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: 12-31-2018
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 02-08-2019
[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: 363
Form 13F Information Table Value Total: 903,420
(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
ACCELERATE DIAGNOSTICS INC COM 00430H102 264 22,960 SH   DFND 1 22,960 0 0
ACCELERON PHARMA INC COM 00434H108 236 5,411 SH   DFND 1 5,411 0 0
ACTIVISION BLIZZARD INC COM 00507V109 75 100,000 SH Call DFND 4 100,000 0 0
ADOBE INC COM 00724F101 9,325 41,219 SH   DFND 4 41,219 0 0
ALBERTON ACQUISITION CORP *W EXP 04/26/202 G35006124 44 383,790 SH   DFND 1 383,790 0 0
ALBERTON ACQUISITION CORP UNIT 04/22/2020 G35006116 1,042 103,851 SH   DFND 1 103,851 0 0
ALLEGRO MERGER CORP COM 01749N103 2,639 270,677 SH   DFND 1 270,677 0 0
ALPHABET INC CAP STK CL A 02079K305 73 70 SH   DFND 3 70 0 0
ALPHABET INC CAP STK CL A 02079K305 6,988 6,687 SH   DFND 4 6,687 0 0
ALTA MESA RES INC *W EXP 03/28/202 02133L117 116 1,652,742 SH   DFND 1 1,652,742 0 0
ALTABA INC COM 021346101 3,088 53,300 SH   DFND 3 53,300 0 0
AMAZON COM INC COM 023135106 3,512 2,338 SH   DFND 3 2,338 0 0
AMBARELLA INC SHS G037AX101 20 40,000 SH Call DFND 4 40,000 0 0
AMBARELLA INC SHS G037AX101 1,027 29,357 SH   DFND 4 29,357 0 0
AMICUS THERAPEUTICS INC COM 03152W109 118 12,353 SH   DFND 1 12,353 0 0
ANALOG DEVICES INC COM 032654105 2,520 29,362 SH   DFND 4 29,362 0 0
ANTERO RES CORP COM 03674X106 352 37,500 SH   DFND 1 37,500 0 0
APHRIA INC COM 03765K104 192 33,800 SH   DFND 1 33,800 0 0
APPLE INC COM 037833100 747 4,736 SH   DFND 3 4,736 0 0
APTINYX INC COM 03836N103 347 20,998 SH   DFND 3 20,998 0 0
ARCONIC INC COM 03965L100 140 180,000 SH Call DFND 5 180,000 0 0
ARCONIC INC COM 03965L100 169 10,000 SH   DFND 1 10,000 0 0
ARCONIC INC COM 03965L100 337 20,000 SH   DFND 5 20,000 0 0
ARCOSA INC COM 039653100 332 12,000 SH   DFND 1 12,000 0 0
ARRIS INTL INC SHS G0551A103 27,884 912,146 SH   DFND 5 912,146 0 0
ASPEN INSURANCE HOLDINGS LTD SHS G05384105 25,106 597,902 SH   DFND 5 597,902 0 0
ATHENAHEALTH INC COM 04685W103 25,373 192,324 SH   DFND 5 192,324 0 0
AUDENTES THERAPEUTICS INC COM 05070R104 2,985 140,000 SH   DFND 3 140,000 0 0
AUDENTES THERAPEUTICS INC COM 05070R104 18 20,000 SH Call DFND 3 20,000 0 0
AVISTA CORP COM 05379B107 829 19,513 SH   DFND 5 19,513 0 0
BANK AMER CORP COM 060505104 16,203 657,597 SH   DFND 1 657,597 0 0
BARRICK GOLD CORP COM 067901108 3,852 44,979 SH   DFND 3 44,979 0 0
BEMIS INC COM 081437105 21,107 459,843 SH   DFND 5 459,843 0 0
BIG LOTS INC COM 089302103 2,186 75,600 SH   DFND 1 75,600 0 0
BIG ROCK PARTNERS ACQUISI CO COM 089482103 323 31,625 SH   DFND 1 31,625 0 0
BIG ROCK PARTNERS ACQUISI CO RIGHT 12/01/2022 089482129 4 10,000 SH   DFND 1 10,000 0 0
BISON CAP ACQUISITION CORP *W EXP 06/20/202 G1142P112 11 65,786 SH   DFND 1 65,786 0 0
BISON CAP ACQUISITION CORP ORD SHS G1142P104 3,124 300,338 SH   DFND 1 300,338 0 0
BLACK RIDGE ACQUISITION CORP COM 09216T107 105 10,458 SH   DFND 1 10,458 0 0
BLACK RIDGE ACQUISITION CORP COM 09216T107 23 2,250 SH   DFND 3 2,250 0 0
BLACK RIDGE ACQUISITION CORP UNIT 10/05/2022 09216T206 525 50,000 SH   DFND 3 50,000 0 0
BLUEPRINT MEDICINES CORP COM 09627Y109 1,898 35,200 SH   DFND 3 35,200 0 0
BOEING CO COM 097023105 2,547 7,899 SH   DFND 4 7,899 0 0
BROOKFIELD PROPERTY REIT INC CL A 11282X103 2,092 129,934 SH   DFND 3 129,934 0 0
BROOKFIELD PROPERTY REIT INC CL A 11282X103 644 40,000 SH   DFND 2 40,000 0 0
