SEC FORM 13F-HR/A

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE

OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8

Report for the Calendar Year or Quarter Ended: 06-30-2018
Check here if Amendment X Amendment Number: 1
This Amendment (Check only one.): X is a restatement.
   adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: COWEN INC.
Address: 599 LEXINGTON AVENUE, 20TH FLOOR
NEW YORK, NY  10022
Form 13F File Number: 028-14571

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

Person Signing this Report on Behalf of Reporting Manager:
Name: Owen Littman
Title: General Counsel
Phone: 212-201-4841
Signature, Place, and Date of Signing:
/s/ Owen Littman New YorkNY 08-06-2018
[Signature] [City, State] [Date]
Report Type (Check only one.):
X 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.)
   13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).)
   13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)
Form 13F Summary Page
Report Summary:
Number of Other Included Managers: 5
Form 13F Information Table Entry Total: 559
Form 13F Information Table Value Total: 2,356,616
(thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.
[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]
No. Form 13F File Number Name
1 028-04125 COWEN & COMPANY, LLC
2 028-18771 COWEN EXECUTION SERVICES LLC
3 028-13626 Cowen Investment Management LLC
4 028-18662 Margate Capital Management LP
5 028-10674 RAMIUS ADVISORS LLC

SEC FORM 13-F Information Table

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE

OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
22ND CENTY GROUP INC COM 90137F103 185 75,000 SH   DFND 1 75,000 0 0
3M CO COM 88579Y101 157 800 SH   DFND 3 800 0 0
3M CO COM 88579Y101 29 3,600 SH Call DFND 3 3,600 0 0
3M CO COM 88579Y101 84 2,700 SH Put DFND 3 2,700 0 0
ACADIA PHARMACEUTICALS INC COM 004225108 115 7,500 SH   DFND 1 7,500 0 0
ACADIA PHARMACEUTICALS INC COM 004225108 208 13,600 SH Call DFND 1 13,600 0 0
ACCELERATE DIAGNOSTICS INC COM 00430H102 1,896 85,000 SH Put DFND 1 85,000 0 0
ADOBE SYS INC COM 00724F101 12,969 53,192 SH   DFND 4 53,192 0 0
ADVERUM BIOTECHNOLOGIES INC COM 00773U108 371 70,000 SH   DFND 3 70,000 0 0
AETNA INC NEW COM 00817Y108 6,092 33,200 SH Call DFND 1 33,200 0 0
AETNA INC NEW COM 00817Y108 32,815 178,827 SH   DFND 5 178,827 0 0
AGCO CORP COM 001084102 1,324 21,800 SH Call DFND 1 21,800 0 0
AGROFRESH SOLUTIONS *W EXP 07/31/202 00856G117 220 594,393 SH   DFND 1 594,393 0 0
AKORN INC COM 009728106 136 8,200 SH Call DFND 1 8,200 0 0
AKORN INC COM 009728106 505 109,900 SH Call DFND 5 109,900 0 0
AKORN INC COM 009728106 473 28,500 SH Put DFND 1 28,500 0 0
ALDER BIOPHARMACEUTICALS INC COM 014339105 277 17,500 SH Put DFND 1 17,500 0 0
ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 3,965 21,369 SH   DFND 4 21,369 0 0
ALPHABET INC CAP STK CL A 02079K305 198 175 SH   DFND 3 175 0 0
ALPHABET INC CAP STK CL A 02079K305 33 300 SH Call DFND 3 300 0 0
ALPHABET INC CAP STK CL A 02079K305 26 500 SH Put DFND 3 500 0 0
ALPHABET INC CAP STK CL C 02079K107 849 761 SH   DFND 3 761 0 0
ALPHABET INC CAP STK CL C 02079K107 20 200 SH Call DFND 3 200 0 0
ALPHABET INC CAP STK CL C 02079K107 37 700 SH Put DFND 3 700 0 0
ALTA MESA RES INC *W EXP 03/28/202 02133L117 825 589,266 SH   DFND 1 589,266 0 0
ALTABA INC COM 021346101 6,647 90,800 SH   DFND 3 90,800 0 0
ALTICE USA INC CL A 02156K103 2,131 124,933 SH   DFND 3 124,933 0 0
AMAZON COM INC COM 023135106 13,488 7,935 SH   DFND 3 7,935 0 0
AMAZON COM INC COM 023135106 3,532 2,078 SH   DFND 4 2,078 0 0
AMAZON COM INC COM 023135106 224 400 SH Call DFND 3 400 0 0
AMICUS THERAPEUTICS INC COM 03152W109 383 24,500 SH   DFND 1 24,500 0 0
AMICUS THERAPEUTICS INC COM 03152W109 2,088 133,700 SH Call DFND 1 133,700 0 0
ANDEAVOR COM 03349M105 60,900 464,244 SH   DFND 5 464,244 0 0
APPLE INC COM 037833100 2,079 11,231 SH   DFND 3 11,231 0 0
APPLE INC COM 037833100 9 400 SH Call DFND 3 400 0 0
APPLE INC COM 037833100 11 700 SH Put DFND 3 700 0 0
APTINYX INC COM 03836N103 546 24,691 SH   DFND 3 24,691 0 0
APTIV PLC SHS G6095L109 87 948 SH   DFND 1 948 0 0
APTIV PLC SHS G6095L109 10,413 113,638 SH   DFND 4 113,638 0 0
AQUINOX PHARMACEUTICALS INC COM 03842B101 53 20,000 SH   DFND 1 20,000 0 0
AQUINOX PHARMACEUTICALS INC COM 03842B101 53 20,000 SH Put DFND 1 20,000 0 0
ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L203 4,673 171,100 SH Call DFND 1 171,100 0 0
ARRAY BIOPHARMA INC COM 04269X105 923 55,000 SH Put DFND 1 55,000 0 0
AT&T INC COM 00206R102 14,692 457,500 SH Put DFND 1 457,500 0 0
AT&T INC COM 00206R102 10 72,000 SH Call DFND 5 72,000 0 0
AT&T INC COM 00206R102 6,810 212,093 SH   DFND 1 212,093 0 0
AT&T INC COM 00206R102 2,395 74,600 SH Call DFND 1 74,600 0 0
ATARA BIOTHERAPEUTICS INC COM 046513107 129 3,500 SH   DFND 1 3,500 0 0
ATARA BIOTHERAPEUTICS INC COM 046513107 239 6,500 SH Call DFND 1 6,500 0 0
ATARA BIOTHERAPEUTICS INC COM 046513107 368 10,000 SH Put DFND 1 10,000 0 0
AUDENTES THERAPEUTICS INC COM 05070R104 3,057 80,000 SH   DFND 3 80,000 0 0
AUTOMATIC DATA PROCESSING IN COM 053015103 24 5,600 SH Put DFND 3 5,600 0 0
AUTOMATIC DATA PROCESSING IN COM 053015103 18,780 140,000 SH Put DFND 1 140,000 0 0
AUTOMATIC DATA PROCESSING IN COM 053015103 86 4,200 SH Call DFND 3 4,200 0 0
AUTOMATIC DATA PROCESSING IN COM 053015103 134 1,000 SH   DFND 1 1,000 0 0
