Chief Operating Officer and General Counsel

0001140361-16-076488.txt : 20160815 0001140361-16-076488.hdr.sgml : 20160815 20160815125418 ACCESSION NUMBER: 0001140361-16-076488 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160630 FILED AS OF DATE: 20160815 DATE AS OF CHANGE: 20160815 EFFECTIVENESS DATE: 20160815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ionic Capital Management LLC CENTRAL INDEX KEY: 0001386462 IRS NUMBER: 680629832 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12913 FILM NUMBER: 161831355 BUSINESS ADDRESS: STREET 1: 475 FIFTH AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-294-8531 MAIL ADDRESS: STREET 1: 475 FIFTH AVENUE STREET 2: 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001386462 XXXXXXXX 06-30-2016 06-30-2016 Ionic Capital Management LLC

475 FIFTH AVENUE 9TH FLOOR NEW YORK NY 10017

13F HOLDINGS REPORT 028-12913 N John C. Richardson Chief Operating Officer and General Counsel 212-294-8500 /s/ John C. 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2000 ETF 464287655 114980 1000000 SH Put DFND 1 1000000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 14278 124176 SH DFND 1 124176 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 64389 560000 SH Put DFND 560000 0 0 ISHARES TR U.S. REAL ES ETF 464287739 16478 200000 SH Call DFND 1 200000 0 0 ISHARES TR U.S. REAL ES ETF 464287739 1598 19400 SH Put DFND 19400 0 0 ISIS PHARMACEUTICALS INC DEL NOTE 1.000%11/1 464337AJ3 712 1000000 PRN DFND 1000000 0 0 J2 GLOBAL INC NOTE 3.250% 6/1 48123VAC6 2227 1980000 PRN DFND 1980000 0 0 JPMORGAN CHASE & CO *W EXP 10/28/201 46634E114 10188 503134 SH DFND 1 503134 0 0 JPMORGAN CHASE & CO *W EXP 10/28/201 46634E114 1763 87061 SH DFND 87061 0 0 JPMORGAN CHASE & CO COM 46625H100 1243 20000 SH Put DFND 20000 0 0 KELLOGG CO COM 487836108 286 3500 SH DFND 3500 0 0 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 20 1255140 SH DFND 1 1255140 0 0 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 21 1263268 SH DFND 1263268 0 0 KITOV PHARMACEUTICALS HLDGS *W EXP 11/20/202 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75300 0 0 NEWS CORP NEW CL A 65249B109 316 27844 SH DFND 1 27844 0 0 NEWS CORP NEW CL A 65249B109 510 44960 SH DFND 44960 0 0 NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 14 20572 SH DFND 1 20572 0 0 NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 16 22828 SH DFND 22828 0 0 NEXSTAR BROADCASTING GROUP I CL A 65336K103 12678 266465 SH DFND 266465 0 0 NEXTERA ENERGY INC UNIT 09/01/2016 65339F861 561 8450 SH DFND 1 8450 0 0 NOMAD HLDGS LTD USD ORD SHS G6564A105 10924 1368978 SH DFND 1368978 0 0 NUVEEN CR STRATEGIES INCM FD COM SHS 67073D102 1282 158639 SH DFND 158639 0 0 OCULUS INNOVATIVE SCIENCES I *W EXP 01/21/202 67575P116 49 235147 SH DFND 235147 0 0 OFFICE DEPOT INC COM 676220106 3038 917716 SH DFND 917716 0 0 ORACLE CORP COM 68389X105 4093 100000 SH Call DFND 1 100000 0 0 ORACLE CORP COM 68389X105 3070 75000 SH Put DFND 1 75000 0 0 PACE HLDGS CORP CL A G6865N103 0 1 SH DFND 1 0 0 PACE HLDGS CORP UNIT 99/99/9999 G6865N129 392 39198 SH DFND 39198 0 0 PARTY CITY HOLDCO INC COM 702149105 2311 166114 SH DFND 166114 0 0 PAYCOM SOFTWARE INC COM 70432V102 2161 50000 SH Call DFND 1 50000 0 0 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 145 25000 SH DFND 1 25000 0 0 PFIZER INC COM 717081103 226 6413 SH DFND 6413 0 0 PNC FINL SVCS GROUP INC *W EXP 12/31/201 693475121 3424 196576 SH DFND 1 196576 0 0 PNC FINL SVCS GROUP INC *W EXP 12/31/201 693475121 1971 113145 SH DFND 113145 0 0 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 2260 98400 SH Put DFND 1 98400 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 34175 1375800 SH Call DFND 1375800 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 44389 1787000 SH Put DFND 1787000 0 0 PROCTER & GAMBLE CO COM 742718109 262 3100 SH DFND 3100 0 0 QIHOO 360 TECHNOLOGY CO LTD ADS 74734M109 2871 39300 SH Call DFND 1 39300 0 0 QIHOO 360 TECHNOLOGY CO LTD ADS 74734M109 1929 26400 SH Call DFND 26400 0 0 QIHOO 360 TECHNOLOGY CO LTD ADS 74734M109 1907 26100 