SEC FORM 13F-HR

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: 09-30-2018
Check here if Amendment    Amendment Number:
This Amendment (Check only one.):    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 11-07-2018
[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: 569
Form 13F Information Table Value Total: 1,094,339
(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 123 43,700 SH   DFND 1 43,700 0 0
ABBOTT LABS COM 002824100 53 5,900 SH Call DFND 3 5,900 0 0
ABBOTT LABS COM 002824100 17 10,600 SH Put DFND 3 10,600 0 0
ACCELERATE DIAGNOSTICS INC COM 00430H102 7 35,300 SH Put DFND 1 35,300 0 0
ACTIVISION BLIZZARD INC COM 00507V109 12,535 150,678 SH   DFND 4 150,678 0 0
ACTIVISION BLIZZARD INC COM 00507V109 20 40,000 SH Put DFND 4 40,000 0 0
ACXIOM HOLDINGS INC COM 005125109 4,447 90,000 SH   DFND 1 90,000 0 0
ADIENT PLC ORD SHS G0084W101 42 10,000 SH Put DFND 1 10,000 0 0
ADOBE SYS INC COM 00724F101 74 23,200 SH Put DFND 4 23,200 0 0
ADOBE SYS INC COM 00724F101 10,071 37,306 SH   DFND 4 37,306 0 0
ADVERUM BIOTECHNOLOGIES INC COM 00773U108 908 150,000 SH   DFND 3 150,000 0 0
AETNA INC NEW COM 00817Y108 58,541 288,592 SH   DFND 5 288,592 0 0
ALDEYRA THERAPEUTICS INC COM 01438T106 600 43,500 SH   DFND 1 43,500 0 0
ALDEYRA THERAPEUTICS INC COM 01438T106 8 14,600 SH Call DFND 1 14,600 0 0
ALLEGRO MERGER CORP *W EXP 01/06/202 01749N111 231 660,635 SH   DFND 1 660,635 0 0
ALLEGRO MERGER CORP COM 01749N103 746 78,275 SH   DFND 1 78,275 0 0
ALNYLAM PHARMACEUTICALS INC COM 02043Q107 3 24,600 SH Call DFND 1 24,600 0 0
ALPHABET INC CAP STK CL A 02079K305 211 175 SH   DFND 3 175 0 0
ALPHABET INC CAP STK CL A 02079K305 4 100 SH Put DFND 3 100 0 0
ALPHABET INC CAP STK CL A 02079K305 65 500 SH Call DFND 3 500 0 0
ALPHABET INC CAP STK CL A 02079K305 5,470 4,532 SH   DFND 4 4,532 0 0
ALPHABET INC CAP STK CL C 02079K107 29 400 SH Put DFND 3 400 0 0
ALPHABET INC CAP STK CL C 02079K107 908 761 SH   DFND 3 761 0 0
ALPHABET INC CAP STK CL C 02079K107 15 200 SH Call DFND 3 200 0 0
ALTA MESA RES INC *W EXP 03/28/202 02133L117 822 1,644,255 SH   DFND 1 1,644,255 0 0
ALTABA INC COM 021346101 4,170 61,214 SH   DFND 3 61,214 0 0
AMARIN CORP PLC SPONS ADR NEW 023111206 9 68,400 SH Put DFND 1 68,400 0 0
AMAZON COM INC COM 023135106 15,563 7,770 SH   DFND 3 7,770 0 0
AMAZON COM INC COM 023135106 338 400 SH Call DFND 3 400 0 0
AMBARELLA INC SHS G037AX101 141 3,638 SH   DFND 1 3,638 0 0
AMBARELLA INC SHS G037AX101 2,979 77,026 SH   DFND 4 77,026 0 0
AMBARELLA INC SHS G037AX101 83 75,000 SH Call DFND 4 75,000 0 0
AMICUS THERAPEUTICS INC COM 03152W109 69 5,700 SH   DFND 1 5,700 0 0
AMICUS THERAPEUTICS INC COM 03152W109 8 15,800 SH Put DFND 1 15,800 0 0
ANADARKO PETE CORP COM 032511107 336 4,985 SH   DFND 1 4,985 0 0
ANALOG DEVICES INC COM 032654105 49 50,000 SH Put DFND 4 50,000 0 0
ANTERO RES CORP COM 03674X106 1,195 67,500 SH   DFND 1 67,500 0 0
ANTERO RES CORP COM 03674X106 41 65,000 SH Call DFND 1 65,000 0 0
ANTERO RES CORP COM 03674X106 18 7,500 SH Put DFND 1 7,500 0 0
APPLE INC COM 037833100 2,535 11,231 SH   DFND 3 11,231 0 0
APPLE INC COM 037833100 9 30,000 SH Put DFND 4 30,000 0 0
APPLIED MATLS INC COM 038222105 312 8,076 SH   DFND 1 8,076 0 0
APTINYX INC COM 03836N103 715 24,691 SH   DFND 3 24,691 0 0
APTIV PLC SHS G6095L109 2,407 28,689 SH   DFND 4 28,689 0 0
APTIV PLC SHS G6095L109 1 200 SH Put DFND 1 200 0 0
ARQULE INC COM 04269E107 45 33,100 SH Call DFND 1 33,100 0 0
AT&T INC COM 00206R102 2,979 88,700 SH   DFND 1 88,700 0 0
ATHENAHEALTH INC COM 04685W103 4,347 32,540 SH   DFND 5 32,540 0 0
AUDENTES THERAPEUTICS INC COM 05070R104 3,959 100,000 SH   DFND 3 100,000 0 0
AV HOMES INC COM 00234P102 1,957 97,836 SH   DFND 3 97,836 0 0
AVISTA CORP COM 05379B107 5,383 106,460 SH   DFND 5 106,460 0 0
BEMIS INC COM 081437105 19,335 397,839 SH   DFND 5 397,839 0 0
BIG LOTS INC COM 089302103 1,217 243,200 SH Put DFND 1 243,200 0 0
BIG LOTS INC COM 089302103 1,730 41,403 SH   DFND 1 41,403 0 0
BIG ROCK PARTNERS ACQUISI CO *W EXP 12/01/202 089482111 9 20,043 SH   DFND 1 20,043 0 0
BIOHAVEN PHARMACTL HLDG CO L COM G11196105 56 15,000 SH Call DFND 1 15,000 0 0
BISON CAP ACQUISITION CORP *W EXP 06/20/202 G1142P112 88 168,789 SH   DFND 1 168,789 0 0
BISON CAP ACQUISITION CORP ORD SHS G1142P104 2,081 203,842 SH   DFND 1 203,842 0 0
BLACK RIDGE ACQUISITION CORP *W EXP 07/10/202 09216T115 89 198,522 SH   DFND 1 198,522 0 0
BLACK RIDGE ACQUISITION CORP UNIT 10/05/2022 09216T206 558 50,000 SH   DFND 3 50,000 0 0
BLUEPRINT MEDICINES CORP COM 09627Y109 1,249 16,000 SH   DFND 3 16,000 0 0
BOEING CO COM 097023105 6,255 16,819 SH   DFND 4 16,819 0 0
BROADCOM INC COM 11135F101 13 13,300 SH Put DFND 5 13,300 0 0
BROOKFIELD PROPERTY REIT INC CL A 11282X103 3,257 155,600 SH   DFND 1 155,600 0 0
BROOKFIELD PROPERTY REIT INC CL A 11282X103 837 40,000 SH   DFND 2 40,000 0 0
BROOKFIELD PROPERTY REIT INC CL A 11282X103 5,714 272,986 SH   DFND 3 272,986 0 0
CA INC COM 12673P105 45,241 1,024,715 SH   DFND 5 1,024,715 0 0
CA INC COM 12673P105 1 42,700 SH Call DFND 1 42,700 0 0
CA INC COM 12673P105 3 28,600 SH Put DFND 1 28,600 0 0
CADENCE DESIGN SYSTEM INC COM 127387108 8,629 190,412 SH   DFND 4 190,412 0 0
CADENCE DESIGN SYSTEM INC COM 127387108 21 84,200 SH Put DFND 4 84,200 0 0
