General Counsel

0001085146-17-001727.txt : 20170810 0001085146-17-001727.hdr.sgml : 20170810 20170810123536 ACCESSION NUMBER: 0001085146-17-001727 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170630 FILED AS OF DATE: 20170810 DATE AS OF CHANGE: 20170810 EFFECTIVENESS DATE: 20170810 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COWEN INC. CENTRAL INDEX KEY: 0001466538 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14571 FILM NUMBER: 171020607 BUSINESS ADDRESS: STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-845-7900 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: COWEN GROUP, INC. DATE OF NAME CHANGE: 20091102 FORMER COMPANY: FORMER CONFORMED NAME: LexingtonPark Parent Corp DATE OF NAME CHANGE: 20090617 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001466538 XXXXXXXX 06-30-2017 06-30-2017 false COWEN INC.

599 LEXINGTON AVENUE, 20TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-14571 N Owen Littman General Counsel 212-201-4841 /s/ Owen Littman New York NY 08-09-2017 4 331 1850116 1 0001275893 028-10674 RAMIUS ADVISORS LLC 2 0001066036 028-04125 COWEN & COMPANY, LLC 3 0001697722 028-17713 Quadratic Capital Management LLC 4 0001475770 028-13626 Cowen Investment Management LLC INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ADVANCED EMISSIONS SOLUTS IN COM 00770C101 890 97203 SH DFND 1 97203 0 0 ADVISORY BRD CO COM 00762W107 15348 298017 SH DFND 1 298017 0 0 ADVISORY BRD CO COM 00762W107 11819 229500 SH Put DFND 1 229500 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 526 10000 SH Call DFND 2 10000 0 0 AGROFRESH SOLUTIONS *W EXP 07/31/202 00856G117 265 285456 SH DFND 2 285456 0 0 AKORN INC COM 009728106 27488 819567 SH DFND 1 819567 0 0 AKORN INC COM 009728106 6735 200800 SH Call DFND 1 200800 0 0 ALBANY MOLECULAR RESH INC COM 012423109 760 35000 SH DFND 2 35000 0 0 ALBANY MOLECULAR RESH INC COM 012423109 17 800 SH Call DFND 2 800 0 0 ALERE INC COM 01449J105 68326 1361342 SH DFND 1 1361342 0 0 ALLERGAN PLC SHS G0177J108 2990 12300 SH DFND 4 12300 0 0 ALLIED WRLD ASSUR COM HLDG A SHS H01531104 7956 150405 SH DFND 1 150405 0 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 853 10700 SH Call DFND 2 10700 0 0 ALPHABET INC CAP STK CL A 02079K305 767 825 SH DFND 4 825 0 0 ALPHABET INC CAP STK CL C 02079K107 1500 1651 SH DFND 4 1651 0 0 ALTABA INC COM 021346101 8742 160470 SH DFND 1 160470 0 0 AMAZON COM INC COM 023135106 7947 8210 SH DFND 4 8210 0 0 AMICUS THERAPEUTICS INC COM 03152W109 292 29000 SH DFND 2 29000 0 0 AMICUS THERAPEUTICS INC COM 03152W109 402 40000 SH Put DFND 2 40000 0 0 ANADARKO PETE CORP COM 032511107 2516 55500 SH DFND 2 55500 0 0 ANADARKO PETE CORP COM 032511107 2947 65000 SH Put DFND 2 65000 0 0 ANDINA ACQUISITION CORP II SHS G0441P104 1652 163455 SH DFND 2 163455 0 0 ANGIES LIST INC COM 034754101 102 8000 SH Call DFND 2 8000 0 0 ANGIES LIST INC COM 034754101 247 19300 SH Put DFND 2 19300 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 