Chief Compliance Officer

0001085146-22-002175.txt : 20220516 0001085146-22-002175.hdr.sgml : 20220516 20220516152823 ACCESSION NUMBER: 0001085146-22-002175 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220331 FILED AS OF DATE: 20220516 DATE AS OF CHANGE: 20220516 EFFECTIVENESS DATE: 20220516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Cowen Investment Management LLC CENTRAL INDEX KEY: 0001475770 IRS NUMBER: 270423711 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13626 FILM NUMBER: 22928141 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: Ramius LLC DATE OF NAME CHANGE: 20091102 FORMER COMPANY: FORMER CONFORMED NAME: Park Exchange LLC DATE OF NAME CHANGE: 20091030 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001475770 XXXXXXXX 03-31-2022 03-31-2022 false Cowen Investment Management LLC

599 LEXINGTON AVENUE, 20TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-13626 N Andrea JS Sayago Chief Compliance Officer 212-201-4829 /s/ Andrea JS Sayago New York NY 05-16-2022 0 268 473815 false INFORMATION TABLE 2 infotable.xml INFORMATION TABLE 5 01 ACQUISITION CORP COM CL A 33836P105 690 70000 SH DFND 70000 0 0 8I ACQUISITION 2 CORP ORDINARY SHARES G2956R103 984 100000 SH DFND 100000 0 0 ABG ACQUISITION CORP I CL A SHS G00496102 2207 225000 SH DFND 225000 0 0 ACCELERATE ACQUISITION CORP UNIT 99/99/9999 00439D201 986 100000 SH DFND 100000 0 0 ADARA ACQUISITION CORP UNIT 99/99/9999 00653H201 502 50000 SH DFND 50000 0 0 ADIT EDTECH ACQUISITION CORP UNIT 99/99/9999 007024201 1012 100000 SH DFND 100000 0 0 AEQUI ACQUISITION CORP UNIT 11/30/2027 00775W201 3455 350000 SH DFND 350000 0 0 AF ACQUISITION CORP UNIT 03/23/2028 001040203 985 100000 SH DFND 100000 0 0 AFRICAN GOLD ACQUISITION COR UNIT 99/99/9999 G0112R116 500 50000 SH DFND 50000 0 0 AGRICO ACQUISITION CORP CLASS A ORD SHS G41089106 1011 100000 SH DFND 100000 0 0 ALSET CAPITAL ACQUISITION CO UNIT 01/31/2027 02115M208 504 50000 SH DFND 50000 0 0 ALTIMETER GROWTH CORP 2 COM CL A G0371B109 982 100000 SH DFND 100000 0 0 AMCI ACQUISITION CORP II UNIT 03/24/2026 00166R209 1578 150000 SH DFND 150000 0 0 ANTHEMIS DIGITAL ACQUISITION UNIT 10/18/2026 G03959122 505 50000 SH DFND 50000 0 0 ANZU SPECIAL ACQUISITIN CORP UNIT 01/27/2026 03737A200 492 50000 SH DFND 50000 0 0 AP ACQUISITION CORP UNIT 99/99/9999 G04058122 1008 100000 SH DFND 100000 0 0 APOLLO STRATEGIC GRWT CPTL I UNIT 99/99/9999 G0412A110 495 50000 SH DFND 50000 0 0 ARCLIGHT CLEAN TRANSITION II CLASS A ORD SHS G0R21B104 496 50000 SH DFND 50000 0 0 ARCTOS NORTHSTAR ACQUIS CORP SHS CL A G0477L100 734 75000 SH DFND 75000 0 0 ARCTOS NORTHSTAR ACQUIS CORP UNIT 99/99/9999 G0477L118 495 50000 SH DFND 50000 0 0 ARES ACQUISITION CORPORATION COM CL A G33032106 981 100000 SH DFND 100000 0 0 ARES ACQUISITION CORPORATION