Chief Compliance Officer

0001085146-24-001035.txt : 20240212 0001085146-24-001035.hdr.sgml : 20240212 20240212101510 ACCESSION NUMBER: 0001085146-24-001035 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231231 FILED AS OF DATE: 20240212 DATE AS OF CHANGE: 20240212 EFFECTIVENESS DATE: 20240212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COWEN AND COMPANY, LLC CENTRAL INDEX KEY: 0000048966 ORGANIZATION NAME: IRS NUMBER: 841702964 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-19611 FILM NUMBER: 24617865 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/A 1 primary_doc.xml X0202 13F-HR/A LIVE false false false 0000048966 XXXXXXXX 12-31-2023 12-31-2023 true 1 RESTATEMENT 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 02-12-2024 1 596 1524593366 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 24212 430065 SH DFND 430065 0 0 10X CAPITAL VENTURE ACQ III CL A ORD SHS G87077106 145384 13600 SH DFND 13600 0 0 2SEVENTY BIO INC COMMON STOCK 901384107 3416000 800000 SH DFND 3 800000 0 0 99 ACQUISITION GROUP INC *W EXP 08/25/202 65445K119 22802 1530472 SH DFND 1530472 0 0 99 ACQUISITION GROUP INC CL A 65445K101 1463773 143648 SH DFND 143648 0 0 99 ACQUISITION GROUP INC RIGHT 08/25/2028 65445K127 51677 344518 SH DFND 344518 0 0 A SPAC I ACQUISITION CORP *W EXP 05/21/202 G0542S130 1065 71050 SH DFND 71050 0 0 A SPAC II ACQUISITION CORP RIGHT 10/15/2026 G0543H133 45946 510521 SH DFND 510521 0 0 ABACUS LIFE INC *W EXP 06/30/202 00258Y112 298560 400000 SH DFND 400000 0 0 ABLE VIEW GLOBAL INC *W EXP 08/18/202 G1149B116 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COM 30161Q104 2222769 92654 SH DFND 3 92654 0 0 FEUTUNE LIGHT ACQUISITION CO *W EXP 06/01/202 31561T110 2183 181977 SH DFND 181977 0 0 FEUTUNE LIGHT ACQUISITION CO RIGHT 06/01/2029 31561T128 12381 145660 SH DFND 145660 0 0 FINANCE OF AMERICA COMPAN *W EXP 04/08/202 31738L115 238371 2979644 SH DFND 2979644 0 0 FINANCE OF AMERICA COMPAN COM CL A 31738L107 27500 25000 SH DFND 25000 0 0 FINNOVATE ACQUISITION CORP *W EXP 09/30/202 G3R34K111 525 75000 SH DFND 75000 0 0 FINNOVATE ACQUISITION CORP CLASS A ORD SHS G3R34K103 1256157 113474 SH DFND 113474 0 0 FINTECH ECOSYSTEM DEVE *W EXP 04/01/202 318136116 1697 182580 SH DFND 182580 0 0 FINTECH ECOSYSTEM DEVE RIGHT 04/01/2026 318136124 9972 99723 SH DFND 99723 0 0 FLAME ACQUISITION CORP *W EXP 02/26/202 33850F116 1302684 674966 SH DFND 674966 0 0 FLAME ACQUISITION CORP COM CL A 33850F108 1047754 91989 SH DFND 91989 0 0 FOCUS IMPACT ACQUISITION COR *W EXP 10/28/202 34417L117 9910 495500 SH DFND 495500 0 0 FOCUS IMPACT BH3 ACQUISITION *W EXP 10/04/202 22677T110 59715 995254 SH DFND 995254 0 0 FOCUS IMPACT BH3 ACQUISITION CLASS A COM 22677T102 784500 75000 SH DFND 75000 0 0 FORTUNE RISE ACQUISITION COR *W EXP 12/06/202 34969G110 6981 174530 SH DFND 174530 0 0 FORTUNE RISE ACQUISITION COR CL A 34969G102 155434 14182 SH DFND 14182 0 0 FOUR LEAF ACQUISITION CORP *W EXP 03/15/202 35088F115 3602 120094 SH DFND 120094 0 0 FOUR LEAF ACQUISITION CORP COM CL A 35088F107 811902 77177 SH DFND 77177 0 0 FREIGHTOS LTD *W EXP 99/99/999 G51405119 3265 32650 SH DFND 32650 0 0 FREYR BATTERY INC *W EXP 09/01/202 L4135L118 30840 154200 SH DFND 154200 0 0 FULCRUM THERAPEUTICS INC COM 359616109 23449054 3473934 SH DFND 3 3473934 0 0 FUTURE HEALTH ESG CORP *W EXP 99/99/999 36118W110 3153 114260 SH DFND 114260 0 0 FUTURETECH II ACQUISITION CO *W EXP 08/18/202 36119D111 1296 87000 SH DFND 87000 0 0 FUTURETECH II ACQUISITION CO CLASS A COM 36119D103 4095512 377119 SH DFND 377119 0 0 GCM GROSVENOR INC *W EXP 11/17/202 36831E116 662173 1839371 SH DFND 1839371 0 0 GDEV INC *W EXP 08/26/202 G6529J118 44194 700383 SH DFND 700383 0 0 GENEDX HOLDINGS CORP *W EXP 07/22/202 81663L119 11380 1138088 SH DFND 1138088 0 0 GENERATION ASIA I ACQUISITIO *W EXP 99/99/999 