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:Oct 31, 2018
Estimated average burden
hours per response:23.8

Report for the Calendar Year or Quarter Ended:03-31-2019
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 LittmanNew YorkNY05-13-2019
[Signature][City, State][Date]
Report Type (Check only one.):
X13F 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:4
Form 13F Information Table Entry Total:418
Form 13F Information Table Value Total:930,743
(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 NumberName
1028-04125COWEN & COMPANY, LLC
2028-18771COWEN EXECUTION SERVICES LLC
3028-13626Cowen Investment Management LLC
4028-10674RAMIUS 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:Oct 31, 2018
Estimated average burden
hours per response:23.8

COLUMN 1COLUMN 2COLUMN 3COLUMN 4COLUMN 5COLUMN 6COLUMN 7COLUMN 8
VALUESHRS ORSH/PUT/INVESTMENTOTHERVOTING AUTHORITY
NAME OF ISSUERTITLE OF CLASSCUSIP(x$1000)PRN AMTPRNCALLDISCRETIONMANAGERSOLESHAREDNONE
ABBVIE INCCOM00287Y1096850,000SHPutDFND150,00000
ABBVIE INCCOM00287Y10986610,750SH DFND110,75000
ACAMAR PARTNERS ACQSITION COUNIT 12/30/202500428520125025,000SH DFND125,00000
ADVANCED MICRO DEVICES INCCOM00790310745918,000SH DFND118,00000
ADVANCED MICRO DEVICES INCCOM0079031073540,000SHPutDFND140,00000
AGIOS PHARMACEUTICALS INCCOM00847X10411430,000SHCallDFND130,00000
ALBERTON ACQUISITION CORP*W EXP 04/26/202G3500612460661,905SH DFND1661,90500
ALBERTON ACQUISITION CORPRIGHT 10/04/2020G3500613221121,650SH DFND1121,65000
ALLEGRO MERGER CORP*W EXP 01/06/20201749N111624,778SH DFND124,77800
ALLEGRO MERGER CORPRIGHT 12/31/202301749N1292074,778SH DFND174,77800
ALLIANCE DATA SYSTEMS CORPCOM0185811083215,100SHCallDFND115,10000
ALLIANCE DATA SYSTEMS CORPCOM01858110846533,200SHPutDFND133,20000
ALPHABET INCCAP STK CL A02079K305222189SH DFND318900
ALPHABET INCCAP STK CL C02079K107290247SH DFND324700
ALTA MESA RES INC*W EXP 03/28/20202133L117116,434SH DFND116,43400
ALTABA INCCOM0213461014,69263,300SH DFND363,30000
AMAZON COM INCCOM0231351064,6502,611SH DFND32,61100
AMCI ACQUISITION CORP*W EXP 05/20/20200165R119414,000SH DFND114,00000
AMCI ACQUISITION CORPCLASS A00165R1012,302233,931SH DFND1233,93100
AMCI ACQUISITION CORPUNIT 01/07/201900165R20043242,700SH DFND142,70000
AMICUS THERAPEUTICS INCCOM03152W1094352,500SHCallDFND152,50000
AMICUS THERAPEUTICS INCCOM03152W109435,000SHPutDFND135,00000
ANDINA ACQUISITION CORP III*W EXP 07/31/202G04415124631,350SH DFND131,35000
ANDINA ACQUISITION CORP IIIRIGHT 07/31/2020G04415132121355,563SH DFND1355,56300
ANDINA ACQUISITION CORP IIIUNIT 09/24/2020G0441511697896,836SH DFND196,83600
ANTERO RES CORPCOM03674X10612414,000SH DFND114,00000
ANTERO RES CORPCOM03674X106677,500SHPutDFND17,50000
ANTERO RES CORPCOM03674X106214,600SHCallDFND114,60000
APHRIA INCCOM03765K104828,850SH DFND18,85000
APHRIA INCCOM03765K10466871,700SH DFND271,70000
APHRIA INCCOM03765K1045971,700SHPutDFND271,70000
APPLE INCCOM0378331008924,694SH DFND34,69400
ARCONIC INCCOM03965L100429,600SHCallDFND129,60000
ARCONIC INCCOM03965L100155,200SHPutDFND155,20000
ARQULE INCCOM04269E107469,500SH DFND19,50000
ARQULE INCCOM04269E107660,900SHCallDFND160,90000
ARQULE INCCOM04269E10736,300SHPutDFND16,30000
ARYA SCIENCES ACQUISITION CO*W EXP 10/10/202G3165V1253434,156SH DFND134,15600
ASCENDIS PHARMA A SSPONSORED ADR04351P1016065,150SH DFND15,15000
ASCENDIS PHARMA A SSPONSORED ADR04351P10110638,800SHCallDFND138,80000
ASCENDIS PHARMA A SSPONSORED ADR04351P10174,000SHPutDFND14,00000