UNIT 99/99/9999 G33032114 495 50000 SH DFND 50000 0 0 ARGUS CAPITAL CORP CLASS A COM 04026L105 499 50000 SH DFND 50000 0 0 ARGUS CAPITAL CORP UNIT 08/31/2028 04026L204 1017 100000 SH DFND 100000 0 0 ATHLON ACQUISITION CORP UNIT 01/12/2026 04748A205 2499 250000 SH DFND 250000 0 0 AURORA ACQUISITION CORP CLASS A ORD SHS G0698L103 493 50000 SH DFND 50000 0 0 AURORA TECHNOLOGY ACQUISITIO UNIT 01/27/2027 G06984101 505 50000 SH DFND 50000 0 0 AUTHENTIC EQUITY ACQUISTN CO UNIT 10/31/2027 G06607116 496 50000 SH DFND 50000 0 0 BANCO SANTANDER MEXICO SA SPONSORED ADS B 05969B103 1064 203060 SH DFND 203060 0 0 BANNIX ACQUISITION CORP COM 066644105 1978 200000 SH DFND 200000 0 0 BETTER WORLD ACQUISITION COR COM 08772B104 1028 100000 SH DFND 100000 0 0 BIG SKY GROWTH PARTNERS INC UNIT 04/01/2026 08954L201 981 100000 SH DFND 100000 0 0 BILANDER ACQUISITION CORP UNIT 05/19/2026 09001T205 1978 200000 SH DFND 200000 0 0 BITE ACQUISITION CORP UNIT 99/99/9999 09175K204 1493 150000 SH DFND 150000 0 0 BLEUACACIA LTD UNIT 10/30/2026 G11728121 4000 400000 SH DFND 400000 0 0 BLOCKCHAIN MOON ACQUISITN CO UNIT 10/14/2026 09370F208 412 40000 SH DFND 40000 0 0 BLUE OCEAN ACQUISITION CORP UNIT 12/02/2026 G1330L113 991 100000 SH DFND 100000 0 0 BLUERIVER ACQUISITION CORP UNIT 01/04/2026 G1261Q123 989 100000 SH DFND 100000 0 0 BLUESCAPE OPPORTUNITIES ACQU SHS G1195N105 986 100000 SH DFND 100000 0 0 BOA ACQUISITION CORP UNIT 99/99/9999 05601A208 997 100000 SH DFND 100000 0 0 BREEZE HOLDINGS ACQUISITN CO COM 106762107 412 40000 SH DFND 40000 0 0 BULL HORN HLDGS CORP SHS G1686P106 505 50000 SH DFND 50000 0 0 BYTE ACQUISITION CORP CLASS A ORD SHS G1R25Q105 1221 125000 SH DFND 125000 0 0 CANNA GLOBAL ACQUISITION COR CLASS A COM 13767K101 998 100000 SH DFND 100000 0 0 CARNEY TECHNOLOGY ACQU CORP UNIT 12/10/2025 143636207 846 85000 SH DFND 85000 0 0 CARTICA ACQUISITION CORP UNIT 04/30/2028 G1995D125 1010 100000 SH DFND 100000 0 0 CC NEUBERGER PRINCIPAL HOLDN UNIT 99/99/9999 G1992N118 2712 272041 SH DFND 272041 0 0 CF ACQUISITION CORP IV UNIT 12/31/2027 12520T201 396 40000 SH DFND 40000 0 0 CHURCHILL CAPITAL CORP V COM CL A 17144T107 1966 200000 SH DFND 200000 0 0 CHURCHILL CAPITAL CORP VI COM CL A 17143W101 1964 200000 SH DFND 200000 0 0 CHURCHILL CAPITAL CORP VI UNIT 99/99/9999 17143W200 3473 350000 SH DFND 350000 0 0 CHURCHILL CAPITAL CORP VII COM CL A 17144M102 1958 200000 SH DFND 200000 0 0 CHURCHILL CAPITAL CORP VII UNIT 99/99/9999 17144M201 990 100000 SH DFND 100000 0 0 CIIG CAPITAL PARTNERS II INC COM CL A 12561U109 992 100000 SH DFND 100000 0 0 CLIMATE REAL IMPACT SLUTINS COM CL A 187171103 490 50000 SH DFND 50000 0 0 COLISEUM ACQUISITION CORP UNIT 04/02/2028 G2263T115 2454 250000 SH DFND 250000 0 0 COLOMBIER ACQUISITION CORP UNIT 99/99/9999 19533H207 2440 250000 SH