G38258128 6991 233066 SH DFND 233066 0 0 GENERATION ASIA I ACQUISITIO CL A ORD SHS G38258102 4613858 424458 SH DFND 424458 0 0 GINKGO BIOWORKS HOLDINGS INC *W EXP 09/16/202 37611X118 97673 927569 SH DFND 927569 0 0 GLOBAL BLOCKCHAIN ACQUI CORP *W EXP 05/09/202 37961B120 1273 84913 SH DFND 84913 0 0 GLOBAL BLOCKCHAIN ACQUI CORP RIGHT 05/09/2027 37961B112 3124 26300 SH DFND 26300 0 0 GLOBAL BLUE GROUP HOLDING AG *W EXP 08/28/202 H33700115 39388 563497 SH DFND 563497 0 0 GLOBAL LIGHTS ACQUISITION CO ORD SHS G3937F101 3029544 300550 SH DFND 300550 0 0 GLOBAL LIGHTS ACQUISITION CO RIGHT 11/14/2024 G3937F119 42549 265937 SH DFND 265937 0 0 GLOBAL PARTNER ACQISTN CORP *W EXP 01/14/202 G3934P128 3380 134700 SH DFND 134700 0 0 GLOBAL PARTNER ACQISTN CORP CL A SHS G3934P102 2212000 200000 SH DFND 3 200000 0 0 GLOBAL STAR ACQUISITION INC *W EXP 07/15/202 37962G110 860 86055 SH DFND 86055 0 0 GLOBAL STAR ACQUISITION INC CLASS A COM 37962G102 3666349 345882 SH DFND 345882 0 0 GLOBAL SYSTEMS DYNAMICS INC *W EXP 04/01/202 37653T116 219 46782 SH DFND 46782 0 0 GLOBAL TECHNOLGY ACQSTN CORP *W EXP 10/19/202 G3934N115 10520 351845 SH DFND 351845 0 0 GLOBALINK INVT INC *W EXP 12/03/202 37892F125 529 160361 SH DFND 160361 0 0 GOAL ACQUISITIONS CORP *W EXP 02/11/202 38021H115 2220 600036 SH DFND 600036 0 0 GOLDEN ARROW MERGER CORP *W EXP 07/31/202 380799114 21651 155429 SH DFND 155429 0 0 GOLDEN STAR ACQUISITION CORP RIGHT 03/30/2025 G4023C119 4933 29900 SH DFND 29900 0 0 GOLDEN STAR ACQUISITION CORP USD ORD SHS G4023C101 4132947 396636 SH DFND 396636 0 0 GOLDENSTONE ACQUISITION LTD *W EXP 07/15/202 38136Y110 4170 208519 SH DFND 208519 0 0 GOLDENSTONE ACQUISITION LTD COM 38136Y102 1074892 99990 SH DFND 99990 0 0 GOLDENSTONE ACQUISITION LTD RIGHT 07/15/2026 38136Y128 24609 370064 SH DFND 370064 0 0 GORILLA TECHNOLOGY GROUP INC *W EXP 07/13/202 G4000K118 3003 100100 SH DFND 100100 0 0 GRINDR INC *W EXP 11/18/202 39854F119 68881 38056 SH DFND 38056 0 0 HALOZYME THERAPEUTICS INC COM 40637H109 1997096 54034 SH DFND 3 54034 0 0 HAYMAKER ACQUISITION CORP IV *W EXP 05/31/202 G4375F116 396451 2530000 SH DFND 2530000 0 0 HAYMAKER ACQUISITION CORP IV CLASS A G4375F108 5410636 526839 SH DFND 526839 0 0 HCM ACQUISITION CO *W EXP 01/20/202 G4365A127 31386 1166800 SH DFND 1166800 0 0 HCM ACQUISITION CO CLASS A ORD SHS G4365A101 559000 50000 SH DFND 50000 0 0 HEALTHCARE AI ACQUISITION CO *W EXP 12/07/202 G4373K117 7582 300908 SH DFND 300908 0 0 HENNESSY CAPITAL INVST CORP *W EXP 06/10/202 42600H116 40837 668377 SH DFND 668377 0 0 HENNESSY CAPITAL INVST CORP CLASS A COM 42600H108 287385 27501 SH DFND 27501 0 0 HERTZ GLOBAL HLDGS INC *W EXP 06/30/205 42806J148 4854485 885855 SH DFND 885855 0 0 HH&L ACQUISITION CO *W EXP 02/04/202 G39714129 12500 500000 SH DFND 500000 0 0 HH&L ACQUISITION CO SHS CL A G39714103 1444513 135000 SH DFND 135000 0 0 HHG CAPITAL CORPORATION RIGHT 02/25/2026 G4R23P145 6380 50000 SH DFND 50000 0 0 HIPPO HLDGS INC *W EXP 08/02/202 433539111 9943 497174 SH DFND 497174 0 0 HNR ACQUISITION CORP *W EXP 02/04/202 40472A128 17710 319113 SH DFND 319113 0 0 HOLLEY INC *W EXP 11/30/202 43538H111 179765 326906 SH DFND 326906 0 0 HORIZON SPACE ACQUSTN I CORP *W EXP 03/02/202 G4619M117 2066 103303 SH DFND 103303 0 0 HORIZON SPACE ACQUSTN I CORP RIGHT 03/02/2024 G4619M125 1941 17648 SH DFND 17648 0 0 HUB CYBER SECURITY LTD *W EXP 02/27/202 M6000J127 692 49456 SH DFND 49456 0 0 IMMUNIC INC COM 4525EP101 475588 317059 SH DFND 3 317059 0 0 IMMUNOCORE HLDGS PLC ADS 45258D105 36652791 536487 SH DFND 3 536487 0 0 IMMUNOGEN INC COM 45253H101 3887085 131099 SH DFND 3 131099 0 0 IMMUNOVANT INC COM 45258J102 2924243 69410 SH DFND 3 69410 0 0 IMPERIAL OIL LTD COM NEW 453038408 24669067 433016 SH DFND 3 433016 0 0 INCEPTION GROWTH ACQUSTN LTD *W EXP 10/15/202 45333D112 5477 322198 SH