0001085146-18-000889.txt : 20180215 0001085146-18-000889.hdr.sgml : 20180215 20180214175812 ACCESSION NUMBER: 0001085146-18-000889 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20171231 FILED AS OF DATE: 20180215 DATE AS OF CHANGE: 20180214 EFFECTIVENESS DATE: 20180215 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: 18614439 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 12-31-2017 12-31-2017 false COWEN INC.

599 LEXINGTON AVENUE, 20TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-14571 N Owen Littman 212-201-4841 /s/ Owen Littman New York NY 02-13-2018 5 318 2550807 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 5 MARGATE CAPITAL MANAGEMENT LP INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 3M CO COM 88579Y101 282 1200 SH Put DFND 1 1200 0 0 ABBOTT LABS COM 002824100 223 3900 SH Call DFND 1 3900 0 0 ACACIA RESH CORP ACACIA TCH COM 003881307 450 111085 SH DFND 1 111085 0 0 ACTIVISION BLIZZARD INC COM 00507V109 8088 127733 SH DFND 5 127733 0 0 ADOBE SYS INC COM 00724F101 11377 64922 SH DFND 5 64922 0 0 AETNA INC NEW COM 00817Y108 85872 476038 SH DFND 1 476038 0 0 AETNA INC NEW COM 00817Y108 135491 751100 SH Call DFND 1 751100 0 0 AGILENT TECHNOLOGIES INC COM 00846U101 1172 17500 SH DFND 2 17500 0 0 AGROFRESH SOLUTIONS *W EXP 07/31/202 00856G117 285 696334 SH DFND 2 696334 0 0 AKORN INC COM 009728106 1080 33500 SH Put DFND 1 33500 0 0 AKORN INC COM 009728106 48661 1509797 SH DFND 1 1509797 0 0 AKORN INC COM 009728106 8373 259800 SH Call DFND 1 259800 0 0 ALPHABET INC CAP STK CL A 02079K305 7508 7127 SH DFND 5 7127 0 0 ALPHABET INC CAP STK CL A 02079K305 738 700 SH Call DFND 1 700 0 0 ALPHABET INC CAP STK CL A 02079K305 422 400 SH Put DFND 1 400 0 0 ALPHABET INC CAP STK CL C 02079K107 419 400 SH DFND 1 400 0 0 ALPHABET INC CAP STK CL C 02079K107 692 661 SH DFND 4 661 0 0 ALPHABET INC CAP STK CL C 02079K107 1046 1000 SH Put DFND 1 1000 0 0 ALTABA INC COM 021346101 8846 126645 SH DFND 1 126645 0 0 ALTRIA GROUP INC COM 02209S103 321 4500 SH Put DFND 1 4500 0 0 ALTRIA GROUP INC COM 02209S103 207 2900 SH Call DFND 1 2900 0 0 AMAZON COM INC COM 023135106 9277 7933 SH DFND 4 7933 0 0 AMAZON COM INC COM 023135106 585 500 SH Call DFND 1 500 0 0 AMAZON COM INC COM 023135106 585 500 SH Put DFND 1 500 0 0 AMBARELLA INC SHS G037AX101 499 8500 SH DFND 1 8500 0 0 AMBARELLA INC SHS G037AX101 673 11450 SH DFND 4 11450 0 0 AMBARELLA INC SHS G037AX101 3082 52453 SH DFND 5 52453 0 0 AMGEN INC COM 031162100 296 1700 SH Put DFND 1 1700 0 0 AMGEN INC COM 031162100 226 1300 SH DFND 1 1300 0 0 ANADARKO PETE CORP COM 032511107 671 12500 SH DFND 2 12500 0 0 ANALOG DEVICES INC COM 032654105 9597 107792 SH DFND 5 107792 0 0 APPLE INC COM 037833100 1132 6690 SH DFND 4 6690 0 0 APPLE INC COM 037833100 1084 6400 SH Call DFND 1 6400 0 0 APPLE INC COM 037833100 1422 8400 SH Put DFND 1 8400 0 0 APTIV PLC SHS G6095L109 