1439 13035 SH DFND 1 13035 0 0 APPLE INC COM 037833100 245 1700 SH Put DFND 1 1700 0 0 ARRAY BIOPHARMA INC COM 04269X105 368 44000 SH DFND 2 44000 0 0 ARRAY BIOPHARMA INC COM 04269X105 393 47000 SH Call DFND 2 47000 0 0 ARRAY BIOPHARMA INC COM 04269X105 393 47000 SH Put DFND 2 47000 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 85 2500 SH DFND 2 2500 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 317 9300 SH Call DFND 2 9300 0 0 AT&T INC COM 00206R102 1751 46400 SH Call DFND 2 46400 0 0 AT&T INC COM 00206R102 2785 73800 SH Put DFND 2 73800 0 0 AT&T INC COM 00206R102 11553 306200 SH Call DFND 1 306200 0 0 ATWOOD OCEANICS INC COM 050095108 1327 162811 SH DFND 1 162811 0 0 AVEXIS INC COM 05366U100 1405 17100 SH Call DFND 2 17100 0 0 AVISTA HEALTHCARE PUB ACQ CO UNIT 99/99/9999 G0726L109 364 35340 SH DFND 2 35340 0 0 BARD C R INC COM 067383109 90029 284802 SH DFND 1 284802 0 0 BHP BILLITON PLC SPONSORED ADR 05545E209 2442 79389 SH DFND 1 79389 0 0 BIOGEN INC COM 09062X103 1357 5000 SH Put DFND 2 5000 0 0 BIOGEN INC COM 09062X103 1357 5000 SH Call DFND 2 5000 0 0 BIOGEN INC COM 09062X103 543 2000 SH DFND 2 2000 0 0 BISON CAP ACQUISITION CORP UNIT 99/99/9999T G1142P120 786 77022 SH DFND 2 77022 0 0 BLACKROCK CORPOR HI YLD FD I COM 09255P107 484 44124 SH DFND 4 44124 0 0 BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 553 30700 SH DFND 4 30700 0 0 BOSTON OMAHA CORP COM 101044105 1461 110812 SH DFND 2 110812 0 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 143290 11363178 SH DFND 1 11363178 0 0 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 348 5440 SH DFND 4 5440 0 0 CABELAS INC COM 126804301 6043 101700 SH Put DFND 2 101700 0 0 CABELAS INC COM 126804301 333 5599 SH DFND 2 5599 0 0 CABELAS INC COM 126804301 647 10900 SH Call DFND 2 10900 0 0 CADENCE DESIGN SYSTEM INC COM 127387108 877 26200 SH DFND 4 26200 0 0 CAPITAL ONE FINL CORP COM 14040H105 413 5000 SH DFND 4 5000 0 0 CARA THERAPEUTICS INC COM 140755109 123 8000 SH DFND 2 8000 0 0 CARA THERAPEUTICS INC COM 140755109 115 7500 SH Call DFND 2 7500 0 0 CARA THERAPEUTICS INC COM 140755109 217 14100 SH Put DFND 2 14100 0 0 CARE CAP PPTYS INC COM 141624106 4621 173062 SH DFND 1 173062 0 0 CENTRAL FD CDA LTD CL A 153501101 1385 112350 SH DFND 1 112350 0 0 CENTURYLINK INC COM 156700106 2672 111900 SH Call DFND 2 111900 0 0 CENTURYLINK INC COM 156700106 9918 415309 SH DFND 1 415309 0 0 CENTURYLINK INC COM 156700106 40584 1699500 SH Call DFND 1 1699500 0 0 CF CORP SHS CL A G20307107 281 25000 SH DFND 1 25000 0 0 CF CORP UNIT 99/99/9999E G20307123 2831 230180 SH DFND 2 230180 0 0 CIGNA CORPORATION COM 125509109 7801 46600 SH Call DFND 2 46600 0 0 CISION LTD *W EXP 06/22/202 G1992S117 135 61530 SH DFND 2 61530 0 0 CISION LTD SHS G1992S109 257 25000 SH DFND 2 25000 0 0 CITRIX SYS INC COM 177376100 820 10300 SH DFND 1 10300 0 0 CITRIX SYS INC COM 177376100 1003 12600 SH Call DFND 2 12600 0 0 CLOVIS ONCOLOGY INC COM 189464100 234 2500 SH Put DFND 2 2500 0 