AT&T INCCOM00206R1023,136100,000SH DFND1100,00000
AT&T INCCOM00206R10267550,000SHCallDFND1550,00000
AT&T INCCOM00206R10243100,000SHPutDFND1100,00000
ATARA BIOTHERAPEUTICS INCCOM0465131073810,000SHCallDFND110,00000
AUDENTES THERAPEUTICS INCCOM05070R1042,84873,000SH DFND373,00000
AUDENTES THERAPEUTICS INCCOM05070R104235,000SHCallDFND35,00000
AURORA CANNABIS INCCOM05156X108654161,400SHCallDFND1161,40000
AVAYA HLDGS CORPCOM05351X10192655,000SH DFND455,00000
AVAYA HLDGS CORPCOM05351X101191150,000SHCallDFND4150,00000
AVON PRODS INCCOM054303102420,000SHPutDFND120,00000
AVON PRODS INCCOM054303102713242,500SH DFND1242,50000
AXSOME THERAPEUTICS INCCOM05464T1049320,200SHCallDFND120,20000
BANK N S HALIFAXCOM064149107128SH DFND32800
BANK N S HALIFAXCOM064149107202,000,000SHCallDFND22,000,00000
BARCLAYS PLCADR06738E20415018,696SH DFND318,69600
BB&T CORPCOM0549371073014,500SHPutDFND414,50000
BELMOND LTDCL AG1154H107477,500SHCallDFND177,50000
BEMIS CO INCCOM08143710538,833699,950SH DFND4699,95000
BIG ROCK PARTNERS ACQUISI COCOM08948210316716,127SH DFND116,12700
BIOSCRIP INCCOM09069N108836417,898SH DFND4417,89800
BLACK RIDGE ACQUISITION CORPUNIT 10/05/202209216T20653150,000SH DFND350,00000
BLUEBIRD BIO INCCOM09609G1001,2598,000SH DFND38,00000
BLUEPRINT MEDICINES CORPCOM09627Y1092,72234,000SH DFND334,00000
BOEING COCOM0970231054811,260SH DFND31,26000
BOXWOOD MERGER CORP*W EXP 11/26/20210319T119821,404SH DFND121,40400
BOXWOOD MERGER CORPUNIT 11/26/202510319T20057657,100SH DFND157,10000
BP PRUDHOE BAY RTY TRUNIT BEN INT05563010749089,000SHPutDFND389,00000
BRIGHTHOUSE FINL INCCOM10922N10337710,399SH DFND110,39900
BRISTOL MYERS SQUIBB COCOM11012210868714,400SH DFND114,40000
BRISTOL MYERS SQUIBB COCOM110122108861,800SH DFND41,80000
BRISTOL MYERS SQUIBB COCOM110122108117503,800SHCallDFND1503,80000
BRISTOL MYERS SQUIBB COCOM110122108253311,000SHCallDFND4311,00000
BRISTOL MYERS SQUIBB COCOM110122108644536,800SHPutDFND1536,80000
BROOKFIELD PROPERTY REIT INCCL A11282X1033,877189,200SH DFND2189,20000
BROOKFIELD PROPERTY REIT INCCL A11282X10346422,659SH DFND322,65900
CAESARS ENTMT CORPCOM12768610336241,602SH DFND341,60200
CAESARS ENTMT CORPCOM1276861032,451282,100SH DFND4282,10000
CAESARS ENTMT CORPCOM1276861032247,600SHPutDFND147,60000
CAESARS ENTMT CORPCOM12768610328733,000SH DFND133,00000
CANNTRUST HLDGS INCCOM13780020715520,000SH DFND120,00000
CANOPY GROWTH CORPCOM1380351004,883112,600SH DFND2112,60000
CANOPY GROWTH CORPCOM138035100869112,600SHPutDFND2112,60000
CAPITAL ONE FINL CORPCOM14040H1054085,000SH DFND35,00000
CAPITOL INVT CORP IV*W EXP 01/01/202G189201279468,450SH DFND168,45000
CAPITOL INVT CORP IVCL A ORDG189201013,919384,988SH DFND1384,98800
CAPITOL INVT CORP IVCL A ORDG189201013,054300,000SH DFND3300,00000
CAPITOL INVT CORP IVUNIT 99/99/9999G1892011952950,000SH DFND350,00000
CARMAX INCCOM1431301021,81526,005SH DFND126,00500
CARMAX INCCOM143130102957,500SHPutDFND157,50000
CARS COM INCCOM14575E10538316,800SH DFND116,80000
CARS COM INCCOM14575E1052,16995,121SH DFND495,12100
CDN IMPERIAL BK COMM TORONTOCOM1360691016500,000SHCallDFND2500,00000
CDN IMPERIAL BK COMM TORONTOCOM13606910116200SH DFND320000
CELGENE CORPCOM1510201041,16612,355SH DFND312,35500
CELGENE CORPCOM1510201042,81129,795SH DFND429,79500
CELGENE CORPCOM1510201041,539275,600SHCallDFND1275,60000
CELGENE CORPCOM151020104403654,700SHPutDFND1654,70000
CENTENE CORP DELCOM15135B1012230,000SHCallDFND130,00000
CENTENE CORP DELCOM15135B1013330,000SHPutDFND130,00000