CADENCE DESIGN SYSTEM INC COM 127387108 162 175,000 SH Put DFND 4 175,000 0 0
CADENCE DESIGN SYSTEM INC COM 127387108 138 230,000 SH Call DFND 4 230,000 0 0
CADENCE DESIGN SYSTEM INC COM 127387108 1,950 44,858 SH   DFND 4 44,858 0 0
CAESARS ENTMT CORP COM 127686103 290 42,727 SH   DFND 3 42,727 0 0
CAESARS ENTMT CORP COM 127686103 1,152 169,682 SH   DFND 5 169,682 0 0
CAMPBELL SOUP CO COM 134429109 402 12,200 SH   DFND 1 12,200 0 0
CAMPING WORLD HLDGS INC CL A 13462K109 429 37,400 SH   DFND 2 37,400 0 0
CAMPING WORLD HLDGS INC CL A 13462K109 367 37,400 SH Put DFND 2 37,400 0 0
CANOPY GROWTH CORP COM 138035100 10,085 375,316 SH   DFND 1 375,316 0 0
CANOPY GROWTH CORP COM 138035100 2,687 100,000 SH   DFND 2 100,000 0 0
CANOPY GROWTH CORP COM 138035100 840 100,000 SH Put DFND 2 100,000 0 0
CAPITAL ONE FINL CORP COM 14040H105 378 5,000 SH   DFND 3 5,000 0 0
CAPITOL INVT CORP IV *W EXP 01/01/202 G18920127 31 31,439 SH   DFND 1 31,439 0 0
CAPITOL INVT CORP IV CL A ORD G18920101 1,000 100,000 SH   DFND 3 100,000 0 0
CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 515 50,000 SH   DFND 3 50,000 0 0
CASEYS GEN STORES INC COM 147528103 1,320 10,300 SH   DFND 1 10,300 0 0
CBS CORP NEW CL B 124857202 5,211 119,190 SH   DFND 5 119,190 0 0
CBS CORP NEW CL B 124857202 169 370,800 SH Call DFND 5 370,800 0 0
CBS CORP NEW CL B 124857202 71 80,000 SH Put DFND 5 80,000 0 0
CELGENE CORP COM 151020104 324 5,050 SH   DFND 3 5,050 0 0
CHASERG TECHNLGY ACQUISITN C CLASS A 16166A103 250 25,855 SH   DFND 1 25,855 0 0
CHASERG TECHNLGY ACQUISITN C UNIT 09/30/2023 16166A202 5,145 514,997 SH   DFND 1 514,997 0 0
CHESAPEAKE ENERGY CORP COM 165167107 560 266,807 SH   DFND 3 266,807 0 0
CHESAPEAKE ENERGY CORP COM 165167107 656 268,800 SH Put DFND 3 268,800 0 0
CHESAPEAKE ENERGY CORP COM 165167107 398 189,454 SH   DFND 5 189,454 0 0
CHURCHILL CAP CORP *W EXP 09/11/202 17142R111 129 152,998 SH   DFND 1 152,998 0 0
CHURCHILL CAP CORP UNIT 99/99/9999 17142R202 2,188 216,448 SH   DFND 1 216,448 0 0
CHURCHILL CAP CORP UNIT 99/99/9999 17142R202 1,516 150,000 SH   DFND 3 150,000 0 0
CIGNA CORP NEW COM 125523100 152 127,000 SH Call DFND 5 127,000 0 0
CM SEVEN STAR ACQUISITION CO RIGHT 08/21/2022 G2345N136 63 169,289 SH   DFND 1 169,289 0 0
CM SEVEN STAR ACQUISITION CO UNIT 08/21/2022 G2345N128 58 5,500 SH   DFND 1 5,500 0 0
CM SEVEN STAR ACQUISITION CO UNIT 08/21/2022 G2345N128 2,663 250,000 SH   DFND 3 250,000 0 0
COCA COLA CO COM 191216100 4,619 97,550 SH   DFND 4 97,550 0 0
COLFAX CORP COM 194014106 1,492 71,400 SH   DFND 5 71,400 0 0
COLFAX CORP COM 194014106 23 45,000 SH Put DFND 5 45,000 0 0
COLLIER CREEK HOLDINGS COM CL A G22707106 214 22,160 SH   DFND 1 22,160 0 0
COLLIER CREEK HOLDINGS UNIT 99/99/9999 G22707122 571 57,100 SH   DFND 1 57,100 0 0
COMCAST CORP NEW CL A 20030N101 2,856 83,886 SH   DFND 4 83,886 0 0
COMMSCOPE HLDG CO INC COM 20337X109 1,730 105,581 SH   DFND 5 105,581 0 0
COMMSCOPE HLDG CO INC COM 20337X109 6 40,000 SH Call DFND 5 40,000 0 0
COMMUNITY HEALTH SYS INC NEW RIGHT 12/31/2019 203668116 0 440,858 SH   DFND 1 440,858 0 0
CONCRETE PUMPING HLDGS INC *W EXP 08/01/202 206704116 39 50,000 SH   DFND 3 50,000 0 0
CONSTELLATION ALPHA CAP CORP SHS G2379F108 1,391 136,250 SH   DFND 1 136,250 0 0
CONSTELLATION ALPHA CAP CORP UNIT 99/99/9999 G2379F124 1,457 136,250 SH   DFND 1 136,250 0 0
CORBUS PHARMACEUTICALS HLDGS COM 21833P103 64 11,000 SH   DFND 1 11,000 0 0
COREPOINT LODGING INC COM 21872L104 430 35,092 SH   DFND 3 35,092 0 0
CORVUS PHARMACEUTICALS INC COM 221015100 2,419 659,019 SH   DFND 3 659,019 0 0