CAESARS ENTMT CORP COM 127686103 1 104 SH   DFND 1 104 0 0
CAESARS ENTMT CORP COM 127686103 1,166 113,750 SH   DFND 3 113,750 0 0
CAMPBELL SOUP CO COM 134429109 196 5,350 SH   DFND 1 5,350 0 0
CAMPBELL SOUP CO COM 134429109 155 40,000 SH Put DFND 1 40,000 0 0
CANOPY GROWTH CORP COM 138035100 1,537 31,600 SH   DFND 1 31,600 0 0
CANOPY GROWTH CORP COM 138035100 4 6,500 SH Put DFND 1 6,500 0 0
CAPITAL ONE FINL CORP COM 14040H105 475 5,000 SH   DFND 3 5,000 0 0
CAPITOL INVT CORP IV *W EXP 01/01/202 G18920127 47 31,239 SH   DFND 1 31,239 0 0
CAPITOL INVT CORP IV CL A ORD G18920101 27 2,753 SH   DFND 1 2,753 0 0
CAPITOL INVT CORP IV CL A ORD G18920101 991 100,000 SH   DFND 3 100,000 0 0
CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 0 2 SH   DFND 1 2 0 0
CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 519 50,000 SH   DFND 3 50,000 0 0
CARNIVAL PLC ADR 14365C103 2,584 40,962 SH   DFND 3 40,962 0 0
CBS CORP NEW CL B 124857202 21 121,100 SH Put DFND 5 121,100 0 0
CDN IMPERIAL BK COMM TORONTO COM 136069101 25 100,000 SH Call DFND 2 100,000 0 0
CELGENE CORP COM 151020104 796 8,900 SH   DFND 3 8,900 0 0
CHAPARRAL ENERGY INC COM CL A 15942R208 181 10,300 SH   DFND 1 10,300 0 0
CHENIERE ENERGY INC COM NEW 16411R208 4 31,000 SH Put DFND 1 31,000 0 0
CHESAPEAKE ENERGY CORP COM 165167107 333 740,000 SH Call DFND 1 740,000 0 0
CHIPOTLE MEXICAN GRILL INC COM 169656105 183 1,600 SH Call DFND 3 1,600 0 0
CHIPOTLE MEXICAN GRILL INC COM 169656105 75 3,500 SH Put DFND 3 3,500 0 0
CHURCHILL CAP CORP UNIT 99/99/9999 17142R202 237 23,400 SH   DFND 1 23,400 0 0
CIGNA CORPORATION COM 125509109 335 10,000 SH Call DFND 1 10,000 0 0
CISCO SYS INC COM 17275R102 18 7,000 SH Put DFND 3 7,000 0 0
CISCO SYS INC COM 17275R102 63 12,800 SH Call DFND 3 12,800 0 0
CLOVIS ONCOLOGY INC COM 189464100 132 4,500 SH   DFND 1 4,500 0 0
CLOVIS ONCOLOGY INC COM 189464100 19 37,400 SH Call DFND 1 37,400 0 0
CM SEVEN STAR ACQUISITION CO SHS G2345N102 687 68,123 SH   DFND 1 68,123 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 2,750 250,000 SH   DFND 3 250,000 0 0
CME GROUP INC COM CL A 12572Q105 53 85,600 SH Put DFND 5 85,600 0 0
CNH INDL N V SHS N20944109 23 50,000 SH Call DFND 1 50,000 0 0
COBIZ FINANCIAL INC COM 190897108 3,861 173,615 SH   DFND 5 173,615 0 0
COCA COLA CO COM 191216100 41 9,300 SH Call DFND 3 9,300 0 0
COCA COLA CO COM 191216100 17 11,600 SH Put DFND 3 11,600 0 0
COHERUS BIOSCIENCES INC COM 19249H103 41 2,500 SH   DFND 1 2,500 0 0
COHERUS BIOSCIENCES INC COM 19249H103 28 30,000 SH Call DFND 1 30,000 0 0
COMMSCOPE HLDG CO INC COM 20337X109 225 150,000 SH Call DFND 4 150,000 0 0
COMMUNITY HEALTH SYS INC NEW RIGHT 12/31/2019 203668116 3 469,034 SH   DFND 1 469,034 0 0
CONSTELLATION ALPHA CAP CORP RIGHT 99/99/9999 G2379F132 33 82,661 SH   DFND 1 82,661 0 0
CONSTELLATION ALPHA CAP CORP SHS G2379F108 1,379 136,250 SH   DFND 1 136,250 0 0
CONSTELLATION ALPHA CAP CORP UNIT 99/99/9999 G2379F124 1,445 136,450 SH   DFND 1 136,450 0 0
CONSTELLATION BRANDS INC CL A 21036P108 8,314 38,557 SH   DFND 4 38,557 0 0
CONSTELLATION BRANDS INC CL A 21036P108 122 22,500 SH Call DFND 1 22,500 0 0
CONSTELLATION BRANDS INC CL A 21036P108 5 10,000 SH Put DFND 1 10,000 0 0
CONVERGYS CORP COM 212485106 12,578 529,809 SH   DFND 5 529,809 0 0
COREPOINT LODGING INC COM 21872L104 694 35,692 SH   DFND 3 35,692 0 0
CORVUS PHARMACEUTICALS INC COM 221015100 5,051 588,706 SH   DFND 3 588,706 0 0
CUMULUS MEDIA INC COM CLASS A 231082801 268 15,750 SH   DFND 1 15,750 0 0
CVR PARTNERS LP COM 126633106 1,016 266,537 SH   DFND 3 266,537 0 0
CVS HEALTH CORP COM 126650100 26 3,200 SH Put DFND 3 3,200 0 0
CVS HEALTH CORP COM 126650100 85 235,000 SH Put DFND 5 235,000 0 0
CVS HEALTH CORP COM 126650100 18 1,900 SH Call DFND 3 1,900 0 0
CYPRESS SEMICONDUCTOR CORP COM 232806109 225 300,000 SH Put DFND 4 300,000 0 0
DASEKE INC *W EXP 02/27/202 23753F115 78 97,952 SH   DFND 1 97,952 0 0
DAVE & BUSTERS ENTMT INC COM 238337109 252 3,800 SH   DFND 1 3,800 0 0
DAVE & BUSTERS ENTMT INC COM 238337109 24 10,000 SH Put DFND 1 10,000 0 0
DAVITA INC COM 23918K108 179 2,500 SH   DFND 1 2,500 0 0
DAVITA INC COM 23918K108 5 5,000 SH Call DFND 1 5,000 0 0
DAVITA INC COM 23918K108 13 5,000 SH Put DFND 1 5,000 0 0
DELL TECHNOLOGIES INC COM CL V 24703L103 3,951 40,678 SH   DFND 1 40,678 0 0
DELL TECHNOLOGIES INC COM CL V 24703L103 498 68,300 SH Put DFND 1 68,300 0 0
DEVON ENERGY CORP NEW COM 25179M103 22 18,500 SH Call DFND 1 18,500 0 0
DFB HEALTHCARE ACQUISTION CO *W EXP 04/11/202 23291E117 154 100,966 SH   DFND 1 100,966 0 0
DFB HEALTHCARE ACQUISTION CO COM 23291E109 477 49,044 SH   DFND 1 49,044 0 0
DIAMONDBACK ENERGY INC COM 25278X109 1 5 SH   DFND 3 5 0 0
DIAMONDBACK ENERGY INC COM 25278X109 165 146,000 SH Put DFND 5 146,000 0 0
DISCOVERY INC COM SER A 25470F104 68 15,000 SH Call DFND 1 15,000 0 0
DISNEY WALT CO COM DISNEY 254687106 20 3,600 SH Put DFND 3 3,600 0 0
DISNEY WALT CO COM DISNEY 254687106 32 3,300 SH Call DFND 3 3,300 0 0
DISNEY WALT CO COM DISNEY 254687106 0 500 SH Call DFND 1 500 0 0
DISNEY WALT CO COM DISNEY 254687106 11,518 98,492 SH   DFND 4 98,492 0 0
DISNEY WALT CO COM DISNEY 254687106 186 544,200 SH Put DFND 5 544,200 0 0
DOLLAR TREE INC COM 256746108 57 126,800 SH Call DFND 1 126,800 0 0
DOWDUPONT INC COM 26078J100 20 6,800 SH Call DFND 3 6,800 0 0
