Chief Compliance Officer

0001085146-23-000854.txt : 20230209 0001085146-23-000854.hdr.sgml : 20230209 20230209121432 ACCESSION NUMBER: 0001085146-23-000854 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20221231 FILED AS OF DATE: 20230209 DATE AS OF CHANGE: 20230209 EFFECTIVENESS DATE: 20230209 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: 23604915 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 X0202 13F-HR LIVE false false false 0000048966 XXXXXXXX 12-31-2022 12-31-2022 false COWEN AND COMPANY, LLC

599 LEXINGTON AVENUE 20TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-19611 000007616 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 02-09-2023 1 684 956448891 false 3 0001771015 028-19614 Cowen Financial Products LLC INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 10X CAPITAL VENTURE ACQ III *W EXP 06/30/202 G87077114 2080 26000 SH DFND 26000 0 0 26 CAPITAL ACQUISITION CORP COM CL A 90138P100 2785750 275000 SH DFND 3 275000 0 0 7 ACQUISITION CORPORATION *W EXP 11/05/202 G80694113 11369 128034 SH DFND 128034 0 0 7GC & CO HOLDINGS INC *W EXP 12/28/202 81786A115 3136 44800 SH DFND 44800 0 0 A SPAC I ACQUISITION CORP *W EXP 05/21/202 G0542S130 1289 128926 SH DFND 128926 0 0 A SPAC I ACQUISITION CORP RIGHT 12/09/2026 G0542S114 18869 221998 SH DFND 221998 0 0 A SPAC II ACQUISITION CORP RIGHT 10/15/2026 G0543H133 2688 44800 SH DFND 44800 0 0 ABRI SPAC I INC *W EXP 09/18/202 00085X113 2252 45054 SH DFND 45054 0 0 ACCRETION ACQUISITION CORP *W EXP 03/01/202 00438Y115 1851 99000 SH DFND 99000 0 0 ACCRETION ACQUISITION CORP RIGHT 03/01/2028 00438Y123 8429 120600 SH DFND 120600 0 0 ACE GLOBAL BUSINESS ACQU LTD *W EXP 02/20/202 G0083E110 1093 35169 SH DFND 35169 0 0 ACHARI VENTURES HLDGS CORP I *W EXP 01/01/202 00444X119 22735 454716 SH DFND 454716 0 0 ACRI CAPITAL ACQUISITION COR *W EXP 02/01/202 00501A119 5363 153250 SH DFND 153250 0 0 ACTIVISION BLIZZARD INC COM 00507V109 67227 20800 SH Put DFND 20800 0 0 ADICET BIO INC COM 007002108 28103855 3143608 SH DFND 3 3143608 0 0 ADIT EDTECH ACQUISITION CORP *W EXP 99/99/999 007024110 2144 35747 SH DFND 35747 0 0 ADTHEORENT HOLDING COMPANY *W EXP 12/26/202 00739D117 34878 348785 SH DFND 348785 0 0 ADVANTAGE SOLUTIONS INC *W EXP 10/28/202 00791N110 97712 766373 SH DFND 766373 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 838800 120000 SH DFND 120000 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 8411374 1203344 SH DFND 3 1203344 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 7767 310700 SH Call DFND 310700 0 0 ADVISORSHARES TR PURE US CANNABIS 00768Y453 413909 106400 SH Put 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TECHNOLOGY GROUP INC VI *W EXP 99/99/999 233247113 39143 372791 SH DFND 372791 0 0 DMY TECHNOLOGY GROUP INC VI CL A COM 233247105 888339 88392 SH DFND 3 88392 0 0 DOMA HOLDINGS INC *W EXP 07/28/202 25703A112 3448 201687 SH DFND 201687 0 0 DTRT HEALTH ACQUISITION CORP COM CL A 23344T103 2329394 224845 SH DFND 3 224845 0 0 DUET ACQUISITION CORP *W EXP 07/19/202 26431Q114 6420 428001 SH DFND 428001 0 0 D-WAVE QUANTUM INC *W EXP 08/05/202 26740W117 4488 42500 SH DFND 42500 0 0 EAST RES ACQUISITION CO *W EXP 07/01/202 274681113 53831 307611 SH DFND 307611 0 0 ECARX HOLDINGS INC *W EXP 12/20/202 G29201111 9102 92785 SH DFND 92785 0 0 EDIFY ACQUISITION CORP *W EXP 11/25/202 28059Q111 31941 1061193 SH DFND 1061193 0 0 EDOC ACQUISITION CORP *W EXP 11/30/202 G4000A110 3219 81500 SH DFND 81500 0 0 EDOC ACQUISITION CORP RIGHT 11/30/2027 G4000A136 11579 128808 SH DFND 128808 0 0 EF HUTTON ACQUISITION CORP I *W EXP 11/18/202 28201D117 1600 100000 SH DFND 100000 0 0 EF HUTTON ACQUISITION CORP I RIGHT 11/18/2027 28201D125 8250 68750 SH DFND 68750 0 0 EG ACQUISITION CORP *W EXP 05/28/202 26846A118 41553 215303 SH DFND 215303 0 0 ELLIOTT OPPORTUNITY II CORP *W EXP 03/02/202 G30092111 24939 277108 SH DFND 277108 0 0 EMBRACE CHANGE ACQUISITN COR *W EXP 10/25/202 G3034H125 5164 158900 SH DFND 158900 0 0 EMERGING MARKETS HORIZON COR *W EXP 11/16/202 G3033X121 1282 197371 SH DFND 197371 0 0 ENERGEM CORP *W EXP 11/15/202 G30449121 9745 125108 SH DFND 125108 0 0 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 20357050 1715000 SH DFND 3 1715000 0 0 ENERGY VAULT HOLDINGS INC COM 29280W109 208762 66911 SH DFND 66911 0 0 ENOVIX CORPORATION COM 293594107 18405 30400 SH Call DFND 30400 0 0 ENTERPRISE 4.0 TEC ACQSTN CO *W EXP 10/21/202 G3137C114 723 24100 SH DFND 24100 0 0 EOS ENERGY ENTERPRISES INC *W EXP 11/17/202 29415C119 60065 249756 SH DFND 249756 0 0 EPIPHANY TECHNOLOGY ACQUISIT *W EXP 01/12/202 29429X117 738 321258 SH DFND 321258 0 0 ESGEN ACQUISITION CORP *W EXP 10/18/202 G3R95N111 809 28290 SH DFND 28290 0 0 ESM ACQUISITION CORPORATION *W EXP 02/02/202 G3195H112 13126 112865 SH DFND 112865 0 0 ESTABLISHMENT LABS HLDGS INC COM G31249108 56239335 856654 SH DFND 3 856654 0 0 ETF MANAGERS TR ETFMG TRAVEL TEC 26924G771 470369 28490 SH DFND 3 28490 0 0 ETF MANAGERS TR PRIME JUNIR