DFND 322198 0 0 INCEPTION GROWTH ACQUSTN LTD COMMON STOCK 45333D104 1071458 100513 SH DFND 100513 0 0 INFINT ACQUISITION CORP CL A ORD SHS G47862100 5954207 530678 SH DFND 530678 0 0 INFLECTION PT ACQUISITN CRP *W EXP 08/31/202 G4790U110 68356 759514 SH DFND 759514 0 0 INFLECTION PT ACQUISITN CRP CL A ORD SHS G4790U102 5903987 571538 SH DFND 571538 0 0 INFRARED CAMERAS HLDGS INC *W EXP 12/19/202 456948116 80095 1741201 SH DFND 1741201 0 0 INNOVIZ TECHNOLOGIES LTD *W EXP 04/05/202 M5R635116 5660 11719 SH DFND 11719 0 0 INNOVIZ TECHNOLOGIES LTD SHS M5R635108 1496510 591506 SH DFND 591506 0 0 INSIGHT ACQUISITION CORP *W EXP 08/26/202 45784L118 792 19800 SH DFND 19800 0 0 INTEGRAL ACQUISITION CORP 1 *W EXP 05/31/202 45827K119 8378 119529 SH DFND 119529 0 0 INTEGRATED RAIL AND RES ACQ *W EXP 99/99/999 45827R114 1300 13000 SH DFND 13000 0 0 INTEGRATED RAIL AND RES ACQ CL A COM 45827R106 3216135 292642 SH DFND 292642 0 0 INTEGRATED WELLNESS ACQ CORP *W EXP 10/31/202 G4828B118 10496 299900 SH DFND 299900 0 0 INTEGRATED WELLNESS ACQ CORP ORD SHS CL A G4828B100 1816596 161907 SH DFND 161907 0 0 INTERNATIONAL MEDIA ACQUISIT CLASS A COM 459867107 401916 35505 SH DFND 35505 0 0 INTERNATIONAL MEDIA ACQUISIT RIGHT 99/99/9999 459867123 11493 383100 SH DFND 383100 0 0 INTERPUBLIC GROUP COS INC COM 460690100 870704 26676 SH DFND 26676 0 0 INVESTCORP EUROPE ACQUISITIO *W EXP 12/15/202 G4923T113 24778 108110 SH DFND 108110 0 0 INVESTCORP INDIA ACQUISTN CO *W EXP 06/01/202 G49219127 9753 325100 SH DFND 325100 0 0 IONIS PHARMACEUTICALS INC COM 462222100 2601084 51415 SH DFND 3 51415 0 0 IRIS ACQUISITION CORP *W EXP 02/28/202 89601Y119 1505 50000 SH DFND 50000 0 0 IRON HORSE ACQUISITIONS CORP UNIT 10/15/2028 462837204 4016000 400000 SH DFND 400000 0 0 IRONWOOD PHARMACEUTICALS INC COM CL A 46333X108 2294612 200578 SH DFND 3 200578 0 0 ISHARES TR 3 7 YR TREAS BD 464288661 1756950 15000 SH DFND 15000 0 0 ISRAEL ACQUISITIONS CORP *W EXP 99/99/999 G49667119 152486 2382596 SH DFND 2382596 0 0 JASPER THERAPEUTICS INC *W EXP 09/24/202 471871111 147983 1849796 SH DFND 1849796 0 0 JASPER THERAPEUTICS INC COM 471871103 157800 200000 SH DFND 200000 0 0 JAWS MUSTANG ACQUISITION COR *W EXP 01/30/202 G50737124 3981 100291 SH DFND 100291 0 0 JAWS MUSTANG ACQUISITION COR SHS CL A G50737108 1362500 125000 SH DFND 125000 0 0 KAIROUS ACQUISITION CORP LTD RIGHT 09/15/2026 G52131136 31829 434231 SH DFND 434231 0 0 KARUNA THERAPEUTICS INC COM 48576A100 3481293 10999 SH DFND 3 10999 0 0 KEEN VISION ACQUISITION CORP *W EXP 03/15/202 G52443127 53085 1327136 SH DFND 1327136 0 0 KEEN VISION ACQUISITION CORP SHS G52443119 5312390 514089 SH DFND 514089 0 0 KENSINGTON CAPITAL ACQUISITI *W EXP 99/99/999 G5251K129 247687 2476875 SH DFND 2476875 0 0 KENSINGTON CAPITAL ACQUISITI SHS CL A G5251K103 3208069 300100 SH DFND 300100 0 0 KERNEL GROUP HOLDINGS INC *W EXP 02/02/202 G5259L129 276 13020 SH DFND 13020 0 0 KERNEL GROUP HOLDINGS INC CL A SHS G5259L103 3950408 367822 SH DFND 367822 0 0 KEYARCH ACQUISITION CORP RIGHT 01/24/2027 G5260A120 1235 19700 SH DFND 19700 0 0 KRYSTAL BIOTECH INC COM 501147102 2063614 16634 SH DFND 3 16634 0 0 L CATTERTON ASIA ACQUISITION *W EXP 03/08/202 G5346G117 62276 92950 SH DFND 92950 0 0 L CATTERTON ASIA ACQUISITION CLASS A ORD SHS G5346G125 3693864 342659 SH DFND 342659 0 0 L CATTERTON ASIA ACQUISITION CLASS A ORD SHS G5346G125 7617201 706605 SH DFND 3 706605 0 0 LAKESHORE ACQUISITION II COR *W EXP 11/18/202 G5352N121 1059 101912 SH DFND 101912 0 0 LAMF GLOBAL VENTURES CORP I *W EXP 11/05/202 G5338L124 4064 162565 SH DFND 162565 0 0 LANDCADIA HOLDINGS IV INC *W EXP 03/29/202 51477A112 10708 165000 SH DFND 165000 0 0 LANDSEA HOMES CORP *W EXP 01/08/202 51509P111 88864 250250 SH DFND 250250 0 0 LANVIN GROUP HOLDINGS LIMITE *W EXP 01/14/202 G5380J118 123348 881058 SH DFND 881058 