254 3000 SH DFND 1 3000 0 0 APTIV PLC SHS G6095L109 10551 124378 SH DFND 5 124378 0 0 AT&T INC COM 00206R102 68305 1756800 SH Call DFND 1 1756800 0 0 AT&T INC COM 00206R102 47519 1222200 SH Put DFND 1 1222200 0 0 BANK AMER CORP COM 060505104 564 19100 SH Call DFND 1 19100 0 0 BANK AMER CORP COM 060505104 248 8400 SH Put DFND 1 8400 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 456 2300 SH Call DFND 1 2300 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 932 4700 SH Put DFND 1 4700 0 0 BHP BILLITON PLC SPONSORED ADR 05545E209 1708 42389 SH DFND 1 42389 0 0 BLACKROCK CORPOR HI YLD FD I COM 09255P107 449 41057 SH DFND 4 41057 0 0 BLACKROCK INC COM 09247X101 7123 13866 SH DFND 5 13866 0 0 BOEING CO COM 097023105 6853 23237 SH DFND 5 23237 0 0 BOEING CO COM 097023105 265 900 SH Put DFND 1 900 0 0 BROADSOFT INC COM 11133B409 10392 189300 SH Put DFND 1 189300 0 0 CADENCE DESIGN SYSTEM INC COM 127387108 518 12375 SH DFND 4 12375 0 0 CAESARS ENTMT CORP COM 127686103 7899 624399 SH DFND 5 624399 0 0 CALPINE CORP COM NEW 131347304 363 24000 SH DFND 2 24000 0 0 CALPINE CORP COM NEW 131347304 10824 715410 SH DFND 1 715410 0 0 CAPITAL ONE FINL CORP COM 14040H105 498 5000 SH DFND 4 5000 0 0 CAPITOL INVT CORP IV *W EXP 01/01/202 G18920127 298 271248 SH DFND 2 271248 0 0 CAPITOL INVT CORP IV CL A ORD G18920101 8825 911720 SH DFND 2 911720 0 0 CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 1483 147403 SH DFND 2 147403 0 0 CAVIUM INC COM 14964U108 22237 265260 SH DFND 1 265260 0 0 CENTURYLINK INC COM 156700106 10663 639300 SH Call DFND 1 639300 0 0 CHARTER COMMUNICATIONS INC N CL A 16119P108 6391 19024 SH DFND 5 19024 0 0 CHEVRON CORP NEW COM 166764100 601 4800 SH Call DFND 1 4800 0 0 CISCO SYS INC COM 17275R102 563 14700 SH Put DFND 1 14700 0 0 CISION LTD *W EXP 06/22/202 G1992S117 490 180000 SH DFND 1 180000 0 0 CITIGROUP INC COM NEW 172967424 275 3700 SH Call DFND 1 3700 0 0 CITIGROUP INC COM NEW 172967424 305 4100 SH Put DFND 1 4100 0 0 CM SEVEN STAR ACQUISITION CO *W EXP 08/21/202 G2345N110 91 314829 SH DFND 2 314829 0 0 CM SEVEN STAR ACQUISITION CO SHS G2345N102 2211 229151 SH DFND 2 229151 0 0 COCA COLA CO COM 191216100 592 12900 SH Call DFND 1 12900 0 0 COMMUNITY HEALTH SYS INC NEW RIGHT 99/99/9999 203668116 39 5464288 SH DFND 2 5464288 0 0 CONDUENT INC COM 206787103 1786 110500 SH DFND 1 110500 0 0 CONSTELLATION ALPHA CAP CORP SHS G2379F108 1466 150365 SH DFND 2 150365 0 0 COWEN INC CL A NEW 223622606 2036 149188 SH DFND 4 149188 0 0 CPFL ENERGIA S A SPONSORED ADR 126153105 314 27262 SH DFND 1 27262 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 1143 75000 SH Call DFND 5 75000 0 0 DANA INCORPORATED COM 235825205 3201 100000 SH Put DFND 5 100000 0 0 DELL TECHNOLOGIES INC COM CL V 24703L103 6982 85900 SH DFND 1 85900 0 0 DISCOVERY COMMUNICATNS NEW COM SER C 25470F302 13608 642800 SH Put DFND 1 642800 0 