DFND 250000 0 0 COMPASS DIGITAL ACQUISITN CO UNIT 09/29/2026 G2476C115 974 100000 SH DFND 100000 0 0 CONCORD ACQUISITION CORP III COM CL A 20607V106 994 100000 SH DFND 100000 0 0 CONCORD ACQUISITION CORP III UNIT 99/99/9999 20607V205 505 50000 SH DFND 50000 0 0 CORSAIR PARTNERING CORP UNIT 99/99/9999 G2540H124 990 100000 SH DFND 100000 0 0 CRIXUS BH3 ACQUISITION CO UNIT 10/04/2026 22677T201 1251 125000 SH DFND 125000 0 0 CRUCIBLE ACQUISITION CORP COM CL A 22877P108 491 50000 SH DFND 50000 0 0 CRYPTO 1 ACQUISITION CORP CLASS A ORD G3168A102 989 100000 SH DFND 100000 0 0 DA32 LIFE SCNCE TEC ACQSTN C CLASS A COM 23312M106 972 100000 SH DFND 100000 0 0 DATA KNIGHTS ACQUISITION COR CLASS A COM 237699103 1018 100000 SH DFND 100000 0 0 DELWINDS INS ACQUISITION COR UNIT 99/99/9999 24803C201 1511 150000 SH DFND 150000 0 0 DHC ACQUISITION CORP CLASS A ORD SHS G2758T109 490 50000 SH DFND 50000 0 0 DIAMONDHEAD HOLDINGS CORP UNIT 01/21/2026 25278L204 396 40000 SH DFND 40000 0 0 DIGITAL HEALTH ACQUISITION C COMMON STOCK 253893101 350 35000 SH DFND 35000 0 0 DMY TECHNOLOGY GROUP INC VI CL A COM 233247105 740 75000 SH DFND 75000 0 0 DP CAP ACQUISITION CORP I CLASS A ORD G2R05B100 1493 150000 SH DFND 150000 0 0 DRAGONEER GROWTH OPT CORP II CL A SHS G28315102 1960 200000 SH DFND 200000 0 0 DUNE ACQUISITION CORP COM CL A 265334102 497 50000 SH DFND 50000 0 0 DYNAMICS SPECIAL PURPOSE COR CLASS A COM 268010105 3455 350000 SH DFND 350000 0 0 EDTECHX HOLDINGS ACQU CORP I UNIT 08/31/2027 28139A201 1006 100000 SH DFND 100000 0 0 ENERGEM CORP CLASS A ORD SHS G30449105 1000 100000 SH DFND 100000 0 0 ENTERPRISE 4.0 TEC ACQSTN CO UNIT 10/14/2026 G3137C122 1010 100000 SH DFND 100000 0 0 EPIPHANY TECHNOLOGY ACQUISIT UNIT 99/99/9999 29429X208 745 75000 SH DFND 75000 0 0 EQ HEALTH ACQUISITION CORP UNIT 02/02/2028 26886A200 2976 300000 SH DFND 300000 0 0 EQUITY DISTR ACQUISITION COR COM CL A 29465E106 989 100000 SH DFND 100000 0 0 EUCRATES BIOMEDICAL ACQU COR SHS G3141W106 1227 124726 SH DFND 124726 0 0 EUCRATES BIOMEDICAL ACQU COR UNIT 10/23/2027 G3141W114 986 100000 SH DFND 100000 0 0 EVO ACQUISITION CORP COM CL A 30052G108 2458 250000 SH DFND 250000 0 0 EXECUTIVE NETWORK PARTNERING CL A 30158L100 2463 250000 SH DFND 250000 0 0 FAT PROJECTS ACQUISITION COR CLASS A ORD SHS G3400W102 1481 150000 SH DFND 150000 0 0 FIGURE ACQUISITION CORP I COM CL A 302438106 978 100000 SH DFND 100000 0 0 FINANCIAL STRATEGIES ACQUISI CLASS A COM 31772T107 1982 200000 SH DFND 200000 0 0 FINTECH ECOSYSTEM DEVE UNIT 04/01/2026 318136207 1019 100000 SH DFND 100000 0 0 FLAME ACQUISITION CORP COM CL A 33850F108 731 75000 SH DFND 75000 0 0 FLAME ACQUISITION CORP UNIT 99/99/9999 33850F207 1481 150000 SH DFND 150000 0 0 FOCUS IMPACT ACQUISITION COR UNIT 10/28/2026 34417L208 501 50000 SH DFND 50000 