CRITEO S A SPONS ADS 226718104 609 26,820 SH   DFND 1 26,820 0 0
DASEKE INC *W EXP 02/27/202 23753F115 11 71,500 SH   DFND 1 71,500 0 0
DAVE & BUSTERS ENTMT INC COM 238337109 446 10,000 SH   DFND 1 10,000 0 0
DD3 ACQUISITION CORP SHS G2692M103 817 85,000 SH   DFND 1 85,000 0 0
DD3 ACQUISITION CORP UNIT 10/12/2023 G2692M129 1,986 198,222 SH   DFND 1 198,222 0 0
DELL TECHNOLOGIES INC CL C 24703L202 1,759 36,000 SH   DFND 1 36,000 0 0
DENBURY RES INC COM NEW 247916208 255 148,967 SH   DFND 5 148,967 0 0
DENBURY RES INC COM NEW 247916208 123 605,100 SH Call DFND 5 605,100 0 0
DFB HEALTHCARE ACQUISTION CO *W EXP 04/11/202 23291E117 89 103,580 SH   DFND 1 103,580 0 0
DFB HEALTHCARE ACQUISTION CO COM 23291E109 969 98,899 SH   DFND 1 98,899 0 0
DISNEY WALT CO COM DISNEY 254687106 285 200,000 SH Call DFND 5 200,000 0 0
DISNEY WALT CO COM DISNEY 254687106 197 236,700 SH Put DFND 5 236,700 0 0
DISNEY WALT CO COM DISNEY 254687106 2,158 19,678 SH   DFND 4 19,678 0 0
EDTECHX HLDGS ACQUISITION CO *W EXP 12/31/202 28138X111 19 79,200 SH   DFND 1 79,200 0 0
EDTECHX HLDGS ACQUISITION CO COM 28138X103 1,218 125,536 SH   DFND 1 125,536 0 0
ELECTRONIC ARTS INC COM 285512109 189 2,400 SH   DFND 1 2,400 0 0
ELECTRONIC ARTS INC COM 285512109 108 94,200 SH Call DFND 4 94,200 0 0
ENCANA CORP COM 292505104 97 313,800 SH Put DFND 5 313,800 0 0
ENCANA CORP COM 292505104 581 100,502 SH   DFND 5 100,502 0 0
ENCANA CORP COM 292505104 135 387,500 SH Call DFND 5 387,500 0 0
FAIR ISAAC CORP COM 303250104 206 1,100 SH   DFND 1 1,100 0 0
FALCON MINERALS CORP *W EXP 07/21/202 30607B208 86 143,647 SH   DFND 1 143,647 0 0
FAR PT ACQUISITION CORP *W EXP 06/01/202 30734W117 71 58,805 SH   DFND 1 58,805 0 0
FEDERAL STR ACQUISITION CORP *W EXP 07/24/202 31421V115 146 207,964 SH   DFND 1 207,964 0 0
FIFTH THIRD BANCORP COM 316773100 3,064 130,200 SH   DFND 5 130,200 0 0
FIFTH THIRD BANCORP COM 316773100 301 274,500 SH Call DFND 5 274,500 0 0
FIFTH THIRD BANCORP COM 316773100 42 100,000 SH Put DFND 5 100,000 0 0
FORUM MERGER II CORP UNIT 09/30/2025 34986F202 1,569 155,020 SH   DFND 1 155,020 0 0
FORUM MERGER II CORP UNIT 09/30/2025 34986F202 5,060 500,000 SH   DFND 3 500,000 0 0
FOSSIL GROUP INC COM 34988V106 346 22,000 SH   DFND 1 22,000 0 0
GCI LIBERTY INC COM CLASS A 36164V305 6,649 161,543 SH   DFND 3 161,543 0 0
GENWORTH FINL INC COM CL A 37247D106 350 75,136 SH   DFND 1 75,136 0 0
GENWORTH FINL INC COM CL A 37247D106 898 192,629 SH   DFND 5 192,629 0 0
GIGCAPITAL INC *W EXP 06/08/202 37518N122 57 229,174 SH   DFND 1 229,174 0 0
GIGCAPITAL INC COM 37518N106 1,598 158,240 SH   DFND 1 158,240 0 0
GIGCAPITAL INC UNIT 03/06/2025 37518N205 989 93,496 SH   DFND 1 93,496 0 0
GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 3,202 78,000 SH   DFND 3 78,000 0 0
GLOBALSTAR INC COM 378973408 32 50,000 SH   DFND 1 50,000 0 0
GORDON POINTE ACQUISITION CO *W EXP 07/30/202 382788115 19 48,900 SH   DFND 1 48,900 0 0
GRAF INDL CORP *W EXP 12/31/202 384278115 122 303,925 SH   DFND 1 303,925 0 0
GRAF INDL CORP COM 384278107 434 45,200 SH   DFND 1 45,200 0 0
GREENLAND ACQUISITIN CORPORA RIGHT 04/27/2025 G40981113 36 173,156 SH   DFND 1 173,156 0 0
GS ACQUISITION HLDGS CORP *W EXP 06/12/202 36255F110 569 454,078 SH   DFND 1 454,078 0 0
GS ACQUISITION HLDGS CORP COM CL A 36255F102 8,789 896,824 SH   DFND 1 896,824 0 0
GS ACQUISITION HLDGS CORP UNIT 06/12/2023 36255F201 417 40,721 SH   DFND 1 40,721 0 0
GTY TECHNOLOGY HOLDINGS INC *W EXP 10/25/202 G4182A128 53 68,613 SH   DFND 1 68,613 0 0