CF FIN ACQUISITION CORPUNIT 04/30/202512528N20674773,200SH DFND173,20000
CHARDAN HEALTHCARE ACQUISITIUNIT 12/13/202315957A20714514,475SH DFND114,47500
CHASERG TECHNLGY ACQUISITN CUNIT 09/30/202316166A2021,708169,100SH DFND1169,10000
CHESAPEAKE ENERGY CORPCOM165167107827266,799SH DFND3266,79900
CHESAPEAKE ENERGY CORPCOM165167107379268,800SHPutDFND3268,80000
CHESAPEAKE ENERGY CORPCOM16516710734481,200SHCallDFND1481,20000
CHURCHILL CAP CORP*W EXP 09/11/20217142R111473140,283SH DFND1140,28300
CIGNA CORP NEWCOM1255231005315,500SHCallDFND115,50000
CIGNA CORP NEWCOM125523100327,700SHPutDFND127,70000
CISCO SYS INCCOM17275R1024658,620SH DFND18,62000
CISCO SYS INCCOM17275R1025101SH DFND310100
CISCO SYS INCCOM17275R1025125,000SHPutDFND125,00000
CM SEVEN STAR ACQUISITION CORIGHT 08/21/2022G2345N136123372,171SH DFND1372,17100
CM SEVEN STAR ACQUISITION COSHSG2345N102978136,104SH DFND1136,10400
COLLIER CREEK HOLDINGS*W EXP 99/99/999G227071146760,488SH DFND160,48800
COLLIER CREEK HOLDINGSCOM CL AG2270710654855,097SH DFND155,09700
COLLIER CREEK HOLDINGSUNIT 99/99/9999G2270712247946,385SH DFND146,38500
COLLIER CREEK HOLDINGSUNIT 99/99/9999G227071221,290125,000SH DFND3125,00000
CONSTELLATION ALPHA CAP CORPSHSG2379F1087,709747,050SH DFND1747,05000
CONSTELLATION ALPHA CAP CORPUNIT 99/99/9999G2379F1241,418136,250SH DFND1136,25000
CORBUS PHARMACEUTICALS HLDGSCOM21833P10330944,500SH DFND144,50000
CORBUS PHARMACEUTICALS HLDGSCOM21833P103259,900SHCallDFND159,90000
CORVUS PHARMACEUTICALS INCCOM2210151002,347583,823SH DFND3583,82300
COTY INCCOM CL A2220702037,452648,000SH DFND3648,00000
COTY INCCOM CL A22207020310250,000SHCallDFND1250,00000
COTY INCCOM CL A22207020388454,200SHCallDFND3454,20000
COTY INCCOM CL A222070203938250,000SHPutDFND1250,00000
COTY INCCOM CL A22207020378160,200SHPutDFND3160,20000
COVETRUS INCCOM22304C10063720,000SH DFND320,00000
DASEKE INC*W EXP 02/27/20223753F11553154,975SH DFND1154,97500
DD3 ACQUISITION CORP*W EXP 10/20/202G2692M1111450,799SH DFND150,79900
DELL TECHNOLOGIES INCCL C24703L20213834,500SHCallDFND134,50000
DENBURY RES INCCOM NEW247916208101292,400SHCallDFND4292,40000
DFB HEALTHCARE ACQUISTION CO*W EXP 04/11/20223291E1172123,480SH DFND123,48000
DFB HEALTHCARE ACQUISTION COCOM23291E10931331,300SH DFND131,30000
DIAMONDPEAK HLDGS CORUNIT 99/99/999925280H2091,253125,000SH DFND1125,00000
DISNEY WALT COCOM DISNEY2546871061,66515,000SH DFND115,00000
DISNEY WALT COCOM DISNEY254687106530,000SHCallDFND130,00000
DISNEY WALT COCOM DISNEY2546871064125,000SHPutDFND1125,00000
EDTECHX HLDGS ACQUISITION CO*W EXP 12/31/20228138X111315,300SH DFND115,30000
ELLIE MAE INCCOM28849P100367,700SHCallDFND167,70000
ENCANA CORPCOM2925051049175,100SHCallDFND1175,10000
ENTEGRIS INCCOM29362U10460717,000SH DFND117,00000
EXPEDIA GROUP INCCOM NEW30212P3032021,694SH DFND31,69400
EXXON MOBIL CORPCOM30231G1021,24415,400SH DFND115,40000
FAR PT ACQUISITION CORP*W EXP 06/01/20230734W1177354,556SH DFND154,55600
FAR PT ACQUISITION CORPCOM CL A30734W10978779,106SH DFND179,10600
FASTENAL COCOM3119001043866,000SH DFND16,00000
FASTENAL COCOM311900104110104,700SHPutDFND1104,70000
FIFTH THIRD BANCORPCOM3167731002330,000SHPutDFND430,00000
FINISAR CORPCOM NEW31787A5073,594155,125SH DFND4155,12500
FINTECH ACQUISITION CORP III*W EXP 12/01/20231811A1197380,671SH DFND180,67100
FINTECH ACQUISITION CORP IIIUNIT 12/01/202331811A3091,01599,600SH DFND199,60000
FINTECH ACQUISITION CORP IIIUNIT 12/01/202331811A3091,274125,000SH DFND3125,00000