0 0 LAVORO LTD *W EXP 02/27/202 G5391L110 17200 22934 SH DFND 22934 0 0 LEAFLY HOLDINGS INC *W EXP 02/04/202 52178J113 1487 94146 SH DFND 94146 0 0 LEARN CW INVESTMENT COR CL A ORD SHS G54157105 4579997 422509 SH DFND 422509 0 0 LEDDARTECH HLDGS INC COM 52328E105 265991 104310 SH DFND 104310 0 0 LEXARIA BIOSCIENCE CORP COM NEW 52886N406 320408 256327 SH DFND 256327 0 0 LIBERTY RES ACQUISITION CORP *W EXP 10/31/202 53118A113 1400 280171 SH DFND 280171 0 0 LIBERTY RES ACQUISITION CORP CLASS A COM 53118A105 2368397 216292 SH DFND 216292 0 0 LITHIUM AMERS CORP NEW COM SHS 53681J103 64000 10000 SH DFND 10000 0 0 LIVENT CORP COM 53814L108 179800 10000 SH DFND 10000 0 0 LIVEWIRE GROUP INC *W EXP 09/26/202 53838J113 375545 925672 SH DFND 925672 0 0 LL FLOORING HOLDINGS INC COM 55003T107 6325800 1622000 SH DFND 3 1622000 0 0 MAGNUM OPUS ACQUISITION LTD *W EXP 03/06/202 G5S70A112 6243 369415 SH DFND 369415 0 0 MAGNUM OPUS ACQUISITION LTD SHS CL A G5S70A104 3234289 299721 SH DFND 299721 0 0 MAQUIA CAPITAL ACQUISITION C *W EXP 05/05/202 56564V119 2586 139803 SH DFND 139803 0 0 MARBLEGATE ACQUISITION CORP *W EXP 08/31/202 56608A113 6538 217948 SH DFND 217948 0 0 MARIADB PLC *W EXP 12/16/202 G5920M118 36978 924457 SH DFND 924457 0 0 MARKFORGED HOLDING CORPORATI *W EXP 07/14/202 57064N110 17233 292442 SH DFND 292442 0 0 MARS ACQUISITION CORP ORDINARY SHARES G5870E108 4082632 384067 SH DFND 384067 0 0 MARS ACQUISITION CORP RIGHT 02/09/2028 G5870E124 24359 110725 SH DFND 110725 0 0 MARTI TECHNOLOGIES INC *W EXP 12/19/202 573134111 12883 195200 SH DFND 195200 0 0 MERCER INTL INC COM 588056101 31284000 3300000 SH DFND 3 3300000 0 0 META PLATFORMS INC CL A 30303M102 13969031 39465 SH DFND 3 39465 0 0 MIRATI THERAPEUTICS INC COM 60468T105 7272251 123783 SH DFND 3 123783 0 0 MIRION TECHNOLOGIES INC *W EXP 10/20/202 60471A119 645923 318189 SH DFND 318189 0 0 MOMENTUS INC *W EXP 05/15/202 60879E119 5964 596475 SH DFND 596475 0 0 MONEYHERO LIMITED *W EXP 09/13/202 G6202B119 2857 40760 SH DFND 40760 0 0 MONEYLION INC *W EXP 09/22/202 60938K114 25025 250000 SH DFND 250000 0 0 MONTEREY CAP ACQUISITION COR *W EXP 01/01/202 61244M117 900 100000 SH DFND 100000 0 0 MONTEREY CAP ACQUISITION COR CLASS A COM 61244M109 3830647 352730 SH DFND 352730 0 0 MOOLEC SCIENCE SA *W EXP 12/30/202 L64875112 443 20174 SH DFND 20174 0 0 MOUNTAIN & CO I ACQUISITN CO *W EXP 09/30/202 G6301J112 20669 664604 SH DFND 664604 0 0 MOUNTAIN & CO I ACQUISITN CO CLASS A ORD G6301J104 3375298 298699 SH DFND 298699 0 0 MOUNTAIN CREST ACQSITN CORP RIGHT 08/30/2022 62404B115 19533 180700 SH DFND 180700 0 0 MULTIPLAN CORPORATION *W EXP 02/13/202 62548M118 4649 464916 SH DFND 464916 0 0 NABORS ENERGY TRANSITION COR *W EXP 09/01/202 G6363K114 184559 1419688 SH DFND 1419688 0 0 NABORS ENERGY TRANSITION COR CL A G6363K106 296743 28533 SH DFND 28533 0 0 NAUTICUS ROBOTICS INC *W EXP 03/15/202 63911H116 60673 1160104 SH DFND 1160104 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 2459695 18668 SH DFND 3 18668 0 0 NEW PROVIDENCE ACQSITN CORP *W EXP 11/09/202 64823D110 4209 85033 SH DFND 85033 0 0 NEWBURY STREET ACQUISITN COR *W EXP 04/30/202 65101L112 11421 163163 SH DFND 163163 0 0 NEWCOURT ACQUISITION CORP *W EXP 01/22/202 G6448C129 862 53900 SH DFND 53900 0 0 NEXT E GO N V ORD SHS N63018118 9424 20443 SH DFND 20443 0 0 NEXTNAV INC *W EXP 10/28/202 65345N114 20145 27980 SH DFND 27980 0 0 NIOCORP DEVS LTD *W EXP 03/17/202 654484153 38690 73000 SH DFND 73000 0 0 NOCO NOCO INC *W EXP 08/25/202 G7243P117 624 87909 SH DFND 87909 0 0 NORTHERN REVIVAL ACQUISITION *W EXP 01/31/202 G6546R119 1872 183556 SH DFND 183556 0 0 NORTHERN REVIVAL ACQUISITION CL A SHS G6546R101 836847 76775 SH DFND 76775 0 0 NORTHERN STAR INVSTMNT CORP *W EXP 01/31/202 66573W115 2660 38000 SH DFND 38000 0 0 NORTHVIEW ACQUISITION CORP *W EXP 08/02/202 