DOWDUPONT INC COM 26078J100 44 7,000 SH Put DFND 3 7,000 0 0
DRAPER OAKWOOD TECHNOLOGY COM CL A 26146L103 2,020 199,177 SH   DFND 1 199,177 0 0
DRAPER OAKWOOD TECHNOLOGY UNIT 09/30/2024 26146L202 315 28,600 SH   DFND 1 28,600 0 0
DUN & BRADSTREET CORP DEL NE COM 26483E100 16,563 116,220 SH   DFND 5 116,220 0 0
DUN & BRADSTREET CORP DEL NE COM 26483E100 0 400 SH Call DFND 1 400 0 0
DYNAVAX TECHNOLOGIES CORP COM NEW 268158201 7 29,300 SH Put DFND 1 29,300 0 0
ELECTRONIC ARTS INC COM 285512109 326 149,000 SH Call DFND 1 149,000 0 0
ELECTRONIC ARTS INC COM 285512109 643 75,000 SH Call DFND 4 75,000 0 0
ELECTRONIC ARTS INC COM 285512109 343 120,000 SH Put DFND 1 120,000 0 0
ENBRIDGE ENERGY MANAGEMENT L SHS UNITS LLI 29250X103 1,501 137,478 SH   DFND 3 137,478 0 0
ENERGEN CORP COM 29265N108 8,410 97,600 SH   DFND 5 97,600 0 0
ENTERCOM COMMUNICATIONS CORP CL A 293639100 197 24,900 SH   DFND 3 24,900 0 0
ENVISION HEALTHCARE CORP COM 29414D100 1,665 36,417 SH   DFND 5 36,417 0 0
ESTRE AMBIENTAL INC *W EXP 12/21/202 G3206V118 81 232,002 SH   DFND 1 232,002 0 0
EXPRESS SCRIPTS HLDG CO COM 30219G108 950 10,000 SH   DFND 1 10,000 0 0
EXPRESS SCRIPTS HLDG CO COM 30219G108 17,861 187,987 SH   DFND 5 187,987 0 0
EXPRESS SCRIPTS HLDG CO COM 30219G108 290 22,500 SH Call DFND 1 22,500 0 0
EXPRESS SCRIPTS HLDG CO COM 30219G108 209 254,400 SH Put DFND 1 254,400 0 0
EXTRACTION OIL AND GAS INC COM 30227M105 17 13,400 SH Call DFND 1 13,400 0 0
EXXON MOBIL CORP COM 30231G102 58 6,400 SH Call DFND 3 6,400 0 0
EXXON MOBIL CORP COM 30231G102 24 7,900 SH Put DFND 3 7,900 0 0
EXXON MOBIL CORP COM 30231G102 553 75,500 SH Call DFND 1 75,500 0 0
FACEBOOK INC CL A 30303M102 4,782 29,079 SH   DFND 4 29,079 0 0
FACEBOOK INC CL A 30303M102 37 2,500 SH Call DFND 3 2,500 0 0
FACEBOOK INC CL A 30303M102 66 3,300 SH Put DFND 3 3,300 0 0
FACEBOOK INC CL A 30303M102 720 4,375 SH   DFND 3 4,375 0 0
FALCON MINERALS CORP *W EXP 07/21/202 30607B208 117 68,591 SH   DFND 1 68,591 0 0
FALCON MINERALS CORP *W EXP 07/21/202 30607B208 85 50,000 SH   DFND 3 50,000 0 0
FAR PT ACQUISITION CORP *W EXP 06/01/202 30734W117 68 41,207 SH   DFND 1 41,207 0 0
FAR PT ACQUISITION CORP COM CL A 30734W109 391 40,578 SH   DFND 1 40,578 0 0
FAR PT ACQUISITION CORP UNIT 06/01/2025 30734W208 596 57,996 SH   DFND 1 57,996 0 0
FCB FINL HLDGS INC CL A 30255G103 3,127 65,975 SH   DFND 5 65,975 0 0
FEDERAL STR ACQUISITION CORP *W EXP 07/24/202 31421V115 248 170,951 SH   DFND 1 170,951 0 0
FEDERAL STR ACQUISITION CORP CL A 31421V107 686 67,839 SH   DFND 1 67,839 0 0
FEDERAL STR ACQUISITION CORP CL A 31421V107 57 5,600 SH   DFND 3 5,600 0 0
FGL HLDGS *W EXP 11/30/202 G3402M110 140 70,942 SH   DFND 1 70,942 0 0
FOREST CITY RLTY TR INC COM CL A 345605109 27,091 1,079,755 SH   DFND 5 1,079,755 0 0
FORTIVE CORP COM 34959J108 5,085 300,000 SH Put DFND 3 300,000 0 0
FORTIVE CORP COM 34959J108 17 345,000 SH Call DFND 2 345,000 0 0
FORUM MERGER II CORP UNIT 09/30/2025 34986F202 5,065 500,000 SH   DFND 3 500,000 0 0
G1 THERAPEUTICS INC COM 3621LQ109 6,013 115,000 SH   DFND 3 115,000 0 0
GCI LIBERTY INC COM CLASS A 36164V305 1,398 27,420 SH   DFND 3 27,420 0 0
GENERAL DYNAMICS CORP COM 369550108 553 2,700 SH   DFND 3 2,700 0 0
GENERAL DYNAMICS CORP COM 369550108 9 600 SH Put DFND 3 600 0 0
GENWORTH FINL INC COM CL A 37247D106 348 83,494 SH   DFND 5 83,494 0 0
GIGCAPITAL INC *W EXP 06/08/202 37518N122 17 34,867 SH   DFND 1 34,867 0 0
GIGCAPITAL INC COM 37518N106 3 470,500 SH   DFND 1 470,500 0 0
GIGCAPITAL INC COM 37518N106 1,530 150,000 SH   DFND 3 150,000 0 0
GIGCAPITAL INC RIGHT 03/06/2020 37518N114 20 37,960 SH   DFND 1 37,960 0 0
GIGCAPITAL INC UNIT 03/06/2025 37518N205 1,011 94,096 SH   DFND 1 94,096 0 0
GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 950 25,000 SH   DFND 3 25,000 0 0
GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 6 20,000 SH Call DFND 3 20,000 0 0
GLOBALSTAR INC COM 378973408 28 54,625 SH   DFND 1 54,625 0 0
GOPRO INC CL A 38268T103 99 113,300 SH Call DFND 1 113,300 0 0
GOPRO INC CL A 38268T103 63 110,000 SH Put DFND 1 110,000 0 0
GORDON POINTE ACQUISITION CO COM CLASS A 382788107 2,970 300,044 SH   DFND 1 300,044 0 0
GORES HLDGS II INC *W EXP 01/13/202 382867117 116 54,922 SH   DFND 1 54,922 0 0
GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 847 75,000 SH   DFND 3 75,000 0 0
GREENLAND ACQUISITIN CORPORA RIGHT 04/27/2025 G40981113 64 178,856 SH   DFND 1 178,856 0 0
GS ACQUISITION HLDGS CORP *W EXP 06/12/202 36255F110 709 417,243 SH   DFND 1 417,243 0 0
GS ACQUISITION HLDGS CORP COM CL A 36255F102 9,356 959,546 SH   DFND 1 959,546 0 0
GS ACQUISITION HLDGS CORP UNIT 06/12/2023 36255F201 1,335 128,771 SH   DFND 1 128,771 0 0
GTY TECHNOLOGY HOLDINGS INC *W EXP 10/25/202 G4182A128 16 13,048 SH   DFND 1 13,048 0 0
GTY TECHNOLOGY HOLDINGS INC CL A G4182A102 1,014 100,000 SH   DFND 3 100,000 0 0
GW PHARMACEUTICALS PLC ADS 36197T103 27 13,000 SH Put DFND 1 13,000 0 0
GW PHARMACEUTICALS PLC ADS 36197T103 639 16,500 SH Call DFND 1 16,500 0 0
HAIN CELESTIAL GROUP INC COM 405217100 33 50,000 SH Put DFND 1 50,000 0 0
HAIN CELESTIAL GROUP INC COM 405217100 730 26,900 SH   DFND 1 26,900 0 0
HALCON RES CORP *W EXP 09/09/202 40537Q118 15 149,500 SH   DFND 1 149,500 0 0
HALLIBURTON CO COM 406216101 415 10,250 SH   DFND 1 10,250 0 0
