Chief Operating Officer and General Counsel

0001140361-17-042803.txt : 20171114 0001140361-17-042803.hdr.sgml : 20171114 20171114162854 ACCESSION NUMBER: 0001140361-17-042803 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171114 DATE AS OF CHANGE: 20171114 EFFECTIVENESS DATE: 20171114 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: 171202016 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 09-30-2017 09-30-2017 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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2231 21206 SH DFND 1 21206 0 0 RAYONIER ADVANCED MATLS INC PFD CV SER A 75508B203 3624 34449 SH DFND 34449 0 0 REALPAGE INC COM 75606N109 7388 185175 SH DFND 185175 0 0 RICE ENERGY INC COM 762760106 508 17540 SH DFND 17540 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 6848 100000 SH Call DFND 1 100000 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 6348 92700 SH Put DFND 1 92700 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 1639 23931 SH DFND 1 23931 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 2699 50000 SH Put DFND 1 50000 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 7100 100000 SH Put DFND 1 100000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 5305 100000 SH Put DFND 1 100000 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 668 12600 SH DFND 1 12600 0 0 SIERRA WIRELESS INC COM 826516106 860 40000 SH Call DFND 1 40000 0 0 SILVER RUN ACQUISITION *W EXP 03/28/202 82812A111 10 6464 SH DFND 6464 0 0 SILVER RUN ACQUISITION COM CL A 82812A103 197 19393 SH DFND 19393 0 0 SINA CORP NOTE 1.000%12/0 82922RAD5 1924 1657000 PRN DFND 1 1657000 0 0 SINA CORP NOTE 1.000%12/0 82922RAD5 1436 1237000 PRN DFND 1237000 0 0 SOHU COM INC COM 83408W103 660 12122 SH DFND 1 12122 0 0 SOHU COM INC COM 83408W103 554 10171 SH DFND 10171 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 79027 650000 SH Call DFND 650000 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 5371 130200 SH Call DFND 1 130200 0 0 SPDR INDEX SHS FDS EURO STOXX 50 78463X202 5371 130200 SH Put DFND 1 130200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 8028 31953 SH DFND 1 31953 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 60923 242500 SH Call DFND 242500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 47734 190000 SH Put DFND 190000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 5525 21993 SH DFND 21993 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 7201 22066 SH DFND 1 22066 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 1223 43723 SH DFND 43723 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 15756 182000 SH Put DFND 1 182000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 10 121 SH DFND 1 121 0 0 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 358 9000 SH DFND 1 9000 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 3409 100000 SH Put DFND 1 100000 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 2924 70000 SH Call DFND 1 70000 0 0 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 835 20000 SH Put DFND 1 20000 0 0 STELLAR ACQUISITION III INC *W EXP 03/22/202 Y8172W115 29 79169 SH DFND 79169 0 0 STELLAR ACQUISITION III INC COM Y8172W107 804 79169 SH DFND 79169 0 0 STERICYCLE INC COM 858912108 256 3570 SH DFND 3570 0 0 SUNTRUST BKS INC *W EXP 11/14/201 867914111 405 308520 SH DFND 1 308520 0 0 SUNTRUST BKS INC *W EXP 11/14/201 867914111 973 60454 SH DFND 60454 0 0 SUNTRUST BKS INC COM 867914103 9593 160500 SH Call DFND 1 160500 0 0 SUNTRUST BKS INC COM 867914103 2994 50100 SH Call DFND 50100 0 0 SUNTRUST BKS INC COM 867914103 1494 25000 SH Put DFND 25000 0 0 SYMANTEC CORP COM 871503108 1641 50000 SH Call DFND 1 50000 0 0 SYMANTEC CORP COM 871503108 1641 50000 SH Put DFND 1 50000 0 0 TCF FINL CORP *W EXP 11/14/201 872275128 563 313044 SH DFND 313044 0 0 TEMPUR SEALY INTL INC COM 88023U101 1290 20000 SH Call DFND 1 20000 0 0 TEMPUR SEALY INTL INC COM 88023U101 645 10000 SH Put DFND 