GUARANTY BANCORP DEL COM NEW 40075T607 2,221 107,019 SH   DFND 3 107,019 0 0
HALCON RES CORP *W EXP 09/09/202 40537Q118 4 140,099 SH   DFND 1 140,099 0 0
HAYMAKER ACQUISITION CORP *W EXP 10/27/202 420870115 34 41,061 SH   DFND 1 41,061 0 0
HAYMAKER ACQUISITION CORP COM CLASS A 420870107 743 74,272 SH   DFND 1 74,272 0 0
HAYMAKER ACQUISITION CORP UNIT 10/19/2022 420870206 452 42,800 SH   DFND 1 42,800 0 0
HAYMAKER ACQUISITION CORP UNIT 10/19/2022 420870206 5,275 500,000 SH   DFND 3 500,000 0 0
HIBBETT SPORTS INC COM 428567101 1,537 107,500 SH   DFND 1 107,500 0 0
HL ACQUISITIONS CORP RIGHT 07/17/2023 G4603R130 20 26,230 SH   DFND 1 26,230 0 0
HOME DEPOT INC COM 437076102 387 2,251 SH   DFND 1 2,251 0 0
HOME DEPOT INC COM 437076102 7 40 SH   DFND 3 40 0 0
INPHI CORP COM 45772F107 21 125,000 SH Call DFND 4 125,000 0 0
INTEGRATED DEVICE TECHNOLOGY COM 458118106 6,085 125,645 SH   DFND 5 125,645 0 0
INTEGRATED DEVICE TECHNOLOGY COM 458118106 0 1,800 SH Put DFND 4 1,800 0 0
INVESTORS BANCORP INC NEW COM 46146L101 2,915 280,274 SH   DFND 5 280,274 0 0
INVESTORS BANCORP INC NEW COM 46146L101 182 195,000 SH Call DFND 5 195,000 0 0
ISHARES TR IBOXX HI YD ETF 464288513 770 9,500 SH   DFND 1 9,500 0 0
ISHARES TR NASDAQ BIOTECH 464287556 222 2,300 SH   DFND 1 2,300 0 0
JACK IN THE BOX INC COM 466367109 7,680 98,929 SH   DFND 5 98,929 0 0
JASON INDS INC *W EXP 06/30/201 471172114 0 49,669 SH   DFND 1 49,669 0 0
KB HOME COM 48666K109 287 15,000 SH   DFND 1 15,000 0 0
KEMPHARM INC COM 488445107 1,008 566,313 SH   DFND 3 566,313 0 0
KEZAR LIFE SCIENCES INC COM 49372L100 19,663 833,197 SH   DFND 3 833,197 0 0
LAM RESEARCH CORP COM 512807108 2,781 20,425 SH   DFND 1 20,425 0 0
LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 66 200,014 SH   DFND 1 200,014 0 0
LEGACY ACQUISITION CORP COM CL A 524643103 221 22,500 SH   DFND 1 22,500 0 0
LEGACY ACQUISITION CORP UNIT 05/31/2024 524643202 853 83,757 SH   DFND 1 83,757 0 0
LEGACY ACQUISITION CORP UNIT 05/31/2024 524643202 9,162 900,000 SH   DFND 3 900,000 0 0
LEISURE ACQUISITION CORP *W EXP 12/05/201 52539T115 375 474,153 SH   DFND 1 474,153 0 0
LEISURE ACQUISITION CORP COM 52539T107 661 67,288 SH   DFND 1 67,288 0 0
LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 1,013 100,000 SH   DFND 3 100,000 0 0
LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 405 40,024 SH   DFND 1 40,024 0 0
LEO HOLDINGS CORP *W EXP 02/07/202 G5463L113 373 348,675 SH   DFND 1 348,675 0 0
LF CAP ACQUISITION CORP CL A 50200K108 833 85,189 SH   DFND 1 85,189 0 0
LF CAP ACQUISITION CORP UNIT 06/19/2025 50200K207 113 11,198 SH   DFND 1 11,198 0 0
LIBERTY BROADBAND CORP COM SER C 530307305 14,305 198,594 SH   DFND 3 198,594 0 0
LIBERTY EXPEDIA HOLDINGS SER A COM 53046P109 5,050 129,126 SH   DFND 3 129,126 0 0
LIBERTY GLOBAL PLC SHS CL C G5480U120 9,801 474,838 SH   DFND 1 474,838 0 0
LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 8,300 225,540 SH   DFND 3 225,540 0 0
LIVERAMP HLDGS INC COM 53815P108 554 14,350 SH   DFND 3 14,350 0 0
LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 1,280 500,000 SH   DFND 3 500,000 0 0
LOGMEIN INC COM 54142L109 56 75,000 SH Call DFND 4 75,000 0 0
LONGEVITY ACQUISITION CORP *W EXP 07/31/202 G56372116 42 302,500 SH   DFND 1 302,500 0 0
LONGEVITY ACQUISITION CORP ORD SHS G56372132 2,118 210,791 SH   DFND 1 210,791 0 0
LONGEVITY ACQUISITION CORP UNIT 08/29/2024 G56372108 240 23,653 SH   DFND 1 23,653 0 0
MARATHON PETE CORP COM 56585A102 325 5,500 SH   DFND 1 5,500 0 0