0 DISCOVERY COMMUNICATNS NEW COM SER C 25470F302 416 19673 SH DFND 1 19673 0 0 DISCOVERY COMMUNICATNS NEW COM SER C 25470F302 625 29500 SH DFND 2 29500 0 0 DISCOVERY COMMUNICATNS NEW COM SER C 25470F302 11835 559000 SH Call DFND 1 559000 0 0 DISNEY WALT CO COM DISNEY 254687106 323 3000 SH Put DFND 1 3000 0 0 DISNEY WALT CO COM DISNEY 254687106 269 2500 SH Call DFND 1 2500 0 0 DOWDUPONT INC COM 26078J100 242 3400 SH Call DFND 1 3400 0 0 DOWDUPONT INC COM 26078J100 342 4800 SH Put DFND 1 4800 0 0 DYNEGY INC NEW DEL COM 26817R108 4982 420427 SH DFND 1 420427 0 0 ELECTRONIC ARTS INC COM 285512109 389 3700 SH DFND 2 3700 0 0 ELECTRUM SPL ACQUISITION COR SHS G3105C104 702 67999 SH DFND 2 67999 0 0 ENEL GENERACION CHILE S A SPONSORED ADR 29244T101 3536 131388 SH DFND 1 131388 0 0 ENERGY TRANSFER PARTNERS LP UNIT LTD PRT INT 29278N103 215 11973 SH DFND 4 11973 0 0 ENSCO PLC SHS CLASS A G3157S106 506 85600 SH Call DFND 1 85600 0 0 ENTERCOM COMMUNICATIONS CORP CL A 293639100 1832 169599 SH DFND 1 169599 0 0 ENTERCOM COMMUNICATIONS CORP CL A 293639100 648 60000 SH Call DFND 1 60000 0 0 ENVISION HEALTHCARE CORP COM 29414D100 690 19954 SH DFND 1 19954 0 0 EQT CORP COM 26884L109 1036 18200 SH DFND 1 18200 0 0 EXXON MOBIL CORP COM 30231G102 418 5000 SH DFND 1 5000 0 0 EXXON MOBIL CORP COM 30231G102 493 5900 SH Call DFND 1 5900 0 0 EXXON MOBIL CORP COM 30231G102 1489 17800 SH Put DFND 1 17800 0 0 FACEBOOK INC CL A 30303M102 300 1700 SH DFND 1 1700 0 0 FACEBOOK INC CL A 30303M102 865 4900 SH Put DFND 1 4900 0 0 FEDERAL STR ACQUISITION CORP CL A 31421V107 4049 416951 SH DFND 2 416951 0 0 FGL HLDGS *W EXP 11/30/202 G3402M110 466 300400 SH DFND 1 300400 0 0 FGL HLDGS ORD SHS G3402M102 231 22900 SH DFND 4 22900 0 0 FGL HLDGS ORD SHS G3402M102 14183 1408464 SH DFND 1 1408464 0 0 FINTECH ACQUISITION CORP II COM 31810G109 121 12150 SH DFND 2 12150 0 0 FIRST DATA CORP NEW COM CL A 32008D106 4091 244837 SH DFND 5 244837 0 0 FORTINET INC COM 34959E109 2520 57680 SH DFND 5 57680 0 0 FORTINET INC COM 34959E109 4369 100000 SH Call DFND 5 100000 0 0 FORUM MERGER CORP *W EXP 06/01/202 34985B111 168 246992 SH DFND 2 246992 0 0 FORUM MERGER CORP COM CL A 34985B103 155 15536 SH DFND 2 15536 0 0 FORUM MERGER CORP UNIT 06/01/2024 34985B202 1090 100000 SH DFND 1 100000 0 0 GENERAL DYNAMICS CORP COM 369550108 610 3000 SH DFND 4 3000 0 0 GENERAL ELECTRIC CO COM 369604103 372 21300 SH Call DFND 1 21300 0 0 GENERAL MLS INC COM 370334104 2383 40200 SH Put DFND 5 40200 0 0 GGP INC COM 36174X101 1206 51579 SH DFND 1 51579 0 0 GIGCAPITAL INC UNIT 03/06/2025 37518N205 5880 588042 SH DFND 2 588042 0 0 GLOBAL PARTNER ACQUISITION C COM 37954X105 4364 434183 SH DFND 2 434183 0 0 GOLAR LNG LTD BERMUDA SHS G9456A100 1478 49576 SH DFND 2 49576 0 0 GORES HLDGS II INC *W EXP 03/06/202 382867117 254 161549 SH DFND 2 161549 0 0 GORES HLDGS II INC COM CL A 382867109 2774 279059 