0 0 FORTISTAR SUSTAINABLE SOL CO UNIT 01/14/2026 34962M205 1487 150000 SH DFND 150000 0 0 FORTRESS CAPITAL ACQUISITION UNIT 99/99/9999 G36427113 994 100000 SH DFND 100000 0 0 FORTRESS VALUE ACQUISI CORP UNIT 03/31/2028 34964K207 981 100000 SH DFND 100000 0 0 FOXWAYNE ENTERPRIS AQSTN COR UNIT 01/12/2026 35166L208 409 40000 SH DFND 40000 0 0 FRAZIER LIFESCIENCES ACQU CO UNIT 12/09/2025 G3710A121 400 40000 SH DFND 40000 0 0 FRONTIER ACQUISITION CORP UNIT 03/01/2026 G36826116 987 100000 SH DFND 100000 0 0 FTAC HERA ACQUISITION CORP UNIT 02/28/2026 G3728Y129 247 25000 SH DFND 25000 0 0 FTAC PARNASSUS ACQUISITN COR CLASS A COM 30319B108 976 100000 SH DFND 100000 0 0 FTAC ZEUS ACQUISITION COR UNIT 04/15/2026 30320F205 1000 100000 SH DFND 100000 0 0 FUSION ACQUISITION CORP II COM CL A 36118N102 979 100000 SH DFND 100000 0 0 FUSION ACQUISITION CORP II UNIT 02/29/2028 36118N201 1475 150000 SH DFND 150000 0 0 G SQUARED ASCEND I INC UNIT 99/99/9999 G4204R125 841 85000 SH DFND 85000 0 0 GLADSTONE ACQUISITION CORP UNIT 04/01/2024 37653T207 514 50000 SH DFND 50000 0 0 GLOBAL CONSUMER ACQUISITN CO UNIT 05/21/2026 37892B207 403 40000 SH DFND 40000 0 0 GLOBAL PARTNER ACQISTN CORP UNIT 01/06/2026 G3934P110 983 100000 SH DFND 100000 0 0 GLOBAL SYNERGY ACQUISIT CORP UNIT 01/01/2024 G3934J114 2008 200000 SH DFND 200000 0 0 GO ACQUISITION CORP COM 362019101 990 100000 SH DFND 100000 0 0 GO ACQUISITION CORP UNIT 08/31/2027 362019200 398 40000 SH DFND 40000 0 0 GOLDEN FALCON ACQUISITION CO CL A 38102H109 981 100000 SH DFND 100000 0 0 GORES HOLDINGS VII INC UNIT 02/12/2028 38286T200 494 50000 SH DFND 50000 0 0 GREEN VISOR FIN TEC ACQ CORP CLASS A ORD G4166K100 999 100000 SH DFND 100000 0 0 H I G ACQUISITION CORP COM CL A G44898107 1478 150000 SH DFND 150000 0 0 H I G ACQUISITION CORP UNIT 99/99/9999 G44898115 298 30000 SH DFND 30000 0 0 HEALTH SCIENCES ACQ CORP 2 ORD SHS G4411D109 991 100000 SH DFND 100000 0 0 HEALTHCARE SERVICES ACQU COR UNIT 11/18/2023 42227K203 746 75000 SH DFND 75000 0 0 HEARTLAND MEDIA ACQUISITION UNIT 99/99/9999 42237V207 498 50000 SH DFND 50000 0 0 HENNESSY CAPITAL INVS CORP V COM CL A 42589T107 491 50000 SH DFND 50000 0 0 HORIZON ACQUISITION CORPORAT SHS CL A G46044106 1090 110000 SH DFND 110000 0 0 HPX CORP SHS CL A G32219100 992 100000 SH DFND 100000 0 0 HUDSON EXECUTIVE INVES III UNIT 02/22/2026 44376L206 739 75000 SH DFND 75000 0 0 HUDSON EXECUTIVE INVS CORP I UNIT 01/31/2027 443760202 984 100000 SH DFND 100000 0 0 ICONIC SPORTS ACQUISITION CO UNIT 99/99/9999 G4712C123 2014 200000 SH DFND 200000 0 0 INDEPENDENCE HOLDINGS CORP CLASS A ORD SHS G4761A101 1469 150000 SH DFND 150000 0 0 INDEPENDENCE HOLDINGS CORP UNIT 03/02/2026 G4761A119 988 100000 SH DFND 100000 0 0 INDUSTRIAL HUMAN CAPITAL INC UNIT 99/99/9999 45617P203 1792 175000 SH DFND 