1 10000 0 0 TEMPUR SEALY INTL INC COM 88023U101 1156 17924 SH DFND 1 17924 0 0 TESARO INC COM 881569107 7578 58701 SH DFND 58701 0 0 TESLA INC COM 88160R101 15213 44600 SH Put DFND 1 44600 0 0 TESLA INC COM 88160R101 9824 28800 SH Put DFND 28800 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 5503 4477000 PRN DFND 1 4477000 0 0 TESLA INC NOTE 2.375% 3/1 88160RAD3 3132 2548000 PRN DFND 2548000 0 0 TIME WARNER INC COM NEW 887317303 1033 10087 SH DFND 1 10087 0 0 TIME WARNER INC COM NEW 887317303 8895 86820 SH DFND 86820 0 0 TURKISH INVT FD INC COM 900145103 1143 121925 SH DFND 1 121925 0 0 TURKISH INVT FD INC COM 900145103 1242 132439 SH DFND 132439 0 0 TURQUOISE HILL RES LTD COM 900435108 1008 325000 SH Put DFND 1 325000 0 0 TURQUOISE HILL RES LTD COM 900435108 961 310000 SH DFND 1 310000 0 0 TWITTER INC COM 90184L102 675 40000 SH Put DFND 1 40000 0 0 TWITTER INC COM 90184L102 432 25600 SH DFND 1 25600 0 0 TYSON FOODS INC CL A 902494103 4932 70000 SH Put DFND 1 70000 0 0 TYSON FOODS INC CL A 902494103 599 8500 SH DFND 1 8500 0 0 UNION PAC CORP COM 907818108 1740 15000 SH Call DFND 1 15000 0 0 UNION PAC CORP COM 907818108 1740 15000 SH Put DFND 1 15000 0 0 UNITED CONTL HLDGS INC COM 910047109 3653 60000 SH Put DFND 1 60000 0 0 UNITED CONTL HLDGS INC COM 910047109 1148 18850 SH DFND 1 18850 0 0 UNITED PARCEL SERVICE INC CL B 911312106 12009 100000 SH Call DFND 1 100000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 2402 20000 SH Put DFND 1 20000 0 0 UNITED PARCEL SERVICE INC CL B 911312106 2042 17000 SH DFND 1 17000 0 0 US BANCORP DEL COM NEW 902973304 5145 96000 SH Call DFND 1 96000 0 0 US FOODS HLDG CORP COM 912008109 8333 312100 SH DFND 312100 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 2296 100000 SH Put DFND 1 100000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 3554 154793 SH DFND 1 154793 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 1591 69300 SH Call DFND 69300 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 138 6015 SH DFND 6015 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 2519 75000 SH Put DFND 1 75000 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 3619 107741 SH DFND 1 107741 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 4458 171000 SH Put DFND 1 171000 0 0 VANECK VECTORS ETF TR OIL SVCS ETF 92189F718 3573 137060 SH DFND 1 137060 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 3831 77400 SH Call DFND 1 77400 0 0 VIACOM INC NEW CL B 92553P201 1392 50000 SH Put DFND 1 50000 0 0 VIACOM INC NEW CL B 92553P201 1169 42000 SH DFND 1 42000 0 0 VIAVI SOLUTIONS INC COM 925550105 1529 161600 SH DFND 161600 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 1779 17115 SH DFND 1 17115 0 0 VIRTUS INVT PARTNERS INC PFD CV SER D 92828Q208 3646 35072 SH DFND 35072 0 0 VISA INC COM CL A 92826C839 11050 105000 SH Call DFND 1 105000 0 0 VISA INC COM CL A 92826C839 4210 40000 SH Put DFND 1 40000 0 0 VISA INC COM CL A 92826C839 2398 22785 SH DFND 1 22785 0 0 VMWARE INC CL A COM 928563402 5580 51100 SH Call DFND 1 51100 0 0 VMWARE INC CL A COM 928563402 4291 39300 SH Call DFND 39300 0 0 VOYA PRIME RATE TR SH BEN INT 92913A100 576 110046 SH DFND 110046 0 0 WAL-MART STORES INC COM 931142103 5274 67500 SH Put DFND 1 67500 0 0 WAL-MART STORES INC COM 931142103 547 7000 SH DFND 1 7000 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 10940 200000 SH Put DFND 1 200000 0 0 WISDOMTREE TR JAPN HEDGE EQT 97717W851 492 9000 SH DFND 1 9000 0 0 XPO LOGISTICS INC COM 983793100 6429 94850 SH DFND 94850 0 0 ZAYO GROUP HLDGS INC COM 98919V105 3295 95735 SH DFND 95735 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 6914 455463 SH DFND 1 455463 0 0 ZIONS BANCORPORATION *W EXP 05/22/202 989701115 1978 130282 SH DFND 130282 0 0 ZIONS BANCORPORATION COM 989701107 3373 71500 SH Call DFND 1 71500 0 0 ZIONS BANCORPORATION COM 989701107 1180 25000 SH Call DFND 25000 0 0 ZIONS BANCORPORATION COM 989701107 2359 50000 SH Put DFND 50000 0 0