AV HOMES INC COM 00234P102 3,274 152,994 SH   DFND 3 152,994 0 0
AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 1,080 107,724 SH   DFND 1 107,724 0 0
BANK AMER CORP COM 060505104 22 13,000 SH Call DFND 3 13,000 0 0
BANK AMER CORP COM 060505104 17 7,700 SH Put DFND 3 7,700 0 0
BANK NEW YORK MELLON CORP COM 064058100 19 6,600 SH Call DFND 3 6,600 0 0
BANK NEW YORK MELLON CORP COM 064058100 42 9,000 SH Put DFND 3 9,000 0 0
BANK NEW YORK MELLON CORP COM 064058100 65 1,200 SH   DFND 3 1,200 0 0
BED BATH & BEYOND INC COM 075896100 2,491 125,000 SH Put DFND 1 125,000 0 0
BED BATH & BEYOND INC COM 075896100 2,909 146,000 SH   DFND 1 146,000 0 0
BERKSHIRE HATHAWAY INC DEL CL A 084670108 282 1 SH   DFND 3 1 0 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 187 1,000 SH   DFND 3 1,000 0 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 25 3,500 SH Call DFND 3 3,500 0 0
BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 19 1,000 SH Put DFND 3 1,000 0 0
BIG ROCK PARTNERS ACQUISI CO *W EXP 12/01/202 089482111 6 16,476 SH   DFND 1 16,476 0 0
BIG ROCK PARTNERS ACQUISI CO RIGHT 12/01/2022 089482129 18 39,652 SH   DFND 1 39,652 0 0
BIOMARIN PHARMACEUTICAL INC COM 09061G101 94 1,000 SH   DFND 1 1,000 0 0
BIOMARIN PHARMACEUTICAL INC COM 09061G101 1,235 13,100 SH Call DFND 1 13,100 0 0
BIOMARIN PHARMACEUTICAL INC COM 09061G101 122 1,300 SH Put DFND 1 1,300 0 0
BISON CAP ACQUISITION CORP *W EXP 06/20/202 G1142P112 10 27,002 SH   DFND 1 27,002 0 0
BISON CAP ACQUISITION CORP RIGHT 03/20/2019 G1142P138 12 37,372 SH   DFND 1 37,372 0 0
BLACK RIDGE ACQUISITION CORP *W EXP 07/10/202 09216T115 52 120,481 SH   DFND 1 120,481 0 0
BLACK RIDGE ACQUISITION CORP UNIT 10/05/2022 09216T206 523 50,000 SH   DFND 3 50,000 0 0
BLACK RIDGE ACQUISITION CORP UNIT 10/05/2022 09216T206 512 49,002 SH   DFND 1 49,002 0 0
BLUEBIRD BIO INC COM 09609G100 942 6,000 SH   DFND 3 6,000 0 0
BLUEPRINT MEDICINES CORP COM 09627Y109 2,158 34,000 SH   DFND 3 34,000 0 0
BOEING CO COM 097023105 5,501 16,397 SH   DFND 4 16,397 0 0
BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN G16249107 1,286 67,600 SH   DFND 2 67,600 0 0
BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN G16249107 385 50,000 SH Put DFND 2 50,000 0 0
BROOKFIELD PPTY PARTNERS L P UNIT LTD PARTN G16249107 385 50,000 SH Put DFND 3 50,000 0 0
BUNGE LIMITED COM G16962105 1,046 15,000 SH Call DFND 1 15,000 0 0
CADENCE DESIGN SYSTEM INC COM 127387108 6,406 147,917 SH   DFND 4 147,917 0 0
CAESARS ENTMT CORP COM 127686103 3,628 339,026 SH   DFND 4 339,026 0 0
CAESARS ENTMT CORP COM 127686103 0 1 SH   DFND 1 1 0 0
CAESARS ENTMT CORP COM 127686103 319 29,850 SH   DFND 3 29,850 0 0
CAMPBELL SOUP CO COM 134429109 3,932 97,000 SH Call DFND 1 97,000 0 0
CAMPBELL SOUP CO COM 134429109 3,085 76,100 SH Put DFND 1 76,100 0 0
CAMPING WORLD HLDGS INC CL A 13462K109 57 2,280 SH   DFND 1 2,280 0 0
CAMPING WORLD HLDGS INC CL A 13462K109 375 15,000 SH Call DFND 1 15,000 0 0
CAPITAL ONE FINL CORP COM 14040H105 460 5,000 SH   DFND 3 5,000 0 0
CAPITOL INVT CORP IV *W EXP 01/01/202 G18920127 24 17,426 SH   DFND 1 17,426 0 0
CAPITOL INVT CORP IV CL A ORD G18920101 987 100,000 SH   DFND 3 100,000 0 0
CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 53 5,159 SH   DFND 1 5,159 0 0
CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 515 50,000 SH   DFND 3 50,000 0 0
CARLISLE COS INC COM 142339100 1,593 14,700 SH Call DFND 1 14,700 0 0
CARLISLE COS INC COM 142339100 6,098 56,300 SH Put DFND 1 56,300 0 0
CARNIVAL CORP UNIT 99/99/9999 143658300 57 1,000 SH   DFND 1 1,000 0 0
CARNIVAL CORP UNIT 99/99/9999 143658300 5,731 100,000 SH Call DFND 1 100,000 0 0
CARNIVAL PLC ADR 14365C103 317 5,495 SH   DFND 3 5,495 0 0
CBS CORP NEW CL B 124857202 163 100,000 SH Put DFND 5 100,000 0 0
CELGENE CORP COM 151020104 707 8,900 SH   DFND 3 8,900 0 0
CHARTER COMMUNICATIONS INC N CL A 16119P108 948 3,234 SH   DFND 4 3,234 0 0
CHIPOTLE MEXICAN GRILL INC COM 169656105 157 1,500 SH Call DFND 3 1,500 0 0
CHIPOTLE MEXICAN GRILL INC COM 169656105 75 3,200 SH Put DFND 3 3,200 0 0
CIGNA CORPORATION COM 125509109 2,464 14,500 SH   DFND 1 14,500 0 0
CIGNA CORPORATION COM 125509109 1,700 10,000 SH Call DFND 1 10,000 0 0
CIGNA CORPORATION COM 125509109 3,399 20,000 SH Put DFND 1 20,000 0 0
CISCO SYS INC COM 17275R102 65 1,500 SH   DFND 3 1,500 0 0
CISCO SYS INC COM 17275R102 20 6,900 SH Call DFND 3 6,900 0 0
CISCO SYS INC COM 17275R102 47 13,300 SH Put DFND 3 13,300 0 0
CM SEVEN STAR ACQUISITION CO SHS G2345N102 344 34,746 SH   DFND 1 34,746 0 0
CM SEVEN STAR ACQUISITION CO UNIT 08/21/2022 G2345N128 0 1 SH   DFND 1 1 0 0
CM SEVEN STAR ACQUISITION CO UNIT 08/21/2022 G2345N128 2,588 250,000 SH   DFND 3 250,000 0 0
CME GROUP INC COM CL A 12572Q105 462 120,000 SH Put DFND 5 120,000 0 0
COBIZ FINANCIAL INC COM 190897108 1,620 75,400 SH   DFND 5 75,400 0 0
COCA COLA CO COM 191216100 31 9,800 SH Put DFND 3 9,800 0 0
COCA COLA CO COM 191216100 30 10,300 SH Call DFND 3 10,300 0 0
COHERUS BIOSCIENCES INC COM 19249H103 728 52,000 SH Call DFND 1 52,000 0 0
COHERUS BIOSCIENCES INC COM 19249H103 56 4,000 SH   DFND 1 4,000 0 0
COHU INC COM 192576106 1,020 41,604 SH   DFND 5 41,604 0 0
COMCAST CORP NEW CL A 20030N101 1,555 47,400 SH   DFND 1 47,400 0 0
COMCAST CORP NEW CL A 20030N101 1,496 45,600 SH Call DFND 1 45,600 0 0
COMCAST CORP NEW CL A 20030N101 171 160,000 SH Call DFND 5 160,000 0 0