0 CLOVIS ONCOLOGY INC COM 189464100 262 2800 SH DFND 2 2800 0 0 CLOVIS ONCOLOGY INC COM 189464100 1873 20000 SH Call DFND 2 20000 0 0 COBALT INTL ENERGY INC COM NEW 19075F304 25 10001 SH DFND 2 10001 0 0 COMMUNITY HEALTH SYS INC NEW RIGHT 99/99/9999 203668116 14 717391 SH DFND 2 717391 0 0 CONAGRA BRANDS INC COM 205887102 1408 39371 SH DFND 1 39371 0 0 CONDUENT INC COM 206787103 1620 101600 SH DFND 1 101600 0 0 CONSTELLATION ALPHA CAPITAL UNIT 99/99/9999 G2379F124 250 24600 SH DFND 2 24600 0 0 CONYERS PK ACQUISITION *W EXP 07/20/202 212894117 862 329011 SH DFND 2 329011 0 0 CPFL ENERGIA S A SPONSORED ADR 126153105 6187 387900 SH DFND 1 387900 0 0 CROSSAMERICA PARTNERS LP UT LTD PTN INT 22758A105 510 20000 SH DFND 1 20000 0 0 CSX CORP COM 126408103 677 12400 SH DFND 2 12400 0 0 CSX CORP COM 126408103 5423 99400 SH Call DFND 2 99400 0 0 CURRENCYSHARES EURO TR EURO SHS 23130C108 6297 57000 SH Put DFND 3 57000 0 0 DASEKE INC *W EXP 03/31/202 23753F115 1248 1031229 SH DFND 2 1031229 0 0 DOLLAR TREE INC COM 256746108 245 3500 SH DFND 4 3500 0 0 DOUBLE EAGLE ACQUISITION COR *W EXP 09/16/202 G28195116 122 254769 SH DFND 2 254769 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 646 8000 SH Call DFND 2 8000 0 0 DYNEGY INC NEW DEL *W EXP 02/02/202 26817R157 8 45182 SH DFND 2 45182 0 0 DYNEGY INC NEW DEL COM 26817R108 8 1000 SH DFND 2 1000 0 0 DYNEGY INC NEW DEL COM 26817R108 79 9500 SH Call DFND 2 9500 0 0 EASTERLY ACQUISITION CORP COM 27616L102 2709 269600 SH DFND 2 269600 0 0 EL PASO ELEC CO COM NEW 283677854 0 951000 SH DFND 1 951000 0 0 ENERGY TRANSFER PARTNERS LP UNIT LTD PRT INT 29278N103 459 22495 SH DFND 4 22495 0 0 ENSCO PLC SHS CLASS A G3157S106 13690 2653100 SH Call DFND 1 2653100 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 895 33035 SH DFND 4 33035 0 0 EQT CORP COM 26884L109 3521 60100 SH Call DFND 1 60100 0 0 ETF MANAGERS TR PUREFUNDS ISE CY 26924G201 285 9500 SH DFND 4 9500 0 0 ETHAN ALLEN INTERIORS INC COM 297602104 2100 65000 SH Put DFND 2 65000 0 0 EXPEDIA INC DEL COM NEW 30212P303 3351 22500 SH Put DFND 2 22500 0 0 FACTSET RESH SYS INC COM 303075105 288 1734 SH DFND 2 1734 0 0 FAIRPOINT COMMUNICATIONS INC COM NEW 305560302 5365 342821 SH DFND 1 342821 0 0 FELCOR LODGING TR INC COM 31430F101 8188 1135712 SH DFND 1 1135712 0 0 FINTECH ACQUISITION CORP II UNIT 99/99/9999 31810G208 167 16101 SH DFND 2 16101 0 0 FORUM MERGER CORP *W EXP 06/01/202 34985B111 75 219622 SH DFND 2 219622 0 0 FORUM MERGER CORP COM CL A 34985B103 86 8833 SH DFND 2 8833 0 0 FORUM MERGER CORP COM CL A 34985B103 983 101200 SH DFND 1 101200 0 0 FORUM MERGER CORP RIGHT 06/01/2019 34985B129 6 17896 SH DFND 2 17896 0 0 FORUM MERGER CORP UNIT 06/01/2024 34985B202 1019 100000 SH DFND 1 100000 0 0 FORUM MERGER CORP UNIT 06/01/2024 34985B202 464 45500 SH DFND 2 45500 0 0 FORWARD PHARMA A/S SPONSORED ADR 34986J105 225 11085 SH DFND 1 11085 0 0 FREDS INC CL A 356108100 278 30200 SH Call DFND 2 30200 0 0 GENERAL COMMUNICATION INC CL A 369385109 