SLVR 26924G102 6695335 634629 SH DFND 3 634629 0 0 EUCRATES BIOMEDICAL ACQU COR *W EXP 10/23/202 G3141W122 6797 122257 SH DFND 122257 0 0 EURONAV NV SHS B38564108 1008785 59201 SH DFND 59201 0 0 EVEREST CONSOLIDATOR ACQ COR *W EXP 99/99/999 29978K110 504 33400 SH DFND 33400 0 0 EVERGREEN CORPORATION *W EXP 02/08/202 G3312W117 2991 239295 SH DFND 239295 0 0 EVOLV TECHNOLOGIES HLDNGS IN *W EXP 03/10/202 30049H110 55007 128688 SH DFND 128688 0 0 EXACT SCIENCES CORP COM 30063P105 1114668 22514 SH DFND 22514 0 0 EXACT SCIENCES CORP COM 30063P105 68400 36000 SH Call DFND 36000 0 0 EXACT SCIENCES CORP COM 30063P105 50310 23400 SH Put DFND 23400 0 0 EXAGEN INC COM 30068X103 2318452 966022 SH DFND 3 966022 0 0 EXCELFIN ACQUISITION CORP *W EXP 10/25/202 30069X110 1971 65715 SH DFND 65715 0 0 EXCELFIN ACQUISITION CORP COM CL A 30069X102 293035 28561 SH DFND 28561 0 0 FATE THERAPEUTICS INC COM 31189P102 151350 15000 SH DFND 15000 0 0 FEUTUNE LIGHT ACQUISITION CO *W EXP 06/01/202 31561T110 4923 164100 SH DFND 164100 0 0 FEUTUNE LIGHT ACQUISITION CO RIGHT 06/01/2029 31561T128 8059 99500 SH DFND 99500 0 0 FG MERGER CORP *W EXP 06/17/202 30324Y119 2500 50000 SH DFND 50000 0 0 FIFTH THIRD BANCORP COM 316773100 500844 15265 SH DFND 15265 0 0 FIFTH THIRD BANCORP COM 316773100 35350 101000 SH Call DFND 101000 0 0 FINANCE OF AMERICA COMPAN *W EXP 04/08/202 31738L115 208217 2679761 SH DFND 2679761 0 0 FINANCE OF AMERICA COMPAN COM CL A 31738L107 38830 30575 SH DFND 30575 0 0 FINANCIAL STRATEGIES ACQUISI *W EXP 03/31/202 31772T115 1000 50000 SH DFND 50000 0 0 FINSERV ACQUISITION CORP II *W EXP 02/17/202 31809Y111 766 150309 SH DFND 150309 0 0 FINSERV ACQUISITION CORP II COM CL A 31809Y103 438277 43588 SH DFND 43588 0 0 FINTECH ECOSYSTEM DEVE *W EXP 04/01/202 318136116 1721 24590 SH DFND 24590 0 0 FIRST HORIZON CORPORATION COM 320517105 880750 35949 SH DFND 35949 0 0 FIRST HORIZON CORPORATION COM 320517105 192 1100 SH Put DFND 1100 0 0 FIRST LT ACQUISITION GROUP I *W EXP 03/14/202 320703119 5395 107900 SH DFND 107900 0 0 FLAME ACQUISITION CORP *W EXP 02/26/202 33850F116 217047 333868 SH DFND 333868 0 0 FOCUS IMPACT ACQUISITION COR *W EXP 10/28/202 34417L117 4854 97097 SH DFND 97097 0 0 FOREST ROAD ACQUISITION COR *W EXP 01/15/202 34619V111 7823 23423 SH DFND 23423 0 0 FORTUNE RISE ACQUISITION COR *W EXP 12/06/202 34969G110 4852 138640 SH DFND 138640 0 0 FORUM MERGER IV CORP *W EXP 03/15/202 349875112 8674 289145 SH DFND 289145 0 0 FOXO TECHNOLOGIES INC *W EXP 08/01/202 351471115 302 11250 SH DFND 11250 0 0 FREEDOM ACQUISITION I CORP *W EXP 03/02/202 G3663X128 58840 294290 SH DFND 294290 0 0 FREEDOM ACQUISITION I CORP UNIT 99/99/9999 G3663X102 273242 27000 SH DFND 27000 0 0 FRONTIER ACQUISITION CORP *W EXP 03/15/202 G36826124 256 22116 SH DFND 22116 0 0 FTAC ATHENA ACQUISITION CORP *W EXP 03/01/202 G37283119 6846 139718 SH DFND 139718 0 0 FTAC EMERALD ACQUISITION COR *W EXP 10/19/202 29103K118 803 16077 SH DFND 16077 0 0 FTAC EMERALD ACQUISITION COR CLASS A COM 29103K100 312163 31154 SH DFND 31154 0 0 FTAC HERA ACQUISITION CORP *W EXP 02/28/202 G3728Y111 41636 1514041 SH DFND 1514041 0 0 FTAC PARNASSUS ACQUISITN COR *W EXP 03/10/202 30319B116 13496 674821 SH DFND 674821 0 0 FTAC ZEUS ACQUISITION COR *W EXP 04/15/202 30320F114 5922 296147 SH DFND 296147 0 0 FULCRUM THERAPEUTICS INC COM 359616109 9909310 1361169 SH DFND 3 1361169 0 0 FUSION ACQUISITION CORP II COM CL A 36118N102 3010694 299870 SH DFND 299870 0 0 FUSION ACQUISITION CORP II UNIT 02/29/2028 36118N201 351050 35000 SH DFND 35000 0 0 FUTURE HEALTH ESG CORP *W EXP 99/99/999 36118W110 1005 14360 SH DFND 14360 0 0 G SQUARED ASCEND II INC *W EXP 12/31/202 G42041122 5590 139424 SH DFND 139424 0 0 GALATA ACQUISITION CORP *W EXP 99/99/999 G3R23A116 4835 67915 SH DFND 67915 0 0 GAMES & ESPORTS EXPRNC ACQ C *W EXP 12/01/202 G3731J127 1463 48611 SH DFND 48611 0 0 GDS HLDGS LTD SPONSORED ADS 36165L108 2920 14600 SH Call DFND 14600 0 0 GELESIS HLDGS INC *W EXP 01/13/202 36850R113 6248 702089 SH DFND 702089 0 0 GENERATION ASIA I ACQUISITIO *W EXP 99/99/999 G38258128 21335 484893 SH DFND 484893 0 0 GENESIS UNICORN CAPITAL CORP *W EXP 06/30/202 37187C118 47855 1063453 SH DFND 1063453 0 0 GETAROUND INC *W EXP 03/09/202 37427G119 1204 26358 SH DFND 26358 0 0 GIGCAPITAL 5 INC *W EXP 03/28/202 37519U117 14961 427485 SH DFND 427485 0 0 GINKGO BIOWORKS HOLDINGS INC *W EXP 09/16/202 37611X118 50205 251026 SH DFND 251026 0 0 GLOBAL BLOCKCHAIN ACQUI CORP *W EXP 05/09/202 37961B120 2231 64500 SH DFND 64500 0 0 GLOBAL BLUE GROUP HOLDING AG *W EXP 08/28/202 H33700115 10682 34337 SH DFND 34337 0 0 GLOBAL BLUE GROUP HOLDING AG ORD SHS H33700107 55184 11919 SH DFND 11919 0 0 GLOBAL BUSINESS TRAVEL GROUP COM CL A 37890B100 77341 11458 SH DFND 11458 0 0 GLOBAL PARTNER ACQISTN CORP *W EXP 01/14/202 G3934P128 15665 522196 SH DFND 522196 0 0 GLOBAL PARTNER ACQISTN CORP CL A SHS G3934P102 1829303 180940 SH DFND 180940 0 0 GLOBAL STAR ACQUISITION INC *W EXP 07/15/202 37962G110 3470 