FIRST DATA CORP NEWCOM CL A32008D10634,3091,306,018SH DFND41,306,01800
FIRST REP BK SAN FRANCISCO CCOM33616C1008963,600SHPutDFND163,60000
FISERV INCCOM3377381081650,000SHPutDFND450,00000
FORUM MERGER II CORPCL A34986F10330330,574SH DFND130,57400
FORUM MERGER II CORPUNIT 09/30/202534986F20211310,902SH DFND110,90200
FORUM MERGER II CORPUNIT 09/30/202534986F2025,175500,000SH DFND3500,00000
FOX CORPCL A COM35137L105327,500SHCallDFND127,50000
GCI LIBERTY INCCOM CLASS A36164V3054,62883,231SH DFND383,23100
GENWORTH FINL INCCOM CL A37247D1063,157824,308SH DFND4824,30800
GIGCAPITAL INCRIGHT 03/06/202037518N114812,934SH DFND112,93400
GIGCAPITAL INCUNIT 03/06/202537518N2051,150105,532SH DFND1105,53200
GLOBAL BLOOD THERAPEUTICS INCOM37890U1083,59968,000SH DFND368,00000
GLOBAL BLOOD THERAPEUTICS INCOM37890U10896,800SHCallDFND16,80000
GLOBAL BLOOD THERAPEUTICS INCOM37890U1082923,100SHCallDFND323,10000
GLOBALSTAR INCCOM3789734082455,000SH DFND155,00000
GORDON POINTE ACQUISITION CO*W EXP 07/30/202382788115615,690SH DFND115,69000
GORDON POINTE ACQUISITION COCOM CLASS A38278810781980,250SH DFND180,25000
GORES HOLDINGS III INC*W EXP 09/11/20238286G1174733,333SH DFND133,33300
GORES HOLDINGS III INCCLASS A38286G1092,079210,802SH DFND1210,80200
GORES METROPOULOS INC*W EXP 01/28/2023828721172114,734SH DFND114,73400
GORES METROPOULOS INCUNIT 99/99/99993828722083,326324,830SH DFND1324,83000
GRAF INDL CORP*W EXP 12/31/20238427811540121,571SH DFND1121,57100
GRAF INDL CORPUNIT 12/31/202538427820625124,800SH DFND124,80000
GREENLAND ACQUISITIN CORPORARIGHT 04/27/2025G4098111372233,540SH DFND1233,54000
GS ACQUISITION HLDGS CORP*W EXP 06/12/20236255F1106748,002SH DFND148,00200
GS ACQUISITION HLDGS CORPUNIT 06/12/202336255F201201,898SH DFND11,89800
GS ACQUISITION HLDGS CORPUNIT 06/12/202336255F2011,574150,000SH DFND3150,00000
GW PHARMACEUTICALS PLCADS36197T1034,85528,800SH DFND128,80000
GW PHARMACEUTICALS PLCADS36197T1038911,000SHCallDFND111,00000
HALCON RES CORP*W EXP 09/09/20240537Q1181140,499SH DFND1140,49900
HARRIS CORP DELCOM4138751053330,000SHPutDFND430,00000
HENNESSY CAP ACQUSTION CORPUNIT 99/99/999942589C2031,461144,976SH DFND1144,97600
HSBC HLDGS PLCSPON ADR NEW40428040610,212251,650SH DFND3251,65000
HUNTER MARITIME ACQUISITION*W EXP 11/17/202Y378281291223,830SH DFND123,83000
II VI INCCOM902104108550,000SHPutDFND450,00000
IMMUNOMEDICS INCCOM452907108515,000SHPutDFND115,00000
INSMED INCCOM PAR $.01457669307582,000SH DFND12,00000
INSMED INCCOM PAR $.01457669307519,300SHCallDFND119,30000
INSURANCE ACQUISITION CORPUNIT 03/31/20244578673071,568155,200SH DFND1155,20000
INTEGRATED DEVICE TECHNOLOGYCOM4581181068,683177,246SH DFND4177,24600
INTERCEPT PHARMACEUTICALS INCOM45845P1083410,000SHCallDFND110,00000
INTERCEPT PHARMACEUTICALS INCOM45845P1084312,000SHPutDFND112,00000
IRON MTN INC NEWCOM46284V101217110,000SHPutDFND1110,00000
IRON MTN INC NEWCOM46284V10150100,000SHCallDFND1100,00000
ISHARES TRIBOXX HI YD ETF464288513103250,000SHPutDFND1250,00000
JACK IN THE BOX INCCOM4663671091,54019,004SH DFND419,00400
JACOBS ENGR GROUP INCCOM469814107210,000SHPutDFND110,00000
KBL MERGER CORP IVCOM48242A10484981,700SH DFND181,70000
KEMPHARM INCCOM488445107732438,505SH DFND3438,50500
KEZAR LIFE SCIENCES INCCOM49372L1008,728492,006SH DFND3492,00600
KLA-TENCOR CORPCOM48248010075624SH DFND462400
KLA-TENCOR CORPCOM48248010062100,000SHPutDFND4100,00000
KRAFT HEINZ COCOM50075410689100,000SHCallDFND4100,00000
LEGACY ACQUISITION CORP*W EXP 11/30/20252464311170231,921SH DFND1231,92100