SH Put DFND 26100 0 0 QIHOO 360 TECHNOLOGY CO LTD ADS 74734M109 557 7623 SH DFND 7623 0 0 QUALCOMM INC COM 747525103 262 4900 SH DFND 4900 0 0 QUINPARIO ACQUISITION CORP 2 COM 74874U101 454 45920 SH DFND 45920 0 0 RELX NV SPONSORED ADR 75955B102 94 5389 SH DFND 1 5389 0 0 RELX NV SPONSORED ADR 75955B102 111 6357 SH DFND 6357 0 0 REYNOLDS AMERICAN INC COM 761713106 259 4800 SH DFND 4800 0 0 RITE AID CORP COM 767754104 4677 624400 SH DFND 624400 0 0 ROFIN SINAR TECHNOLOGIES INC COM 775043102 486 15222 SH DFND 15222 0 0 SCIENTIFIC GAMES CORP CL A 80874P109 2019 219700 SH Call DFND 1 219700 0 0 SCIENTIFIC GAMES CORP CL A 80874P109 46 5000 SH DFND 1 5000 0 0 SEADRILL LIMITED SHS G7945E105 98 30300 SH Call DFND 30300 0 0 SEADRILL LIMITED SHS G7945E105 243 75100 SH Put DFND 75100 0 0 SEADRILL LIMITED SHS G7945E105 92 28308 SH DFND 28308 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 8587 110000 SH Call DFND 1 110000 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 634 11500 SH DFND 1 11500 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 276 4042 SH DFND 1 4042 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 9828 430000 SH Call DFND 1 430000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 40 1751 SH DFND 1 1751 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 19043 340000 SH Put DFND 1 340000 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 2638 47100 SH DFND 1 47100 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 7871 150000 SH Call DFND 1 150000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 7871 150000 SH Put DFND 1 150000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 1461 33682 SH DFND 1 33682 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 4858 38411 SH DFND 1 38411 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 11533 370000 SH Put DFND 1 370000 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 5099 163600 SH DFND 1 163600 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 19316 619700 SH Call DFND 619700 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 4654 149300 SH Put DFND 149300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 57606 275000 SH Call DFND 1 275000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 169675 810000 SH Call DFND 810000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 148643 709600 SH Put DFND 709600 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 63 300 SH DFND 300 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 6067 170000 SH Call DFND 1 170000 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 4515 126500 SH DFND 1 126500 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 1685 48400 SH Call DFND 1 48400 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 2440 70100 SH Put DFND 1 70100 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 11424 297500 SH Put DFND 1 297500 0 0 SPDR SERIES TRUST S&P REGL BKG 78464A698 675 17588 SH DFND 1 17588 0 0 SPROTT PHYSICAL SILVER TR TR UNIT 85207K107 5472 754700 SH DFND 1 754700 0 0 SUNTRUST BKS INC *W EXP 11/14/201 867914111 2085 487251 SH DFND 1 487251 0 0 SUNTRUST BKS INC *W EXP 11/14/201 867914111 2293 535840 SH DFND 535840 0 0 SUNTRUST BKS INC COM 867914103 4363 106200 SH Call DFND 1 106200 0 0 SUNTRUST BKS INC COM 867914103 4153 101100 SH Put DFND 1 101100 0 0 SUNTRUST BKS INC COM 867914103 4264 103800 SH Call DFND 103800 0 0 SUNTRUST BKS INC COM 867914103 4063 98900 SH Put DFND 98900 0 0 SYNCHRONY FINL COM 87165B103 2528 100000 SH Put DFND 1 100000 0 0 SYNCHRONY FINL COM 87165B103 2528 100000 SH DFND 1 100000 0 0 SYNCHRONY FINL COM 87165B103 9811 388100 SH DFND 388100 0 0 TCF FINL CORP *W EXP 11/14/201 872275128 412 296586 SH DFND 296586 0 0 TEREX CORP NEW COM 880779103 2602 128100 SH Call DFND 1 128100 0 0 TEREX CORP NEW COM 880779103 1184 58300 SH Call DFND 58300 0 0 TERRAPIN 3 ACQUISITION CORP COM CL A 88104P104 385 38679 SH DFND 38679 0 0 TESLA MTRS INC COM 88160R101 4819 22700 SH Put DFND 1 22700 0 0 TESLA MTRS INC NOTE 1.500% 6/0 88160RAA9 5126 3000000 PRN DFND 1 3000000 0 0 TESLA MTRS INC NOTE 1.500% 