175000 0 0 INFINT ACQUISITION CORP CL A ORD SHS G47862100 500 50000 SH DFND 50000 0 0 INTERPRIVATE II ACQUISITION UNIT 99/99/9999 46064Q207 985 100000 SH DFND 100000 0 0 INTERPRIVATE III FINANCIAL P COM CL A 46064R106 494 50000 SH DFND 50000 0 0 INTERPRIVATE IV INFRATECH PR UNIT 03/05/2026 46064T201 983 100000 SH DFND 100000 0 0 INVESTCORP EUROPE ACQUISITIO UNIT 12/15/2026 G4923T121 758 75000 SH DFND 75000 0 0 ISHARES SILVER TR ISHARES 46428Q109 27 45000 SH Put DFND 45000 0 0 ISLEWORTH HEALTHCARE ACQU CO COM 46468P102 990 100000 SH DFND 100000 0 0 ITHAX ACQUISITION CORP UNIT 12/31/2027 G49775110 1002 100000 SH DFND 100000 0 0 JACK CREEK INVESTMENT CORP UNIT 10/01/2023 G4989X107 1484 150000 SH DFND 150000 0 0 JATT ACQUISITION CORP UNIT 99/99/9999 G50752115 1008 100000 SH DFND 100000 0 0 JAWS HURRICANE ACQUISITN COR CLASS A COM 47201B103 1954 200000 SH DFND 200000 0 0 JAWS MUSTANG ACQUISITION COR SHS CL A G50737108 2109 215000 SH DFND 215000 0 0 JIYA ACQUISITION CORP COM CL A 47760M102 590 60000 SH DFND 60000 0 0 JOFF FINTECH ACQUISITION COR COM CL A 46592C100 244 25000 SH DFND 25000 0 0 KAIROS ACQUISITION CORP UNIT 99/99/9999 G52110122 745 75000 SH DFND 75000 0 0 KHOSLA VENTURES ACQUISITION CL A 482504107 1467 150000 SH DFND 150000 0 0 KKR ACQUISITION HOLDING I CO COM CLASS A 48253T109 1966 200000 SH DFND 200000 0 0 KKR ACQUISITION HOLDING I CO UNIT 99/99/9999 48253T208 498 50000 SH DFND 50000 0 0 KL ACQUISITION CORP UNIT 99/99/9999 49837C208 736 75000 SH DFND 75000 0 0 KLUDEIN I ACQUISITION CORP CL A 49878L109 1491 150000 SH DFND 150000 0 0 KNIGHTSWAN ACQUISITION CORP UNIT 99/99/9999 499103208 501 50000 SH DFND 50000 0 0 L&F ACQUISITION CORP SHS CL A G53702109 3542 350000 SH DFND 350000 0 0 LAVA MEDTECH ACQUISITION COR UNIT 10/21/2026 519345201 1010 100000 SH DFND 100000 0 0 LAZARD GROWTH ACQUISITION CO CL A ORD SHS G54035103 980 100000 SH DFND 100000 0 0 LAZARD GROWTH ACQUISITION CO UNIT 99/99/9999 G54035129 993 100000 SH DFND 100000 0 0 LDH GROWTH CORP I CLASS A ORD SHS G54094100 979 100000 SH DFND 100000 0 0 LEO HLDGS CORP II COM CL A G5463R102 735 75000 SH DFND 75000 0 0 LEO HLDGS CORP II UNIT 99/99/9999 G5463R110 1478 150000 SH DFND 150000 0 0 LIBERTY BROADBAND CORP COM SER A 530307107 5985 45669 SH DFND 45669 0 0 LIBERTY MEDIA ACQUISITION CO COM SR A 53073L104 595 60038 SH DFND 60038 0 0 LIBERTY MEDIA CORP DEL COM A SIRIUSXM 531229409 1180 25807 SH DFND 25807 0 0 LIBERTY MEDIA CORP DEL COM C SIRIUSXM 531229607 1372 30000 SH DFND 30000 0 0 LIBERTY RES ACQUISITION CORP CLASS A COM 53118A105 999 100000 SH DFND 100000 0 0 LIGHTJUMP ACQUISITION CORP UNIT 01/06/2026 53228M205 1002 100000 SH DFND 100000 0 0 LIV CAPITAL ACQUISITN CORP I UNIT 02/07/2027 G5510R121 1000 100000 SH DFND 100000 0 0 LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 