HALLIBURTON CO COM 406216101 1 25,000 SH Call DFND 1 25,000 0 0
HALLIBURTON CO COM 406216101 69 10,000 SH Put DFND 1 10,000 0 0
HAYMAKER ACQUISITION CORP *W EXP 10/27/202 420870115 292 224,403 SH   DFND 1 224,403 0 0
HAYMAKER ACQUISITION CORP UNIT 10/19/2022 420870206 5,224 500,000 SH   DFND 3 500,000 0 0
HAYMAKER ACQUISITION CORP UNIT 10/19/2022 420870206 0 1 SH   DFND 1 1 0 0
HENNESSY CAP ACQUSTON CORP I *W EXP 06/15/202 42588L113 300 200,000 SH   DFND 3 200,000 0 0
HENNESSY CAP ACQUSTON CORP I COM 42588L105 4,824 471,567 SH   DFND 1 471,567 0 0
HENNESSY CAP ACQUSTON CORP I COM 42588L105 4,586 450,000 SH   DFND 3 450,000 0 0
HIBBETT SPORTS INC COM 428567101 973 140,200 SH Put DFND 1 140,200 0 0
HL ACQUISITIONS CORP *W EXP 06/21/202 G4603R122 62 171,295 SH   DFND 1 171,295 0 0
HL ACQUISITIONS CORP RIGHT 07/17/2023 G4603R130 12 29,080 SH   DFND 1 29,080 0 0
HL ACQUISITIONS CORP SHS G4603R106 142 14,859 SH   DFND 1 14,859 0 0
HOSTESS BRANDS INC *W EXP 11/04/202 44109J114 53 49,900 SH   DFND 1 49,900 0 0
HP INC COM 40434L105 224 8,700 SH   DFND 3 8,700 0 0
HP INC COM 40434L105 25 17,700 SH Put DFND 3 17,700 0 0
HP INC COM 40434L105 1 700 SH Call DFND 3 700 0 0
HUNTER MARITIME ACQUISITION *W EXP 11/17/202 Y37828129 86 287,500 SH   DFND 3 287,500 0 0
HUNTER MARITIME ACQUISITION CL A Y37828111 205 20,600 SH   DFND 1 20,600 0 0
HUNTER MARITIME ACQUISITION CL A Y37828111 5,727 575,000 SH   DFND 3 575,000 0 0
I AM CAP ACQUISITION CO *W EXP 05/22/202 45074Q116 8 22,473 SH   DFND 1 22,473 0 0
INDUSTREA ACQUISITION CORP *W EXP 08/01/202 45579J112 123 123,135 SH   DFND 1 123,135 0 0
INDUSTREA ACQUISITION CORP CL A 45579J104 3,151 308,969 SH   DFND 1 308,969 0 0
INDUSTREA ACQUISITION CORP CL A 45579J104 102 10,000 SH   DFND 3 10,000 0 0
INDUSTREA ACQUISITION CORP UNIT 07/21/2024 45579J203 215 19,300 SH   DFND 1 19,300 0 0
INDUSTREA ACQUISITION CORP UNIT 07/21/2024 45579J203 557 50,000 SH   DFND 3 50,000 0 0
INTEGRATED DEVICE TECHNOLOGY COM 458118106 31,275 665,274 SH   DFND 5 665,274 0 0
INTEGRATED DEVICE TECHNOLOGY COM 458118106 488 66,500 SH Call DFND 1 66,500 0 0
INTEL CORP COM 458140100 255 5,400 SH   DFND 3 5,400 0 0
INTEL CORP COM 458140100 38 7,600 SH Call DFND 3 7,600 0 0
INTEL CORP COM 458140100 48 14,800 SH Put DFND 3 14,800 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 39 3,600 SH Call DFND 3 3,600 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 28 3,400 SH Put DFND 3 3,400 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 499 3,300 SH   DFND 3 3,300 0 0
INTERNATIONAL MNY EXPRESS IN *W EXP 01/19/202 46005L119 56 23,871 SH   DFND 1 23,871 0 0
INTL PAPER CO COM 460146103 1 25,000 SH Call DFND 1 25,000 0 0
INVESCO QQQ TR UNIT SER 1 46090E103 929 5,000 SH   DFND 1 5,000 0 0
INVESCO QQQ TR UNIT SER 1 46090E103 46 55,000 SH Put DFND 1 55,000 0 0
INVESCO QQQ TR UNIT SER 1 46090E103 116 140,000 SH Put DFND 4 140,000 0 0
JOHNSON & JOHNSON COM 478160104 39 5,200 SH Put DFND 3 5,200 0 0
JOHNSON & JOHNSON COM 478160104 215 1,558 SH   DFND 3 1,558 0 0
JOHNSON & JOHNSON COM 478160104 68 4,200 SH Call DFND 3 4,200 0 0
KAYNE ANDERSON ACQUISITION *W EXP 06/30/202 48661U110 464 333,608 SH   DFND 3 333,608 0 0
KAYNE ANDERSON ACQUISITION *W EXP 06/30/202 48661U110 93 67,229 SH   DFND 1 67,229 0 0
KAYNE ANDERSON ACQUISITION COM CL A 48661U102 1,930 189,950 SH   DFND 1 189,950 0 0
KAYNE ANDERSON ACQUISITION COM CL A 48661U102 5,596 550,824 SH   DFND 3 550,824 0 0
KBL MERGER CORP IV *W EXP 01/15/202 48242A112 27 125,556 SH   DFND 1 125,556 0 0
KEMPHARM INC COM 488445107 1,758 366,313 SH   DFND 3 366,313 0 0
KEZAR LIFE SCIENCES INC COM 49372L100 23,681 1,106,088 SH   DFND 3 1,106,088 0 0
KINDER MORGAN INC DEL COM 49456B101 23 11,300 SH Call DFND 3 11,300 0 0
KINDER MORGAN INC DEL COM 49456B101 33 30,600 SH Put DFND 3 30,600 0 0
KINDER MORGAN INC DEL COM 49456B101 113 6,400 SH   DFND 3 6,400 0 0
KLA-TENCOR CORP COM 482480100 16 82,000 SH Call DFND 5 82,000 0 0
KLX ENERGY SERVICS HOLDNGS I COM 48253L106 240 7,500 SH   DFND 1 7,500 0 0
KLX ENERGY SERVICS HOLDNGS I COM 48253L106 861 26,900 SH   DFND 3 26,900 0 0
KLX INC COM 482539103 1,883 30,000 SH   DFND 1 30,000 0 0
KLX INC COM 482539103 102 71,600 SH Call DFND 1 71,600 0 0
KLX INC COM 482539103 19 99,600 SH Put DFND 1 99,600 0 0
KMG CHEMICALS INC COM 482564101 20,871 276,214 SH   DFND 5 276,214 0 0
L3 TECHNOLOGIES INC COM 502413107 319 1,500 SH   DFND 3 1,500 0 0
L3 TECHNOLOGIES INC COM 502413107 6,645 31,251 SH   DFND 4 31,251 0 0
LANDCADIA HLDGS INC *W EXP 06/01/202 51476W115 75 62,968 SH   DFND 1 62,968 0 0
LANDCADIA HLDGS INC CL A 51476W107 271 25,000 SH   DFND 1 25,000 0 0
LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 89 199,014 SH   DFND 1 199,014 0 0
LEGACY ACQUISITION CORP UNIT 05/31/2024 524643202 2 200 SH   DFND 1 200 0 0
LEGACY ACQUISITION CORP UNIT 05/31/2024 524643202 9,117 900,000 SH   DFND 3 900,000 0 0
LEISURE ACQUISITION CORP *W EXP 12/05/201 52539T115 220 205,835 SH   DFND 1 205,835 0 0
LEISURE ACQUISITION CORP COM 52539T107 309 31,688 SH   DFND 1 31,688 0 0
LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 1,018 100,000 SH   DFND 3 100,000 0 0
LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 0 36 SH   DFND 1 36 0 0
LEO HOLDINGS CORP *W EXP 02/07/202 G5463L113 445 350,048 SH   DFND 1 350,048 0 0
