFND 188100 0 0 YELLOWSTONE ACQUISITION CO *W EXP 10/21/202 98566K113 27 29723 SH DFND 29723 0 0 YELLOWSTONE ACQUISITION CO COM CL A 98566K105 232 23212 SH DFND 23212 0 0 YUCAIPA ACQUISITION CORP COM G9879L105 3694 375000 SH DFND 3 375000 0 0 YUNHONG INTL RIGHT 01/31/2027 G98882130 8 18138 SH DFND 18138 0 0 ZANITE ACQUISITION CORP COM CL A 98907K103 235 23648 SH DFND 23648 0 0 ZIONS BANCORPORATION N A COM 989701107 902 16417 SH DFND 16417 0 0