6841 186720 SH DFND 1 186720 0 0 GENERAL DYNAMICS CORP COM 369550108 594 3000 SH DFND 4 3000 0 0 GENWORTH FINL INC COM CL A 37247D106 75 20000 SH Call DFND 2 20000 0 0 GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 241 8800 SH Call DFND 2 8800 0 0 GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 241 8800 SH Put DFND 2 8800 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 723 32500 SH DFND 2 32500 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 47 2100 SH Call DFND 2 2100 0 0 GORES HLDGS II INC *W EXP 03/06/202 382867117 430 288369 SH DFND 2 288369 0 0 GORES HLDGS II INC UNIT 99/99/9999 382867208 269 25751 SH DFND 2 25751 0 0 GP INVTS ACQUISITION COR SHS G40357124 4942 491715 SH DFND 2 491715 0 0 GTY TECHNOLOGY HOLDINGS INC *W EXP 99/99/999 G4182A128 144 80118 SH DFND 2 80118 0 0 GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 1010 100000 SH DFND 1 100000 0 0 HAIN CELESTIAL GROUP INC COM 405217100 2116 54500 SH DFND 2 54500 0 0 HAIN CELESTIAL GROUP INC COM 405217100 2523 65000 SH Put DFND 2 65000 0 0 HCA HEALTHCARE INC COM 40412C101 1308 15000 SH Call DFND 2 15000 0 0 HOLLYFRONTIER CORP COM 436106108 412 15000 SH DFND 2 15000 0 0 HOLLYFRONTIER CORP COM 436106108 1129 41100 SH Put DFND 2 41100 0 0 HOLOGIC INC COM 436440101 227 5000 SH DFND 2 5000 0 0 HOLOGIC INC COM 436440101 340 7500 SH Put DFND 2 7500 0 0 HORIZON PHARMA PLC SHS G4617B105 1200 164400 SH DFND 2 164400 0 0 HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 214 73701 SH DFND 2 73701 0 0 HRG GROUP INC COM 40434J100 3204 180914 SH DFND 1 180914 0 0 HUNTER MARITIME ACQUISITION CL A Y37828111 850 85910 SH DFND 2 85910 0 0 HUNTSMAN CORP COM 447011107 198 20000 SH Call DFND 2 20000 0 0 HUNTSMAN CORP COM 447011107 34800 1346736 SH DFND 1 1346736 0 0 HUNTSMAN CORP COM 447011107 659 25500 SH DFND 2 25500 0 0 IAC INTERACTIVECORP COM 44919P508 1032 10000 SH DFND 1 10000 0 0 ICON PLC SHS G4705A100 13290 135900 SH Put DFND 1 135900 0 0 ILG INC COM 44967H101 1704 62000 SH DFND 2 62000 0 0 ILG INC COM 44967H101 2749 100000 SH Put DFND 2 100000 0 0 INNOCOLL HLDGS PLC SHS G4783X105 23 10000 SH DFND 2 10000 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 692 4500 SH DFND 4 4500 0 0 ISHARES MSCI MEX CAP ETF 464286822 11268 208900 SH Call DFND 3 208900 0 0 ISHARES MSCI STH KOR ETF 464286772 6435 94900 SH Put DFND 3 94900 0 0 ISHARES MSCI TURKEY ETF 464286715 4728 113900 SH Put DFND 3 113900 0 0 ISHARES MSCI TURKEY ETF 464286715 9468 228100 SH Call DFND 3 228100 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 354 22522 SH DFND 1 22522 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 903 57500 SH Put DFND 1 57500 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 37344 265000 SH Put DFND 1 265000 0 0 JENSYN ACQUISITION CORP COM 47632B102 1077 105200 SH DFND 2 105200 0 0 JOHNSON & JOHNSON COM 478160104 206 1556 SH DFND 4 1556 0 0 JOHNSON & JOHNSON COM 478160104 238 1800 SH Call DFND 1 1800 0 0 JOHNSON CTLS INTL PLC SHS