100000 SH DFND 100000 0 0 GLOBAL SYSTEMS DYNAMICS INC *W EXP 04/01/202 37653T116 2324 46482 SH DFND 46482 0 0 GLOBALINK INVT INC *W EXP 12/03/202 37892F125 552 50200 SH DFND 50200 0 0 GLOBALSTAR INC COM 378973408 33250 25000 SH DFND 25000 0 0 GOAL ACQUISITIONS CORP *W EXP 02/11/202 38021H115 4219 90641 SH DFND 90641 0 0 GOGREEN INVESTMENTS CORP *W EXP 05/31/202 G9461B119 4967 15054 SH DFND 15054 0 0 GOLDEN ARROW MERGER CORP *W EXP 07/31/202 380799114 4458 673432 SH DFND 673432 0 0 GOLDEN FALCON ACQUISITION CO *W EXP 11/04/202 38102H117 4500 30000 SH DFND 30000 0 0 GOLDENBRIDGE ACQUISITION LTD *W EXP 10/28/202 G3970D120 48482 648157 SH DFND 648157 0 0 GOLDENBRIDGE ACQUISITION LTD SHS G3970D104 103500 10000 SH DFND 10000 0 0 GOLDENSTONE ACQUISITION LTD *W EXP 07/15/202 38136Y110 489 444676 SH DFND 444676 0 0 GOLDENSTONE ACQUISITION LTD RIGHT 07/15/2026 38136Y128 42441 471568 SH DFND 471568 0 0 GORILLA TECHNOLOGY GROUP INC *W EXP 07/13/202 G4000K118 10640 51904 SH DFND 51904 0 0 GRAF ACQUISITION CORP IV COM 384272100 3617800 363598 SH DFND 363598 0 0 GREEN VISOR FIN TEC ACQ CORP *W EXP 10/27/202 G4166K126 625 62500 SH DFND 62500 0 0 GREENLANE HLDGS INC CL A NEW 395330202 3792 13250 SH DFND 13250 0 0 GROVE COLLABORATIVE HOLD INC *W EXP 06/16/202 39957D110 27270 272709 SH DFND 272709 0 0 GROVE COLLABORATIVE HOLD INC COM CL A 39957D102 79800 200000 SH DFND 200000 0 0 GSR II METEORA ACQUISITN COR *W EXP 02/24/202 36263W121 7099 111101 SH DFND 111101 0 0 GUARDANT HEALTH INC COM 40131M109 131076 4819 SH DFND 4819 0 0 GUARDANT HEALTH INC COM 40131M109 1800 4800 SH Call DFND 4800 0 0 GUARDANT HEALTH INC COM 40131M109 109440 4800 SH Put DFND 4800 0 0 HAINAN MANASLU ACQUISTN CORP *W EXP 01/31/202 G4233U131 8915 178300 SH DFND 178300 0 0 HAINAN MANASLU ACQUISTN CORP RIGHT 01/31/2029 G4233U115 11044 99500 SH DFND 99500 0 0 HALLIBURTON CO COM 406216101 1267463 32210 SH DFND 32210 0 0 HALLIBURTON CO COM 406216101 2415 64400 SH Put DFND 64400 0 0 HCM ACQUISITION CO *W EXP 01/20/202 G4365A127 3972 235085 SH DFND 235085 0 0 HENNESSY CAPITAL INVST CORP UNIT 99/99/9999 42600H207 14775000 1500000 SH DFND 3 1500000 0 0 HERTZ GLOBAL HLDGS INC *W EXP 06/30/205 42806J148 5221146 700355 SH DFND 700355 0 0 HH&L ACQUISITION CO *W EXP 02/04/202 G39714129 22709 453276 SH DFND 453276 0 0 HH&L ACQUISITION CO SHS CL A G39714103 1875637 185523 SH DFND 185523 0 0 HIPPO HLDGS INC *W EXP 08/02/202 433539111 16662 520703 SH DFND 520703 0 0 HIPPO HLDGS INC COM NEW 433539202 140080 10300 SH DFND 10300 0 0 HNR ACQUISITION CORP *W EXP 02/04/202 40472A128 75930 759302 SH DFND 759302 0 0 HOLLEY INC *W EXP 11/30/202 43538H111 30961 114673 SH DFND 114673 0 0 HORIZON ACQUISITION CORPORAT *W EXP 10/19/202 G46044114 291805 711721 SH DFND 711721 0 0 HUNTINGTON BANCSHARES INC COM 446150104 93807 6653 SH DFND 6653 0 0 HUNTINGTON BANCSHARES INC COM 446150104 3020 30200 SH Call DFND 30200 0 0 IAC INC COM NEW 44891N208 365360 67000 SH Put DFND 67000 0 0 IBERE PHARMACEUTICALS *W EXP 03/01/202 G46843119 4467 250974 SH DFND 250974 0 0 ICONIC SPORTS ACQUISITION CO *W EXP 10/12/202 G4712C115 27229 202600 SH DFND 202600 0 0 IDEXX LABS INC COM 45168D104 202756 497 SH DFND 3 497 0 0 IG ACQUISITION CORP *W EXP 10/05/202 449534114 5234 200171 SH DFND 200171 0 0 IG ACQUISITION CORP COM CL A 449534106 1256250 125000 SH DFND 3 125000 0 0 IMMUNIC INC COM 4525EP101 1107433 791024 SH DFND 3 791024 0 0 IMMUNOCORE HLDGS PLC ADS 45258D105 23123280 405174 SH DFND 3 405174 0 0 IMMUNOVANT INC COM 45258J102 22187500 1250000 SH DFND 3 1250000 0 0 INCEPTION GROWTH ACQUSTN LTD *W EXP 10/15/202 45333D112 2148 53723 SH DFND 53723 0 0 INFINITE ACQUISITION CORP *W EXP 11/23/202 G48028123 13596 206006 SH DFND 206006 0 0 INFINT ACQUISITION CORP *W EXP 99/99/999 G47862126 18183 227295 SH DFND 227295 0 0 INFLECTION POINT ACQUSTN COR *W EXP 09/21/202 G47874113 303863 1089115 SH DFND 1089115 0 0 INNOVIZ TECHNOLOGIES LTD *W EXP 04/05/202 M5R635116 1046486 721715 SH DFND 3 721715 0 0 INNOVIZ TECHNOLOGIES LTD SHS M5R635108 26709812 6796390 SH DFND 3 6796390 0 0 INNOVIZ TECHNOLOGIES LTD SHS M5R635108 1414800 360000 SH DFND 360000 0 0 INTEGRAL ACQUISITION CORP 1 *W EXP 05/31/202 45827K119 21065 282757 SH DFND 282757 0 0 INTEGRATED RAIL AND RES ACQ CL A COM 45827R106 3093934 300382 SH DFND 300382 0 0 INTEGRATED WELLNESS ACQ CORP *W EXP 10/31/202 G4828B118 2576 51534 SH DFND 51534 0 0 INTERCEPT PHARMACEUTICALS IN NOTE 3.500% 2/1 45845PAC2 991250 1000000 PRN DFND 1000000 0 0 INTERNATIONAL MEDIA ACQUISIT RIGHT 99/99/9999 459867123 12873 183900 SH DFND 183900 0 0 INTERPRIVATE IV INFRATECH PR *W EXP 03/05/202 46064T110 5308 132552 SH DFND 132552 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 237222 894 SH DFND 3 894 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 133280 6492 SH DFND 6492 0 0 INVESCO EXCH TRADED FD TR II SR LN ETF 46138G508 1250 50000 SH Put DFND 50000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 11925 5000 SH Call DFND 