LF CAP ACQUISITION CORP *W EXP 06/22/202 50200K116 14 26,082 SH   DFND 1 26,082 0 0
LIBERTY EXPEDIA HOLDINGS SER A COM 53046P109 2,877 61,170 SH   DFND 3 61,170 0 0
LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 13,334 306,957 SH   DFND 3 306,957 0 0
LIONS GATE ENTMNT CORP CL B NON VTG 535919500 1,157 49,657 SH   DFND 4 49,657 0 0
LONGEVITY ACQUISITION CORP UNIT 08/29/2024 G56372108 4,476 437,064 SH   DFND 1 437,064 0 0
LOWES COS INC COM 548661107 46 2,600 SH Call DFND 3 2,600 0 0
LOWES COS INC COM 548661107 26 7,500 SH Put DFND 3 7,500 0 0
LUMENTUM HLDGS INC COM 55024U109 524 8,742 SH   DFND 5 8,742 0 0
MAGNOLIA OIL & GAS CORP *W EXP 07/31/202 559663117 1,813 387,419 SH   DFND 1 387,419 0 0
MANULIFE FINL CORP COM 56501R106 447 24,971 SH   DFND 3 24,971 0 0
MARINUS PHARMACEUTICALS INC COM 56854Q101 186 18,600 SH   DFND 1 18,600 0 0
MATLIN & PARTNERS ACQUISITIO *W EXP 05/28/202 57682V114 375 500,000 SH   DFND 3 500,000 0 0
MATLIN & PARTNERS ACQUISITIO *W EXP 05/28/202 57682V114 117 155,973 SH   DFND 1 155,973 0 0
MATLIN & PARTNERS ACQUISITIO CL A 57682V106 65 6,505 SH   DFND 1 6,505 0 0
MATLIN & PARTNERS ACQUISITIO CL A 57682V106 6,059 605,250 SH   DFND 3 605,250 0 0
MAXIM INTEGRATED PRODS INC COM 57772K101 70 100,000 SH Put DFND 4 100,000 0 0
MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 30 50,200 SH   DFND 1 50,200 0 0
MEGALITH FINL ACQUISITION CO CL A COM 58518F109 1,414 148,513 SH   DFND 1 148,513 0 0
MEGALITH FINL ACQUISITION CO UNIT 09/30/2025 58518F208 325 32,214 SH   DFND 1 32,214 0 0
MEGALITH FINL ACQUISITION CO UNIT 09/30/2025 58518F208 8,372 828,900 SH   DFND 3 828,900 0 0
MERCK & CO INC COM 58933Y105 132 10,100 SH Call DFND 3 10,100 0 0
MERCK & CO INC COM 58933Y105 26 17,300 SH Put DFND 3 17,300 0 0
MICROSOFT CORP COM 594918104 6,979 61,020 SH   DFND 4 61,020 0 0
MICROSOFT CORP COM 594918104 62 3,500 SH Call DFND 3 3,500 0 0
MICROSOFT CORP COM 594918104 6 51 SH   DFND 3 51 0 0
MICROSOFT CORP COM 594918104 25 7,500 SH Put DFND 3 7,500 0 0
MIDSTATES PETE CO INC COM PAR 59804T407 89 10,006 SH   DFND 1 10,006 0 0
MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 9,683 1,564,243 SH   DFND 3 1,564,243 0 0
MODERN MEDIA ACQUISITION *W EXP 05/17/202 60765P111 18 30,362 SH   DFND 1 30,362 0 0
MODERN MEDIA ACQUISITION RIGHT 99/99/9999 60765P129 56 119,724 SH   DFND 1 119,724 0 0
MODERN MEDIA ACQUISITION UNIT 99/99/9999 60765P202 1,939 178,699 SH   DFND 3 178,699 0 0
MONDELEZ INTL INC CL A 609207105 18 9,600 SH Put DFND 3 9,600 0 0
MONDELEZ INTL INC CL A 609207105 25 11,400 SH Call DFND 3 11,400 0 0
MTECH ACQUISITION CORP *W EXP 08/01/202 55378W115 191 128,738 SH   DFND 1 128,738 0 0
MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 175 250,000 SH   DFND 3 250,000 0 0
MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 0 35 SH   DFND 1 35 0 0
MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 2,420 250,000 SH   DFND 3 250,000 0 0
MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 1,030 100,000 SH   DFND 3 100,000 0 0
MYLAN N V SHS EURO N59465109 201 5,500 SH   DFND 5 5,500 0 0
MYOKARDIA INC COM 62857M105 1,108 17,000 SH   DFND 3 17,000 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 253 112,757 SH   DFND 1 112,757 0 0
NEBULA ACQUISITION CORP *W EXP 03/12/202 629076118 198 142,737 SH   DFND 1 142,737 0 0
NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 1,020 100,000 SH   DFND 3 100,000 0 0
NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 141 13,859 SH   DFND 1 13,859 0 0
NETFLIX INC COM 64110L106 5,294 14,151 SH   DFND 4 14,151 0 0
NEW FRONTIER CORP *W EXP 99/99/999 G6485P124 682 577,630 SH   DFND 1 577,630 0 0
NEWELL BRANDS INC COM 651229106 134 6,600 SH   DFND 3 6,600 0 0
NEWELL BRANDS INC COM 651229106 19 27,200 SH Call DFND 3 27,200 0 0
NEWELL BRANDS INC COM 651229106 127 23,200 SH Put DFND 3 23,200 0 0
NEXTERA ENERGY INC COM 65339F101 838 5,000 SH   DFND 3 5,000 0 0
NIELSEN HLDGS PLC SHS EUR G6518L108 318 11,500 SH   DFND 1 11,500 0 0
NIELSEN HLDGS PLC SHS EUR G6518L108 36 9,500 SH Call DFND 1 9,500 0 0
NII HLDGS INC COM PAR 62913F508 693 118,241 SH   DFND 1 118,241 0 0
NORBORD INC COM NEW 65548P403 552 16,666 SH   DFND 3 16,666 0 0
NORTHROP GRUMMAN CORP COM 666807102 476 1,500 SH   DFND 3 1,500 0 0
NORTHROP GRUMMAN CORP COM 666807102 28 700 SH Call DFND 3 700 0 0
NORTHROP GRUMMAN CORP COM 666807102 9 400 SH Put DFND 3 400 0 0
NVIDIA CORP COM 67066G104 1,633 5,810 SH   DFND 3 5,810 0 0
NXP SEMICONDUCTORS N V COM N6596X109 259 8,000 SH Put DFND 1 8,000 0 0
OCCIDENTAL PETE CORP DEL COM 674599105 27 7,400 SH Put DFND 3 7,400 0 0
OCCIDENTAL PETE CORP DEL COM 674599105 90 1,100 SH   DFND 3 1,100 0 0
OCCIDENTAL PETE CORP DEL COM 674599105 36 3,500 SH Call DFND 3 3,500 0 0
OCEAN RIG UDW INC COM CL A G66964118 9 261 SH   DFND 1 261 0 0
OCEAN RIG UDW INC COM CL A G66964118 5,005 144,571 SH   DFND 3 144,571 0 0
ONE MADISON CORP COM CL A G6772P100 204 21,000 SH   DFND 1 21,000 0 0
ONE MADISON CORP UNIT 99/99/9999 G6772P118 285 27,517 SH   DFND 1 27,517 0 0
OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 292 729,676 SH   DFND 1 729,676 0 0
OPES ACQUISITION CORP COM 68373P100 1,063 107,895 SH   DFND 1 107,895 0 0
OPES ACQUISITION CORP UNIT 03/07/2023 68373P209 1,298 127,800 SH   DFND 1 127,800 0 0