G51502105 1536 35430 SH DFND 1 35430 0 0 KATE SPADE & CO COM 485865109 2348 127000 SH Call DFND 2 127000 0 0 KAYNE ANDERSON ACQUISITION *W EXP 06/30/202 48661U110 133 147498 SH DFND 2 147498 0 0 KAYNE ANDERSON ACQUISITION UNIT 06/30/2022 48661U201 1462 146231 SH DFND 2 146231 0 0 KAYNE ANDERSON ACQUISITION UNIT 06/30/2022 48661U201 10008 1000826 SH DFND 1 1000826 0 0 KBL MERGER CORP IV UNIT 01/15/2024 48242A203 12576 1229365 SH DFND 2 1229365 0 0 KENNEDY-WILSON HLDGS INC COM 489398107 10030 526500 SH Call DFND 1 526500 0 0 LA JOLLA PHARMACEUTICAL CO COM PAR $.0001 2 503459604 512 17200 SH DFND 2 17200 0 0 LA JOLLA PHARMACEUTICAL CO COM PAR $.0001 2 503459604 1116 37500 SH Call DFND 2 37500 0 0 LA JOLLA PHARMACEUTICAL CO COM PAR $.0001 2 503459604 1042 35000 SH Put DFND 2 35000 0 0 LABORATORY CORP AMER HLDGS COM NEW 50540R409 20994 136200 SH Put DFND 1 136200 0 0 LATTICE SEMICONDUCTOR CORP COM 518415104 400 60000 SH DFND 2 60000 0 0 LATTICE SEMICONDUCTOR CORP COM 518415104 1828 274424 SH DFND 1 274424 0 0 LENNAR CORP CL B 526057302 895 19894 SH DFND 1 19894 0 0 LIBERTY BROADBAND CORP COM SER A 530307107 491 5719 SH DFND 1 5719 0 0 LIBERTY INTERACTIVE CORP LBT VEN COM A NE 53071M856 5521 105580 SH DFND 1 105580 0 0 LIBERTY INTERACTIVE CORP LBT VEN COM A NE 53071M856 939 17960 SH DFND 4 17960 0 0 LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 4694 111812 SH DFND 1 111812 0 0 LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 1153 27475 SH DFND 4 27475 0 0 LIBERTY MEDIA CORP DELAWARE COM SER A FRMLA 531229870 836 23872 SH DFND 1 23872 0 0 LOGMEIN INC COM 54142L109 1886 18050 SH DFND 1 18050 0 0 M III ACQUISITION CORP COM 55378T104 4921 501150 SH DFND 2 501150 0 0 M III ACQUISITION CORP UNIT 99/99/9999T 55378T203 980 95500 SH DFND 1 95500 0 0 MACYS INC COM 55616P104 232 10000 SH Call DFND 2 10000 0 0 MADISON SQUARE GARDEN CO NEW CL A 55825T103 1119 5684 SH DFND 1 5684 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 936 13130 SH DFND 4 13130 0 0 MARATHON PETE CORP COM 56585A102 2093 40000 SH Call DFND 2 40000 0 0 MASTEC INC COM 576323109 1765 39100 SH Put DFND 2 39100 0 0 MATLIN & PARTNERS ACQUISITIO *W EXP 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65339F101 701 5000 SH DFND 4 5000 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 1488 38500 SH DFND 1 38500 0 0 NII HLDGS INC COM PAR 62913F508 55 68472 SH DFND 2 68472 0 0 NORDSTROM INC COM 655664100 143 3000 SH DFND 2 3000 0 0 NORDSTROM INC COM 655664100 6577 137500 SH Call DFND 2 137500 0 0 NORTHROP GRUMMAN CORP COM 666807102 513 2000 SH DFND 4 2000 0 0 NVIDIA CORP COM 67066G104 869 6011 SH DFND 4 6011 0 0 NXP SEMICONDUCTORS N V COM N6596X109 29463 269200 SH Call DFND 2 269200 0 0 NXP SEMICONDUCTORS N V COM N6596X109 4378 40000 SH Put DFND 2 40000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 97341 889365 SH DFND 1 889365 0 0 OCI PARTNERS LP COM UNIT REP LP 67091N108 1845 208420 SH DFND 1 208420 0 0 OCULAR THERAPEUTIX INC COM 67576A100 456 