66718N111 4090 475634 SH DFND 475634 0 0 NORTHVIEW ACQUISITION CORP RIGHT 99/99/9999 66718N129 70131 804257 SH DFND 804257 0 0 NOVA VISION ACQUISITION CORP *W EXP 12/31/202 G6759A118 2631 175400 SH DFND 175400 0 0 NUBIA BRAND INTERNATIONAL CO *W EXP 11/16/202 67022R111 3323 70710 SH DFND 70710 0 0 NUKKLEUS INC *W EXP 12/04/202 67054R112 12870 100000 SH DFND 100000 0 0 NUSCALE PWR CORP *W EXP 05/02/202 67079K118 182900 590000 SH DFND 590000 0 0 NVIDIA CORPORATION COM 67066G104 270483716 546189 SH DFND 3 546189 0 0 NVNI GROUP LIMITED *W EXP 11/01/202 G50716110 24674 676012 SH DFND 676012 0 0 OAK WOODS ACQUISITION CORP *W EXP 03/23/202 67190B112 4008 154190 SH DFND 154190 0 0 OAK WOODS ACQUISITION CORP CL A 67190B104 1403912 133325 SH DFND 133325 0 0 OCA ACQUISITION CORP *W EXP 01/14/202 670865112 1262 20000 SH DFND 20000 0 0 OCEANTECH ACQUISITIONS I COR *W EXP 99/99/999 675507115 14149 602103 SH DFND 602103 0 0 ONEMEDNET CORP *W EXP 11/07/202 68270C111 19004 1275495 SH DFND 1275495 0 0 ONYX ACQUISITION CO I *W EXP 11/30/202 G6755Q117 9904 495204 SH DFND 495204 0 0 ONYX ACQUISITION CO I SHS CL A G6755Q109 226336 20576 SH DFND 20576 0 0 ORACLE CORP COM 68389X105 5678776 53863 SH DFND 53863 0 0 ORIGIN MATERIALS INC *W EXP 06/25/202 68622D114 1893 50100 SH DFND 50100 0 0 OSIRIS ACQUISITION CORP *W EXP 05/01/202 68829A111 1035 34500 SH DFND 34500 0 0 OXUS ACQUISITION CORP *W EXP 99/99/999 G6859L121 21251 425025 SH DFND 425025 0 0 P3 HEALTH PARTNERS INC *W EXP 11/19/202 744413113 36779 350947 SH DFND 350947 0 0 PAGAYA TECHNOLOGIES LTD *W EXP 09/01/202 M7S64L107 13903 63257 SH DFND 63257 0 0 PAPAYA GRWT OPPORTUNITY CORP *W EXP 12/31/202 69882P110 19640 982003 SH DFND 982003 0 0 PAPAYA GRWT OPPORTUNITY CORP CLASS A COM 69882P102 1052300 97616 SH DFND 97616 0 0 PATRIA LATIN AMRCN OPPRNTY A *W EXP 02/23/202 G69454117 10142 338087 SH DFND 338087 0 0 PATRIA LATIN AMRCN OPPRNTY A CLASS A ORD SHS G69454109 8769066 790006 SH DFND 790006 0 0 PAYONEER GLOBAL INC *W EXP 06/25/202 70451X112 23358 68021 SH DFND 68021 0 0 PEARL HOLDINGS ACQUISITN COR *W EXP 12/15/202 G44525114 6166 153775 SH DFND 153775 0 0 PEGASUS DIGITAL MOBILITY ACQ *W EXP 99/99/999 G69768110 49899 622963 SH DFND 622963 0 0 PEPPERLIME HEALTH ACQUSTN CO *W EXP 10/01/202 G70021111 7075 235067 SH DFND 235067 0 0 PERCEPTION CAPITAL CORP III *W EXP 07/08/202 G7185D114 4715 39298 SH DFND 39298 0 0 PERFECT CORP *W EXP 99/99/999 G7006A117 93687 1252508 SH DFND 1252508 0 0 PHOENIX BIOTECH ACQUISITION *W EXP 09/01/202 71902K113 4702 200090 SH DFND 200090 0 0 PHP VENTURES ACQUISITION COR *W EXP 08/16/202 69291C114 3829 547006 SH DFND 547006 0 0 PHP VENTURES ACQUISITION COR RIGHT 01/01/2023 69291C122 10598 75702 SH DFND 75702 0 0 PLANET LABS PBC COM CL A 72703X106 38900 15749 SH DFND 3 15749 0 0 PLUM ACQUISITION CORP I *W EXP 03/18/202 G7134L118 6545 46789 SH DFND 46789 0 0 PLUTONIAN ACQUISITION CORP *W EXP 10/26/202 72942P120 2992 100100 SH DFND 100100 0 0 PONO CAP THREE INC *W EXP 01/11/202 G71704111 1771 25300 SH DFND 25300 0 0 PONO CAP TWO INC *W EXP 07/31/202 73245B115 1410 50000 SH DFND 50000 0 0 POWER & DIGITAL INFRASTRUCTU *W EXP 12/09/202 73919C118 8417 280592 SH DFND 280592 0 0 POWER & DIGITAL INFRASTRUCTU CLASS A COM 73919C100 7679100 715000 SH DFND 715000 0 0 PRESTO AUTOMATION INC *W EXP 09/21/202 74113T113 4091 224820 SH DFND 224820 0 0 PROCAPS GROUP SA *W EXP 09/29/202 L7756P110 63657 495000 SH DFND 495000 0 0 PROCTER AND GAMBLE CO COM 742718109 20662 141 SH DFND 3 141 0 0 PROCTER AND GAMBLE CO COM 742718109 439620 3000 SH DFND 3000 0 0 PROJECT ENERGY REIMAGINED AC *W EXP 10/28/202 G72556114 1985 79411 SH DFND 79411 0 0 PROJECT ENERGY REIMAGINED AC CLASS A ORD G72556106 2248608 212735 SH DFND 212735 0 0 PROOF ACQUISITION CORP I *W EXP 99/99/999 74349W112 38768 348950 SH DFND 348950 0 0 PROSOMNUS