10703 4441183 SH DFND 4441183 0 0 LMF ACQUISITION OPPORTUNIT I UNIT 99/99/9999 502015209 931 90000 SH DFND 90000 0 0 LONGVIEW ACQUISITION CORP II COM CL A 54319Q105 1708 175000 SH DFND 175000 0 0 M3 BRIGADE ACQUISITION II CO COM CL A 553800103 6351 650000 SH DFND 650000 0 0 MALACCA STRAITS ACQUISITION COM CL A G5859B117 253 25000 SH DFND 25000 0 0 MALLARD ACQUISITION CORP UNIT 06/30/2027 561204207 769 75000 SH DFND 75000 0 0 MANA CAP ACQUISITION CORP COMMON STOCK 56168P104 495 50000 SH DFND 50000 0 0 MAQUIA CAPITAL ACQUISITION C CLASS A COM 56564V101 1013 100000 SH DFND 100000 0 0 MASON INDUSTRIAL TECHNOLGY I COM CL A 57520Y106 3175 325000 SH DFND 325000 0 0 MASON INDUSTRIAL TECHNOLGY I UNIT 99/99/9999 57520Y205 987 100000 SH DFND 100000 0 0 MEDICUS SCIENCES ACQUISITION CL A SHS G5960S108 978 100000 SH DFND 100000 0 0 MINORITY EQUALITY OPPORTUNIT CLASS A COM 60436Q100 1004 100000 SH DFND 100000 0 0 MONUMENT CIRCLE ACQUISITN CO UNIT 01/14/2026 61531M200 493 50000 SH DFND 50000 0 0 MOUNTAIN CREST ACQSTN CORP I COM 62402U107 1730 175000 SH DFND 175000 0 0 MOUNTAIN CREST ACQUSITN CRP COM 62403K108 1339 135000 SH DFND 135000 0 0 NATURAL ORDER ACQUISITION CO COM 63889L107 4915 500000 SH DFND 500000 0 0 NIGHTDRAGON ACQUISITION CORP UNIT 02/26/20266 65413D204 739 75000 SH DFND 75000 0 0 NOBLE ROCK ACQUISITION CORP UNIT 01/31/2028 G6546R127 2465 250000 SH DFND 250000 0 0 NORTH ATLANTIC ACQUISITN COR UNIT 10/20/2025 G66139117 1837 185000 SH DFND 185000 0 0 NORTHERN LIGHTS ACQUISITN CO UNIT 11/01/2027 66538L204 965 95000 SH DFND 95000 0 0 NORTHVIEW ACQUISITION CORP COM 66718N103 982 100000 SH DFND 100000 0 0 NORTHVIEW ACQUISITION CORP RIGHT 99/99/9999 66718N129 14 100000 SH DFND 100000 0 0 NUBIA BRAND INTERNATIONAL CO UNIT 11/16/2026 67022R202 749 75000 SH DFND 75000 0 0 OMEGA ALPHA SPAC CL A G6749V107 246 25000 SH DFND 25000 0 0 ONE EQUITY PARTNERS OPEN WTR UNIT 01/14/2026 68237L204 990 100000 SH DFND 100000 0 0 OTR ACQUISITION CORP UNIT 10/01/2025 67113Q204 514 50000 SH DFND 50000 0 0 OYSTER ENTERPRISES ACQ CORP UNIT 01/20/2026 69242M203 990 100000 SH DFND 100000 0 0 PANACEA ACQUISITION CORP II CL A SHS G6882C106 488 50000 SH DFND 50000 0 0 PEPPERLIME HEALTH ACQUSTN CO UNIT 99/99/9999 G70021129 1005 100000 SH DFND 100000 0 0 PERCEPTION CAPITAL CORP II UNIT 10/25/2026 G7007D128 501 50000 SH DFND 50000 0 0 PIONEER MERGER CORP CL A SHS G7S24C103 981 100000 SH DFND 100000 0 0 PMV CONSUMER ACQUISITION COR COM 693486102 494 50000 SH DFND 50000 0 0 PONTEM CORPORATION UNIT 99/99/9999 G71707114 988 100000 SH DFND 100000 0 0 POWERED BRANDS UNIT 99/99/9999 G7209M124 992 100000 SH DFND 100000 0 0 PRIME IMPACT ACQUISITION I UNIT 10/01/2030 G61074111 447 45000 SH DFND 45000 0 0 PRIVETERRA ACQUISITION CORP UNIT 99/99/9999 74275N201 739 75000 SH DFND 75000 