SH DFND 2 279059 0 0 GRIFOLS S A SP ADR REP B NVT 398438408 522 22788 SH DFND 1 22788 0 0 GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 1459 146895 SH DFND 2 146895 0 0 GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 993 100000 SH DFND 1 100000 0 0 GTY TECHNOLOGY HOLDINGS INC UNIT 99/99/9999 G4182A110 481 46665 SH DFND 2 46665 0 0 HD SUPPLY HLDGS INC COM 40416M105 1281 32000 SH DFND 1 32000 0 0 HENNESSY CAP ACQUSTON CORP I *W EXP 06/15/202 42588L113 165 195123 SH DFND 2 195123 0 0 HENNESSY CAP ACQUSTON CORP I COM 42588L105 215 21967 SH DFND 2 21967 0 0 HENNESSY CAP ACQUSTON CORP I UNIT 06/15/2024 42588L204 4667 450000 SH DFND 1 450000 0 0 HENNESSY CAP ACQUSTON CORP I UNIT 06/15/2024 42588L204 565 54503 SH DFND 2 54503 0 0 HOLOGIC INC COM 436440101 321 7500 SH DFND 2 7500 0 0 HOME DEPOT INC COM 437076102 739 3900 SH Put DFND 1 3900 0 0 HONEYWELL INTL INC COM 438516106 261 1700 SH Put DFND 1 1700 0 0 HORIZON PHARMA PLC SHS G4617B105 781 53500 SH DFND 2 53500 0 0 HRG GROUP INC COM 40434J100 4167 245844 SH DFND 1 245844 0 0 HUNTER MARITIME ACQUISITION *W EXP 99/99/999 Y37828129 8 25000 SH DFND 1 25000 0 0 HUNTER MARITIME ACQUISITION *W EXP 99/99/999 Y37828129 132 436987 SH DFND 2 436987 0 0 HUNTER MARITIME ACQUISITION CL A Y37828111 488 50000 SH DFND 1 50000 0 0 HUNTER MARITIME ACQUISITION CL A Y37828111 11685 1197211 SH DFND 2 1197211 0 0 ILG INC COM 44967H101 2397 84175 SH DFND 1 84175 0 0 ILG INC COM 44967H101 6288 220800 SH Call DFND 1 220800 0 0 INDUSTREA ACQUISITION CORP *W EXP 08/01/202 45579J112 14 34243 SH DFND 2 34243 0 0 INDUSTREA ACQUISITION CORP CL A 45579J104 97 10000 SH DFND 4 10000 0 0 INTEL CORP COM 458140100 249 5400 SH Call DFND 1 5400 0 0 INTEL CORP COM 458140100 203 4400 SH Put DFND 1 4400 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 560 3650 SH DFND 4 3650 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 291 1900 SH Call DFND 1 1900 0 0 ISHARES INC MSCI STH KOR ETF 464286772 7111 94900 SH Put DFND 3 94900 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 1439 90000 SH Put DFND 1 90000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 76230 500000 SH Put DFND 1 500000 0 0 JBG SMITH PPTYS COM 46590V100 1452 41800 SH DFND 1 41800 0 0 JOHNSON & JOHNSON COM 478160104 217 1556 SH DFND 4 1556 0 0 JOHNSON & JOHNSON COM 478160104 851 6100 SH Call DFND 1 6100 0 0 JOHNSON & JOHNSON COM 478160104 1229 8800 SH Put DFND 1 8800 0 0 JOHNSON CTLS INTL PLC SHS G51502105 1722 45180 SH DFND 1 45180 0 0 JPMORGAN CHASE & CO COM 46625H100 941 8800 SH Call DFND 1 8800 0 0 JPMORGAN CHASE & CO COM 46625H100 278 2600 SH Put DFND 1 2600 0 0 JUNO THERAPEUTICS INC COM 48205A109 309 6750 SH DFND 4 6750 0 0 KAYNE ANDERSON ACQUISITION UNIT 06/30/2022 48661U201 6980 700826 SH DFND 1 700826 0 0 KAYNE ANDERSON ACQUISITION UNIT 06/30/2022 48661U201 1442 144767 SH DFND 2 144767 0 0 KBL MERGER CORP IV RIGHT 