MB FINANCIAL INC NEW COM 55264U108 2,546 64,247 SH   DFND 5 64,247 0 0
MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 49 129,457 SH   DFND 1 129,457 0 0
MEGALITH FINL ACQUISITION CO UNIT 09/30/2025 58518F208 301 29,890 SH   DFND 1 29,890 0 0
MEGALITH FINL ACQUISITION CO UNIT 09/30/2025 58518F208 8,355 828,900 SH   DFND 3 828,900 0 0
MIDSTATES PETE CO INC COM PAR 59804T407 84 11,173 SH   DFND 1 11,173 0 0
MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 6,190 1,271,000 SH   DFND 2 1,271,000 0 0
MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 7,618 1,564,243 SH   DFND 3 1,564,243 0 0
MIZUHO FINL GROUP INC SPONSORED ADR 60687Y109 2,661 887,000 SH   DFND 2 887,000 0 0
MODERN MEDIA ACQUISITION *W EXP 05/17/202 60765P111 8 29,212 SH   DFND 1 29,212 0 0
MODERN MEDIA ACQUISITION UNIT 99/99/9999 60765P202 1,806 173,999 SH   DFND 1 173,999 0 0
MOSAIC ACQUISITION CORP COM CL A 61946M100 126 12,805 SH   DFND 1 12,805 0 0
MOSAIC ACQUISITION CORP UNIT 99/99/9999 61946M209 3 300 SH   DFND 1 300 0 0
MOSAIC ACQUISITION CORP UNIT 99/99/9999 61946M209 1,518 150,000 SH   DFND 3 150,000 0 0
MTECH ACQUISITION CORP COM CLASS A 55378W107 2,907 288,154 SH   DFND 1 288,154 0 0
MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 2 5,200 SH   DFND 1 5,200 0 0
MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 113 250,000 SH   DFND 3 250,000 0 0
MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 4,177 423,237 SH   DFND 1 423,237 0 0
MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 2,470 250,000 SH   DFND 3 250,000 0 0
MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 165 16,290 SH   DFND 1 16,290 0 0
MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 1,050 100,000 SH   DFND 3 100,000 0 0
MYLAN N V SHS EURO N59465109 781 28,500 SH   DFND 5 28,500 0 0
MYOKARDIA INC COM 62857M105 1,710 35,000 SH   DFND 3 35,000 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 147 122,639 SH   DFND 1 122,639 0 0
NAVIGATORS GROUP INC COM 638904102 2,461 35,409 SH   DFND 5 35,409 0 0
NEBULA ACQUISITION CORP *W EXP 03/12/202 629076118 127 133,863 SH   DFND 1 133,863 0 0
NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 144 14,359 SH   DFND 1 14,359 0 0
NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 1,006 100,000 SH   DFND 3 100,000 0 0
NEW AGE BEVERAGES CORP COM 64157V108 22 174,800 SH Call DFND 2 174,800 0 0
NEW FRONTIER CORP *W EXP 99/99/999 G6485P124 408 463,937 SH   DFND 1 463,937 0 0
NEW FRONTIER CORP COM CL A G6485P108 3,944 402,466 SH   DFND 1 402,466 0 0
NEW FRONTIER CORP UNIT 99/99/9999 G6485P116 168 16,635 SH   DFND 1 16,635 0 0
NEWFIELD EXPL CO COM 651290108 2,721 185,600 SH   DFND 5 185,600 0 0
NEXEO SOLUTIONS INC *W EXP 06/09/202 65342H110 20 50,000 SH   DFND 5 50,000 0 0
NEXSTAR MEDIA GROUP INC CL A 65336K103 51 25,000 SH Call DFND 5 25,000 0 0
NIELSEN HLDGS PLC SHS EUR G6518L108 3,905 167,365 SH   DFND 5 167,365 0 0
NII HLDGS INC COM PAR 62913F508 110 25,000 SH   DFND 1 25,000 0 0
NOMURA HLDGS INC SPONSORED ADR 65535H208 874 235,000 SH   DFND 2 235,000 0 0
NOVARTIS A G SPONSORED ADR 66987V109 2,145 25,000 SH   DFND 1 25,000 0 0
NRC GROUP HLDGS CORP *W EXP 10/17/202 629375114 89 109,651 SH   DFND 1 109,651 0 0
NVIDIA CORP COM 67066G104 271 2,027 SH   DFND 3 2,027 0 0
NXP SEMICONDUCTORS N V COM N6596X109 1,334 18,200 SH   DFND 1 18,200 0 0
NXSTAGE MEDICAL INC COM 67072V103 3,638 127,107 SH   DFND 5 127,107 0 0
ONE MADISON CORP COM CL A G6772P100 443 44,186 SH   DFND 1 44,186 0 0
OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 245 843,176 SH   DFND 1 843,176 0 0