0 0 PROGRESS ACQUISITION CORP UNIT 12/25/2025 74327P204 991 100000 SH DFND 100000 0 0 PROOF ACQUISITION CORP I UNIT 99/99/9999 74349W203 1002 100000 SH DFND 100000 0 0 PROPERTY SOLUTIONS ACQUISITI UNIT 03/01/2026 74350A207 245 25000 SH DFND 25000 0 0 PROTERRA INC COM 74374T109 86396 13484094 SH DFND 13484094 0 0 PYROPHYTE ACQUISITION CORP UNIT 99/99/9999 G7308P119 1015 100000 SH DFND 100000 0 0 RECHARGE ACQUISITION CORP COM CL A 756229100 1246 125000 SH DFND 125000 0 0 REDWOODS ACQUISITION CORP UNIT 03/15/2027 758083208 1003 100000 SH DFND 100000 0 0 RIBBIT LEAP LTD SHS CL A G7552B105 987 100000 SH DFND 100000 0 0 RIVERVIEW ACQUISITION CORP UNIT 07/29/2026 769395203 2000 200000 SH DFND 200000 0 0 RMG ACQUISITION CORP III UNIT 02/08/2026 G76088114 247 25000 SH DFND 25000 0 0 ROSS ACQUISITION CORP II SHS CL A G7641C106 1964 200000 SH DFND 200000 0 0 ROTH CH ACQUISITION IV CO COM 77867P104 1685 170000 SH DFND 170000 0 0 RXR ACQUISITION CORP UNIT 01/01/2025 74981W206 246 25000 SH DFND 25000 0 0 RYANAIR HOLDINGS PLC SPONSORED ADS 783513203 1799 20648 SH DFND 20648 0 0 SCIENCE STRATEGIC ACQ ALPHA UNIT 01/20/2026 808641203 984 100000 SH DFND 100000 0 0 SCION TECH GROWTH I UNIT 12/17/2025 G31067120 497 50000 SH DFND 50000 0 0 SCP & CO HEALTHCARE ACQUSTN UNIT 10/27/2025 784065203 1730 175000 SH DFND 175000 0 0 SCREAMING EAGLE ACQUISITN CO UNIT 01/05/2027 G79407113 1000 100000 SH DFND 100000 0 0 SEAPORT CALIBRE MATLS ACQUIS UNIT 10/28/2026 812204204 499 50000 SH DFND 50000 0 0 SENIOR CONNECT ACQUISITN COR COM CL A 81723H108 1473 150000 SH DFND 150000 0 0 SHELTER ACQUISITION CORP I UNIT 02/25/2026 822821203 994 100000 SH DFND 100000 0 0 SILVER SPIKE ACQUISITN CORP CLASS A ORD SHS G8201H105 979 100000 SH DFND 100000 0 0 SIMON PROPERTY GRP ACQ HOLDI COM CL A 82880R103 1956 200000 SH DFND 200000 0 0 SIRIUS XM HOLDINGS INC COM 82968B103 445 200000 SH Put DFND 200000 0 0 SIRIUSPOINT LTD COM G8192H106 506 67613 SH DFND 67613 0 0 SLAM CORP UNIT 99/99/9999 G8210L113 2958 300000 SH DFND 300000 0 0 SOCIAL CAP SUVRETTA HLDS CP CLASS A ORD SHS G8253Y105 487 50000 SH DFND 50000 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253U103 975 100000 SH DFND 100000 0 0 SOCIAL CAP SUVRETTA HLDS CRP CLASS A ORD SHS G8253T106 989 100000 SH DFND 100000 0 0 SOCIAL LEVERAGE ACQUISN CORP COM CL A 83363K102 1958 200000 SH DFND 200000 0 0 SOFTWARE ACQUISITN GRP INC I COM CL A 83407J103 1496 150000 SH DFND 150000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 117 10000 SH Put DFND 10000 0 0 SPORTSMAP TECH ACQUISITIN CO UNIT 09/01/2027 84921J207 1008 100000 SH DFND 100000 0 0 SPORTSTEK ACQUISITION CORP UNIT 02/16/2028 849196209 983 100000 SH DFND 100000 0 0 SPRINGWATER SPL SITUATIONS C UNIT 12/01/2027 85205U206 999 100000 SH DFND 100000 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 