03/22/2019 48242A120 37 128865 SH DFND 2 128865 0 0 KBL MERGER CORP IV UNIT 01/15/2024 48242A203 494 48647 SH DFND 2 48647 0 0 KLX INC COM 482539103 205 3000 SH DFND 2 3000 0 0 LANDCADIA HLDGS INC CL A 51476W107 567 57082 SH DFND 2 57082 0 0 LEGACY ACQUISITION CORP UNIT 05/31/2024 524643202 2934 295180 SH DFND 2 295180 0 0 LENNAR CORP CL B 526057302 7046 136336 SH DFND 1 136336 0 0 LIBERTY INTERACTIVE CORP LBT VEN COM A NE 53071M856 5717 105401 SH DFND 1 105401 0 0 LIBERTY INTERACTIVE CORP LBT VEN COM A NE 53071M856 917 16910 SH DFND 4 16910 0 0 LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 9790 246859 SH DFND 1 246859 0 0 LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 1048 26435 SH DFND 4 26435 0 0 LIONS GATE ENTMNT CORP CL B NON VTG 535919500 9542 300641 SH DFND 5 300641 0 0 LOGMEIN INC COM 54142L109 6309 55100 SH Call DFND 1 55100 0 0 M I ACQUISITIONS INC UNIT 99/99/9999 55304A203 826 77790 SH DFND 2 77790 0 0 M III ACQUISITION CORP UNIT 99/99/9999T 55378T203 1012 95500 SH DFND 1 95500 0 0 MADISON SQUARE GARDEN CO NEW CL A 55825T103 8002 37950 SH DFND 5 37950 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 412 5805 SH DFND 4 5805 0 0 MARTIN MARIETTA MATLS INC COM 573284106 1105 5000 SH Call DFND 5 5000 0 0 MASTERCARD INCORPORATED CL A 57636Q104 212 1400 SH Call DFND 1 1400 0 0 MASTERCARD INCORPORATED CL A 57636Q104 242 1600 SH Put DFND 1 1600 0 0 MATLIN & PARTNERS ACQUISITIO *W EXP 05/28/202 57682V114 261 620252 SH DFND 2 620252 0 0 MATLIN & PARTNERS ACQUISITIO UNIT 05/28/2021A 57682V205 6090 600000 SH DFND 1 600000 0 0 MATLIN & PARTNERS ACQUISITIO UNIT 05/28/2021A 57682V205 992 97716 SH DFND 2 97716 0 0 MCDONALDS CORP COM 580135101 7301 42420 SH DFND 5 42420 0 0 MCDONALDS CORP COM 580135101 293 1700 SH Call DFND 1 1700 0 0 MCDONALDS CORP COM 580135101 207 1200 SH Put DFND 1 1200 0 0 MEDTRONIC PLC SHS G5960L103 234 2900 SH Put DFND 1 2900 0 0 MERCK & CO INC COM 58933Y105 225 4000 SH Call DFND 1 4000 0 0 MGM RESORTS INTERNATIONAL COM 552953101 1670 50000 SH Put DFND 5 50000 0 0 MICROSOFT CORP COM 594918104 1386 16200 SH Put DFND 1 16200 0 0 MICROSOFT CORP COM 594918104 8055 94168 SH DFND 5 94168 0 0 MICROSOFT CORP COM 594918104 565 6600 SH Call DFND 1 6600 0 0 MODERN MEDIA ACQUISITION *W EXP 05/17/202 60765P111 10 17404 SH DFND 2 17404 0 0 MODERN MEDIA ACQUISITION COM 60765P103 458 46711 SH DFND 2 46711 0 0 MODERN MEDIA ACQUISITION RIGHT 99/99/9999 60765P129 22 55586 SH DFND 2 55586 0 0 MODERN MEDIA ACQUISITION UNIT 99/99/9999 60765P202 1879 178699 SH DFND 1 178699 0 0 MONSANTO CO NEW COM 61166W101 118215 1012285 SH DFND 1 1012285 0 0 MONSANTO CO NEW COM 61166W101 35104 300600 SH Call DFND 1 300600 0 0 NATIONAL ENERGY SERVICES REU *W EXP 05/05/202 G6375R115 111 135395 SH DFND 2 135395 0 0 NATIONAL ENERGY SERVICES REU SHS G6375R107 1660 166815 SH DFND 2 166815 0 0 NCR CORP NEW COM 62886E108 340 