COMCAST CORP NEW CL A 20030N101 4,101 125,000 SH Put DFND 1 125,000 0 0
COMMUNITY HEALTH SYS INC NEW RIGHT 12/31/2019 203668116 39 3,858,817 SH   DFND 1 3,858,817 0 0
CONAGRA BRANDS INC COM 205887102 1,072 30,000 SH Call DFND 1 30,000 0 0
CONCHO RES INC COM 20605P101 138 1,000 SH   DFND 1 1,000 0 0
CONCHO RES INC COM 20605P101 6,074 43,900 SH Call DFND 1 43,900 0 0
CONSTELLATION ALPHA CAP CORP SHS G2379F108 1,844 185,172 SH   DFND 1 185,172 0 0
CONSTELLATION ALPHA CAP CORP UNIT 99/99/9999 G2379F124 1,460 136,450 SH   DFND 1 136,450 0 0
CONSTELLATION BRANDS INC CL A 21036P108 2,134 9,750 SH   DFND 1 9,750 0 0
CONSTELLATION BRANDS INC CL A 21036P108 25,082 114,600 SH Call DFND 1 114,600 0 0
CONSTELLATION BRANDS INC CL A 21036P108 10,418 47,600 SH Put DFND 1 47,600 0 0
COREPOINT LODGING INC COM 21872L104 3,616 139,628 SH   DFND 3 139,628 0 0
CORVUS PHARMACEUTICALS INC COM 221015100 5,868 534,397 SH   DFND 3 534,397 0 0
CSX CORP COM 126408103 30 5,900 SH Put DFND 3 5,900 0 0
CSX CORP COM 126408103 25 5,500 SH Call DFND 3 5,500 0 0
CVR PARTNERS LP COM 126633106 565 171,079 SH   DFND 3 171,079 0 0
CVR REFNG LP COMUNIT REP LT 12663P107 3,465 155,014 SH   DFND 3 155,014 0 0
DASEKE INC *W EXP 02/27/202 23753F115 80 74,518 SH   DFND 1 74,518 0 0
DCT INDUSTRIAL TRUST INC COM NEW 233153204 7 98 SH   DFND 1 98 0 0
DCT INDUSTRIAL TRUST INC COM NEW 233153204 59,648 893,878 SH   DFND 5 893,878 0 0
DEL TACO RESTAURANTS INC *W EXP 06/30/202 245496112 64 16,348 SH   DFND 1 16,348 0 0
DFB HEALTHCARE ACQUISTION CO *W EXP 04/11/202 23291E117 15 13,719 SH   DFND 1 13,719 0 0
DFB HEALTHCARE ACQUISTION CO COM 23291E109 348 36,157 SH   DFND 1 36,157 0 0
DFB HEALTHCARE ACQUISTION CO UNIT 01/30/2023 23291E208 2,770 272,944 SH   DFND 1 272,944 0 0
DISCOVERY INC COM SER A 25470F104 336 15,000 SH Call DFND 1 15,000 0 0
DISNEY WALT CO COM DISNEY 254687106 2,699 25,756 SH   DFND 4 25,756 0 0
DISNEY WALT CO COM DISNEY 254687106 679 250,000 SH Put DFND 5 250,000 0 0
DOWDUPONT INC COM 26078J100 45 9,700 SH Call DFND 3 9,700 0 0
DOWDUPONT INC COM 26078J100 19 2,800 SH Put DFND 3 2,800 0 0
DR PEPPER SNAPPLE GROUP INC COM 26138E109 1,464 12,000 SH Call DFND 1 12,000 0 0
DR PEPPER SNAPPLE GROUP INC COM 26138E109 1,220 10,000 SH   DFND 1 10,000 0 0
DRAPER OAKWOOD TECHNOLOGY UNIT 09/30/2024 26146L202 301 25,100 SH   DFND 1 25,100 0 0
DROPBOX INC CL A 26210C104 453,880 14,000 SH   DFND 2 14,000 0 0
DROPBOX INC CL A 26210C104 125,300 14,000 SH Put DFND 2 140,000 0 0
DXC TECHNOLOGY CO COM 23355L106 387 4,803 SH   DFND 1 4,803 0 0
DXC TECHNOLOGY CO COM 23355L106 1,612 20,000 SH Call DFND 1 20,000 0 0
ELECTRONIC ARTS INC COM 285512109 35,199 249,600 SH Put DFND 1 249,600 0 0
ELECTRONIC ARTS INC COM 285512109 7,728 54,800 SH   DFND 1 54,800 0 0
ELECTRONIC ARTS INC COM 285512109 9,537 67,629 SH   DFND 4 67,629 0 0
ELECTRONIC ARTS INC COM 285512109 78,082 553,700 SH Call DFND 1 553,700 0 0
ENTERPRISE PRODS PARTNERS L COM 293792107 830 30,000 SH Put DFND 1 30,000 0 0
ENVISION HEALTHCARE CORP COM 29414D100 35,036 796,091 SH   DFND 5 796,091 0 0
EQT CORP COM 26884L109 28 500 SH   DFND 1 500 0 0
EQT CORP COM 26884L109 210 3,800 SH Put DFND 1 3,800 0 0
ESTRE AMBIENTAL INC *W EXP 12/21/202 G3206V118 92 216,478 SH   DFND 1 216,478 0 0
EXPRESS SCRIPTS HLDG CO COM 30219G108 6,763 87,600 SH Put DFND 1 87,600 0 0
EXPRESS SCRIPTS HLDG CO COM 30219G108 15,913 206,105 SH   DFND 5 206,105 0 0
EXPRESS SCRIPTS HLDG CO COM 30219G108 1,351 17,500 SH Call DFND 1 17,500 0 0
EXXON MOBIL CORP COM 30231G102 31 6,100 SH Put DFND 3 6,100 0 0
EXXON MOBIL CORP COM 30231G102 52 6,100 SH Call DFND 3 6,100 0 0
EXXON MOBIL CORP COM 30231G102 8,273 100,000 SH Call DFND 1 100,000 0 0
FACEBOOK INC CL A 30303M102 44 2,500 SH Put DFND 3 2,500 0 0
FACEBOOK INC CL A 30303M102 2,157 11,100 SH   DFND 1 11,100 0 0
FACEBOOK INC CL A 30303M102 19 100 SH   DFND 3 100 0 0
FACEBOOK INC CL A 30303M102 2,138 11,000 SH Call DFND 1 11,000 0 0
FACEBOOK INC CL A 30303M102 15 1,000 SH Call DFND 3 1,000 0 0
FACEBOOK INC CL A 30303M102 2,138 11,000 SH Put DFND 1 11,000 0 0
FAR PT ACQUISITION CORP *W EXP 06/01/202 30734W117 27 19,700 SH   DFND 1 19,700 0 0
FAR PT ACQUISITION CORP COM CL A 30734W109 2,270 222,294 SH   DFND 1 222,294 0 0
FINTECH ACQUISITION CORP II *W EXP 01/19/202 31810G117 111 69,105 SH   DFND 1 69,105 0 0
FITBIT INC CL A 33812L102 85 12,950 SH   DFND 1 12,950 0 0
FITBIT INC CL A 33812L102 229 35,000 SH Put DFND 1 35,000 0 0
FOREST CITY RLTY TR INC COM CL A 345605109 2,808 123,110 SH   DFND 5 123,110 0 0
FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 9 180,000 SH Call DFND 2 180,000 0 0
FRONTIER COMMUNICATIONS CORP COM NEW 35906A306 666 180,000 SH Put DFND 2 180,000 0 0
G1 THERAPEUTICS INC COM 3621LQ109 4,778 109,944 SH   DFND 3 109,944 0 0
GCI LIBERTY INC COM CLASS A 36164V305 7,083 157,116 SH   DFND 3 157,116 0 0
GENERAL DYNAMICS CORP COM 369550108 839 4,500 SH   DFND 3 4,500 0 0
GENERAL DYNAMICS CORP COM 369550108 24 3,600 SH Call DFND 3 3,600 0 0
GENERAL DYNAMICS CORP COM 369550108 91 2,700 SH Put DFND 3 2,700 0 0
GENERAL MTRS CO COM 37045V100 87 2,200 SH   DFND 3 2,200 0 0
GENERAL MTRS CO COM 37045V100 15 8,000 SH Call DFND 3 8,000 0 0
GENERAL MTRS CO COM 37045V100 46 9,400 SH Put DFND 3 9,400 0 0
GERON CORP COM 374163103 103 30,000 SH Call DFND 1 30,000 0 0
GGP INC COM 36174X101 4,597 225,000 SH   DFND 3 225,000 0 0