LEGACY ACQUISITION CORPCOM CL A5246431031,506150,000SH DFND1150,00000
LEGACY ACQUISITION CORPUNIT 05/31/20245246432026,162600,000SH DFND3600,00000
LEGACY ACQUISITION CORPUNIT 05/31/20245246432021,689164,450SH DFND1164,45000
LEISURE ACQUISITION CORP*W EXP 12/05/20152539T115144320,098SH DFND1320,09800
LEISURE ACQUISITION CORPUNIT 99/99/999952539T2061,025100,000SH DFND3100,00000
LEO HOLDINGS CORP*W EXP 02/07/202G5463L113108138,190SH DFND1138,19000
LEO HOLDINGS CORPCOM CL AG5463L10520520,450SH DFND120,45000
LIBERTY BROADBAND CORPCOM SER C5303073056,34669,171SH DFND369,17100
LIBERTY EXPEDIA HLDGS INCSER A COM53046P1091,05924,749SH DFND324,74900
LIBERTY MEDIA CORP DELAWARECOM A SIRIUSXM5312294097,229189,336SH DFND3189,33600
LIBERTY MEDIA CORP DELAWARECOM C SIRIUSXM5312296073809,947SH DFND39,94700
LILLY ELI & COCOM5324571081301,000SH DFND11,00000
LILLY ELI & COCOM532457108155206,000SHPutDFND1206,00000
LIVENT CORPCOM53814L108330,000SHCallDFND230,00000
LLOYDS BANKING GROUP PLCSPONSORED ADR53943910929,1599,083,813SH DFND39,083,81300
LONGEVITY ACQUISITION CORP*W EXP 07/31/202G5637211622371,430SH DFND1371,43000
LONGEVITY ACQUISITION CORPUNIT 08/29/2024G5637210822722,253SH DFND122,25300
LUXOFT HLDG INCORD SHS CL AG5727910424,463416,678SH DFND4416,67800
LUXOFT HLDG INCORD SHS CL AG57279104598,000SHPutDFND498,00000
MAGELLAN HEALTH INCCOM NEW5590792079,978151,360SH DFND4151,36000
MAGNOLIA OIL & GAS CORP*W EXP 07/31/2025596631171,226361,568SH DFND1361,56800
MANULIFE FINL CORPCOM56501R10648428,611SH DFND328,61100
MAXWELL TECHNOLOGIES INCCOM5777671067,9701,783,094SH DFND41,783,09400
MCDERMOTT INTL INCCOM58003770339152,500SH DFND152,50000
MCDERMOTT INTL INCCOM580037703111,500SHCallDFND111,50000
MEGALITH FINL ACQUISITION COCL A COM58518F10991891,972SH DFND191,97200
MEGALITH FINL ACQUISITION COUNIT 09/30/202558518F208111,100SH DFND11,10000
MEGALITH FINL ACQUISITION COUNIT 09/30/202558518F2083,381328,900SH DFND3328,90000
MELLANOX TECHNOLOGIES LTDSHSM5136311351,784437,510SH DFND4437,51000
MELLANOX TECHNOLOGIES LTDSHSM513631133850,000SHCallDFND150,00000
MERCK & CO INCCOM58933Y1051662,000SH DFND12,00000
MERCK & CO INCCOM58933Y1051310,400SHCallDFND110,40000
MICROSOFT CORPCOM5949181043482,952SH DFND32,95200
MIZUHO FINL GROUP INCSPONSORED ADR60687Y1093,039993,000SH DFND2993,00000
MODERN MEDIA ACQUISITIONCOM60765P1031,587153,158SH DFND1153,15800
MOSAIC ACQUISITION CORPUNIT 99/99/999961946M20999196,200SH DFND196,20000
MOSAIC ACQUISITION CORPUNIT 99/99/999961946M2091,548150,000SH DFND3150,00000
MTECH ACQUISITION CORPCOM CLASS A55378W10721120,869SH DFND120,86900
MUDRICK CAP ACQUISITION CORP*W EXP 02/12/202624745113115208,215SH DFND1208,21500
MUDRICK CAP ACQUISITION CORP*W EXP 02/12/202624745113138250,000SH DFND3250,00000
MUDRICK CAP ACQUISITION CORPCOM CLASS A624745105727,100SH DFND17,10000
MUDRICK CAP ACQUISITION CORPCOM CLASS A6247451052,520250,000SH DFND3250,00000
MUDRICK CAP ACQUISITION CORPUNIT 02/01/202362474520417216,290SH DFND116,29000
MUDRICK CAP ACQUISITION CORPUNIT 02/01/20236247452041,058100,000SH DFND3100,00000
MYOKARDIA INCCOM62857M1052,80653,965SH DFND353,96500
NATIONAL ENERGY SERVICES REU*W EXP 05/05/202G6375R115127111,363SH DFND1111,36300
NEBULA ACQUISITION CORPCOM CLASS A6290761001,578158,415SH DFND1158,41500
NEBULA ACQUISITION CORPUNIT 03/12/202562907620914714,359SH DFND114,35900
NEBULA ACQUISITION CORPUNIT 03/12/20256290762091,025100,000SH DFND3100,00000
NEW FRONTIER CORP*W EXP 99/99/999G6485P124302430,820SH DFND1430,82000