10000 SH DFND 2 10000 0 0 NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 23 37600 SH DFND 2 37600 0 0 NEXTERA ENERGY INC COM 65339F101 781 5000 SH DFND 4 5000 0 0 NII HLDGS INC COM PAR 62913F508 113 266938 SH DFND 2 266938 0 0 NORTHROP GRUMMAN CORP COM 666807102 614 2000 SH DFND 4 2000 0 0 NVIDIA CORP COM 67066G104 1126 5820 SH DFND 4 5820 0 0 NXP SEMICONDUCTORS N V COM N6596X109 54013 461295 SH DFND 1 461295 0 0 NXP SEMICONDUCTORS N V COM N6596X109 37468 320000 SH DFND 2 320000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 1917 16375 SH DFND 4 16375 0 0 NXP SEMICONDUCTORS N V COM N6596X109 467026 3988600 SH Call DFND 1 3988600 0 0 NXP SEMICONDUCTORS N V COM N6596X109 608 15600 SH Put DFND 1 15600 0 0 OCI PARTNERS LP COM UNIT REP LP 67091N108 3237 402162 SH DFND 1 402162 0 0 ORACLE CORP COM 68389X105 355 7500 SH Call DFND 1 7500 0 0 OSPREY ENERGY ACQUISITION CO UNIT 07/21/2022 688397207 995 100000 SH DFND 1 100000 0 0 PAYPAL HLDGS INC COM 70450Y103 832 11300 SH DFND 4 11300 0 0 PDF SOLUTIONS INC COM 693282105 1570 100000 SH Call DFND 5 100000 0 0 PENSARE ACQUISITION CORP *W EXP 07/27/202 70957E113 18 32750 SH DFND 2 32750 0 0 PENSARE ACQUISITION CORP RIGHT 99/99/9999 70957E121 7 13030 SH DFND 2 13030 0 0 PENTAIR PLC SHS G7S00T104 2021 28614 SH DFND 5 28614 0 0 PEPSICO INC COM 713448108 4878 40678 SH DFND 5 40678 0 0 PEPSICO INC COM 713448108 648 5400 SH Call DFND 1 5400 0 0 PETROBRAS ARGENTINA S A SPONS ADR 71646J109 9360 688725 SH DFND 1 688725 0 0 PFIZER INC COM 717081103 561 15500 SH Put DFND 1 15500 0 0 PFIZER INC COM 717081103 359 9900 SH Call DFND 1 9900 0 0 PHILIP MORRIS INTL INC COM 718172109 539 5100 SH Call DFND 1 5100 0 0 PHILIP MORRIS INTL INC COM 718172109 243 2300 SH Put DFND 1 2300 0 0 PINNACLE FOODS INC DEL COM 72348P104 1992 33500 SH DFND 1 33500 0 0 PINNACLE FOODS INC DEL COM 72348P104 7972 134045 SH DFND 5 134045 0 0 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 30090 1306000 SH Put DFND 3 1306000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 16355 105000 SH Put DFND 5 105000 0 0 PROCTER AND GAMBLE CO COM 742718109 505 5500 SH Put DFND 1 5500 0 0 PROCTER AND GAMBLE CO COM 742718109 689 7500 SH Call DFND 1 7500 0 0 PRUDENTIAL SHT DURATION HG Y COM 74442F107 517 35000 SH DFND 4 35000 0 0 QUALCOMM INC COM 747525103 2237 34950 SH DFND 2 34950 0 0 QUALCOMM INC COM 747525103 269 4200 SH Call DFND 1 4200 0 0 QUALCOMM INC COM 747525103 53439 834729 SH DFND 1 834729 0 0 QUANTA SVCS INC COM 74762E102 274 7000 SH DFND 2 7000 0 0 RAYTHEON CO COM NEW 755111507 657 3500 SH DFND 4 3500 0 0 RENEWABLE ENERGY GROUP INC COM NEW 75972A301 442 37450 SH DFND 2 37450 0 0 REVANCE THERAPEUTICS INC COM 761330109 225 6300 SH DFND 2 6300 0 0 RITE AID CORP COM 767754104 821 416500 SH DFND 2 416500 0 0 ROCKWELL COLLINS INC COM 774341101 67855 500335 SH DFND 1 500335 0 0 ROCKWELL COLLINS INC COM 774341101 