GIGCAPITAL INC *W EXP 06/08/202 37518N122 16 34,867 SH   DFND 1 34,867 0 0
GIGCAPITAL INC COM 37518N106 377 508,466 SH   DFND 1 508,466 0 0
GIGCAPITAL INC RIGHT 03/06/2020 37518N114 17 37,660 SH   DFND 1 37,660 0 0
GIGCAPITAL INC UNIT 03/06/2025 37518N205 951 90,594 SH   DFND 1 90,594 0 0
GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 1,130 25,000 SH   DFND 3 25,000 0 0
GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 18 1,400,000 SH Call DFND 3 1,400,000 0 0
GLOBALSTAR INC COM 378973408 31 62,863 SH   DFND 1 62,863 0 0
GOPRO INC CL A 38268T103 428 66,500 SH Put DFND 1 66,500 0 0
GORDON POINTE ACQUISITION CO COM CLASS A 382788107 1,122 115,432 SH   DFND 1 115,432 0 0
GORES HLDGS II INC *W EXP 01/13/202 382867117 254 137,511 SH   DFND 1 137,511 0 0
GORES HLDGS II INC COM CL A 382867109 7,913 779,214 SH   DFND 1 779,214 0 0
GORES HLDGS II INC UNIT 99/99/9999 382867208 222 20,671 SH   DFND 1 20,671 0 0
GS ACQUISITION HLDGS CORP UNIT 06/12/2023 36255F201 1,420 138,890 SH   DFND 1 138,890 0 0
GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 784 77,577 SH   DFND 1 77,577 0 0
GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 1,010 100,000 SH   DFND 3 100,000 0 0
GW PHARMACEUTICALS PLC ADS 36197T103 698 5,000 SH Put DFND 1 5,000 0 0
GW PHARMACEUTICALS PLC ADS 36197T103 126 900 SH   DFND 1 900 0 0
GW PHARMACEUTICALS PLC ADS 36197T103 698 5,000 SH Call DFND 1 5,000 0 0
HAIN CELESTIAL GROUP INC COM 405217100 1,207 40,500 SH   DFND 1 40,500 0 0
HAIN CELESTIAL GROUP INC COM 405217100 1,642 55,100 SH Put DFND 1 55,100 0 0
HALLIBURTON CO COM 406216101 586 13,000 SH   DFND 1 13,000 0 0
HALLIBURTON CO COM 406216101 451 10,000 SH Put DFND 1 10,000 0 0
HAYMAKER ACQUISITION CORP *W EXP 10/27/202 420870115 42 50,911 SH   DFND 1 50,911 0 0
HAYMAKER ACQUISITION CORP COM CLASS A 420870107 910 93,281 SH   DFND 1 93,281 0 0
HAYMAKER ACQUISITION CORP UNIT 10/19/2022 420870206 5,055 500,000 SH   DFND 3 500,000 0 0
HAYMAKER ACQUISITION CORP UNIT 10/19/2022 420870206 1 100 SH   DFND 1 100 0 0
HENNESSY CAP ACQUSTON CORP I *W EXP 06/15/202 42588L113 342 237,500 SH   DFND 3 237,500 0 0
HENNESSY CAP ACQUSTON CORP I *W EXP 06/15/202 42588L113 88 61,450 SH   DFND 1 61,450 0 0
HENNESSY CAP ACQUSTON CORP I COM 42588L105 4,563 450,000 SH   DFND 3 450,000 0 0
HENNESSY CAP ACQUSTON CORP I COM 42588L105 1,121 99,904 SH   DFND 1 99,904 0 0
HENNESSY CAP ACQUSTON CORP I UNIT 06/15/2024 42588L204 558 50,001 SH   DFND 1 50,001 0 0
HL ACQUISITIONS CORP UNIT 06/21/2023 G4603R114 528 52,495 SH   DFND 1 52,495 0 0
HP INC COM 40434L105 23 20,200 SH Call DFND 3 20,200 0 0
HUNTER MARITIME ACQUISITION *W EXP 11/17/202 Y37828129 58 135,000 SH   DFND 1 135,000 0 0
HUNTER MARITIME ACQUISITION *W EXP 11/17/202 Y37828129 124 287,500 SH   DFND 3 287,500 0 0
HUNTER MARITIME ACQUISITION CL A Y37828111 5,681 575,000 SH   DFND 3 575,000 0 0
HUNTER MARITIME ACQUISITION CL A Y37828111 2,545 257,637 SH   DFND 1 257,637 0 0
I AM CAP ACQUISITION CO *W EXP 05/22/202 45074Q116 12 27,548 SH   DFND 1 27,548 0 0
I AM CAP ACQUISITION CO COM 45074Q108 3,145 309,241 SH   DFND 1 309,241 0 0
IAC INTERACTIVECORP COM 44919P508 1,464 9,600 SH   DFND 3 9,600 0 0
ILG INC COM 44967H101 27,019 818,013 SH   DFND 5 818,013 0 0
IMMUNOMEDICS INC COM 452907108 3,539 149,500 SH Put DFND 1 149,500 0 0
IMMUNOMEDICS INC COM 452907108 3,551 150,000 SH   DFND 1 150,000 0 0
INDUSTREA ACQUISITION CORP *W EXP 08/01/202 45579J112 194 324,095 SH   DFND 1 324,095 0 0
INDUSTREA ACQUISITION CORP CL A 45579J104 99 10,000 SH   DFND 3 10,000 0 0
INDUSTREA ACQUISITION CORP CL A 45579J104 1,549 157,050 SH   DFND 1 157,050 0 0
INDUSTREA ACQUISITION CORP UNIT 07/21/2024 45579J203 522 50,000 SH   DFND 3 50,000 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 622 4,450 SH   DFND 3 4,450 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 26 4,000 SH Call DFND 3 4,000 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 60 3,600 SH Put DFND 3 3,600 0 0
INVESCO QQQ TR UNIT SER 1 46090E103 169 120,000 SH Put DFND 4 120,000 0 0
ISHARES TR RUSSELL 2000 ETF 464287655 249 375,000 SH Put DFND 3 375,000 0 0
JABIL INC COM 466313103 2 30,000 SH Call DFND 4 30,000 0 0
JINKOSOLAR HLDG CO LTD SPONSORED ADR 47759T100 14 50,000 SH Call DFND 2 50,000 0 0
JOHNSON & JOHNSON COM 478160104 517 4,257 SH   DFND 3 4,257 0 0
JOHNSON & JOHNSON COM 478160104 26 6,000 SH Call DFND 3 6,000 0 0
JOHNSON & JOHNSON COM 478160104 149 6,900 SH Put DFND 3 6,900 0 0
JUNIPER NETWORKS INC COM 48203R104 595 21,700 SH Put DFND 1 21,700 0 0
KAPSTONE PAPER & PACKAGING C COM 48562P103 1,311 38,014 SH   DFND 5 38,014 0 0
KAYNE ANDERSON ACQUISITION COM CL A 48661U102 59 6,000 SH   DFND 3 6,000 0 0
KAYNE ANDERSON ACQUISITION COM CL A 48661U102 183 17,941 SH   DFND 1 17,941 0 0
KAYNE ANDERSON ACQUISITION UNIT 06/30/2022 48661U201 10,409 1,000,826 SH   DFND 3 1,000,826 0 0
KAYNE ANDERSON ACQUISITION UNIT 06/30/2022 48661U201 43 4,100 SH   DFND 1 4,100 0 0
KBL MERGER CORP IV *W EXP 01/15/202 48242A112 35 120,256 SH   DFND 1 120,256 0 0
KEMPHARM INC COM 488445107 2,381 366,313 SH   DFND 3 366,313 0 0
KEZAR LIFE SCIENCES INC COM 49372L100 18,207 1,052,422 SH   DFND 3 1,052,422 0 0
KLA-TENCOR CORP COM 482480100 803 110,800 SH Put DFND 5 110,800 0 0
KLX INC COM 482539103 691 9,600 SH Put DFND 1 9,600 0 0
KLX INC COM 482539103 3,415 47,500 SH Call DFND 1 47,500 0 0