5000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 14650 5000 SH Put DFND 5000 0 0 IQVIA HLDGS INC COM 46266C105 208987 1020 SH DFND 3 1020 0 0 IRIS ACQUISITION CORP *W EXP 02/28/202 89601Y119 6077 79967 SH DFND 79967 0 0 ISHARES INC MSCI TAIWAN ETF 46434G772 2979590 74193 SH DFND 74193 0 0 ITIQUIRA ACQUISITION CORP *W EXP 02/03/202 G49773115 559 74608 SH DFND 74608 0 0 IVERIC BIO INC COM 46583P102 2500 25000 SH Call DFND 25000 0 0 JACKSON ACQUISITION CO *W EXP 99/99/999 46653C114 994 174538 SH DFND 174538 0 0 JAGUAR GLOBAL GROWTH CORP I *W EXP 11/23/202 G5S11A130 1560 26000 SH DFND 26000 0 0 JASPER THERAPEUTICS INC *W EXP 09/24/202 471871111 977 32590 SH DFND 32590 0 0 JATT ACQUISITION CORP *W EXP 07/19/202 G50752123 14709 98066 SH DFND 98066 0 0 JAWS HURRICANE ACQUISITN COR *W EXP 03/26/202 47201B111 6443 40149 SH DFND 40149 0 0 JAWS MUSTANG ACQUISITION COR *W EXP 01/30/202 G50737124 32998 507670 SH DFND 507670 0 0 JOUNCE THERAPEUTICS INC COM 481116101 4048647 3647430 SH DFND 3 3647430 0 0 JUNIPER II CORP *W EXP 99/99/999 48203N111 28493 174380 SH DFND 174380 0 0 JUPITER ACQUISITION CORP *W EXP 08/17/202 482082112 10323 172052 SH DFND 172052 0 0 KADEM SUSTAINABLE IMPACT COR *W EXP 03/16/202 48284E113 804 78134 SH DFND 78134 0 0 KAIROS ACQUISITION CORP *W EXP 11/30/202 G52110106 3 32804 SH DFND 32804 0 0 KAIROS ACQUISITION CORP CL A SHS G52110114 8759520 869000 SH DFND 3 869000 0 0 KAIROUS ACQUISITION CORP LTD *W EXP 09/15/202 G52131128 959 11850 SH DFND 11850 0 0 KENSINGTON CAPITAL ACQUISITI *W EXP 99/99/999 G5251K129 69399 408235 SH DFND 408235 0 0 KERNEL GROUP HOLDINGS INC *W EXP 02/02/202 G5259L129 525 92166 SH DFND 92166 0 0 KERNEL GROUP HOLDINGS INC CL A SHS G5259L103 506010 50100 SH DFND 50100 0 0 KHOSLA VENTURES ACQUISITION CL A 482504107 678640 68000 SH DFND 3 68000 0 0 KISMET ACQUISITION TWO CORP *W EXP 06/30/202 G52807115 47 18837 SH DFND 18837 0 0 KISMET ACQUISITION TWO CORP CL A SHS G52807107 1246791 123567 SH DFND 123567 0 0 KISMET ACQUISITION TWO CORP UNIT 99/99/9999 G52807123 820579 81326 SH DFND 81326 0 0 KLUDEIN I ACQUISITION CORP *W EXP 07/08/202 49878L117 13666 172556 SH DFND 172556 0 0 KNIGHTSWAN ACQUISITION CORP *W EXP 99/99/999 499103117 3584 79482 SH DFND 79482 0 0 LAKESHORE ACQUISITION II COR *W EXP 11/18/202 G5352N121 5050 101012 SH DFND 101012 0 0 LANDCADIA HOLDINGS IV INC *W EXP 03/29/202 51477A112 14687 146879 SH DFND 146879 0 0 LANVIN GROUP HOLDINGS LIMITE *W EXP 99/99/999 G5380J118 47735 159118 SH DFND 159118 0 0 LATCH INC *W EXP 06/04/202 51818V114 2054 48124 SH DFND 48124 0 0 LAZARD GROWTH ACQUISITION CO *W EXP 02/10/202 G54035111 351 58661 SH DFND 58661 0 0 LDH GROWTH CORP I *W EXP 03/17/202 G54094126 5272 239667 SH DFND 239667 0 0 LEO HLDGS CORP II COM CL A G5463R102 1362150 135000 SH DFND 135000 0 0 LF CAPITAL ACQUISITION CORP *W EXP 02/19/202 50202D110 5007 200300 SH DFND 200300 0 0 LF CAPITAL ACQUISITION CORP CLASS A COM 50202D102 1026000 100000 SH DFND 100000 0 0 LIVEVOX HOLDING INC *W EXP 06/18/202 53838L118 76801 240006 SH DFND 240006 0 0 LIVEWIRE GROUP INC *W EXP 09/26/202 53838J113 875240 3182694 SH DFND 3182694 0 0 LL FLOORING HOLDINGS INC COM 55003T107 9115640 1622000 SH DFND 3 1622000 0 0 LOGISTICS INNOVTN TECHNLGS C *W EXP 06/15/202 54141L118 2285 56995 SH DFND 56995 0 0 LUCID GROUP INC COM 549498103 16392 2400 SH DFND 2400 0 0 LUCID GROUP INC COM 549498103 25 5000 SH Call DFND 5000 0 0 LUCID GROUP INC COM 549498103 195145 5100 SH Put DFND 5100 0 0 LUMIRADX LTD *W EXP 09/28/202 G5709L117 855 14495 SH DFND 14495 0 0 LYFT INC CL A COM 55087P104 440800 40000 SH DFND 3 40000 0 0 MACONDRAY CAP ACQUISITN CORP CLASS A ORD SHS G5853A107 2190850 215000 SH DFND 215000 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 1020 40800 SH Call DFND 40800 0 0 MAGNUM OPUS ACQUISITION LTD *W EXP 03/06/202 G5S70A112 12906 537788 SH DFND 537788 0 0 MALLINCKRODT PLC ORD SHS G5890A102 320268 41325 SH DFND 41325 0 0 MAQUIA CAPITAL ACQUISITION C *W EXP 05/05/202 56564V119 4278 118849 SH DFND 118849 0 0 MAQUIA CAPITAL ACQUISITION C CLASS A COM 56564V101 208400 20000 SH DFND 20000 0 0 MARIADB PLC *W EXP 12/16/202 G5920M118 70022 195485 SH DFND 195485 0 0 MARKFORGED HOLDING CORPORATI *W EXP 07/14/202 57064N110 39667 188893 SH DFND 188893 0 0 MARLIN TECHNOLOGY CORP *W EXP 01/12/202 G58411110 1249 780781 SH DFND 780781 0 0 MASIMO CORP COM 574795100 50000 40000 SH Call DFND 40000 0 0 MASON INDUSTRIAL TECHNOLGY I COM CL A 57520Y106 1006496 100700 SH DFND 100700 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 517400 10000 SH DFND 10000 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 587000 20000 SH Call DFND 20000 0 0 MBIA INC COM 55262C100 2278253 177296 SH DFND 177296 0 0 MBIA INC COM 55262C100 18480 15400 SH Call DFND 15400 0 0 MBIA INC COM 55262C100 52670 222700 SH Put DFND 222700 0 0 MEDICUS SCIENCES ACQUISITION *W EXP 02/12/202 G5960S124 4759 52887 SH DFND 52887 0 0 MERCATO PARTNERS ACQUISITION *W EXP 99/99/999 58759A116 2187 145371 SH DFND 145371 0 0 MERCK & CO INC COM 58933Y105 2770310 24969 SH DFND 24969 0 0 MERCK & CO INC COM 58933Y105 65665 36700 SH Put DFND 36700 0 0 META PLATFORMS INC CL A 30303M102 2877329 23910 SH DFND 3 23910 0 0 META PLATFORMS INC CL A 30303M102 34000 10000 SH Call DFND 10000 0 0 METTLER TOLEDO INTERNATIONAL COM 592688105 213926 148 SH DFND 3 148 0 0 MICROSTRATEGY INC NOTE 2/1 594972AE1 2632000 7000000 PRN DFND 3 7000000 0 0 MINORITY EQUALITY OPPORTUNIT *W EXP 08/26/202 60436Q118 8079 124298 SH DFND 124298 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 1667500 250000 SH DFND 250000 0 0 MOBIV ACQUISITION CORP *W EXP 07/31/202 60742N114 6000 100000 SH DFND 100000 0 0 MODERNA INC COM 60770K107 2932116 16324 SH DFND 16324 0 0 MODERNA INC COM 60770K107 138 6400 SH Call DFND 6400 0 0 MODERNA INC COM 60770K107 4418730 16300 SH Put DFND 16300 0 0 MONEYLION INC *W EXP 09/22/202 60938K114 27076 658796 SH DFND 658796 0 0 MONTEREY CAP ACQUISITION COR *W EXP 01/01/202 61244M117 7062 176550 SH DFND 176550 0 0 MOUNT RAINIER ACQUISITION CO *W EXP 11/27/202 623006111 20321 112897 SH DFND 112897 0 0 MOUNTAIN & CO I ACQUISITN CO *W EXP 09/30/202 G6301J112 6750 225000 SH DFND 225000 0 0 MOUNTAIN CREST ACQSITN CORP COM 62404B107 2013000 200000 SH DFND 3 200000 0 0 MOUNTAIN CREST ACQSITN CORP RIGHT 08/30/2022 62404B115 34162 149900 SH DFND 149900 0 0 MSD ACQUISITION CORP *W EXP 03/25/202 G5709C125 6613 85332 SH DFND 85332 0 0 MURPHY CANYON ACQUISITION CO *W EXP 01/25/202 626642110 42991 623071 SH DFND 623071 0 0 NANOSTRING TECHNOLOGIES INC COM 63009R109 100948 12666 SH DFND 12666 0 0 NANOSTRING TECHNOLOGIES INC COM 63009R109 8547 26300 SH Call DFND 26300 0 0 NATIONAL ENERGY SERVICES REU *W EXP 06/06/202 G6375R115 54808 137021 SH DFND 137021 0 0 NAUTICUS ROBOTICS INC *W EXP 03/15/202 63911H116 137032 519261 SH DFND 519261 0 0 NERDY INC *W EXP 08/16/202 64081V117 133307 579596 SH DFND 579596 0 0 NEW VISTA ACQUISITION CORP *W EXP 02/01/202 G6529L121 5564 96438 SH DFND 96438 0 0 NEW VISTA ACQUISITION CORP CL A SHS G6529L105 560595 55532 SH DFND 55532 0 0 NEWBURY STREET ACQUISITN COR *W EXP 04/30/202 65101L112 4871 69593 SH DFND 69593 0 0 NEWCOURT ACQUISITION CORP *W EXP 01/22/202 G6448C129 2400 50000 SH DFND 50000 0 0 NEWHOLD INVESTMENT CORP II *W EXP 10/21/202 651450116 16164 89800 SH DFND 89800 0 0 NOBLE ROCK ACQUISITION CORP *W EXP 01/31/202 G6546R119 5971 119185 SH DFND 119185 0 0 NOGIN INC *W EXP 08/26/202 65528N113 1066 54690 SH DFND 54690 0 0 NORTH ATLANTIC ACQUISITN COR *W EXP 10/20/202 G66139125 1702 83060 SH DFND 83060 0 0 NORTHERN GENESIS ACQU CORP I COM 66516W107 2518132 250810 SH DFND 250810 0 0 NORTHERN STAR INVEST CORP II COM CL A 66574L100 7386750 735000 SH DFND 735000 0 0 NORTHERN STAR INVEST CORP IV *W EXP 02/25/202 66575B119 582 24999 SH DFND 24999 0 0 NORTHERN STAR INVEST CORP IV COM CL A 66575B101 4271250 425000 SH DFND 425000 0 0 NORTHERN STAR INVSTMNT CORP *W EXP 01/31/202 66573W115 2599 40109 SH DFND 40109 0 0 NORTHVIEW ACQUISITION CORP *W EXP 08/02/202 66718N111 6431 135410 SH DFND 135410 0 0 NORTHVIEW ACQUISITION CORP RIGHT 99/99/9999 66718N129 188196 1090997 SH DFND 1090997 0 0 NOVA VISION ACQUISITION CORP RIGHT 12/23/2023 G6759A134 7272 60600 SH DFND 60600 0 0 NUSCALE PWR CORP CL A COM 67079K100 102600 10000 SH DFND 10000 0 0 OFFERPAD SOLUTIONS INC *W EXP 09/01/202 67623L117 9747 433228 SH DFND 433228 0 0 OMNILIT ACQUISITION CORP *W EXP 11/08/202 68218C116 5342 164375 SH DFND 164375 0 0 OSIRIS ACQUISITION CORP *W EXP 05/01/202 68829A111 3656 88958 SH DFND 88958 0 0 OSIRIS ACQUISITION CORP CL A 68829A103 4975000 500000 SH DFND 500000 0 0 OTONOMO TECHNOLOGIES LTD *W EXP 08/13/202 M7571L111 76539 2568449 SH DFND 2568449 0 0 OTONOMO TECHNOLOGIES LTD ORDINARY SHARES M7571L103 237477 583484 SH DFND 583484 0 0 OWLET INC *W EXP 09/14/202 69120X115 9759 243984 SH DFND 243984 0 0 P3 HEALTH PARTNERS INC *W EXP 11/19/202 744413113 3500 25000 SH DFND 25000 0 0 PAGAYA TECHNOLOGIES LTD *W EXP 09/01/202 M7S64L107 5832 61460 SH DFND 61460 0 0 PAPAYA GRWT OPPORTUNITY CORP *W EXP 12/31/202 69882P110 10545 132651 SH DFND 132651 0 0 PATRIA LATIN AMRCN OPPRNTY A *W EXP 02/23/202 G69454117 8570 95233 SH DFND 95233 0 0 PAYSAFE LIMITED *W EXP 03/30/202 G6964L115 2715 47300 SH DFND 47300 0 0 PEARL HOLDINGS ACQUISITN COR *W EXP 12/15/202 G44525114 2965 42425 SH DFND 42425 0 0 PEPPERLIME HEALTH ACQUSTN CO *W EXP 10/01/202 G70021111 1996 130464 SH DFND 130464 0 0 PERIDOT ACQUISITION CORP II *W EXP 04/30/202 G7008B121 12381 265135 SH DFND 265135 0 0 PHOENIX BIOTECH ACQUISITION *W EXP 09/01/202 71902K113 2538 58905 SH DFND 58905 0 0 PHP VENTURES ACQUISITION COR RIGHT 01/01/2023 69291C122 30887 176501 SH DFND 176501 0 0 PINE TECHNOLOGY ACQUISITN CO *W EXP 03/31/202 722850112 84 49700 SH DFND 49700 0 0 PINTEREST INC CL A 72352L106 303500 12500 SH DFND 12500 0 0 PINTEREST INC CL A 72352L106 11875 12500 SH Call DFND 12500 0 0 PINTEREST INC CL A 72352L106 7250 50000 SH Put DFND 50000 0 0 PIONEER MERGER CORP *W EXP 01/07/202 G7S24C111 