49200 SH DFND 4 49200 0 0 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 319 6250 SH DFND 4 6250 0 0 PANDORA MEDIA INC COM 698354107 348 39000 SH Call DFND 1 39000 0 0 PANDORA MEDIA INC COM 698354107 16 1800 SH Call DFND 2 1800 0 0 PAREXEL INTL CORP COM 699462107 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COM 808513105 709 16500 SH DFND 4 16500 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 16691 303800 SH Put DFND 3 303800 0 0 SILVER RUN ACQUISITION *W EXP 03/28/202 82812A111 324 180488 SH DFND 2 180488 0 0 SILVER RUN ACQUISITION COM CL A 82812A103 2533 250000 SH DFND 1 250000 0 0 SILVER RUN ACQUISITION COM CL A 82812A103 2554 252142 SH DFND 2 252142 0 0 SINA CORP ORD G81477104 1141 13424 SH DFND 1 13424 0 0 SINCLAIR BROADCAST GROUP INC CL A 829226109 2964 90076 SH DFND 1 90076 0 0 SINCLAIR BROADCAST GROUP INC CL A 829226109 14351 436200 SH Call DFND 1 436200 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 551 4671 SH DFND 1 4671 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1416 12000 SH Put DFND 1 12000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3385 14000 SH DFND 2 14000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 50246 207800 SH Call DFND 2 207800 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 5924 24500 SH Put DFND 1 24500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 43572 180200 SH Put DFND 2 180200 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 1484 53050 SH DFND 4 53050 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 709 22200 SH DFND 2 22200 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 102 3200 SH Call DFND 2 3200 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 13940 436700 SH Call DFND 3 436700 0 0 SPECTRANETICS CORP COM 84760C107 1920 50000 SH Call DFND 2 50000 0 0 SPROUTS FMRS MKT INC COM 85208M102 1825 80500 SH DFND 2 80500 0 0 SPROUTS FMRS MKT INC COM 85208M102 4783 211000 SH Put DFND 2 211000 0 0 STAPLES INC COM 855030102 1987 197341 SH DFND 1 197341 0 0 STAPLES INC COM 855030102 25 2500 SH DFND 2 2500 0 0 STAPLES INC COM 855030102 3014 299300 SH Call DFND 1 299300 0 0 STELLAR ACQUISITION III INC COM Y8172W107 795 79174 SH DFND 2 79174 0 0 STERLING BANCORP DEL COM 85917A100 1208 51960 SH DFND 4 51960 0 0 STRAIGHT PATH COMMUNICATNS I CL B 862578101 4276 23800 SH Put DFND 2 23800 0 0 STRAIGHT PATH COMMUNICATNS I CL B 862578101 4416 24582 SH DFND 2 24582 0 0 STRAIGHT PATH COMMUNICATNS I CL B 862578101 7707 42900 SH Call DFND 2 42900 0 0 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 487 20450 SH DFND 4 20450 0 0 SUPERNUS PHARMACEUTICALS INC COM 868459108 560 13000 SH DFND 2 13000 0 0 SUPERNUS PHARMACEUTICALS INC COM 868459108 1724 40000 SH Call DFND 2 40000 0 0 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 82 5000 SH DFND 2 5000 0 0 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 370 22500 SH Call DFND 2 22500 0 0 SYNGENTA AG SPONSORED ADR 87160A100 1112 12000 SH Call DFND 2 12000 0 0 T MOBILE