L3 TECHNOLOGIES INC COM 502413107 385 2,000 SH   DFND 3 2,000 0 0
LANDCADIA HLDGS INC *W EXP 06/01/202 51476W115 21 25,078 SH   DFND 1 25,078 0 0
LAS VEGAS SANDS CORP COM 517834107 6,262 82,000 SH Put DFND 1 82,000 0 0
LASALLE HOTEL PPTYS COM SH BEN INT 517942108 19,457 568,409 SH   DFND 5 568,409 0 0
LEGACY ACQUISITION CORP COM CL A 524643103 1,731 179,891 SH   DFND 1 179,891 0 0
LEGACY ACQUISITION CORP UNIT 05/31/2024 524643202 3,006 300,000 SH   DFND 3 300,000 0 0
LEISURE ACQUISITION CORP *W EXP 12/05/201 52539T115 18 26,016 SH   DFND 1 26,016 0 0
LEISURE ACQUISITION CORP COM 52539T107 1,196 123,831 SH   DFND 1 123,831 0 0
LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 1,005 100,000 SH   DFND 3 100,000 0 0
LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 298 29,700 SH   DFND 1 29,700 0 0
LEO HOLDINGS CORP *W EXP 02/07/202 G5463L113 297 277,596 SH   DFND 1 277,596 0 0
LEO HOLDINGS CORP COM CL A G5463L105 532 54,947 SH   DFND 1 54,947 0 0
LF CAP ACQUISITION CORP UNIT 06/19/2025 50200K207 9,156 905,803 SH   DFND 1 905,803 0 0
LIBERTY BROADBAND CORP COM SER C 530307305 635 8,383 SH   DFND 3 8,383 0 0
LIBERTY LATIN AMERICA LTD COM CL C G9001E128 229 11,800 SH   DFND 3 11,800 0 0
LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 15,246 338,421 SH   DFND 3 338,421 0 0
LILLY ELI & CO COM 532457108 49 6,000 SH Call DFND 3 6,000 0 0
LILLY ELI & CO COM 532457108 26 6,700 SH Put DFND 3 6,700 0 0
LIONS GATE ENTMNT CORP CL B NON VTG 535919500 1,023 43,598 SH   DFND 4 43,598 0 0
LIONS GATE ENTMNT CORP CL B NON VTG 535919500 1,773 75,587 SH   DFND 3 75,587 0 0
LOWES COS INC COM 548661107 287 3,000 SH   DFND 1 3,000 0 0
LOWES COS INC COM 548661107 143 1,500 SH   DFND 3 1,500 0 0
LOWES COS INC COM 548661107 25 2,800 SH Call DFND 3 2,800 0 0
LOWES COS INC COM 548661107 1,911 20,000 SH Put DFND 1 20,000 0 0
LOWES COS INC COM 548661107 57 8,200 SH Put DFND 3 8,200 0 0
M I ACQUISITIONS INC COM 55304A104 1,128 107,387 SH   DFND 1 107,387 0 0
MADISON SQUARE GARDEN CO NEW CL A 55825T103 1,371 4,419 SH   DFND 4 4,419 0 0
MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 122 5,669 SH   DFND 5 5,669 0 0
MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 858 40,000 SH Call DFND 1 40,000 0 0
MASCO CORP COM 574599106 150 4,000 SH   DFND 1 4,000 0 0
MASCO CORP COM 574599106 374 10,000 SH Put DFND 1 10,000 0 0
MATLIN & PARTNERS ACQUISITIO CL A 57682V106 65 6,595 SH   DFND 1 6,595 0 0
MATLIN & PARTNERS ACQUISITIO CL A 57682V106 52 5,250 SH   DFND 3 5,250 0 0
MATLIN & PARTNERS ACQUISITIO UNIT 05/28/2021A 57682V205 6,300 600,000 SH   DFND 3 600,000 0 0
MATLIN & PARTNERS ACQUISITIO UNIT 05/28/2021A 57682V205 17 1,600 SH   DFND 1 1,600 0 0
MEDTRONIC PLC SHS G5960L103 48 6,400 SH Call DFND 3 6,400 0 0
MEDTRONIC PLC SHS G5960L103 33 7,100 SH Put DFND 3 7,100 0 0
MERCK & CO INC COM 58933Y105 55 8,600 SH Call DFND 3 8,600 0 0
MERCK & CO INC COM 58933Y105 28 10,200 SH Put DFND 3 10,200 0 0
METLIFE INC COM 59156R108 26 600 SH   DFND 3 600 0 0
METLIFE INC COM 59156R108 24 13,000 SH Call DFND 3 13,000 0 0
METLIFE INC COM 59156R108 60 9,700 SH Put DFND 3 9,700 0 0
MICHAELS COS INC COM 59408Q106 748 39,000 SH Put DFND 1 39,000 0 0
MICHAELS COS INC COM 59408Q106 383 20,000 SH   DFND 1 20,000 0 0
MICRON TECHNOLOGY INC COM 595112103 656 12,500 SH   DFND 1 12,500 0 0
MICROSOFT CORP COM 594918104 6,938 70,359 SH   DFND 4 70,359 0 0
MICROSOFT CORP COM 594918104 30 3,400 SH Call DFND 3 3,400 0 0
MICROSOFT CORP COM 594918104 39 5,300 SH Put DFND 3 5,300 0 0
MICROSOFT CORP COM 594918104 123 1,251 SH   DFND 3 1,251 0 0
MIDSTATES PETE CO INC COM PAR 59804T407 272 20,000 SH   DFND 1 20,000 0 0
MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 6,509 1,152,000 SH   DFND 3 1,152,000 0 0
MODERN MEDIA ACQUISITION UNIT 99/99/9999 60765P202 1,937 178,699 SH   DFND 3 178,699 0 0
MODERN MEDIA ACQUISITION UNIT 99/99/9999 60765P202 499 46,074 SH   DFND 1 46,074 0 0
MONDELEZ INTL INC CL A 609207105 38 13,100 SH Call DFND 3 13,100 0 0
MONDELEZ INTL INC CL A 609207105 17 9,800 SH Put DFND 3 9,800 0 0
MOSAIC ACQUISITION CORP *W EXP 10/23/202 G62848125 41 32,950 SH   DFND 1 32,950 0 0
MOSAIC ACQUISITION CORP SHS CL A G62848109 1,033 106,713 SH   DFND 1 106,713 0 0
MOSAIC ACQUISITION CORP UNIT 99/99/9999 G62848117 164 16,400 SH   DFND 1 16,400 0 0
MOSAIC ACQUISITION CORP UNIT 99/99/9999 G62848117 1,503 150,000 SH   DFND 3 150,000 0 0
MTGE INVT CORP COM 55378A105 1,224 62,473 SH   DFND 3 62,473 0 0
MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 16 25,039 SH   DFND 1 25,039 0 0
MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 160 250,000 SH   DFND 3 250,000 0 0
MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 2,410 250,000 SH   DFND 3 250,000 0 0
MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 1,230 127,633 SH   DFND 1 127,633 0 0
MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 1 100 SH   DFND 1 100 0 0
MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 1,022 100,000 SH   DFND 3 100,000 0 0
MYOKARDIA INC COM 62857M105 993 20,000 SH   DFND 3 20,000 0 0
NANOVIRICIDES INC COM NEW 630087203 0 373,750 SH   DFND 3 373,750 0 0
NATIONAL ENERGY SERVICES REU *W EXP 05/05/202 G6375R115 389 324,477 SH   DFND 1 324,477 0 0
NEBULA ACQUISITION CORP COM CLASS A 629076100 189 19,548 SH   DFND 1 19,548 0 0
NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 3,495 347,066 SH   DFND 1 347,066 0 0
NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 1,007 100,000 SH   DFND 3 100,000 0 0
NEW FRONTIER CORP UNIT 99/99/9999 G6485P116 2,474 246,180 SH   DFND 1 246,180 0 0
NEWELL BRANDS INC COM 651229106 155 6,000 SH   DFND 3 6,000 0 0
NEWELL BRANDS INC COM 651229106 25 9,600 SH Call DFND 3 9,600 0 0
NEWELL BRANDS INC COM 651229106 82 29,900 SH Put DFND 3 29,900 0 0
NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 166 290,017 SH   DFND 1 290,017 0 0
NEXTERA ENERGY INC COM 65339F101 835 5,000 SH   DFND 3 5,000 0 0
NII HLDGS INC COM PAR 62913F508 198 50,765 SH   DFND 1 50,765 0 0
NORTHROP GRUMMAN CORP COM 666807102 615 2,000 SH   DFND 3 2,000 0 0
NVIDIA CORP COM 67066G104 1,379 5,820 SH   DFND 3 5,820 0 0
NXP SEMICONDUCTORS N V COM N6596X109 900 250,000 SH Put DFND 5 250,000 0 0
NXP SEMICONDUCTORS N V COM N6596X109 15,298 140,000 SH   DFND 1 140,000 0 0
NXP SEMICONDUCTORS N V COM N6596X109 2,431 22,245 SH   DFND 3 22,245 0 0
NXP SEMICONDUCTORS N V COM N6596X109 21,441 196,221 SH   DFND 5 196,221 0 0
NXP SEMICONDUCTORS N V COM N6596X109 58,405 534,500 SH Call DFND 1 534,500 0 0
NXP SEMICONDUCTORS N V COM N6596X109 77,473 709,000 SH Put DFND 1 709,000 0 0
OASIS PETE INC NEW COM 674215108 649 50,000 SH Put DFND 1 50,000 0 0
OCCIDENTAL PETE CORP DEL COM 674599105 24 9,200 SH Put DFND 3 9,200 0 0
OCCIDENTAL PETE CORP DEL COM 674599105 169 8,600 SH Call DFND 3 8,600 0 0
OCI PARTNERS LP COM UNIT REP LP 67091N108 7,346 638,744 SH   DFND 3 638,744 0 0
OKTA INC CL A 679295105 3,483 69,139 SH   DFND 4 69,139 0 0
OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 187 526,376 SH   DFND 1 526,376 0 0
ORACLE CORP COM 68389X105 68 13,700 SH Put DFND 3 13,700 0 0
ORACLE CORP COM 68389X105 154 3,500 SH   DFND 3 3,500 0 0
ORACLE CORP COM 68389X105 23 10,900 SH Call DFND 3 10,900 0 0
ORBOTECH LTD ORD M75253100 25,192 407,642 SH   DFND 5 407,642 0 0
OSPREY ENERGY ACQUISITION CO *W EXP 07/21/202 688397116 269 168,355 SH   DFND 1 168,355 0 0
OSPREY ENERGY ACQUISITION CO CL A COM 688397108 5,381 530,132 SH   DFND 1 530,132 0 0
OSPREY ENERGY ACQUISITION CO UNIT 07/21/2022 688397207 1,099 100,000 SH   DFND 3 100,000 0 0
OVID THERAPEUTICS INC COM 690469101 5,169 662,643 SH   DFND 3 662,643 0 0
OWENS ILL INC COM NEW 690768403 1,204 71,600 SH Call DFND 1 71,600 0 0
PAGSEGURO DIGITAL LTD COM CL A G68707101 1,110 40,000 SH   DFND 1 40,000 0 0
PAGSEGURO DIGITAL LTD COM CL A G68707101 1,138 41,000 SH Call DFND 1 41,000 0 0
PAYPAL HLDGS INC COM 70450Y103 2 25 SH   DFND 3 25 0 0
PAYPAL HLDGS INC COM 70450Y103 17,054 204,800 SH Call DFND 1 204,800 0 0
PAYPAL HLDGS INC COM 70450Y103 6,737 80,900 SH Put DFND 1 80,900 0 0
PENN NATL GAMING INC COM 707569109 3,614 107,588 SH   DFND 5 107,588 0 0
PENSARE ACQUISITION CORP COM 70957E105 890 90,011 SH   DFND 1 90,011 0 0
PENSARE ACQUISITION CORP COM 70957E105 50 5,100 SH   DFND 3 5,100 0 0
PENSARE ACQUISITION CORP RIGHT 99/99/9999 70957E121 24 48,376 SH   DFND 1 48,376 0 0
PEPSICO INC COM 713448108 18 3,100 SH Put DFND 3 3,100 0 0
PEPSICO INC COM 713448108 2,563 23,544 SH   DFND 4 23,544 0 0
PEPSICO INC COM 713448108 42 4,500 SH Call DFND 3 4,500 0 0
PERSPECTA INC COM 715347100 231 11,250 SH   DFND 1 11,250 0 0
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 451 45,000 SH Call DFND 1 45,000 0 0
PG&E CORP COM 69331C108 40 6,800 SH Call DFND 3 6,800 0 0
PG&E CORP COM 69331C108 29 5,300 SH Put DFND 3 5,300 0 0
PHH CORP COM NEW 693320202 815 75,000 SH   DFND 5 75,000 0 0
PHILIP MORRIS INTL INC COM 718172109 108 7,100 SH Put DFND 3 7,100 0 0
PHILIP MORRIS INTL INC COM 718172109 145 1,800 SH   DFND 3 1,800 0 0
PHILIP MORRIS INTL INC COM 718172109 36 9,400 SH Call DFND 3 9,400 0 0
PHILLIPS 66 COM 718546104 106 5,400 SH Call DFND 3 5,400 0 0
PHILLIPS 66 COM 718546104 20 4,700 SH Put DFND 3 4,700 0 0
PINNACLE FOODS INC DEL COM 72348P104 6,604 101,500 SH   DFND 1 101,500 0 0
PINNACLE FOODS INC DEL COM 72348P104 6,174 94,900 SH   DFND 5 94,900 0 0
PINNACLE FOODS INC DEL COM 72348P104 4,834 74,300 SH Call DFND 1 74,300 0 0
PINNACLE FOODS INC DEL COM 72348P104 5,855 90,000 SH Put DFND 1 90,000 0 0
PLATINUM EAGLE ACQUISITIN CO *W EXP 01/17/202 G7126L118 445 317,661 SH   DFND 1 317,661 0 0
PLATINUM EAGLE ACQUISITIN CO UNIT 01/09/2023 G7126L126 3,831 376,361 SH   DFND 1 376,361 0 0
PROCTER AND GAMBLE CO COM 742718109 73 941 SH   DFND 3 941 0 0
PROCTER AND GAMBLE CO COM 742718109 107 10,200 SH Put DFND 3 10,200 0 0
PROCTER AND GAMBLE CO COM 742718109 38 11,500 SH Call DFND 3 11,500 0 0
PROSHARES TR ULTRASHRT S&P500 74347B383 1,051 27,488 SH   DFND 3 27,488 0 0
PURE ACQUISITION CORP *W EXP 04/17/202 74621Q114 18 13,908 SH   DFND 1 13,908 0 0
PURE ACQUISITION CORP CL A 74621Q106 1,820 188,767 SH   DFND 1 188,767 0 0
PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 2,563 250,000 SH   DFND 3 250,000 0 0
QUALCOMM INC COM 747525103 61 55,000 SH Put DFND 5 55,000 0 0
QUALCOMM INC COM 747525103 1,543 27,500 SH   DFND 1 27,500 0 0
QUALCOMM INC COM 747525103 4,893 87,200 SH Put DFND 1 87,200 0 0
QUALITY CARE PPTYS INC COM 747545101 779 36,212 SH   DFND 5 36,212 0 0
RAMBUS INC DEL COM 750917106 9 200,000 SH Call DFND 4 200,000 0 0
RAYTHEON CO COM NEW 755111507 676 3,500 SH   DFND 3 3,500 0 0
RED HAT INC COM 756577102 6,205 46,180 SH   DFND 4 46,180 0 0
REGALWOOD GLOBAL ENERGY LTD *W EXP 12/05/202 G74760128 27 21,488 SH   DFND 1 21,488 0 0