3085 159190 SH DFND 159190 0 0 STEEL CONNECT INC COM 858098106 280 216787 SH DFND 216787 0 0 STONEBRIDGE ACQUISITION CORP UNIT 04/11/2026 G85094111 1007 100000 SH DFND 100000 0 0 SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 62171 9915600 SH DFND 9915600 0 0 SUPERNOVA PARTN ACQ CO III L UNIT 99/99/9999 G8T90F110 489 50000 SH DFND 50000 0 0 SUSTAINABLE DEVELP ACQU I CO UNIT 02/04/2026 86934L202 494 50000 SH DFND 50000 0 0 SVF INVESTMENT CORP CL A SHS G8601L102 2940 300000 SH DFND 300000 0 0 SVF INVESTMENT CORP 2 CL A SHS G8601M100 492 50000 SH DFND 50000 0 0 TCW SPECIAL PURPOSE ACQU COR UNIT 99/99/9999 87301L205 974 100000 SH DFND 100000 0 0 THUNDER BRIDGE CAP PRTNRS II UNIT 02/15/2028 88605T209 1980 200000 SH DFND 200000 0 0 TISHMAN SPEYER INNOVATION CO COM CL A 88825H100 735 75000 SH DFND 75000 0 0 TISHMAN SPEYER INNOVATION CO UNIT 02/11/2026 88825H209 494 50000 SH DFND 50000 0 0 TORTOISEECOFIN ACQUISITION C UNIT 99/99/9999 G8956E208 1478 150000 SH DFND 150000 0 0 TPB ACQUISITION CORP I COM CL A G8990L101 972 100000 SH DFND 100000 0 0 TREPONT ACQUISITION CORP I SHS CL A G9095M101 2514 250000 SH DFND 250000 0 0 TWELVE SEAS INVESTMENT CO II UNIT 99/99/9999 90118T205 491 50000 SH DFND 50000 0 0 TWIN RIDGE CAPITAL ACQUIS CO UNIT 99/99/9999 G9151L112 3428 350000 SH DFND 350000 0 0 TZP STRATEGIES ACQUISTN CORP UNIT 01/06/2026 G91595127 989 100000 SH DFND 100000 0 0 VALOR LATITUDE ACQUISITN COR UNIT 04/02/2026 G9460N114 981 100000 SH DFND 100000 0 0 VALUENCE MERGER CORP I UNIT 02/18/2027 G9R16L126 2508 250000 SH DFND 250000 0 0 VECTOIQ ACQUISITION CORP II COM CL A 92244F109 983 100000 SH DFND 100000 0 0 VECTOIQ ACQUISITION CORP II UNIT 99/99/9999 92244F208 1988 200000 SH DFND 200000 0 0 VELOCITY ACQUISITION CORP COM CL A 92259E104 1950 200000 SH DFND 200000 0 0 VENTOUX CCM ACQUISITION CORP COM 92280L101 2779 275000 SH DFND 275000 0 0 VICKERS VANTAGE CORP I UNIT 09/15/2027 G9440B123 1955 190000 SH DFND 190000 0 0 VIRGIN GROUP ACQUISIT CORP I UNIT 99/99/9999 G9460K110 992 100000 SH DFND 100000 0 0 VIVEON HEALTH ACQUISITION CO COMMON STOCK 92853V106 2525 250000 SH DFND 250000 0 0 WARBURG PINCUS CAPTAL CORP I SHS CL A G9461D107 983 100000 SH DFND 100000 0 0 WARBURG PINCUS CAPTAL CORP I SHS CL A G9460M108 1473 150000 SH DFND 150000 0 0 WARBURG PINCUS CAPTAL CORP I UNIT 99/99/9999 G9461D123 495 50000 SH DFND 50000 0 0 WARRIOR TECHNOLOGIES ACQUI C UNIT 03/31/2028 936273200 499 50000 SH DFND 50000 0 0 WILLIAMS ROWLAND ACQUISITION UNIT 99/99/9999 96951B201 1008 100000 SH DFND 100000 0 0 WORLD QUANTUM GROWTH ACQUISI SHS CL A G5596W101 990 100000 SH DFND 100000 0 0 WORLDWIDE WEBB ACQUISITION C UNIT 10/20/2026 G97775129 992 100000 SH DFND 100000 0 0 ZIMMER ENERGY TRANSITION ACQ COM CL A 989570106 1935 200000 SH DFND 200000 0 0