NEW FRONTIER CORPCOM CL AG6485P1084,607465,335SH DFND1465,33500
NEW FRONTIER CORPUNIT 99/99/9999G6485P11688687,735SH DFND187,73500
NEXSTAR MEDIA GROUP INCCL A65336K10348852,500SHCallDFND152,50000
NEXSTAR MEDIA GROUP INCCL A65336K10330120,000SHPutDFND4120,00000
NIELSEN HLDGS PLCSHS EURG6518L1085,885248,611SH DFND4248,61100
NIELSEN HLDGS PLCSHS EURG6518L1082626,300SHCallDFND126,30000
NIELSEN HLDGS PLCSHS EURG6518L108154125,200SHCallDFND4125,20000
NIELSEN HLDGS PLCSHS EURG6518L108349175,000SHPutDFND4175,00000
NIO INCSPON ADS62914V10615300,000SHCallDFND2300,00000
NIO INCSPON ADS62914V106150,000SHCallDFND350,00000
NOMURA HLDGS INCSPONSORED ADR65535H208844235,000SH DFND2235,00000
NOVAVAX INCCOM6700021045466,000SHPutDFND166,00000
NXP SEMICONDUCTORS N VCOMN6596X1091,16713,205SH DFND113,20500
NXP SEMICONDUCTORS N VNOTE 1.000%12/062952QAB6371120,500PRNCallDFND1120,50000
NXP SEMICONDUCTORS N VNOTE 1.000%12/062952QAB62268,000PRNPutDFND18,00000
OAKTREE CAP GROUP LLCUNIT CL A6740012011,77435,731SH DFND435,73100
ONE MADISON CORP*W EXP 99/99/999G6772P1263329,485SH DFND129,48500
ONE MADISON CORPCOM CL AG6772P10011210,960SH DFND110,96000
ONESPAWORLD HOLDINGS LIMITEDCOMP7368411334325,098SH DFND125,09800
OPES ACQUISITION CORP*W EXP 03/13/20268373P118142590,773SH DFND1590,77300
OPES ACQUISITION CORPCOM68373P1001,421139,975SH DFND1139,97500
OPES ACQUISITION CORPUNIT 03/07/202368373P20920019,300SH DFND119,30000
ORCHARD THERAPEUTICS PLCADS68570P10151,9892,907,627SH DFND32,907,62700
OVID THERAPEUTICS INCCOM6904691011,9501,101,414SH DFND31,101,41400
PACIFIC BIOSCIENCES CALIF INCOM69404D108869120,200SH DFND1120,20000
PACIFIC BIOSCIENCES CALIF INCOM69404D10854144,900SHPutDFND1144,90000
PENN NATL GAMING INCCOM70756910928714,300SH DFND314,30000
PENSARE ACQUISITION CORP*W EXP 07/27/20270957E1131052,000SH DFND152,00000
PENSARE ACQUISITION CORPCOM70957E1051,046102,000SH DFND3102,00000
PENSARE ACQUISITION CORPCOM70957E10567365,636SH DFND165,63600
PIONEER NAT RES COCOM7237871078915,850SH DFND15,85000
PIONEER NAT RES COCOM7237871071115,000SHPutDFND115,00000
PIVOTAL ACQUISITION CORPUNIT 12/01/202572583A20027827,300SH DFND127,30000
PRECISION BIOSCIENCES INCCOM74019P10818,1041,008,565SH DFND31,008,56500
PURE ACQUISITION CORP*W EXP 04/17/20274621Q1141146,129SH DFND1146,12900
PURE ACQUISITION CORPCL A74621Q1066,837682,321SH DFND1682,32100
PURE ACQUISITION CORPUNIT 04/13/202374621Q205474,443SH DFND14,44300
PURE ACQUISITION CORPUNIT 04/13/202374621Q2052,645250,000SH DFND3250,00000
PVH CORPCOM6936561002,89323,720SH DFND123,72000
PVH CORPCOM6936561002317,000SHPutDFND117,00000
QUAD / GRAPHICS INCCOM CL A7473011091,338112,401SH DFND4112,40100
QUALCOMM INCCOM74752510375713,274SH DFND113,27400
QUALCOMM INCCOM7475251031415,900SHPutDFND115,90000
QUEST DIAGNOSTICS INCCOM74834L100425,000SHPutDFND125,00000
QUEST DIAGNOSTICS INCCOM74834L100425,000SHCallDFND125,00000
QUTOUTIAO INCADS REP SHS A74915J107855,000SHCallDFND255,00000
REALOGY HLDGS CORPCOM75605Y10612511,000SH DFND111,00000
RED HAT INCCOM75657710267,561369,790SH DFND4369,79000
RED HAT INCCOM75657710214437,500SHCallDFND137,50000
RED HAT INCCOM75657710218174,600SHPutDFND174,60000
RED HAT INCCOM756577102303155,000SHPutDFND4155,00000
REGALWOOD GLOBAL ENERGY LTD*W EXP 12/05/202G747601285662,300SH DFND162,30000
RIMINI STR INC DELCOM76674Q1071,188237,500SH DFND1237,50000
RMG ACQUISITION CORPUNIT 99/99/99997496412051,255125,173SH DFND1125,17300
SABAN CAP ACQUISITION CORPCOM CL A78516C1066,367619,361SH DFND1619,36100