US INC COM 872590104 25988 428700 SH Call DFND 1 428700 0 0 T MOBILE US INC COM 872590104 14525 239603 SH DFND 1 239603 0 0 TE CONNECTIVITY LTD REG SHS H84989104 511 6500 SH DFND 4 6500 0 0 TERADYNE INC COM 880770102 228 7600 SH DFND 2 7600 0 0 TERADYNE INC COM 880770102 450 15000 SH Call DFND 2 15000 0 0 TERADYNE INC COM 880770102 150 5000 SH Put DFND 2 5000 0 0 TESARO INC COM 881569107 466 3329 SH DFND 1 3329 0 0 TIME INC NEW COM 887228104 402 28000 SH DFND 2 28000 0 0 TIME INC NEW COM 887228104 495 34500 SH Put DFND 2 34500 0 0 TIME WARNER INC COM NEW 887317303 3508 34600 SH Call DFND 2 34600 0 0 TIME WARNER INC COM NEW 887317303 7127 70300 SH Put DFND 2 70300 0 0 TIME WARNER INC COM NEW 887317303 1646 16395 SH DFND 4 16395 0 0 TIME WARNER INC COM NEW 887317303 29651 295295 SH DFND 1 295295 0 0 TRACTOR SUPPLY CO COM 892356106 2049 37800 SH Call DFND 2 37800 0 0 TRACTOR SUPPLY CO COM 892356106 108 2000 SH DFND 2 2000 0 0 TRIBUNE MEDIA CO CL A 896047503 8211 201400 SH Call DFND 1 201400 0 0 UNDER ARMOUR INC CL A 904311107 1271 58405 SH DFND 1 58405 0 0 UNILEVER N V N Y SHS NEW 904784709 1838 33256 SH DFND 1 33256 0 0 UNILEVER N V N Y SHS NEW 904784709 2131 38550 SH DFND 2 38550 0 0 UNILEVER N V N Y SHS NEW 904784709 3051 55200 SH Put DFND 2 55200 0 0 UNILEVER PLC SPON ADR NEW 904767704 5754 106316 SH DFND 1 106316 0 0 UNITED STATES NATL GAS FUND UNIT PAR $0.001 912318201 4125 608400 SH Put DFND 3 608400 0 0 VALMONT INDS INC COM 920253101 795 5315 SH DFND 2 5315 0 0 VALMONT INDS INC COM 920253101 3890 26000 SH Put DFND 2 26000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 3676 44900 SH Put DFND 1 44900 0 0 VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 10130 1000000 SH DFND 1 1000000 0 0 VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 43 4252 SH DFND 2 4252 0 0 VECTOR GROUP LTD COM 92240M108 706 33100 SH DFND 1 33100 0 0 VTTI ENERGY PARTNERS LP COM UNIT RP LT Y9384M101 2754 140164 SH DFND 1 140164 0 0 VWR CORP COM 91843L103 25153 761988 SH DFND 1 761988 0 0 WEBMD HEALTH CORP COM 94770V102 16120 274845 SH DFND 1 274845 0 0 WEIBO CORP SPONSORED ADR 948596101 7637 114900 SH Put DFND 1 114900 0 0 WEIBO CORP SPONSORED ADR 948596101 6561 98707 SH DFND 1 98707 0 0 WESTERN DIGITAL CORP COM 958102105 6007 67800 SH Call DFND 2 67800 0 0 WHOLE FOODS MKT INC COM 966837106 4881 115900 SH DFND 2 115900 0 0 WHOLE FOODS MKT INC COM 966837106 1099 26100 SH Call DFND 2 26100 0 0 WHOLE FOODS MKT INC COM 966837106 4678 111100 SH Put DFND 2 111100 0 0 WHOLE FOODS MKT INC COM 966837106 18021 427952 SH DFND 1 427952 0 0 WILLIS LEASE FINANCE CORP COM 970646105 228 8517 SH DFND 1 8517 0 0 WILLIS TOWERS WATSON PUB LTD SHS G96629103 618 4250 SH DFND 1 4250 0 0 WISDOMTREE TR INDIA ERNGS FD 97717W422 7414 302500 SH Put DFND 3 302500 0 0 XEROX CORP COM NEW 984121608 1372 47750 SH DFND 1 47750 0 0 ZIMMER BIOMET HLDGS INC COM 98956P102 642 5000 SH Put DFND 2 5000 0 0 ZIMMER BIOMET HLDGS INC COM 98956P102 257 2000 SH DFND 2 2000 0 0