RELX NV SPONSORED ADR 75955B102 4,345 203,708 SH   DFND 3 203,708 0 0
RIMINI STR INC DEL COM 76674Q107 5,023 766,778 SH   DFND 1 766,778 0 0
RITE AID CORP COM 767754104 87 50,000 SH   DFND 3 50,000 0 0
RITE AID CORP COM 767754104 808 466,900 SH   DFND 5 466,900 0 0
RITE AID CORP COM 767754104 19 10,800 SH Call DFND 1 10,800 0 0
RITE AID CORP COM 767754104 4 2,500 SH   DFND 1 2,500 0 0
ROCKWELL COLLINS INC COM 774341101 1,077 8,000 SH   DFND 1 8,000 0 0
ROCKWELL COLLINS INC COM 774341101 48,212 357,974 SH   DFND 5 357,974 0 0
ROCKWELL COLLINS INC COM 774341101 2,694 20,000 SH Call DFND 1 20,000 0 0
ROCKWELL COLLINS INC COM 774341101 2,694 20,000 SH Put DFND 1 20,000 0 0
ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 8,789 126,952 SH   DFND 3 126,952 0 0
RSP PERMIAN INC COM 74978Q105 8,965 203,667 SH   DFND 5 203,667 0 0
SALESFORCE COM INC COM 79466L302 11,664 85,511 SH   DFND 4 85,511 0 0
SALESFORCE COM INC COM 79466L302 25,548 187,300 SH Call DFND 1 187,300 0 0
SANDRIDGE ENERGY INC COM NEW 80007P869 231 13,040 SH   DFND 3 13,040 0 0
SANOFI RIGHT 12/31/2020 80105N113 19 37,900 SH   DFND 1 37,900 0 0
SCHLUMBERGER LTD COM 806857108 34 500 SH   DFND 3 500 0 0
SCHLUMBERGER LTD COM 806857108 4,726 70,500 SH Call DFND 1 70,500 0 0
SCHLUMBERGER LTD COM 806857108 34 6,000 SH Call DFND 3 6,000 0 0
SCHLUMBERGER LTD COM 806857108 56 8,400 SH Put DFND 3 8,400 0 0
SCHWAB CHARLES CORP NEW COM 808513105 843 16,500 SH   DFND 3 16,500 0 0
SENTINEL ENERGY SVCS INC UNIT 11/02/2022 G8062D128 0 1 SH   DFND 1 1 0 0
SENTINEL ENERGY SVCS INC UNIT 11/02/2022 G8062D128 4,036 400,000 SH   DFND 3 400,000 0 0
SERVICENOW INC COM 81762P102 5,217 30,248 SH   DFND 4 30,248 0 0
SHIRE PLC SPONSORED ADR 82481R106 381 2,260 SH   DFND 3 2,260 0 0
SHIRE PLC SPONSORED ADR 82481R106 63,631 376,962 SH   DFND 5 376,962 0 0
SHIRE PLC SPONSORED ADR 82481R106 338 2,000 SH Call DFND 1 2,000 0 0
SHIRE PLC SPONSORED ADR 82481R106 739 64,500 SH Call DFND 5 64,500 0 0
SIMPLY GOOD FOODS CO *W EXP 07/07/202 82900L110 3,574 861,155 SH   DFND 1 861,155 0 0
SIRIUS XM HLDGS INC COM 82968B103 1,276 1,000,000 SH Put DFND 3 1,000,000 0 0
SIRIUS XM HLDGS INC COM 82968B103 288 42,517 SH   DFND 3 42,517 0 0
SMUCKER J M CO COM NEW 832696405 2,311 21,500 SH Call DFND 1 21,500 0 0
SNAP INC CL A 83304A106 286 94,200 SH Put DFND 2 94,200 0 0
SNAP INC CL A 83304A106 1,233 94,200 SH   DFND 2 94,200 0 0
SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 09/14/202 G8250R129 733 407,176 SH   DFND 1 407,176 0 0
SOCIAL CAP HEDOSOPHIA HLDGS UNIT 99/99/9999 G8250R111 4,760 446,160 SH   DFND 1 446,160 0 0
SPARK THERAPEUTICS INC COM 84652J103 497 6,000 SH Put DFND 1 6,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 11,725 43,222 SH   DFND 4 43,222 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 2 100 SH Put DFND 3 100 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 6,104 22,500 SH Put DFND 1 22,500 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 78 381,100 SH Call DFND 5 381,100 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 1 1,300 SH Call DFND 3 1,300 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 543 2,000 SH   DFND 1 2,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 7,053 26,000 SH Call DFND 1 26,000 0 0
SPDR SERIES TRUST S&P BIOTECH 78464A870 2,675 28,100 SH Call DFND 1 28,100 0 0
SPDR SERIES TRUST S&P BIOTECH 78464A870 5,531 58,100 SH Put DFND 1 58,100 0 0
SPLUNK INC COM 848637104 4,245 42,834 SH   DFND 4 42,834 0 0
SPOTIFY TECHNOLOGY S A SHS L8681T102 6,979 41,482 SH   DFND 4 41,482 0 0
SPRINT CORP COM SER 1 85207U105 509 93,500 SH   DFND 1 93,500 0 0
SPRINT CORP COM SER 1 85207U105 3,936 723,528 SH   DFND 5 723,528 0 0
SPRINT CORP COM SER 1 85207U105 503 92,500 SH Put DFND 1 92,500 0 0
SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 10,054 802,390 SH   DFND 3 802,390 0 0
STARBUCKS CORP COM 855244109 83 1,700 SH   DFND 3 1,700 0 0
STARBUCKS CORP COM 855244109 13 11,000 SH Call DFND 3 11,000 0 0
STARBUCKS CORP COM 855244109 52 7,400 SH Put DFND 3 7,400 0 0
STEMLINE THERAPEUTICS INC COM 85858C107 364 22,700 SH   DFND 3 22,700 0 0
STERLING BANCORP DEL COM 85917A100 1,221 51,960 SH   DFND 3 51,960 0 0
STEWART INFORMATION SVCS COR COM 860372101 13,142 305,126 SH   DFND 5 305,126 0 0
STMICROELECTRONICS N V NY REGISTRY 861012102 553 25,000 SH   DFND 1 25,000 0 0
SUNPOWER CORP COM 867652406 2 19,100 SH Call DFND 2 19,100 0 0
SYNAPTICS INC COM 87157D109 7,674 152,344 SH   DFND 5 152,344 0 0
SYNAPTICS INC COM 87157D109 225 100,000 SH Put DFND 5 100,000 0 0
TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 12,794 108,093 SH   DFND 4 108,093 0 0
TAL ED GROUP SPONSORED ADS 874080104 2,208 60,000 SH Call DFND 1 60,000 0 0
TARGET CORP COM 87612E106 46 6,000 SH Call DFND 3 6,000 0 0
TARGET CORP COM 87612E106 22 5,200 SH Put DFND 3 5,200 0 0
TENNECO INC COM 880349105 1,152 26,200 SH Put DFND 1 26,200 0 0
TENNECO INC COM 880349105 286 6,500 SH   DFND 1 6,500 0 0
TIBERIUS ACQUISITION CORP UNIT 02/28/2021 88633A206 445 44,200 SH   DFND 1 44,200 0 0
TOTAL S A SPONSORED ADR 89151E109 3,028 50,000 SH Call DFND 1 50,000 0 0
TPG PACE ENERGY HLDGS CORP CL A 872656103 435 36,930 SH   DFND 1 36,930 0 0
TPG PACE HLDGS CORP CL A G89827128 130 13,051 SH   DFND 1 13,051 0 0
TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 261 814,466 SH   DFND 1 814,466 0 0