SABAN CAP ACQUISITION CORPCOM CL A78516C1066,682650,000SH DFND3650,00000
SCHULTZE SPL PURP ACQUSTN CO*W EXP 12/31/20280821R117104334,390SH DFND1334,39000
SEATTLE GENETICS INCCOM8125781025840,000SHPutDFND140,00000
SELECT SECTOR SPDR TRTECHNOLOGY81369Y803274217,500SHPutDFND4217,50000
SIERRA ONCOLOGY INCCOM82640U10712875,000SH DFND175,00000
SOCIAL CAP HEDOSOPHIA HLDGS*W EXP 09/14/202G8250R1291416,889SH DFND116,88900
SOCIAL CAP HEDOSOPHIA HLDGSCL AG8250R103121,200SH DFND11,20000
SOCIAL CAP HEDOSOPHIA HLDGSCL AG8250R10310,1901,000,000SH DFND31,000,00000
SPARK THERAPEUTICS INCCOM84652J10356,680497,720SH DFND4497,72000
SPARK THERAPEUTICS INCCOM84652J1033,84891,000SHCallDFND191,00000
SPARK THERAPEUTICS INCCOM84652J103127,500SHCallDFND427,50000
SPARK THERAPEUTICS INCCOM84652J1032052,887,200SHPutDFND42,887,20000
SPARTAN ENERGY ACQUISITON CO*W EXP 08/27/202846784122158143,651SH DFND1143,65100
SPARTAN ENERGY ACQUISITON COUNIT 99/99/99998467841145,075500,000SH DFND3500,00000
SPDR S&P 500 ETF TRTR UNIT78462F103340354,500SHPutDFND1354,50000
SPDR S&P 500 ETF TRTR UNIT78462F103271566,500SHCallDFND4566,50000
SPDR SERIES TRUSTS&P BIOTECH78464A8703263,600SH DFND13,60000
SPDR SERIES TRUSTS&P BIOTECH78464A8701310,000SHPutDFND110,00000
SPDR SERIES TRUSTS&P BIOTECH78464A8703630,000SHPutDFND330,00000
SPRINT CORPORATIONCOM85207U1055710,000SH DFND110,00000
SPRINT CORPORATIONCOM85207U1054264,500SHCallDFND164,50000
SPRINT CORPORATIONCOM85207U10511,000SHPutDFND11,00000
SPROTT PHYSICAL GOLD & SILVETR UNIT85208R1018,033647,800SH DFND3647,80000
STERLING BANCORP DELCOM85917A10096851,960SH DFND351,96000
STITCH FIX INCCOM CL A8608971072420,000SHCallDFND120,00000
STITCH FIX INCCOM CL A860897107642,250SH DFND12,25000
SUNCOR ENERGY INC NEWCOM86722410746014,192SH DFND314,19200
SUNTRUST BKS INCCOM8679141036,003101,317SH DFND4101,31700
SYMANTEC CORPCOM87150310815112,500SHPutDFND4112,50000
T MOBILE US INCCOM872590104216112,800SHPutDFND4112,80000
TAKEDA PHARMACEUTICAL CO LTDSPONSORED ADS8740602056,007294,914SH DFND3294,91400
TAKEDA PHARMACEUTICAL CO LTDSPONSORED ADS8740602057766,000SHCallDFND166,00000
TARGA RES CORPCOM87612G1013,45783,200SH DFND183,20000
TARGA RES CORPCOM87612G1011,022157,200SHPutDFND1157,20000
TARGET HOSPITALITY CORP*W EXP 03/15/20287615L1154630,000SH DFND130,00000
TENZING ACQUISITION CORP*W EXP 02/23/202G8708A108640,351SH DFND140,35100
TENZING ACQUISITION CORPORD SHSG8708A11634234,000SH DFND134,00000
THUNDER BRIDGE ACQUISITION L*W EXP 01/01/202G8857R12612,000SH DFND12,00000
THUNDER BRIDGE ACQUISITION L*W EXP 01/01/202G8857R126112155,800SH DFND3155,80000
THUNDER BRIDGE ACQUISITION LSHS CLASS AG8857R10040840,024SH DFND140,02400
THUNDER BRIDGE ACQUISITION LSHS CLASS AG8857R1002,099205,800SH DFND3205,80000
TILRAY INCCOM CL 288688T1003,87259,100SH DFND259,10000
TILRAY INCCOM CL 288688T10085559,100SHPutDFND259,10000
TKK SYMPHONY ACQUISITION COR*W EXP 02/20/202G88950129535,898SH DFND135,89800
TORTOISE ACQUISITION CORPUNIT 03/04/202489154L2094,727473,158SH DFND1473,15800
TOTTENHAM ACQUISITION I LTDRIGHT 06/05/2020G8959N12254200,271SH DFND1200,27100
TOTTENHAM ACQUISITION I LTDSHSG8959N1061,158115,237SH DFND1115,23700
TPG PACE HLDGS CORP*W EXP 06/27/202G898271106649,216SH DFND149,21600
TPG PACE HLDGS CORPCL AG89827128626,087SH DFND16,08700
TPG PACE HLDGS CORPCL AG898271282,042200,000SH DFND3200,00000
TRANSDIGM GROUP INCCOM8936411002513,200SHPutDFND413,20000
TRIBUNE MEDIA COCL A8960475034138,800SHCallDFND138,80000