INC *W EXP 04/20/202 50535E116 7996 281571 SH DFND 281571 0 0 PTC THERAPEUTICS INC COM 69366J200 102678252 3725626 SH DFND 3 3725626 0 0 PYROPHYTE ACQUISITION CORP *W EXP 05/03/202 G7308P127 56796 709953 SH DFND 709953 0 0 PYROPHYTE ACQUISITION CORP CL A ORD SHS G7308P101 675048 61368 SH DFND 61368 0 0 PYROPHYTE ACQUISITION CORP CL A ORD SHS G7308P101 5500000 500000 SH DFND 3 500000 0 0 QOMOLANGMA ACQUISITION CORP *W EXP 09/29/202 74738V113 4901 278515 SH DFND 278515 0 0 QOMOLANGMA ACQUISITION CORP RIGHT 09/29/2027 74738V121 8088 80000 SH DFND 80000 0 0 QUADRO ACQUISITION ONE CORP *W EXP 06/30/202 G52807115 1744 99122 SH DFND 99122 0 0 QUETTA ACQUISITION CORP COM 74841A105 241093 23847 SH DFND 23847 0 0 REDWOODS ACQUISITION CORP *W EXP 03/15/202 758083117 6240 276110 SH DFND 276110 0 0 REDWOODS ACQUISITION CORP COM 758083109 159911 14945 SH DFND 14945 0 0 REDWOODS ACQUISITION CORP RIGHT 03/15/2027 758083125 7690 100000 SH DFND 100000 0 0 RELATIVITY ACQUISITION CORP *W EXP 12/15/202 75944B114 27 279989 SH DFND 279989 0 0 RENEW ENERGY GLOBAL PLC *W EXP 08/21/202 G7500M120 114000 100000 SH DFND 100000 0 0 REVELATION BIOSCIENCES INC *W EXP 01/10/202 76135L119 1061 100100 SH DFND 100100 0 0 REVELSTONE CAPITAL ACQSTN CO *W EXP 09/15/202 76137R114 13570 309830 SH DFND 309830 0 0 REVOLUTION MEDICINES INC *W EXP 12/17/202 76155X118 65967 199900 SH DFND 199900 0 0 RF ACQUISITION CORP *W EXP 05/01/202 74954L112 10118 508454 SH DFND 508454 0 0 RIGEL RESOURCE ACQ CORP CL A ORD SHS G7573M106 12894363 1176493 SH DFND 1176493 0 0 RIGETTI COMPUTING INC *W EXP 99/99/999 76655K111 94269 698293 SH DFND 698293 0 0 RIVIAN AUTOMOTIVE INC COM CL A 76954A103 1595280 68000 SH DFND 68000 0 0 RMG ACQUISITION CORP III *W EXP 02/08/202 G76088122 6500 100000 SH DFND 100000 0 0 RMG ACQUISITION CORP III CL A SHS G76088106 261250 25000 SH DFND 25000 0 0 ROCKET PHARMACEUTICALS INC *W EXP 09/02/202 77313F114 15514 31663 SH DFND 31663 0 0 ROCKET PHARMACEUTICALS INC COM 77313F106 32967000 1100000 SH DFND 3 1100000 0 0 ROSS ACQUISITION CORP II *W EXP 02/01/202 G7641C114 5600 100000 SH DFND 100000 0 0 ROSS ACQUISITION CORP II SHS CL A G7641C106 546884 50219 SH DFND 50219 0 0 ROTH CH ACQUISITION CO *W EXP 10/20/202 G88935120 1546 61850 SH DFND 61850 0 0 ROTH CH ACQUISITION CO CLASS A ORD G88935112 3861977 352692 SH DFND 352692 0 0 ROTH CH ACQUISITION V CO *W EXP 12/10/202 77867R118 15436 385914 SH DFND 385914 0 0 SAFETY SHOT INC COM NEW 48208F105 70200 20000 SH DFND 3 20000 0 0 SAGE THERAPEUTICS INC COM 78667J108 29037171 1339971 SH DFND 3 1339971 0 0 SARCOS TECHN AND ROBOTICS CO *W EXP 09/24/202 80359A114 322 59800 SH DFND 59800 0 0 SAREPTA THERAPEUTICS INC COM 803607100 1640467 17012 SH DFND 3 17012 0 0 SATELLOGIC INC *W EXP 01/25/202 G7823S119 81046 982380 SH DFND 982380 0 0 SCREAMING EAGLE ACQUISITN CO *W EXP 01/05/202 G79407121 429534 954310 SH DFND 954310 0 0 SCREAMING EAGLE ACQUISITN CO CLASS A ORD SHS G79407105 30422307 2870029 SH DFND 2870029 0 0 SDCL EDGE ACQUISITION CORP *W EXP 99/99/999 G79471127 1573 50000 SH DFND 50000 0 0 SDCL EDGE ACQUISITION CORP CL A ORD SHS G79471101 2293181 213121 SH DFND 213121 0 0 SEASTAR MEDICAL HOLDING CORP *W EXP 10/28/202 81256L112 726 23900 SH DFND 23900 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 32999591 393602 SH DFND 3 393602 0 0 SEMANTIX INC *W EXP 08/03/202 G6332A114 4655 387966 SH DFND 387966 0 0 SEP ACQUISITION CORP *W EXP 07/27/202 589381110 2625 35000 SH DFND 35000 0 0 SES AI CORPORATION *W EXP 12/10/202 78397Q117 15417 89379 SH DFND 89379 0 0 SHAPEWAYS HOLDINGS INC *W EXP 09/29/202 81947T110 1424 474736 SH DFND 474736 0 0 SHARECARE INC *W EXP 07/01/202 81948W112 21349 924232 SH DFND 924232 0 0 SHF HOLDINGS INC *W EXP 09/28/202 824430110 5860 69931 SH DFND 69931 0 0 SHOCKWAVE MED INC COM 82489T104 668865 3510 SH DFND 3510 0 0 