OPES ACQUISITION CORP COM 68373P100 317 31,922 SH   DFND 1 31,922 0 0
OPES ACQUISITION CORP UNIT 03/07/2023 68373P209 387 37,700 SH   DFND 1 37,700 0 0
ORBOTECH LTD ORD M75253100 1,616 28,587 SH   DFND 5 28,587 0 0
ORCHARD THERAPEUTICS PLC ADS 68570P101 99 6,296 SH   DFND 1 6,296 0 0
ORCHARD THERAPEUTICS PLC ADS 68570P101 45,955 2,921,483 SH   DFND 3 2,921,483 0 0
OVID THERAPEUTICS INC COM 690469101 2,060 851,414 SH   DFND 3 851,414 0 0
PACIFIC BIOSCIENCES CALIF IN COM 69404D108 737 99,660 SH   DFND 1 99,660 0 0
PAGSEGURO DIGITAL LTD COM CL A G68707101 332 17,700 SH   DFND 1 17,700 0 0
PANDORA MEDIA INC COM 698354107 3,606 445,759 SH   DFND 5 445,759 0 0
PANDORA MEDIA INC COM 698354107 29 350,000 SH Put DFND 5 350,000 0 0
PANDORA MEDIA INC COM 698354107 2,004 247,714 SH   DFND 2 247,714 0 0
PAPA JOHNS INTL INC COM 698813102 1,608 40,390 SH   DFND 5 40,390 0 0
PAPA JOHNS INTL INC COM 698813102 8 25,000 SH Call DFND 5 25,000 0 0
PAPA JOHNS INTL INC COM 698813102 100 2,500 SH   DFND 1 2,500 0 0
PATTERSON COMPANIES INC COM 703395103 236 12,000 SH   DFND 1 12,000 0 0
PENN NATL GAMING INC COM 707569109 269 14,300 SH   DFND 3 14,300 0 0
PENSARE ACQUISITION CORP COM 70957E105 2,878 284,100 SH   DFND 1 284,100 0 0
PENSARE ACQUISITION CORP COM 70957E105 7,650 755,218 SH   DFND 3 755,218 0 0
PIMCO ETF TR ENHAN SHRT MA AC 72201R833 4,227 41,877 SH   DFND 1 41,877 0 0
PLATINUM EAGLE ACQUISITIN CO *W EXP 01/17/202 G7126L118 359 275,903 SH   DFND 1 275,903 0 0
PLATINUM EAGLE ACQUISITIN CO SHS CL A G7126L100 488 48,419 SH   DFND 1 48,419 0 0
PLATINUM EAGLE ACQUISITIN CO UNIT 01/09/2023 G7126L126 865 82,553 SH   DFND 1 82,553 0 0
PRIORITY TECHNOLOGY HLDGS IN *W EXP 11/15/202 74275G115 198 158,132 SH   DFND 1 158,132 0 0
PROSHARES TR ULTRASHRT S&P500 74347B383 638 14,863 SH   DFND 3 14,863 0 0
PURE ACQUISITION CORP *W EXP 04/17/202 74621Q114 22 19,316 SH   DFND 1 19,316 0 0
PURE ACQUISITION CORP CL A 74621Q106 2,818 286,425 SH   DFND 1 286,425 0 0
PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 338 32,860 SH   DFND 1 32,860 0 0
PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 2,625 250,000 SH   DFND 3 250,000 0 0
PURE STORAGE INC CL A 74624M102 651 40,514 SH   DFND 4 40,514 0 0
PURE STORAGE INC CL A 74624M102 22 225,000 SH Call DFND 4 225,000 0 0
RED HAT INC COM 756577102 49,940 284,331 SH   DFND 5 284,331 0 0
REGALWOOD GLOBAL ENERGY LTD *W EXP 12/05/202 G74760128 81 81,200 SH   DFND 1 81,200 0 0
RENT A CTR INC NEW COM 76009N100 575 35,500 SH   DFND 1 35,500 0 0
RIMINI STR INC DEL COM 76674Q107 1,223 237,500 SH   DFND 1 237,500 0 0
ROYAL DUTCH SHELL PLC SPON ADR B 780259107 1,073 17,900 SH   DFND 1 17,900 0 0
SALESFORCE COM INC COM 79466L302 7,354 53,692 SH   DFND 4 53,692 0 0
SCHEIN HENRY INC COM 806407102 32 176,000 SH Call DFND 3 176,000 0 0
SCHULTZE SPL PURP ACQUISITIO UNIT 12/31/2023 80821R208 570 57,300 SH   DFND 1 57,300 0 0
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 238 10,000 SH   DFND 1 10,000 0 0
SENTINEL ENERGY SVCS INC CL A 81728P105 1,263 126,000 SH   DFND 1 126,000 0 0
SERVICENOW INC COM 81762P102 5,550 31,172 SH   DFND 4 31,172 0 0
SHIRE PLC SPONSORED ADR 82481R106 37,185 513,656 SH   DFND 2 513,656 0 0
SHIRE PLC SPONSORED ADR 82481R106 343 50,100 SH Call DFND 5 50,100 0 0
SIERRA ONCOLOGY INC COM 82640U107 66 50,000 SH   DFND 1 50,000 0 0
SIRIUS XM HLDGS INC COM 82968B103 3,021 1,358,000 SH Put DFND 3 1,358,000 0 0
SIRIUS XM HLDGS INC COM 82968B103 1,049 450,000 SH Put DFND 2 450,000 0 0