26 52800 SH DFND 52800 0 0 PIONEER MERGER CORP CL A SHS G7S24C103 6084000 600000 SH DFND 600000 0 0 PIONEER MERGER CORP CL A SHS G7S24C103 253500 25000 SH DFND 3 25000 0 0 PLANET LABS PBC COM CL A 72703X106 68508 15749 SH DFND 3 15749 0 0 PLBY GROUP INC COM 72814P109 93918 34152 SH DFND 34152 0 0 PLUM ACQUISITION CORP I *W EXP 03/15/202 G7134L118 223 12200 SH DFND 12200 0 0 PONO CAP TWO INC *W EXP 07/31/202 73245B115 6973 126561 SH DFND 126561 0 0 PONO CAPITAL CORP *W EXP 09/30/202 732450119 25654 394688 SH DFND 394688 0 0 PONTEM CORPORATION *W EXP 01/05/202 G71707122 12380 154754 SH DFND 154754 0 0 PONTEM CORPORATION SHS CL A G71707106 255611 25283 SH DFND 25283 0 0 PONTEM CORPORATION UNIT 99/99/9999 G71707114 1011000 100000 SH DFND 100000 0 0 POST HOLDINGS PARTNERING COR *W EXP 04/12/202 737465112 8000 100000 SH DFND 100000 0 0 POWER & DIGITAL INFRASTRUCTU *W EXP 12/09/202 73919C118 15300 217957 SH DFND 217957 0 0 POWERED BRANDS *W EXP 01/07/202 G7209M116 14 47650 SH DFND 47650 0 0 POWERED BRANDS CL A G7209M108 1757824 174042 SH DFND 174042 0 0 PRESTO AUTOMATION INC *W EXP 09/21/202 74113T113 26120 620436 SH DFND 620436 0 0 PRIME IMPACT ACQUISITION I *W EXP 10/01/203 G61074129 5977 300399 SH DFND 300399 0 0 PRIME NO ACQUISITION I CORP *W EXP 07/31/202 74168P115 9070 139541 SH DFND 139541 0 0 PRIVETERRA ACQUISITION CORP *W EXP 02/28/202 74275N110 12199 267522 SH DFND 267522 0 0 PRIVETERRA ACQUISITION CORP UNIT 99/99/9999 74275N201 502000 50000 SH DFND 50000 0 0 PROCAPS GROUP SA *W EXP 09/29/202 L7756P110 4644 10000 SH DFND 3 10000 0 0 PROGRESS ACQUISITION CORP *W EXP 11/11/202 74327P113 2996 47792 SH DFND 47792 0 0 PROJECT ENERGY REIMAGINED AC *W EXP 10/28/202 G72556114 1988 49700 SH DFND 49700 0 0 PROJECT ENERGY REIMAGINED AC CLASS A ORD G72556106 15105000 1500000 SH DFND 3 1500000 0 0 PROSOMNUS INC *W EXP 04/20/202 50535E116 22425 285312 SH DFND 285312 0 0 PULMONX CORP COM 745848101 43212 5126 SH DFND 5126 0 0 PULMONX CORP COM 745848101 2512 6700 SH Put DFND 6700 0 0 PURECYCLE TECHNOLOGIES INC COM 74623V103 39872 73700 SH Call DFND 73700 0 0 PURPLE INNOVATION INC COM 74640Y106 67539 14100 SH DFND 14100 0 0 PURPLE INNOVATION INC COM 74640Y106 5000 25000 SH Call DFND 25000 0 0 PURPLE INNOVATION INC COM 74640Y106 1517 20700 SH Put DFND 20700 0 0 PYROPHYTE ACQUISITION CORP *W EXP 05/03/202 G7308P127 2662 35500 SH DFND 35500 0 0 QOMOLANGMA ACQUISITION CORP *W EXP 09/29/202 74738V113 4592 114800 SH DFND 114800 0 0 QOMOLANGMA ACQUISITION CORP RIGHT 09/29/2027 74738V121 24428 177500 SH DFND 177500 0 0 QUANTUM FINTECH ACQUISTIN CO COMMON STOCK 74767A105 1267787 126148 SH DFND 126148 0 0 QUANTUMSCAPE CORP COM CL A 74767V109 1417500 250000 SH DFND 250000 0 0 QURATE RETAIL INC COM SER A 74915M100 14000 560000 SH Call DFND 560000 0 0 R1 RCM INC COM 77634L105 52012 4750 SH DFND 4750 0 0 R1 RCM INC COM 77634L105 2500 10000 SH Call DFND 10000 0 0 RADIUS GLOBAL INFRASTRCTRE I COM CL A 750481103 49053 4150 SH DFND 4150 0 0 RADIUS GLOBAL INFRASTRCTRE I COM CL A 750481103 22000 40000 SH Call DFND 40000 0 0 REDWOODS ACQUISITION CORP *W EXP 03/15/202 758083117 18941 403000 SH DFND 403000 0 0 REDWOODS ACQUISITION CORP RIGHT 03/15/2027 758083125 32032 200200 SH DFND 200200 0 0 RELATIVITY ACQUISITION CORP *W EXP 12/15/202 75944B114 7985 265312 SH DFND 265312 0 0 RELMADA THERAPEUTICS INC COM 75955J402 223398 64011 SH DFND 3 64011 0 0 RENEW ENERGY GLOBAL PLC CL A SHS G7500M104 2100450 381900 SH DFND 381900 0 0 REVANCE THERAPEUTICS INC NOTE 1.750% 2/1 761330AB5 34312500 36600000 PRN DFND 3 36600000 0 0 REVELSTONE CAPITAL ACQSTN CO *W EXP 09/15/202 76137R114 4736 47366 SH DFND 47366 0 0 RF ACQUISITION CORP *W EXP 05/01/202 74954L112 6535 522832 SH DFND 522832 0 0 RICE ACQUISITION CORP II *W EXP 99/99/999 G75529126 34316 27453 SH DFND 27453 0 0 RICE ACQUISITION CORP II SHS CL A G75529100 1391327 136807 SH DFND 136807 0 0 RIGETTI COMPUTING INC *W EXP 99/99/999 76655K111 1012 12499 SH DFND 12499 0 0 RMG ACQUISITION CORP III *W EXP 02/08/202 G76088122 6564 218830 SH DFND 218830 0 0 ROCKET INTERNET GRWT OPRT CO SHS CL A G7613T103 109978 10889 SH DFND 10889 0 0 ROCKET PHARMACEUTICALS INC COM 77313F106 21527000 1100000 SH DFND 3 1100000 0 0 ROCKLEY PHOTONICS HLDGS LTD *W EXP 08/11/202 G7614L117 5489 109781 SH DFND 109781 0 0 ROIVANT SCIENCES LTD *W EXP 09/30/202 G76279119 120474 62100 SH DFND 62100 0 0 ROSS ACQUISITION CORP II *W EXP 02/01/202 G7641C114 14524 289902 SH DFND 289902 0 0 ROTH CH ACQUISITION IV CO *W EXP 07/01/202 77867P112 99429 411887 SH DFND 411887 0 0 RUBICON TECHNOLOGIES INC CL A COM 78112J109 784142 440529 SH DFND 440529 0 0 SARCOS TECHN AND ROBOTICS CO *W EXP 09/24/202 80359A114 2262 60000 SH DFND 60000 0 0 SCHULTZE SPL PURP ACQ CORP I *W EXP 04/13/202 808212112 276 24492 SH DFND 24492 0 0 SCION TECH GROWTH II *W EXP 01/28/202 G31070116 225 62722 SH DFND 62722 0 0 SCIPLAY CORPORATION CL A 809087109 24944035 1551246 SH DFND 3 1551246 0 0 SCREAMING EAGLE ACQUISITN CO *W EXP 01/05/202 G79407121 