TRIDENT ACQUISITIONS CORP COM 89615T106 4,873 499,769 SH   DFND 1 499,769 0 0
TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 1,008 100,000 SH   DFND 3 100,000 0 0
TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 1,073 106,469 SH   DFND 1 106,469 0 0
TRINITY MERGER CORP *W EXP 05/11/202 89653L114 163 407,239 SH   DFND 1 407,239 0 0
TRINITY MERGER CORP UNIT 05/11/2025 89653L205 6,338 626,475 SH   DFND 1 626,475 0 0
TRINITY MERGER CORP UNIT 05/11/2025 89653L205 1,006 100,000 SH   DFND 3 100,000 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 11,381 231,000 SH Call DFND 1 231,000 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 928 460,200 SH Call DFND 5 460,200 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 3,252 65,441 SH   DFND 4 65,441 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 1,093 22,000 SH   DFND 1 22,000 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 8,918 181,000 SH Put DFND 1 181,000 0 0
TWENTY FIRST CENTY FOX INC CL B 90130A200 1,232 25,000 SH Call DFND 1 25,000 0 0
TWENTY FIRST CENTY FOX INC CL B 90130A200 3,203 65,000 SH Put DFND 1 65,000 0 0
U S G CORP COM NEW 903293405 431 10,000 SH Call DFND 1 10,000 0 0
U S G CORP COM NEW 903293405 5 104,100 SH Put DFND 5 104,100 0 0
ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 1,537 20,000 SH   DFND 3 20,000 0 0
UNION ACQUISITION CORP *W EXP 07/01/202 G9366W127 12 34,619 SH   DFND 1 34,619 0 0
UNION ACQUISITION CORP RIGHT 12/02/2019 G9366W135 18 57,474 SH   DFND 1 57,474 0 0
UNION ACQUISITION CORP SHS G9366W101 238 24,522 SH   DFND 1 24,522 0 0
UNION PAC CORP COM 907818108 15 2,100 SH Call DFND 3 2,100 0 0
UNION PAC CORP COM 907818108 42 3,100 SH Put DFND 3 3,100 0 0
UNION PAC CORP COM 907818108 156 1,100 SH   DFND 3 1,100 0 0
UNISYS CORP COM NEW 909214306 194 15,000 SH   DFND 1 15,000 0 0
UNISYS CORP COM NEW 909214306 97 7,500 SH Put DFND 1 7,500 0 0
UNITED PARCEL SERVICE INC CL B 911312106 16 1,100 SH Put DFND 3 1,100 0 0
UNITED PARCEL SERVICE INC CL B 911312106 595 5,600 SH   DFND 1 5,600 0 0
UNITED PARCEL SERVICE INC CL B 911312106 10 1,100 SH Call DFND 3 1,100 0 0
UNITED TECHNOLOGIES CORP COM 913017109 295 257,100 SH Put DFND 5 257,100 0 0
UNITED TECHNOLOGIES CORP COM 913017109 26 3,400 SH Put DFND 3 3,400 0 0
UNITED TECHNOLOGIES CORP COM 913017109 33 3,500 SH Call DFND 3 3,500 0 0
UNITED TECHNOLOGIES CORP COM 913017109 25 200 SH   DFND 3 200 0 0
UNITED TECHNOLOGIES CORP COM 913017109 3,128 25,015 SH   DFND 4 25,015 0 0
UNUM THERAPEUTICS INC COM 903214104 8,341 581,255 SH   DFND 3 581,255 0 0
US BANCORP DEL COM NEW 902973304 28 13,800 SH Call DFND 3 13,800 0 0
US BANCORP DEL COM NEW 902973304 13 3,000 SH Put DFND 3 3,000 0 0
VALERO ENERGY CORP NEW COM 91913Y100 3,325 30,000 SH Call DFND 1 30,000 0 0
VALIDUS HOLDINGS LTD COM SHS G9319H102 487 7,207 SH   DFND 5 7,207 0 0
VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 3,717 36,200 SH   DFND 1 36,200 0 0
VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 10,267 100,000 SH Put DFND 1 100,000 0 0
VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 352 250,000 SH Put DFND 5 250,000 0 0
VANTAGE ENERGY ACQUISITION *W EXP 04/12/202 92211L113 27 20,813 SH   DFND 1 20,813 0 0
VANTAGE ENERGY ACQUISITION COM CL A 92211L105 638 64,626 SH   DFND 1 64,626 0 0
VANTAGE ENERGY ACQUISITION COM CL A 92211L105 71 7,250 SH   DFND 3 7,250 0 0
VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 118 11,308 SH   DFND 1 11,308 0 0
VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 10,400 1,000,000 SH   DFND 3 1,000,000 0 0
VECTOIQ ACQUISITION CORP COM 92243N103 5,275 1,711,575 SH   DFND 1 1,711,575 0 0
VECTOIQ ACQUISITION CORP UNIT 05/11/2023 92243N202 4,045 401,767 SH   DFND 1 401,767 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 2,113 42,000 SH   DFND 1 42,000 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 4,986 99,100 SH Call DFND 1 99,100 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 58 12,700 SH Call DFND 3 12,700 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 23 9,200 SH Put DFND 3 9,200 0 0
VISTRA ENERGY CORP *W EXP 02/02/202 92840M128 29 24,120 SH   DFND 1 24,120 0 0
VMWARE INC CL A COM 928563402 6,540 44,500 SH   DFND 1 44,500 0 0
VMWARE INC CL A COM 928563402 9,701 66,000 SH Put DFND 1 66,000 0 0
VMWARE INC CL A COM 928563402 12,566 85,500 SH Call DFND 1 85,500 0 0
VONAGE HLDGS CORP COM 92886T201 1,317 102,150 SH   DFND 3 102,150 0 0
WALMART INC COM 931142103 9 100 SH   DFND 3 100 0 0
WALMART INC COM 931142103 48 9,800 SH Call DFND 3 9,800 0 0
WALMART INC COM 931142103 95 7,000 SH Put DFND 3 7,000 0 0
WILLSCOT CORP *W EXP 09/10/202 971375118 1,295 573,156 SH   DFND 1 573,156 0 0
WPX ENERGY INC COM 98212B103 180 10,000 SH Call DFND 1 10,000 0 0
WPX ENERGY INC COM 98212B103 25 1,400 SH   DFND 1 1,400 0 0
XEROX CORP COM NEW 984121608 2,167 90,273 SH   DFND 5 90,273 0 0
XEROX CORP COM NEW 984121608 231 200,000 SH Call DFND 5 200,000 0 0
XILINX INC COM 983919101 1,747 26,773 SH   DFND 4 26,773 0 0
XL GROUP LTD COM G98294104 100,969 1,804,621 SH   DFND 5 1,804,621 0 0
XL GROUP LTD COM G98294104 241 813,500 SH Put DFND 5 813,500 0 0
YANDEX N V SHS CLASS A N97284108 700 19,500 SH   DFND 1 19,500 0 0
YANDEX N V SHS CLASS A N97284108 725 20,200 SH Call DFND 1 20,200 0 0
YANDEX N V SHS CLASS A N97284108 725 20,200 SH Put DFND 1 20,200 0 0
YOGAWORKS INC COM 986005106 1,683 935,000 SH   DFND 1 935,000 0 0