909 6700 SH DFND 2 6700 0 0 SABAN CAP ACQUISITION CORP *W EXP 09/21/202 78516C114 42 33832 SH DFND 2 33832 0 0 SABAN CAP ACQUISITION CORP COM CL A 78516C106 274 27636 SH DFND 2 27636 0 0 SALESFORCE COM INC COM 79466L302 7830 76588 SH DFND 5 76588 0 0 SCHWAB CHARLES CORP NEW COM 808513105 848 16500 SH DFND 4 16500 0 0 SCRIPPS NETWORKS INTERACT IN CL A COM 811065101 110688 1296420 SH DFND 1 1296420 0 0 SCRIPPS NETWORKS INTERACT IN CL A COM 811065101 16700 195600 SH Put DFND 1 195600 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 11509 202300 SH Put DFND 3 202300 0 0 SEMTECH CORP COM 816850101 2052 60000 SH Call DFND 5 60000 0 0 SEMTECH CORP COM 816850101 1488 43521 SH DFND 5 43521 0 0 SERVICEMASTER GLOBAL HLDGS I COM 81761R109 1056 20600 SH DFND 1 20600 0 0 SERVICENOW INC COM 81762P102 3861 29615 SH DFND 5 29615 0 0 SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 5307 100200 SH Put DFND 5 100200 0 0 SILVER RUN ACQUISITION *W EXP 03/28/202 82812A111 145 97318 SH DFND 2 97318 0 0 SILVER RUN ACQUISITION COM CL A 82812A103 4696 473867 SH DFND 1 473867 0 0 SILVER RUN ACQUISITION COM CL A 82812A103 1839 185603 SH DFND 2 185603 0 0 SINA CORP ORD G81477104 3921 39092 SH DFND 1 39092 0 0 SINA CORP ORD G81477104 1003 10000 SH Put DFND 1 10000 0 0 SNAP INC CL A 83304A106 1461 100000 SH Put DFND 1 100000 0 0 SNAP INC CL A 83304A106 1461 100000 SH DFND 1 100000 0 0 SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 99/99/999 G8250R129 191 109031 SH DFND 2 109031 0 0 SOCIAL CAP HEDOSOPHIA HLDGS UNIT 99/99/9999 G8250R111 251 23680 SH DFND 2 23680 0 0 SOCIEDAD QUIMICA MINERA DE C SPON ADR SER B 833635105 327 5500 SH DFND 1 5500 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 2473 20000 SH Put DFND 1 20000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2001 7500 SH DFND 2 7500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 243990 914300 SH Call DFND 1 914300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 15344 57500 SH Put DFND 5 57500 0 0 SPDR SER TR BLOOMBERG SRT TR 78468R408 1386 50305 SH DFND 4 50305 0 0 SPLUNK INC COM 848637104 3420 41287 SH DFND 5 41287 0 0 SPRINT CORP COM SER 1 85207U105 312 52900 SH DFND 2 52900 0 0 SPROUTS FMRS MKT INC COM 85208M102 862 35380 SH DFND 2 35380 0 0 STEMLINE THERAPEUTICS INC COM 85858C107 374 23950 SH DFND 4 23950 0 0 STERLING BANCORP DEL COM 85917A100 1278 51960 SH DFND 4 51960 0 0 STRAIGHT PATH COMMUNICATNS I CL B 862578101 2544 13993 SH DFND 1 13993 0 0 STRAIGHT PATH COMMUNICATNS I CL B 862578101 3454 19000 SH DFND 2 19000 0 0 STRAIGHT PATH COMMUNICATNS I CL B 862578101 8144 44800 SH Put DFND 1 44800 0 0 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 322 13300 SH DFND 4 13300 0 0 T MOBILE US INC COM 872590104 1588 25000 SH DFND 1 25000 0 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 7996 72834 SH DFND 5 72834 0 0 TE CONNECTIVITY LTD REG SHS