SIGMA LITHIUM CORPORATION COM 826599102 2039518 64685 SH DFND 64685 0 0 SILVERBOX CORP III *W EXP 02/28/202 82836N115 3050 38133 SH DFND 38133 0 0 SILVERBOX CORP III COM CL A 82836N107 566228 54761 SH DFND 54761 0 0 SIRIUS XM HOLDINGS INC COM 82968B103 1556625 284575 SH DFND 284575 0 0 SIRIUS XM HOLDINGS INC COM 82968B103 37699431 6892035 SH DFND 3 6892035 0 0 SIZZLE ACQUISITION CORP *W EXP 11/02/202 83014E117 3787 42084 SH DFND 42084 0 0 SK GROWTH OPPORTUNITIES CORP *W EXP 06/28/202 G8192N111 7000 100000 SH DFND 100000 0 0 SK GROWTH OPPORTUNITIES CORP CLASS A COM G8192N103 4180793 386395 SH DFND 386395 0 0 SLAM CORP *W EXP 02/23/202 G8210L121 129049 679207 SH DFND 679207 0 0 SLAM CORP CL A SHS G8210L105 8672000 800000 SH DFND 3 800000 0 0 SMX SEC MATTERS PLC *W EXP 03/07/202 G8267K117 2458 258760 SH DFND 258760 0 0 SNDL INC COM 83307B101 16400 10000 SH DFND 10000 0 0 SOMALOGIC INC *W EXP 08/31/202 83444K113 56100 467501 SH DFND 467501 0 0 SOMALOGIC INC CLASS A COM 83444K105 625482 247226 SH DFND 247226 0 0 SONDER HOLDINGS INC *W EXP 01/18/202 83542D110 9110 455544 SH DFND 455544 0 0 SOUTHLAND HLDGS INC *W EXP 02/14/202 84445C118 51988 123811 SH DFND 123811 0 0 SOUTHPORT ACQUISITION CORP *W EXP 99/99/999 84465L113 27797 1111900 SH DFND 1111900 0 0 SOUTHPORT ACQUISITION CORP CL A COM 84465L105 2127000 200000 SH DFND 200000 0 0 SPARK I ACQUISITION CORP *W EXP 10/01/203 G8316B118 36780 306504 SH DFND 306504 0 0 SPARK I ACQUISITION CORP ORD SHS G8316B100 878772 86664 SH DFND 86664 0 0 SPECTAIRE HLDGS INC *W EXP 10/17/202 84753T117 850 141677 SH DFND 141677 0 0 SPECTRAL AI INC *W EXP 09/11/202 84757T113 21000 100000 SH DFND 100000 0 0 SPREE ACQUISITION CORP 1 LTD *W EXP 12/22/202 G83745128 4364 145480 SH DFND 145480 0 0 SPRING VALLEY ACQUISTN CORP *W EXP 02/25/202 G83752116 3795 31423 SH DFND 31423 0 0 SPRING VALLEY ACQUISTN CORP RIGHT 02/25/2026 G83752132 6566 46900 SH DFND 46900 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 3143127 164132 SH DFND 164132 0 0 SRIVARU HOLDING LIMITED *W EXP 12/08/202 G8403L110 3732 250500 SH DFND 250500 0 0 SRIVARU HOLDING LIMITED ORD SHS G8403L102 14308 40000 SH DFND 40000 0 0 STAR HLDGS SHS BEN INT 85512G106 911847 60871 SH DFND 60871 0 0 STOKE THERAPEUTICS INC COM 86150R107 19575926 3721659 SH DFND 3 3721659 0 0 STONEBRIDGE ACQUISITION CORP *W EXP 03/31/202 G85094129 2764 89764 SH DFND 89764 0 0 STONEBRIDGE ACQUISITION CORP CLASS A ORD SHS G85094103 1060360 98000 SH DFND 3 98000 0 0 STRYVE FOODS INC *W EXP 07/20/202 863685111 5835 972666 SH DFND 972666 0 0 SUPER GROUP SGHC LIMITED ORD SHS G8588X103 31700 10000 SH DFND 10000 0 0 SURROZEN INC *W EXP 08/01/203 86889P117 352 18190 SH DFND 18190 0 0 SWIFTMERGE ACQUISITION CORP *W EXP 12/13/202 G63836111 40245 935935 SH DFND 935935 0 0 SWVL HOLDINGS CORP *W EXP 03/31/202 G86302117 1537 232903 SH DFND 232903 0 0 SYNTEC OPTICS HLDGS INC *W EXP 11/07/202 87169M113 9419 84939 SH DFND 84939 0 0 SYSTEM1 INC *W EXP 99/99/999 87200P117 39975 250000 SH DFND 250000 0 0 TABOOLA.COM LTD *W EXP 06/29/202 M8744T114 452394 1005322 SH DFND 1005322 0 0 TALKSPACE INC *W EXP 06/21/202 87427V111 1106010 8084873 SH DFND 8084873 0 0 TANGO THERAPEUTICS INC COM 87583X109 99000 10000 SH DFND 10000 0 0 TARGET GLOBAL ACQUISI I CORP *W EXP 12/08/202 G8675N125 4190 59866 SH DFND 59866 0 0 TARSUS PHARMACEUTICALS INC COM 87650L103 38705829 1911399 SH DFND 3 1911399 0 0 TECHNOLOGY & TELECOM ACQ COR *W EXP 04/15/202 G87119114 8950 886192 SH DFND 886192 0 0 TENX KEANE ACQUISITION ORD SHS G8708L104 777582 71077 SH DFND 71077 0 0 TEREX CORP NEW COM 880779103 2310006 40202 SH DFND 40202 0 0 TERRAN ORBITAL CORPORATION *W EXP 03/25/202 88105P111 4312 66250 SH DFND 66250 0 0 TG VENTURE ACQUISITION CORP *W EXP 08/15/202 87251T117 6607 446435 SH DFND 446435 0 0 THE ONCOLOGY INSTITUTE INC *W EXP 11/15/202 