128209 543953 SH DFND 543953 0 0 SCULPTOR ACQUISITION CORP I *W EXP 99/99/999 G7T983111 9391 181300 SH DFND 181300 0 0 SEAPORT CALIBRE MATLS ACQUIS *W EXP 10/28/202 812204113 7800 222858 SH DFND 222858 0 0 SEAPORT GLOBAL ACQUISITION I CLASS A COM 81221H105 650662 63853 SH DFND 63853 0 0 SEMA4 HOLDINGS CORP *W EXP 07/22/202 81663L119 21581 1135874 SH DFND 1135874 0 0 SEMANTIX INC *W EXP 08/03/202 G6332A114 14979 500978 SH DFND 500978 0 0 SEMPER PARATUS ACQUISITION C *W EXP 11/04/202 G8028L131 100 13400 SH DFND 13400 0 0 SENIOR CONNECT ACQUISITN COR *W EXP 12/31/202 81723H116 56358 937748 SH DFND 937748 0 0 SHAPEWAYS HOLDINGS INC *W EXP 09/29/202 81947T110 5969 353221 SH DFND 353221 0 0 SHARECARE INC *W EXP 07/01/202 81948W112 13916 99400 SH DFND 99400 0 0 SHF HOLDINGS INC *W EXP 09/28/202 824430110 4416 70319 SH DFND 70319 0 0 SHUAA PARTNERS ACQUISTN CORP *W EXP 02/24/202 G81173117 20036 221640 SH DFND 221640 0 0 SIGNAL HILL ACQUISITION CORP *W EXP 02/10/202 82664R113 1003 100366 SH DFND 100366 0 0 SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 363229 5589 SH DFND 5589 0 0 SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 112200 13600 SH Put DFND 13600 0 0 SILVER SPIKE ACQUISITN CORP *W EXP 02/26/202 G8201H113 5062 168758 SH DFND 168758 0 0 SILVERSPAC INC *W EXP 09/09/202 G8136V112 5059 29900 SH DFND 29900 0 0 SK GROWTH OPPORTUNITIES CORP *W EXP 06/28/202 G8192N111 11929 119290 SH DFND 119290 0 0 SKILLSOFT CORP *W EXP 06/11/202 83066P119 67081 528618 SH DFND 528618 0 0 SKYDECK ACQUISITION CORP *W EXP 05/13/202 G82220115 1252 41766 SH DFND 41766 0 0 SLAM CORP *W EXP 02/23/202 G8210L121 81069 921247 SH DFND 921247 0 0 SLAM CORP UNIT 99/99/9999 G8210L113 363600 36000 SH DFND 36000 0 0 SNDL INC COM 83307B101 42448 20310 SH DFND 20310 0 0 SOCIAL CAP SUVRETTA HLDS CP CLASS A ORD SHS G8253Y105 541695 53900 SH DFND 3 53900 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253U103 838025 83220 SH DFND 3 83220 0 0 SOCIAL LEVERAGE ACQUISN CORP *W EXP 02/17/202 83363K110 6127 102470 SH DFND 102470 0 0 SOMALOGIC INC CLASS A COM 83444K105 620537 247226 SH DFND 247226 0 0 SONDER HOLDINGS INC *W EXP 01/18/202 83542D110 38573 477389 SH DFND 477389 0 0 SOUND POINT ACQUISITION CORP *W EXP 02/25/202 G8274F119 1250 25000 SH DFND 25000 0 0 SOUNDHOUND AI INC *W EXP 04/26/202 836100115 3750 25000 SH DFND 25000 0 0 SOUTHPORT ACQUISITION CORP *W EXP 99/99/999 84465L113 2197 96822 SH DFND 96822 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 35172 15500 SH Put DFND 15500 0 0 SPDR SER TR S&P REGL BKG 78464A698 1406823 23950 SH DFND 23950 0 0 SPDR SER TR S&P REGL BKG 78464A698 90750 55000 SH Call DFND 55000 0 0 SPDR SER TR S&P REGL BKG 78464A698 439175 55000 SH Put DFND 55000 0 0 SPIRE GLOBAL INC *W EXP 08/16/202 848560116 3520 29299 SH DFND 29299 0 0 SPIRIT AIRLS INC NOTE 4.750% 5/1 848577AA0 177000 100000 PRN DFND 100000 0 0 SPORTSMAP TECH ACQUISITIN CO *W EXP 09/01/202 84921J116 90296 1644740 SH DFND 1644740 0 0 SPORTSMAP TECH ACQUISITIN CO COM 84921J108 668427 65500 SH DFND 65500 0 0 SPREE ACQUISITION CORP 1 LTD *W EXP 12/22/202 G83745128 2538 63000 SH DFND 63000 0 0 SPRING VALLEY ACQUISTN CORP *W EXP 02/25/202 G83752116 24875 99500 SH DFND 99500 0 0 SPRING VALLEY ACQUISTN CORP RIGHT 02/25/2026 G83752132 52700 310000 SH DFND 310000 0 0 SPRINGBIG HOLDINGS INC *W EXP 06/14/202 85021Q116 4247 201315 SH DFND 201315 0 0 SPRINGWATER SPL SITUATIONS C *W EXP 12/01/202 85205U115 836 41817 SH DFND 41817 0 0 STOKE THERAPEUTICS INC COM 86150R107 6904750 748077 SH DFND 3 748077 0 0 STONEBRIDGE ACQUISITION CORP *W EXP 03/31/202 G85094129 2921 112793 SH DFND 112793 0 0 STRYVE FOODS INC *W EXP 07/31/202 863685111 48752 975046 SH DFND 975046 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 27033254 3370730 SH DFND 3370730 0 0 SUNLIGHT FINANCIAL HOLDINGS *W EXP 07/09/202 86738J114 71841 448729 SH DFND 448729 0 0 SUSTAINABLE DEVELP ACQU I CO *W EXP 02/04/202 86934L111 2300 50000 SH DFND 3 50000 0 0 SUSTAINABLE DEVELP ACQU I CO *W EXP 02/04/202 86934L111 116850 2921264 SH DFND 2921264 0 0 SUSTAINABLE DEVELP ACQU I CO COM CL A 86934L103 422520 42000 SH DFND 42000 0 0 SVF INVESTMENT CORP *W EXP 01/12/202 G8601L128 839 32415 SH DFND 32415 0 0 SVF INVESTMENT CORP CL A SHS G8601L102 3388326 335146 SH DFND 335146 0 0 SVF INVESTMENT CORP CL A SHS G8601L102 451694 44678 SH DFND 3 44678 0 0 SWVL HOLDINGS CORP *W EXP 03/31/202 G86302117 4779 240176 SH DFND 240176 0 0 SYLVAMO CORP COMMON STOCK 871332102 104468500 2150000 SH DFND 3 2150000 0 0 TABOOLA.COM LTD *W EXP 06/29/202 M8744T114 342054 697500 SH DFND 697500 0 0 TAILWIND ACQUISITION CORP *W EXP 09/07/202 87403Q110 47746 682096 SH DFND 682096 0 0 TALKSPACE INC *W EXP 06/21/202 87427V111 238588 3272814 SH DFND 3272814 0 0 TARGET CORP COM 87612E106 2960977 19867 SH DFND 19867 0 0 TARGET CORP COM 87612E106 98 19700 SH Call DFND 19700 0 0 TARGET CORP COM 87612E106 2204021 19900 SH Put DFND 19900 0 0 TARO PHARMACEUTICAL INDS LTD SHS M8737E108 2050398 70606 