H84989104 333 3500 SH DFND 1 3500 0 0 TE CONNECTIVITY LTD REG SHS H84989104 808 8500 SH DFND 4 8500 0 0 TESLA INC COM 88160R101 467 1500 SH DFND 1 1500 0 0 TIME WARNER INC COM NEW 887317303 42641 466172 SH DFND 1 466172 0 0 TIME WARNER INC COM NEW 887317303 274 3000 SH DFND 2 3000 0 0 TIME WARNER INC COM NEW 887317303 1353 14795 SH DFND 4 14795 0 0 TIME WARNER INC COM NEW 887317303 8429 92151 SH DFND 5 92151 0 0 TIME WARNER INC COM NEW 887317303 12888 140900 SH Call DFND 1 140900 0 0 TPG PACE HLDGS CORP *W EXP 99/99/999 G89827110 108 69695 SH DFND 2 69695 0 0 TPG PACE HLDGS CORP UNIT 99/99/9999 G89827102 1305 126055 SH DFND 2 126055 0 0 TRANSOCEAN LTD REG SHS H8817H100 1177 110166 SH DFND 1 110166 0 0 TRANSOCEAN LTD REG SHS H8817H100 1602 150000 SH Put DFND 1 150000 0 0 TRIBUNE MEDIA CO CL A 896047503 43236 1018044 SH DFND 1 1018044 0 0 TWENTY FIRST CENTY FOX INC CL A 90130A101 6495 188100 SH Put DFND 1 188100 0 0 TWENTY FIRST CENTY FOX INC CL B 90130A200 5485 160765 SH DFND 1 160765 0 0 UNILEVER PLC SPON ADR NEW 904767704 8962 161940 SH DFND 1 161940 0 0 UNION PAC CORP COM 907818108 322 2400 SH Put DFND 1 2400 0 0 UNITED TECHNOLOGIES CORP COM 913017109 4032 31606 SH DFND 5 31606 0 0 UNITED TECHNOLOGIES CORP COM 913017109 13931 109200 SH Put DFND 1 109200 0 0 UNITEDHEALTH GROUP INC COM 91324P102 463 2100 SH Put DFND 1 2100 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 699 7150 SH DFND 1 7150 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 30233 309100 SH Put DFND 1 309100 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 4754 48600 SH Call DFND 1 48600 0 0 VANTAGE ENERGY ACQUISITION *W EXP 04/12/202 92211L113 181 150568 SH DFND 2 150568 0 0 VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 10190 1000000 SH DFND 1 1000000 0 0 VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 499 48945 SH DFND 2 48945 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 270 5100 SH Call DFND 1 5100 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 693 13100 SH Put DFND 1 13100 0 0 VISA INC COM CL A 92826C839 479 4200 SH Call DFND 1 4200 0 0 VONAGE HLDGS CORP COM 92886T201 185 18150 SH DFND 4 18150 0 0 WAL-MART STORES INC COM 931142103 296 3000 SH Call DFND 1 3000 0 0 WEIBO CORP SPONSORED ADR 948596101 2069 20000 SH Call DFND 1 20000 0 0 WELLS FARGO CO NEW COM 949746101 540 8900 SH Call DFND 1 8900 0 0 WILLSCOT CORP *W EXP 09/10/202 971375118 18 12447 SH DFND 2 12447 0 0 XEROX CORP COM NEW 984121608 1873 64250 SH DFND 1 64250 0 0 XEROX CORP COM NEW 984121608 3061 105000 SH Call DFND 1 105000 0 0 XILINX INC COM 983919101 2697 40000 SH Call DFND 5 40000 0 0 YOGAWORKS INC COM 986005106 2646 935000 SH DFND 2 935000 0 0 ZAYO GROUP HLDGS INC COM 98919V105 459 12475 SH DFND 4 12475 0 0 ZAYO GROUP HLDGS INC COM 98919V105 11468 311625 SH DFND 5 311625 0 0 ZIMMER BIOMET HLDGS INC COM 98956P102 543 4500 SH DFND 2 4500 0 0