68236X118 24320 121600 SH DFND 121600 0 0 THUNDER BRDG CAP PRTNRS IV I CLASS A COM 88605L107 4013332 392694 SH DFND 392694 0 0 TLGY ACQUISITION CORPORATION *W EXP 11/09/202 G8656T125 2661 171711 SH DFND 171711 0 0 TLGY ACQUISITION CORPORATION CLASS A ORD SHS G8656T109 1509162 136206 SH DFND 136206 0 0 TMT ACQUISITION CORP RIGHT 03/27/2028 G89229135 39173 180023 SH DFND 180023 0 0 TMT ACQUISITION CORP SHS G89229119 1971727 186012 SH DFND 186012 0 0 TORTOISEECOFIN ACQUISITION C *W EXP 07/22/202 G8956E117 12854 144593 SH DFND 144593 0 0 TORTOISEECOFIN ACQUISITION C SHS CL A G8956E109 7340703 691215 SH DFND 691215 0 0 TRAILBLAZER MERGER CORP I CL A 89278D109 4123687 394234 SH DFND 394234 0 0 TRAILBLAZER MERGER CORP I RIGHT 04/21/2028 89278D125 12893 126287 SH DFND 126287 0 0 TRISTAR ACQUISITION I CORP *W EXP 99/99/999 G9074V114 3755 159129 SH DFND 159129 0 0 TRISTAR ACQUISITION I CORP CL A ORD SHS G9074V106 8373797 776430 SH DFND 776430 0 0 UNITED HOMES GROUP INC *W EXP 03/30/202 91060H116 70777 73223 SH DFND 73223 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 2054212 9342 SH DFND 3 9342 0 0 URGENTLY INC COM 916931108 1275338 402315 SH DFND 402315 0 0 VALUENCE MERGER CORP I *W EXP 02/18/202 G9R16L118 13911 463725 SH DFND 463725 0 0 VAST RENEWABLES LIMITED *W EXP 07/01/202 Q9379E113 38285 382471 SH DFND 382471 0 0 VAXCYTE INC COM 92243G108 2392177 38092 SH DFND 3 38092 0 0 VELO3D INC *W EXP 09/29/202 92259N112 4599 152820 SH DFND 152820 0 0 VERDE CLEAN FUELS INC *W EXP 02/15/202 923372114 12746 125956 SH DFND 125956 0 0 VERTICAL AEROSPACE LTD *W EXP 09/15/202 G9471C115 38457 678254 SH DFND 678254 0 0 VINTAGE WINE ESTATES INC *W EXP 06/08/202 92747V114 718 69724 SH DFND 69724 0 0 VISION SENSING ACQUISITION C *W EXP 10/21/202 92838J111 1920 320153 SH DFND 320153 0 0 VISION SENSING ACQUISITION C CLASS A COM 92838J103 994500 90000 SH DFND 90000 0 0 VIVEON HEALTH ACQUISITION CO COMMON STOCK 92853V106 138281 12259 SH DFND 3 12259 0 0 VIVEON HEALTH ACQUISITION CO RIGHT 12/31/2025 92853V122 31588 526475 SH DFND 526475 0 0 VIVID SEATS INC *W EXP 10/18/202 92854T118 44029 43594 SH DFND 43594 0 0 WALDENCAST PLC *W EXP 07/27/202 G9503X111 160050 165000 SH DFND 165000 0 0 WALLBOX NV *W EXP 10/01/202 N94209116 8431 56361 SH DFND 56361 0 0 WELSBACH TECH METALS ACQU CO RIGHT 12/22/2026 950415117 13607 263761 SH DFND 263761 0 0 WESTERN ACQSTN VENTURES CORP *W EXP 99/99/999 95758L115 53348 1672355 SH DFND 1672355 0 0 WESTERN DIGITAL CORP. COM 958102105 396493 7571 SH DFND 7571 0 0 WESTROCK COFFEE CO *W EXP 08/29/202 96145W111 252250 109674 SH DFND 109674 0 0 WHOLE EARTH BRANDS INC *W EXP 06/25/202 96684W126 129818 1622732 SH DFND 1622732 0 0 WILLIAMS ROWLAND ACQUISITION COM 96951B102 831734 79364 SH DFND 79364 0 0 WINVEST ACQUISITION CORP *W EXP 08/09/202 97655B117 7702 1027029 SH DFND 1027029 0 0 WINVEST ACQUISITION CORP RIGHT 99/99/9999 97655B125 19497 649904 SH DFND 649904 0 0 WM TECHNOLOGY INC *W EXP 06/16/202 92971A117 28936 964566 SH DFND 964566 0 0 XBP EUROPE HOLDINGS INC *W EXP 11/30/202 98400V119 13209 264195 SH DFND 264195 0 0 YOTTA ACQUISITION CORPORATIO *W EXP 03/15/202 98741Y111 5428 390540 SH DFND 390540 0 0 YOTTA ACQUISITION CORPORATIO RIGHT 03/15/2027 98741Y129 48789 406577 SH DFND 406577 0 0 YS BIOPHARMA CO LTD *W EXP 03/15/202 G9845F117 7612 200320 SH DFND 200320 0 0 ZALATORIS ACQUISITION CORP *W EXP 99/99/999 89301B112 1731 43614 SH DFND 43614 0 0 ZALATORIS ACQUISITION CORP COM CL A 89301B104 3204713 300348 SH DFND 300348 0 0 ZALATORIS II ACQUISITION COR *W EXP 99/99/999 G9831X122 4745 92695 SH DFND 92695 0 0 ZALATORIS II ACQUISITION COR CLASS A ORD G9831X106 4677708 437578 SH DFND 437578 0 0 ZAPP ELEC VEHS GROUP LTD *W EXP 04/28/202 G9889X115 1785 241304 SH DFND 241304 0 0 ZEROFOX HLDGS INC *W EXP 08/03/202 98955G111 12800 688214 SH DFND 688214 0 0