6/0 88160RAA9 2734 1600000 PRN DFND 1600000 0 0 TEXAS CAPITAL BANCSHARES INC *W EXP 01/16/201 88224Q115 323 10090 SH DFND 10090 0 0 TYSON FOODS INC UNIT 99/99/9999 902494301 49919 673474 SH DFND 1 673474 0 0 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 1418 84126 SH DFND 1 84126 0 0 UBS AG LONDON BRH ETRACS MTH 2XLV 90270L842 862 51163 SH DFND 51163 0 0 UNDER ARMOUR INC CL C 904311206 7004 192404 SH DFND 1 192404 0 0 UNDER ARMOUR INC CL C 904311206 3479 95586 SH DFND 95586 0 0 UNITED TECHNOLOGIES CORP COM 913017109 256 2500 SH DFND 2500 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 1154 57300 SH Put DFND 57300 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 184 9151 SH DFND 9151 0 0 VALERO ENERGY CORP NEW COM 91913Y100 2550 50000 SH Put DFND 1 50000 0 0 VALERO ENERGY CORP NEW COM 91913Y100 408 8000 SH DFND 1 8000 0 0 VALLEY NATL BANCORP *W EXP 11/14/201 919794131 15 198881 SH DFND 198881 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 12470 450000 SH Call DFND 1 450000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 17621 635900 SH Put DFND 1 635900 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 2598 93743 SH DFND 1 93743 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 4758 171700 SH Call DFND 171700 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 978 35310 SH DFND 35310 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 2925 100000 SH Put DFND 1 100000 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 1112 38000 SH DFND 1 38000 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 1742 100000 SH Call DFND 1 100000 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 1568 90000 SH Put DFND 1 90000 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 392 22500 SH Call DFND 22500 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 3109 178500 SH Put DFND 178500 0 0 VANECK VECTORS ETF TR RUSSIA ETF 92189F403 1277 73333 SH DFND 73333 0 0 VANGUARD INDEX FDS REIT ETF 922908553 1188 13400 SH Put DFND 13400 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 11168 200000 SH Call DFND 1 200000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 20661 370000 SH Put DFND 1 370000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1430 25600 SH DFND 1 25600 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 274 4900 SH DFND 4900 0 0 VIACOM INC NEW CL B 92553P201 563 13575 SH DFND 13575 0 0 VIPSHOP HLDGS LTD NOTE 1.500% 3/1 92763WAA1 1877 1900000 PRN DFND 1900000 0 0 VIPSHOP HLDGS LTD SPONSORED ADR 92763W103 2234 200000 SH Put DFND 200000 0 0 VOYA PRIME RATE TR SH BEN INT 92913A100 1117 218241 SH DFND 218241 0 0 WAL-MART STORES INC COM 931142103 65027 1050000 SH Put DFND 1 1050000 0 0 WASHINGTON FED INC *W EXP 11/14/201 938824117 743 113234 SH DFND 113234 0 0 WEATHERFORD INTL LTD NOTE 5.875% 7/0 947075AH0 4510 4133000 PRN DFND 1 4133000 0 0 WELLS FARGO & CO NEW *W EXP 10/28/201 949746119 494 36239 SH DFND 1 36239 0 0 WELLS FARGO & CO NEW *W EXP 10/28/201 949746119 406 29831 SH DFND 29831 0 0 WINTRUST FINL CORP *W EXP 12/19/201 97650W157 596 21010 SH DFND 21010 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 4848 125000 SH Call DFND 125000 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 36023 928900 SH Put DFND 928900 0 0 YAHOO INC COM 984332106 2254 60000 SH Call DFND 1 60000 0 0 YAHOO INC COM 984332106 3965 105559 SH DFND 1 105559 0 0 YAHOO INC COM 984332106 5295 140984 SH DFND 140984 0 0 YAHOO INC NOTE 12/0 984332AF3 1889 1900000 PRN DFND 1900000 0 0 YANDEX N V SHS CLASS A N97284108 5900 270000 SH Call DFND 1 270000 0 0 ZAYO GROUP HLDGS INC COM 98919V105 12652 452985 SH DFND 452985 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 1641 759754 SH DFND 1 759754 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 1384 640797 SH DFND 640797 0 0 ZIONS BANCORPORATION COM 989701107 2940 117000 SH Call DFND 1 117000 0 0 ZIONS BANCORPORATION COM 989701107 2908 115700 SH Put DFND 1 115700 0 0 ZIONS BANCORPORATION COM 989701107 2118 84300 SH Call DFND 84300 0 0 ZIONS BANCORPORATION COM 989701107 2118 84300 SH Put DFND 84300 0 0