ORACLE CORP COM 68389X105 49 10,300 SH Call DFND 3 10,300 0 0
ORACLE CORP COM 68389X105 22 11,300 SH Put DFND 3 11,300 0 0
ORBOTECH LTD ORD M75253100 33,702 566,995 SH   DFND 5 566,995 0 0
OVID THERAPEUTICS INC COM 690469101 4,012 707,643 SH   DFND 3 707,643 0 0
PAGSEGURO DIGITAL LTD COM CL A G68707101 1,721 62,200 SH   DFND 1 62,200 0 0
PAGSEGURO DIGITAL LTD COM CL A G68707101 50 80,000 SH Call DFND 1 80,000 0 0
PANDORA MEDIA INC COM 698354107 285 30,000 SH   DFND 1 30,000 0 0
PANDORA MEDIA INC COM 698354107 6 9,700 SH Call DFND 1 9,700 0 0
PAPA JOHNS INTL INC COM 698813102 436 8,500 SH   DFND 3 8,500 0 0
PENNEY J C INC COM 708160106 4 100,000 SH Call DFND 1 100,000 0 0
PENSARE ACQUISITION CORP *W EXP 07/27/202 70957E113 36 70,000 SH   DFND 1 70,000 0 0
PENSARE ACQUISITION CORP COM 70957E105 3,126 313,871 SH   DFND 1 313,871 0 0
PENSARE ACQUISITION CORP COM 70957E105 51 5,100 SH   DFND 3 5,100 0 0
PENSARE ACQUISITION CORP RIGHT 99/99/9999 70957E121 141 312,788 SH   DFND 1 312,788 0 0
PEPSICO INC COM 713448108 21 4,000 SH Put DFND 3 4,000 0 0
PEPSICO INC COM 713448108 43 3,900 SH Call DFND 3 3,900 0 0
PEPSICO INC COM 713448108 1,907 17,057 SH   DFND 4 17,057 0 0
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 61 45,000 SH Call DFND 1 45,000 0 0
PFIZER INC COM 717081103 1 21 SH   DFND 3 21 0 0
PFIZER INC COM 717081103 40 10,600 SH Call DFND 3 10,600 0 0
PFIZER INC COM 717081103 20 14,500 SH Put DFND 3 14,500 0 0
PG&E CORP COM 69331C108 44 7,500 SH Call DFND 3 7,500 0 0
PG&E CORP COM 69331C108 34 9,700 SH Put DFND 3 9,700 0 0
PHILIP MORRIS INTL INC COM 718172109 40 9,800 SH Call DFND 3 9,800 0 0
PHILIP MORRIS INTL INC COM 718172109 94 7,900 SH Put DFND 3 7,900 0 0
PHILIP MORRIS INTL INC COM 718172109 98 1,200 SH   DFND 3 1,200 0 0
PHILLIPS 66 COM 718546104 38 6,600 SH Put DFND 3 6,600 0 0
PHILLIPS 66 COM 718546104 106 5,700 SH Call DFND 3 5,700 0 0
PINNACLE FOODS INC DEL COM 72348P104 3,820 58,934 SH   DFND 5 58,934 0 0
PLATINUM EAGLE ACQUISITIN CO *W EXP 01/17/202 G7126L118 854 632,628 SH   DFND 1 632,628 0 0
PLATINUM EAGLE ACQUISITIN CO UNIT 01/09/2023 G7126L126 685 65,907 SH   DFND 1 65,907 0 0
PRIORITY TECHNOLOGY HLDGS IN COM 74275G107 938 96,556 SH   DFND 1 96,556 0 0
PROCTER AND GAMBLE CO COM 742718109 52 10,500 SH Call DFND 3 10,500 0 0
PROCTER AND GAMBLE CO COM 742718109 58 10,000 SH Put DFND 3 10,000 0 0
PROCTER AND GAMBLE CO COM 742718109 3 41 SH   DFND 3 41 0 0
PROSHARES TR ULTRASHRT S&P500 74347B383 908 27,438 SH   DFND 3 27,438 0 0
PURE ACQUISITION CORP CL A 74621Q106 608 62,688 SH   DFND 1 62,688 0 0
PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 60 5,811 SH   DFND 1 5,811 0 0
PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 2,594 250,000 SH   DFND 3 250,000 0 0
RAYTHEON CO COM NEW 755111507 620 3,000 SH   DFND 3 3,000 0 0
REGALWOOD GLOBAL ENERGY LTD *W EXP 12/05/202 G74760128 182 124,340 SH   DFND 1 124,340 0 0
REGALWOOD GLOBAL ENERGY LTD COM CL A G74760102 315 32,235 SH   DFND 1 32,235 0 0
RIMINI STR INC DEL COM 76674Q107 1,544 244,645 SH   DFND 1 244,645 0 0
RITE AID CORP COM 767754104 3 2,500 SH   DFND 1 2,500 0 0
RITE AID CORP COM 767754104 0 10,800 SH Call DFND 1 10,800 0 0
ROCKWELL COLLINS INC COM 774341101 21 150 SH   DFND 1 150 0 0
ROCKWELL COLLINS INC COM 774341101 78,638 559,818 SH   DFND 5 559,818 0 0
ROCKWELL COLLINS INC COM 774341101 177 101,000 SH Call DFND 1 101,000 0 0
ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 2,296 33,700 SH   DFND 1 33,700 0 0
ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 19 50,000 SH Call DFND 1 50,000 0 0
SABAN CAP ACQUISITION CORP *W EXP 09/21/202 78516C114 199 180,935 SH   DFND 1 180,935 0 0
SALESFORCE COM INC COM 79466L302 7,961 50,062 SH   DFND 4 50,062 0 0
SANDRIDGE ENERGY INC COM NEW 80007P869 109 10,040 SH   DFND 3 10,040 0 0
SANOFI RIGHT 12/31/2020 80105N113 30 56,517 SH   DFND 1 56,517 0 0
SCHLUMBERGER LTD COM 806857108 3 60,300 SH Call DFND 1 60,300 0 0
SCHLUMBERGER LTD COM 806857108 45 11,400 SH Call DFND 3 11,400 0 0
SCHLUMBERGER LTD COM 806857108 24 2,900 SH Put DFND 3 2,900 0 0
SCHWAB CHARLES CORP NEW COM 808513105 541 11,000 SH   DFND 3 11,000 0 0
SCIENCE APPLICATNS INTL CP N COM 808625107 113 85,000 SH Call DFND 5 85,000 0 0
SENSATA TECHNOLOGIES HLDNG P SHS G8060N102 305 175,000 SH Put DFND 4 175,000 0 0
SENTINEL ENERGY SVCS INC *W EXP 11/02/202 G8062D110 14 11,203 SH   DFND 1 11,203 0 0
SENTINEL ENERGY SVCS INC COM CL A G8062D102 99 10,100 SH   DFND 1 10,100 0 0
SENTINEL ENERGY SVCS INC UNIT 11/02/2022 G8062D128 4,128 400,000 SH   DFND 3 400,000 0 0
SENTINEL ENERGY SVCS INC UNIT 11/02/2022 G8062D128 0 2 SH   DFND 1 2 0 0
SERVICENOW INC COM 81762P102 5,570 28,472 SH   DFND 4 28,472 0 0
SHIRE PLC SPONSORED ADR 82481R106 12,985 71,633 SH   DFND 5 71,633 0 0
SHIRE PLC SPONSORED ADR 82481R106 33 2,000 SH Call DFND 1 2,000 0 0
SIMPLY GOOD FOODS CO *W EXP 07/07/202 82900L110 2,783 350,100 SH   DFND 1 350,100 0 0
SIRIUS XM HLDGS INC COM 82968B103 2,844 450,000 SH   DFND 2 450,000 0 0
SIRIUS XM HLDGS INC COM 82968B103 2,020 1,161,000 SH Put DFND 3 1,161,000 0 0
SIRIUS XM HLDGS INC COM 82968B103 303 48,000 SH   DFND 1 48,000 0 0
SIRIUS XM HLDGS INC COM 82968B103 788 450,000 SH Put DFND 2 450,000 0 0
SIRIUS XM HLDGS INC COM 82968B103 57 70,000 SH Put DFND 1 70,000 0 0
SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 09/14/202 G8250R129 180 167,921 SH   DFND 1 167,921 0 0
SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 352 35,491 SH   DFND 1 35,491 0 0
SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 9,910 1,000,000 SH   DFND 3 1,000,000 0 0
SPARTAN ENERGY ACQUISITON CO UNIT 99/99/9999 846784114 10,150 1,000,000 SH   DFND 3 1,000,000 0 0
SPARTAN ENERGY ACQUISITON CO UNIT 99/99/9999 846784114 3,337 328,780 SH   DFND 1 328,780 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 187 160,000 SH Put DFND 4 160,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 15 10,000 SH Put DFND 1 10,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 98 391,000 SH Call DFND 5 391,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 83 45,000 SH Call DFND 4 45,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 4 1,200 SH Call DFND 3 1,200 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 288 1,000 SH Call DFND 1 1,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 9,536 32,800 SH   DFND 3 32,800 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 951 3,270 SH   DFND 4 3,270 0 0
SPDR SERIES TRUST S&P BIOTECH 78464A870 5 50,000 SH Call DFND 1 50,000 0 0
SPDR SERIES TRUST S&P BIOTECH 78464A870 6 40,000 SH Put DFND 1 40,000 0 0
SPLUNK INC COM 848637104 6,047 50,016 SH   DFND 4 50,016 0 0
SPOTIFY TECHNOLOGY S A SHS L8681T102 12,008 66,407 SH   DFND 4 66,407 0 0
SPRINT CORP COM SER 1 85207U105 569 87,000 SH   DFND 1 87,000 0 0
SPRINT CORP COM SER 1 85207U105 1,911 292,200 SH   DFND 5 292,200 0 0
SPRINT CORP COM SER 1 85207U105 61 93,500 SH Put DFND 1 93,500 0 0
SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 9,613 823,000 SH   DFND 3 823,000 0 0
STERLING BANCORP DEL COM 85917A100 1,143 51,960 SH   DFND 3 51,960 0 0
STEWART INFORMATION SVCS COR COM 860372101 1,331 29,570 SH   DFND 5 29,570 0 0
STITCH FIX INC COM CL A 860897107 376 8,600 SH   DFND 1 8,600 0 0
STITCH FIX INC COM CL A 860897107 22 11,300 SH Call DFND 1 11,300 0 0
SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 3,188 397,000 SH   DFND 2 397,000 0 0
SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 12,045 1,500,000 SH   DFND 3 1,500,000 0 0
SUN LIFE FINL INC COM 866796105 236 5,946 SH   DFND 3 5,946 0 0
SUNCOR ENERGY INC NEW COM 867224107 274 7,077 SH   DFND 3 7,077 0 0
SUTRO BIOPHARMA INC COM 869367102 6,260 417,317 SH   DFND 1 417,317 0 0
SYMANTEC CORP COM 871503108 61 19,100 SH Put DFND 3 19,100 0 0
SYMANTEC CORP COM 871503108 70 24,300 SH Call DFND 3 24,300 0 0
SYNNEX CORP COM 87162W100 129 110,000 SH Call DFND 5 110,000 0 0
SYNNEX CORP COM 87162W100 4,285 50,588 SH   DFND 5 50,588 0 0
SYNOVUS FINL CORP COM NEW 87161C501 207 4,521 SH   DFND 3 4,521 0 0
SYNOVUS FINL CORP COM NEW 87161C501 6,174 134,834 SH   DFND 5 134,834 0 0
SYNOVUS FINL CORP COM NEW 87161C501 5 95,200 SH Call DFND 5 95,200 0 0
T MOBILE US INC COM 872590104 1,602 22,821 SH   DFND 4 22,821 0 0
T MOBILE US INC COM 872590104 94 125,000 SH Put DFND 5 125,000 0 0
TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 67 34,800 SH Put DFND 4 34,800 0 0
TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 10,375 75,188 SH   DFND 4 75,188 0 0
TARGA RES CORP COM 87612G101 366 162,700 SH Put DFND 1 162,700 0 0
TARGA RES CORP COM 87612G101 4,815 85,500 SH   DFND 1 85,500 0 0
TARGA RES CORP COM 87612G101 26 30,000 SH Call DFND 1 30,000 0 0
TARGET CORP COM 87612E106 66 5,600 SH Call DFND 3 5,600 0 0
TARGET CORP COM 87612E106 30 8,900 SH Put DFND 3 8,900 0 0
TE CONNECTIVITY LTD REG SHS H84989104 95 35,000 SH Put DFND 4 35,000 0 0
TELECOM ARGENTINA S A SPON ADR REP B 879273209 182 10,448 SH   DFND 3 10,448 0 0
TENNECO INC COM 880349105 33 20,000 SH Put DFND 1 20,000 0 0
TENNECO INC COM 880349105 169 4,000 SH   DFND 1 4,000 0 0
TERADYNE INC COM 880770102 228 225,000 SH Put DFND 4 225,000 0 0
TESLA INC COM 88160R101 85 35,000 SH Call DFND 1 35,000 0 0
TEXAS INSTRS INC COM 882508104 44 5,900 SH Call DFND 3 5,900 0 0
TEXAS INSTRS INC COM 882508104 33 2,100 SH Put DFND 3 2,100 0 0
TEXAS INSTRS INC COM 882508104 90 75,000 SH Put DFND 4 75,000 0 0
TG THERAPEUTICS INC COM 88322Q108 1 20,000 SH Call DFND 1 20,000 0 0
TG THERAPEUTICS INC COM 88322Q108 1 300 SH Put DFND 1 300 0 0
THOMSON REUTERS CORP COM 884903105 3,259 71,357 SH   DFND 3 71,357 0 0
THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 739 76,137 SH   DFND 1 76,137 0 0
THUNDER BRIDGE ACQUISITION L UNIT 01/01/2025 G8857R118 2,091 205,800 SH   DFND 3 205,800 0 0
TIBERIUS ACQUISITION CORP COM 88633A107 112 11,548 SH   DFND 1 11,548 0 0
TILRAY INC COM CL 2 88688T100 24,280 169,055 SH   DFND 1 169,055 0 0
TILRAY INC COM CL 2 88688T100 1,940 39,000 SH Call DFND 1 39,000 0 0
TILRAY INC COM CL 2 88688T100 149 58,500 SH Put DFND 1 58,500 0 0
TKK SYMPHONY ACQUISITION COR *W EXP 02/20/202 G88950129 56 233,180 SH   DFND 1 233,180 0 0
TKK SYMPHONY ACQUISITION COR ORD SHS G88950103 974 102,551 SH   DFND 1 102,551 0 0
TKK SYMPHONY ACQUISITION COR RIGHT 02/20/2020 G88950137 27 59,016 SH   DFND 1 59,016 0 0
TOTAL S A SPONSORED ADR 89151E109 3 40 SH   DFND 2 40 0 0
TOTAL S A SPONSORED ADR 89151E109 25 10,000 SH Call DFND 3 10,000 0 0
TOTTENHAM ACQUISITION I LTD RIGHT 06/05/2020 G8959N122 82 222,167 SH   DFND 1 222,167 0 0