SIRIUS XM HLDGS INC COM 82968B103 29 5,000 SH   DFND 3 5,000 0 0
SIRIUS XM HLDGS INC COM 82968B103 2,570 450,000 SH   DFND 2 450,000 0 0
SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 09/14/202 G8250R129 10 14,500 SH   DFND 1 14,500 0 0
SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 1,111 111,111 SH   DFND 1 111,111 0 0
SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 10,000 1,000,000 SH   DFND 3 1,000,000 0 0
SPARTAN ENERGY ACQUISITON CO *W EXP 08/27/202 846784122 176 181,587 SH   DFND 1 181,587 0 0
SPARTAN ENERGY ACQUISITON CO CL A COM STK 846784106 6,238 647,758 SH   DFND 1 647,758 0 0
SPARTAN ENERGY ACQUISITON CO UNIT 99/99/9999 846784114 10,000 1,000,000 SH   DFND 3 1,000,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 187 30,000 SH Call DFND 4 30,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 3 200,000 SH Call DFND 5 200,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 7,657 30,638 SH   DFND 4 30,638 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 400 1,600 SH   DFND 1 1,600 0 0
SPRINT CORP COM SER 1 85207U105 524 90,000 SH   DFND 1 90,000 0 0
SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 10,152 809,600 SH   DFND 3 809,600 0 0
SS&C TECHNOLOGIES HLDGS INC COM 78467J100 496 11,000 SH   DFND 1 11,000 0 0
STERLING BANCORP DEL COM 85917A100 858 51,960 SH   DFND 3 51,960 0 0
STEWART INFORMATION SVCS COR COM 860372101 270 6,532 SH   DFND 5 6,532 0 0
SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 13 2,000 SH   DFND 2 2,000 0 0
SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 2,604 400,000 SH   DFND 3 400,000 0 0
SUNPOWER CORP COM 867652406 994 200,000 SH   DFND 2 200,000 0 0
SUNPOWER CORP COM 867652406 1,020 200,000 SH Put DFND 2 200,000 0 0
SYMANTEC CORP COM 871503108 3,560 188,389 SH   DFND 5 188,389 0 0
SYNOVUS FINL CORP COM NEW 87161C501 98 107,900 SH Call DFND 5 107,900 0 0
SYNOVUS FINL CORP COM NEW 87161C501 3,176 99,271 SH   DFND 5 99,271 0 0
SYNOVUS FINL CORP COM NEW 87161C501 1,253 39,157 SH   DFND 1 39,157 0 0
T MOBILE US INC COM 872590104 5,010 78,761 SH   DFND 4 78,761 0 0
T MOBILE US INC COM 872590104 12,176 191,413 SH   DFND 5 191,413 0 0
T MOBILE US INC COM 872590104 128 107,600 SH Call DFND 5 107,600 0 0
T MOBILE US INC COM 872590104 38 65,000 SH Put DFND 5 65,000 0 0
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 29 50,000 SH Put DFND 4 50,000 0 0
TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 4,119 244,874 SH   DFND 3 244,874 0 0
TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 5 300 SH   DFND 1 300 0 0
TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 10,311 613,030 SH   DFND 2 613,030 0 0
TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 2,220 21,567 SH   DFND 4 21,567 0 0
TARGA RES CORP COM 87612G101 3,404 94,500 SH   DFND 1 94,500 0 0
TENNECO INC CL A VTG COM STK 880349105 1,027 37,500 SH   DFND 1 37,500 0 0
TENZING ACQUISITION CORP *W EXP 02/23/202 G8708A108 56 171,059 SH   DFND 1 171,059 0 0
TENZING ACQUISITION CORP ORD SHS G8708A116 246 25,100 SH   DFND 1 25,100 0 0
TESARO INC COM 881569107 208 2,801 SH   DFND 5 2,801 0 0
TESARO INC COM 881569107 14 181,200 SH Call DFND 5 181,200 0 0
THUNDER BRIDGE ACQUISITION L *W EXP 01/01/202 G8857R126 4 10,410 SH   DFND 1 10,410 0 0
THUNDER BRIDGE ACQUISITION L UNIT 01/01/2025 G8857R118 521 51,249 SH   DFND 1 51,249 0 0
THUNDER BRIDGE ACQUISITION L UNIT 01/01/2025 G8857R118 2,096 205,800 SH   DFND 3 205,800 0 0
TILRAY INC COM CL 2 88688T100 11,925 169,055 SH   DFND 1 169,055 0 0