SH DFND 3 70606 0 0 TECHNOLOGY & TELECOM ACQ COR *W EXP 04/15/202 G87119114 26578 883011 SH DFND 883011 0 0 TENX KEANE ACQUISITION RIGHT 06/30/2028 G8708L112 15000 75000 SH DFND 75000 0 0 TERRAN ORBITAL CORPORATION *W EXP 03/25/202 88105P111 23923 239233 SH DFND 239233 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 1613711 176942 SH DFND 176942 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 55091 243800 SH Call DFND 243800 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 2500 100000 SH Put DFND 100000 0 0 TG THERAPEUTICS INC COM 88322Q108 34850 82000 SH Call DFND 82000 0 0 TG VENTURE ACQUISITION CORP *W EXP 08/15/202 87251T117 23430 390513 SH DFND 390513 0 0 THE BEACHBODY COMPANY INC *W EXP 12/31/202 073463119 15788 380435 SH DFND 380435 0 0 THE GROWTH FOR GOOD ACQU COR RIGHT 11/12/2026 G41522130 7522 187600 SH DFND 187600 0 0 THE ODP CORP COM 88337F105 9298402 204181 SH DFND 3 204181 0 0 THE ONCOLOGY INSTITUTE INC *W EXP 11/15/202 68236X118 13223 120100 SH DFND 120100 0 0 THRIVE ACQUISITION CORPORATI *W EXP 10/31/202 G7158C119 125 12400 SH DFND 12400 0 0 THUNDER BRIDGE CAP PRTNRS II *W EXP 02/01/202 88605T118 5215 68000 SH DFND 68000 0 0 TIO TECH A *W EXP 04/12/202 G8T10C114 1572 65500 SH DFND 65500 0 0 TKB CRITICAL TECHNOLOGIES 1 *W EXP 10/20/202 G88935120 1375 63370 SH DFND 63370 0 0 TORTOISEECOFIN ACQUISITION C *W EXP 07/22/202 G8956E117 25546 127732 SH DFND 127732 0 0 TPG PACE BENEFICIAL II CORP COMMON STOCK G89826104 634174 64547 SH DFND 64547 0 0 TRAJECTORY ALPHA ACQUISITION *W EXP 99/99/999 89301B112 10683 267085 SH DFND 267085 0 0 TRICIDA INC COM 89610F101 1958 12806 SH DFND 12806 0 0 TRICIDA INC COM 89610F101 86820 12800 SH Put DFND 12800 0 0 TRICIDA INC NOTE 3.500% 5/1 89610FAB7 954180 10044000 PRN DFND 10044000 0 0 TRINE II ACQUISITION CORP *W EXP 99/99/999 G9059F118 9497 118872 SH DFND 118872 0 0 TURNING PT BRANDS INC NOTE 2.500% 7/1 90041LAE5 1066440 1200000 PRN DFND 1200000 0 0 TWELVE SEAS INVESTMENT CO II *W EXP 03/02/202 90118T114 797 50631 SH DFND 50631 0 0 TWIN RIDGE CAPITAL ACQUIS CO *W EXP 03/07/202 G9151L120 1544 51316 SH DFND 51316 0 0 TWO COM CL A G9152V101 322240 32000 SH DFND 3 32000 0 0 TZP STRATEGIES ACQUISTN CORP *W EXP 01/06/202 G91595119 2985 121865 SH DFND 121865 0 0 UPHEALTH INC *W EXP 06/08/202 91532B119 1259 96897 SH DFND 96897 0 0 UPSTART HLDGS INC COM 91680M107 17175 15000 SH Call DFND 15000 0 0 UPSTART HLDGS INC COM 91680M107 24250 10000 SH Put DFND 10000 0 0 USERTESTING INC COM 91734E101 12652 256100 SH Call DFND 256100 0 0 VALOR LATITUDE ACQUISITN COR *W EXP 04/02/202 G9460N122 15850 528335 SH DFND 528335 0 0 VALUENCE MERGER CORP I *W EXP 02/18/202 G9R16L118 6050 110008 SH DFND 110008 0 0 VECTOR ACQUISITION CORP II CL A SHS G9460A104 121200 12000 SH DFND 3 12000 0 0 VELO3D INC *W EXP 09/29/202 92259N112 6154 30039 SH DFND 30039 0 0 VENTYX BIOSCIENCES INC COM 92332V107 77810 12400 SH Call DFND 12400 0 0 VERTICAL AEROSPACE LTD *W EXP 09/15/202 G9471C115 80969 257700 SH DFND 257700 0 0 VIRGIN ORBIT HOLDINGS INC *W EXP 99/99/999 92771A119 4896 27200 SH DFND 27200 0 0 VISCOGLIOSI BROS ACQUISTN CO *W EXP 03/18/202 92838K118 5430 100000 SH DFND 100000 0 0 VISION SENSING ACQUISITION C *W EXP 10/21/202 92838J111 10681 364571 SH DFND 364571 0 0 VIVEON HEALTH ACQUISITION CO *W EXP 99/99/999 92853V114 10500 210000 SH DFND 210000 0 0 VIVEON HEALTH ACQUISITION CO RIGHT 12/31/2025 92853V122 39147 300210 SH DFND 300210 0 0 VIVID SEATS INC *W EXP 10/18/202 92854T118 120660 59354 SH DFND 59354 0 0 WARNER BROS DISCOVERY INC COM SER A 934423104 1158456 122200 SH DFND 122200 0 0 WEJO GROUP LIMITED *W EXP 11/18/202 G9525W117 610 12254 SH DFND 12254 0 0 WELLS FARGO CO NEW COM 949746101 1388995 33640 SH DFND 33640 0 0 WELLS FARGO CO NEW COM 949746101 41402 50800 SH Call DFND 50800 0 0 WELLS FARGO CO NEW COM 949746101 131250 30000 SH Put DFND 30000 0 0 WESTERN ACQSTN VENTURES CORP *W EXP 09/01/202 95758L115 65783 1012060 SH DFND 1012060 0 0 WESTERN ASSET HIGH INCOM FD COM 95766J102 242677 50140 SH DFND 50140 0 0 WESTERN UN CO COM 959802109 11625 45000 SH Put DFND 45000 0 0 WEWORK INC *W EXP 10/20/202 96209A112 3688 33531 SH DFND 33531 0 0 WILLIAMS ROWLAND ACQUISITION *W EXP 12/11/202 96951B110 4135 91686 SH DFND 91686 0 0 WINVEST ACQUISITION CORP *W EXP 08/09/202 97655B117 17454 1026142 SH DFND 1026142 0 0 WINVEST ACQUISITION CORP RIGHT 99/99/9999 97655B125 34571 476847 SH DFND 476847 0 0 WM TECHNOLOGY INC COM 92971A109 28847 28562 SH DFND 3 28562 0 0 WORLD QUANTUM GROWTH ACQUISI SHS CL A G5596W101 226218 22200 SH DFND 22200 0 0 XPAC ACQUISITION CORP *W EXP 99/99/999 G9831X122 2696 16666 SH DFND 3 16666 0 0 XPAC ACQUISITION CORP *W EXP 99/99/999 G9831X122 27405 169378 SH DFND 169378 0 0 YOTTA ACQUISITION CORPORATIO *W EXP 03/15/202 98741Y111 12649 421641 SH DFND 421641 0 0 YOTTA ACQUISITION CORPORATIO RIGHT 03/15/2027 98741Y129 3897 24000 SH DFND 24000 0 0 ZIMMER ENERGY TRANSITION ACQ *W EXP 06/16/202 989570114 51562 322066 SH DFND 322066 0 0