TOTTENHAM ACQUISITION I LTD SHS G8959N106 1,690 174,196 SH   DFND 1 174,196 0 0
TPG PACE HLDGS CORP CL A G89827128 455 45,151 SH   DFND 1 45,151 0 0
TRANSENTERIX INC COM NEW 89366M201 203 35,000 SH   DFND 1 35,000 0 0
TRIDENT ACQUISITIONS CORP COM 89615T106 226 22,978 SH   DFND 1 22,978 0 0
TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 6,622 654,300 SH   DFND 3 654,300 0 0
TRINITY INDS INC COM 896522109 147 4,000 SH   DFND 1 4,000 0 0
TRINITY INDS INC COM 896522109 9 60,400 SH Put DFND 1 60,400 0 0
TRINITY MERGER CORP UNIT 05/11/2025 89653L205 1,287 125,240 SH   DFND 3 125,240 0 0
TRINITY MERGER CORP UNIT 05/11/2025 89653L205 171 16,656 SH   DFND 1 16,656 0 0
TRONOX LTD SHS CL A Q9235V101 1,092 91,345 SH   DFND 5 91,345 0 0
TWELVE SEAS INVESTMENT COMPA *W EXP 12/22/202 G9145A115 188 522,262 SH   DFND 1 522,262 0 0
TWELVE SEAS INVESTMENT COMPA RIGHT 12/22/2019 G9145A131 432 1,029,020 SH   DFND 1 1,029,020 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 446 431,500 SH Put DFND 1 431,500 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 629 562,600 SH Call DFND 5 562,600 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 99 465,100 SH Put DFND 5 465,100 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 14,176 305,981 SH   DFND 5 305,981 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 4,276 92,300 SH   DFND 1 92,300 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 53 250,500 SH Call DFND 1 250,500 0 0
TWENTY FIRST CENTY FOX INC CL B 90130A200 916 20,000 SH   DFND 1 20,000 0 0
TWENTY FIRST CENTY FOX INC CL B 90130A200 2,749 60,000 SH   DFND 3 60,000 0 0
TWENTY FIRST CENTY FOX INC CL B 90130A200 13,192 287,905 SH   DFND 5 287,905 0 0
TWENTY FIRST CENTY FOX INC CL B 90130A200 11 151,500 SH Call DFND 1 151,500 0 0
TWENTY FIRST CENTY FOX INC CL B 90130A200 126 39,600 SH Put DFND 1 39,600 0 0
ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 1,527 20,000 SH   DFND 3 20,000 0 0
UNILEVER PLC SPON ADR NEW 904767704 3,215 58,492 SH   DFND 3 58,492 0 0
UNION ACQUISITION CORP *W EXP 07/01/202 G9366W127 16 44,909 SH   DFND 1 44,909 0 0
UNION ACQUISITION CORP SHS G9366W101 152 15,582 SH   DFND 1 15,582 0 0
UNITED NAT FOODS INC COM 911163103 15 226,000 SH Call DFND 5 226,000 0 0
UNITED TECHNOLOGIES CORP COM 913017109 160 40,000 SH Call DFND 4 40,000 0 0
UNITED TECHNOLOGIES CORP COM 913017109 7 15,000 SH Put DFND 1 15,000 0 0
UNITED TECHNOLOGIES CORP COM 913017109 21 25,000 SH Put DFND 5 25,000 0 0
UNUM THERAPEUTICS INC COM 903214104 6,696 650,095 SH   DFND 3 650,095 0 0
US BANCORP DEL COM NEW 902973304 18 7,100 SH Call DFND 3 7,100 0 0
US BANCORP DEL COM NEW 902973304 26 6,800 SH Put DFND 3 6,800 0 0
US BANCORP DEL COM NEW 902973304 53 1,000 SH   DFND 3 1,000 0 0
USA TECHNOLOGIES INC COM NO PAR 90328S500 45 42,000 SH Put DFND 1 42,000 0 0
USA TECHNOLOGIES INC COM NO PAR 90328S500 257 35,750 SH   DFND 1 35,750 0 0
VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 201 160,000 SH Put DFND 4 160,000 0 0
VANTAGE ENERGY ACQUISITION COM CL A 92211L105 410 41,085 SH   DFND 1 41,085 0 0
VANTAGE ENERGY ACQUISITION COM CL A 92211L105 72 7,250 SH   DFND 3 7,250 0 0
VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 11 1,000 SH   DFND 1 1,000 0 0
VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 10,600 1,000,000 SH   DFND 3 1,000,000 0 0
VECTOIQ ACQUISITION CORP *W EXP 05/11/202 92243N111 30 48,639 SH   DFND 1 48,639 0 0
VECTOIQ ACQUISITION CORP COM 92243N103 3,897 1,568,224 SH   DFND 1 1,568,224 0 0
VECTOIQ ACQUISITION CORP UNIT 05/11/2023 92243N202 3,026 296,667 SH   DFND 1 296,667 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 133 2,500 SH   DFND 3 2,500 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 15 50,000 SH Call DFND 1 50,000 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 29 4,700 SH Call DFND 3 4,700 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 29 12,900 SH Put DFND 3 12,900 0 0
VISTRA ENERGY CORP *W EXP 02/02/202 92840M128 36 24,120 SH   DFND 1 24,120 0 0
VMWARE INC CL A COM 928563402 117 45,700 SH Put DFND 1 45,700 0 0
VMWARE INC CL A COM 928563402 5,325 34,122 SH   DFND 1 34,122 0 0
WALMART INC COM 931142103 61 7,700 SH Put DFND 3 7,700 0 0
WALMART INC COM 931142103 62 7,300 SH Call DFND 3 7,300 0 0
WALMART INC COM 931142103 28 300 SH   DFND 3 300 0 0
WHEATON PRECIOUS METALS CORP COM 962879102 1 50,000 SH Call DFND 1 50,000 0 0
WILLSCOT CORP COM 971375126 546 31,843 SH   DFND 1 31,843 0 0
WPX ENERGY INC COM 98212B103 31 25,000 SH Call DFND 1 25,000 0 0
WYNN RESORTS LTD COM 983134107 53 40,000 SH Call DFND 4 40,000 0 0
WYNN RESORTS LTD COM 983134107 150 20,000 SH Put DFND 1 20,000 0 0
WYNN RESORTS LTD COM 983134107 283 151,500 SH Call DFND 1 151,500 0 0
WYNN RESORTS LTD COM 983134107 1,944 15,300 SH   DFND 1 15,300 0 0
XILINX INC COM 983919101 95 75,000 SH Call DFND 4 75,000 0 0
XILINX INC COM 983919101 5,697 71,060 SH   DFND 4 71,060 0 0
XO GROUP INC COM 983772104 4 10,000 SH Call DFND 1 10,000 0 0
XO GROUP INC COM 983772104 1 2,300 SH Put DFND 1 2,300 0 0
XPO LOGISTICS INC COM 983793100 285 2,500 SH   DFND 1 2,500 0 0
XPO LOGISTICS INC COM 983793100 31 20,700 SH Put DFND 1 20,700 0 0
YOGAWORKS INC COM 986005106 1,078 898,317 SH   DFND 1 898,317 0 0
ZYNGA INC CL A 98986T108 9 74,100 SH Call DFND 1 74,100 0 0