TILRAY INC COM CL 2 88688T100 4 7,200 SH Call DFND 2 7,200 0 0
TIVITY HEALTH INC COM 88870R102 35 50,000 SH Call DFND 5 50,000 0 0
TKK SYMPHONY ACQUISITION COR *W EXP 02/20/202 G88950129 5 30,000 SH   DFND 1 30,000 0 0
TKK SYMPHONY ACQUISITION COR ORD SHS G88950103 140 14,486 SH   DFND 1 14,486 0 0
TOTAL S A SPONSORED ADR 89151E109 357 6,741 SH   DFND 2 6,741 0 0
TOTTENHAM ACQUISITION I LTD *W EXP 05/06/202 G8959N114 5 45,100 SH   DFND 1 45,100 0 0
TOTTENHAM ACQUISITION I LTD RIGHT 06/05/2020 G8959N122 49 224,671 SH   DFND 1 224,671 0 0
TOTTENHAM ACQUISITION I LTD SHS G8959N106 906 92,492 SH   DFND 1 92,492 0 0
TPG PACE HLDGS CORP *W EXP 06/27/202 G89827110 21 20,579 SH   DFND 1 20,579 0 0
TRIBUNE PUBG CO NEW COM 89609W107 348 30,695 SH   DFND 1 30,695 0 0
TRIDENT ACQUISITIONS CORP COM 89615T106 60 5,999 SH   DFND 1 5,999 0 0
TRIDENT ACQUISITIONS CORP COM 89615T106 997 100,000 SH   DFND 3 100,000 0 0
TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 6,667 654,300 SH   DFND 3 654,300 0 0
TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 346 33,926 SH   DFND 1 33,926 0 0
TRINITY INDS INC COM 896522109 846 41,100 SH   DFND 1 41,100 0 0
TRINITY MERGER CORP COM CL A 89653L106 1,732 173,376 SH   DFND 1 173,376 0 0
TRINITY MERGER CORP UNIT 05/11/2025 89653L205 781 75,700 SH   DFND 1 75,700 0 0
TRINITY MERGER CORP UNIT 05/11/2025 89653L205 1,292 125,240 SH   DFND 3 125,240 0 0
TWELVE SEAS INVESTMENT COMPA *W EXP 12/22/202 G9145A115 84 323,962 SH   DFND 1 323,962 0 0
TWELVE SEAS INVESTMENT COMPA RIGHT 12/22/2019 G9145A131 395 1,128,658 SH   DFND 1 1,128,658 0 0
TWELVE SEAS INVESTMENT COMPA SHS G9145A107 1,962 199,845 SH   DFND 1 199,845 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 2,406 50,000 SH   DFND 1 50,000 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 166 1,254,100 SH Put DFND 5 1,254,100 0 0
TWENTY FIRST CENTY FOX INC CL A 90130A101 691 14,367 SH   DFND 5 14,367 0 0
TWENTY FIRST CENTY FOX INC CL B 90130A200 64,916 1,358,640 SH   DFND 5 1,358,640 0 0
ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 1,304 30,000 SH   DFND 3 30,000 0 0
UNILEVER PLC SPON ADR NEW 904767704 6,216 118,960 SH   DFND 3 118,960 0 0
UNION ACQUISITION CORP *W EXP 07/01/202 G9366W127 9 36,961 SH   DFND 1 36,961 0 0
UNION ACQUISITION CORP RIGHT 12/02/2019 G9366W135 10 25,000 SH   DFND 1 25,000 0 0
UNION ACQUISITION CORP SHS G9366W101 514 51,000 SH   DFND 1 51,000 0 0
UNUM THERAPEUTICS INC COM 903214104 3,597 817,395 SH   DFND 3 817,395 0 0
VALERO ENERGY PARTNERS LP COM UNT REP LP 91914J102 10,210 242,115 SH   DFND 3 242,115 0 0
VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 171 16,746 SH   DFND 1 16,746 0 0
VANTAGE ENERGY ACQUISITION UNIT 04/12/2024 92211L204 10,402 1,000,000 SH   DFND 3 1,000,000 0 0
VECTOIQ ACQUISITION CORP *W EXP 05/11/202 92243N111 11 25,000 SH   DFND 1 25,000 0 0
VECTOIQ ACQUISITION CORP COM 92243N103 123 1,173,700 SH   DFND 1 1,173,700 0 0
VECTOIQ ACQUISITION CORP UNIT 05/11/2023 92243N202 2,990 296,667 SH   DFND 1 296,667 0 0
VIACOM INC NEW CL B 92553P201 1,028 39,993 SH   DFND 5 39,993 0 0
VISA INC COM CL A 92826C839 3,258 24,694 SH   DFND 4 24,694 0 0
VMWARE INC CL A COM 928563402 7,090 51,700 SH   DFND 1 51,700 0 0
WESTERN DIGITAL CORP COM 958102105 27 100,000 SH Put DFND 4 100,000 0 0
YOGAWORKS INC COM 986005106 458 898,317 SH   DFND 1 898,317 0 0
ZAYO GROUP HLDGS INC COM 98919V105 3,326 145,619 SH   DFND 5 145,619 0 0
ZENDESK INC COM 98936J101 3,944 67,570 SH   DFND 4 67,570 0 0
ZOGENIX INC COM NEW 98978L204 219 6,000 SH   DFND 1 6,000 0 0