TRIBUNE MEDIA COCL A89604750340100,000SHPutDFND4100,00000
TRIDENT ACQUISITIONS CORP*W EXP 05/09/20289615T11433204,056SH DFND1204,05600
TRIDENT ACQUISITIONS CORPCOM89615T10611010,806SH DFND110,80600
TRIDENT ACQUISITIONS CORPCOM89615T1061,019100,000SH DFND3100,00000
TRIDENT ACQUISITIONS CORPUNIT 05/09/202389615T20511611,300SH DFND111,30000
TRIDENT ACQUISITIONS CORPUNIT 05/09/202389615T2056,739654,300SH DFND3654,30000
TRINE ACQUISITION CORPUNIT 03/31/202189628U2074,152414,331SH DFND1414,33100
TRINITY MERGER CORPCOM CL A89653L10679677,872SH DFND177,87200
TRINITY MERGER CORPUNIT 05/11/202589653L2051,315125,240SH DFND3125,24000
TURTLE BEACH CORPCOM NEW90045020663555,900SH DFND255,90000
TURTLE BEACH CORPCOM NEW90045020622455,900SHPutDFND255,90000
TUSCAN HOLDINGS CORPUNIT 99/99/999990069K2031,043100,000SH DFND3100,00000
TUSCAN HOLDINGS CORPUNIT 99/99/999990069K2031,00596,399SH DFND196,39900
TWELVE SEAS INVESTMENT COMPA*W EXP 12/22/202G9145A11531120,212SH DFND1120,21200
TWELVE SEAS INVESTMENT COMPARIGHT 12/22/2019G9145A131192710,579SH DFND1710,57900
TWELVE SEAS INVESTMENT COMPASHSG9145A1074,458445,842SH DFND1445,84200
TWILIO INCCL A90138F1026110,000SHCallDFND110,00000
U S WELL SVCS INC*W EXP 03/15/20291274U1191919,000SH DFND119,00000
ULTIMATE SOFTWARE GROUP INCCOM90385D10779,575241,040SH DFND4241,04000
ULTIMATE SOFTWARE GROUP INCCOM90385D107320,000SHCallDFND120,00000
ULTRAGENYX PHARMACEUTICAL INCOM90400D1082,08130,000SH DFND330,00000
UNDER ARMOUR INCCL C9043112064,010212,494SH DFND3212,49400
UNILEVER N VN Y SHS NEW9047847095,829100,000SH DFND3100,00000
UNIQURE NVSHSN900641012394,000SH DFND14,00000
UNIQURE NVSHSN900641012923,500SHCallDFND123,50000
UNITED STATES OIL FUND LPUNITS91232N1081,330106,383SH DFND3106,38300
UNUM THERAPEUTICS INCCOM9032141043,588817,395SH DFND3817,39500
VANECK VECTORS ETF TRGOLD MINERS ETF92189F1065,717255,000SH DFND1255,00000
VANECK VECTORS ETF TRGOLD MINERS ETF92189F1064751,713,400SHCallDFND11,713,40000
VANECK VECTORS ETF TRGOLD MINERS ETF92189F10636400,000SHPutDFND1400,00000
VANECK VECTORS ETF TRJR GOLD MINERS E92189F791415,000SHCallDFND115,00000
VANECK VECTORS ETF TRJR GOLD MINERS E92189F791815,000SHPutDFND115,00000
VANECK VECTORS ETF TRSEMICONDUCTOR ET92189F676128103,400SHPutDFND4103,40000
VECTOIQ ACQUISITION CORP*W EXP 05/11/20292243N111921,990SH DFND121,99000
VECTOIQ ACQUISITION CORPCOM92243N103891,169,890SH DFND11,169,89000
VECTOIQ ACQUISITION CORPUNIT 05/11/202392243N2023,100296,667SH DFND1296,66700
VERRA MOBILITY CORPCOM92511U10215012,569SH DFND112,56900
VERSUM MATLS INCCOM92532W103311,600SHPutDFND111,60000
VERSUM MATLS INCCOM92532W103985,000SHPutDFND485,00000
VERSUM MATLS INCCOM92532W103911,500SHCallDFND111,50000
WABCO HLDGS INCCOM92927K1028,74566,332SH DFND466,33200
WEALTHBRIDGE ACQUISITION LTDSHSG4887W11066567,760SH DFND167,76000
WELLCARE HEALTH PLANS INCCOM94946T1065942,202SH DFND12,20200
WELLCARE HEALTH PLANS INCCOM94946T1063,93814,600SH DFND414,60000
WELLCARE HEALTH PLANS INCCOM94946T106654,500SHCallDFND14,50000
WELLCARE HEALTH PLANS INCCOM94946T106204,500SHPutDFND14,50000
WORLDPAY INCCL A98155810948,910430,925SH DFND4430,92500
WPX ENERGY INCCOM98212B103745,000SHPutDFND145,00000
YOGAWORKS INCCOM986005106514558,212SH DFND1558,21200
ZAYO GROUP HLDGS INCCOM98919V10555,700SHCallDFND15,70000
ZAYO GROUP HLDGS INCCOM98919V105190110,000SHCallDFND4110,00000
ZIMMER BIOMET HLDGS INCCOM98956P10217056,500SHCallDFND156,50000
ZOGENIX INCCOM NEW98978L2047620,000SHCallDFND120,00000