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: 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 Littman New YorkNY 05-13-2019
[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: 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 Number Name
1 028-04125 COWEN & COMPANY, LLC
2 028-18771 COWEN EXECUTION SERVICES LLC
3 028-13626 Cowen Investment Management LLC
4 028-10674 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
ABBVIE INC COM 00287Y109 68 50,000 SH Put DFND 1 50,000 0 0
ABBVIE INC COM 00287Y109 866 10,750 SH   DFND 1 10,750 0 0
ACAMAR PARTNERS ACQSITION CO UNIT 12/30/2025 004285201 250 25,000 SH   DFND 1 25,000 0 0
ADVANCED MICRO DEVICES INC COM 007903107 459 18,000 SH   DFND 1 18,000 0 0
ADVANCED MICRO DEVICES INC COM 007903107 35 40,000 SH Put DFND 1 40,000 0 0
AGIOS PHARMACEUTICALS INC COM 00847X104 114 30,000 SH Call DFND 1 30,000 0 0
ALBERTON ACQUISITION CORP *W EXP 04/26/202 G35006124 60 661,905 SH   DFND 1 661,905 0 0
ALBERTON ACQUISITION CORP RIGHT 10/04/2020 G35006132 21 121,650 SH   DFND 1 121,650 0 0
ALLEGRO MERGER CORP *W EXP 01/06/202 01749N111 6 24,778 SH   DFND 1 24,778 0 0
ALLEGRO MERGER CORP RIGHT 12/31/2023 01749N129 20 74,778 SH   DFND 1 74,778 0 0
ALLIANCE DATA SYSTEMS CORP COM 018581108 32 15,100 SH Call DFND 1 15,100 0 0
ALLIANCE DATA SYSTEMS CORP COM 018581108 465 33,200 SH Put DFND 1 33,200 0 0
ALPHABET INC CAP STK CL A 02079K305 222 189 SH   DFND 3 189 0 0
ALPHABET INC CAP STK CL C 02079K107 290 247 SH   DFND 3 247 0 0
ALTA MESA RES INC *W EXP 03/28/202 02133L117 1 16,434 SH   DFND 1 16,434 0 0
ALTABA INC COM 021346101 4,692 63,300 SH   DFND 3 63,300 0 0
AMAZON COM INC COM 023135106 4,650 2,611 SH   DFND 3 2,611 0 0
AMCI ACQUISITION CORP *W EXP 05/20/202 00165R119 4 14,000 SH   DFND 1 14,000 0 0
AMCI ACQUISITION CORP CLASS A 00165R101 2,302 233,931 SH   DFND 1 233,931 0 0
AMCI ACQUISITION CORP UNIT 01/07/2019 00165R200 432 42,700 SH   DFND 1 42,700 0 0
AMICUS THERAPEUTICS INC COM 03152W109 43 52,500 SH Call DFND 1 52,500 0 0
AMICUS THERAPEUTICS INC COM 03152W109 4 35,000 SH Put DFND 1 35,000 0 0
ANDINA ACQUISITION CORP III *W EXP 07/31/202 G04415124 6 31,350 SH   DFND 1 31,350 0 0
ANDINA ACQUISITION CORP III RIGHT 07/31/2020 G04415132 121 355,563 SH   DFND 1 355,563 0 0
ANDINA ACQUISITION CORP III UNIT 09/24/2020 G04415116 978 96,836 SH   DFND 1 96,836 0 0
ANTERO RES CORP COM 03674X106 124 14,000 SH   DFND 1 14,000 0 0
ANTERO RES CORP COM 03674X106 67 7,500 SH Put DFND 1 7,500 0 0
ANTERO RES CORP COM 03674X106 2 14,600 SH Call DFND 1 14,600 0 0
APHRIA INC COM 03765K104 82 8,850 SH   DFND 1 8,850 0 0
APHRIA INC COM 03765K104 668 71,700 SH   DFND 2 71,700 0 0
APHRIA INC COM 03765K104 59 71,700 SH Put DFND 2 71,700 0 0
APPLE INC COM 037833100 892 4,694 SH   DFND 3 4,694 0 0
ARCONIC INC COM 03965L100 4 29,600 SH Call DFND 1 29,600 0 0
ARCONIC INC COM 03965L100 1 55,200 SH Put DFND 1 55,200 0 0
ARQULE INC COM 04269E107 46 9,500 SH   DFND 1 9,500 0 0
ARQULE INC COM 04269E107 6 60,900 SH Call DFND 1 60,900 0 0
ARQULE INC COM 04269E107 3 6,300 SH Put DFND 1 6,300 0 0
ARYA SCIENCES ACQUISITION CO *W EXP 10/10/202 G3165V125 34 34,156 SH   DFND 1 34,156 0 0
ASCENDIS PHARMA A S SPONSORED ADR 04351P101 606 5,150 SH   DFND 1 5,150 0 0
ASCENDIS PHARMA A S SPONSORED ADR 04351P101 106 38,800 SH Call DFND 1 38,800 0 0
ASCENDIS PHARMA A S SPONSORED ADR 04351P101 7 4,000 SH Put DFND 1 4,000 0 0
AT&T INC COM 00206R102 3,136 100,000 SH   DFND 1 100,000 0 0
AT&T INC COM 00206R102 67 550,000 SH Call DFND 1 550,000 0 0
AT&T INC COM 00206R102 43 100,000 SH Put DFND 1 100,000 0 0
ATARA BIOTHERAPEUTICS INC COM 046513107 38 10,000 SH Call DFND 1 10,000 0 0
AUDENTES THERAPEUTICS INC COM 05070R104 2,848 73,000 SH   DFND 3 73,000 0 0
AUDENTES THERAPEUTICS INC COM 05070R104 23 5,000 SH Call DFND 3 5,000 0 0
AURORA CANNABIS INC COM 05156X108 654 161,400 SH Call DFND 1 161,400 0 0
AVAYA HLDGS CORP COM 05351X101 926 55,000 SH   DFND 4 55,000 0 0
AVAYA HLDGS CORP COM 05351X101 191 150,000 SH Call DFND 4 150,000 0 0
AVON PRODS INC COM 054303102 4 20,000 SH Put DFND 1 20,000 0 0
AVON PRODS INC COM 054303102 713 242,500 SH   DFND 1 242,500 0 0
AXSOME THERAPEUTICS INC COM 05464T104 93 20,200 SH Call DFND 1 20,200 0 0
BANK N S HALIFAX COM 064149107 1 28 SH   DFND 3 28 0 0
BANK N S HALIFAX COM 064149107 20 2,000,000 SH Call DFND 2 2,000,000 0 0
BARCLAYS PLC ADR 06738E204 150 18,696 SH   DFND 3 18,696 0 0
BB&T CORP COM 054937107 30 14,500 SH Put DFND 4 14,500 0 0
BELMOND LTD CL A G1154H107 4 77,500 SH Call DFND 1 77,500 0 0
BEMIS CO INC COM 081437105 38,833 699,950 SH   DFND 4 699,950 0 0
BIG ROCK PARTNERS ACQUISI CO COM 089482103 167 16,127 SH   DFND 1 16,127 0 0
BIOSCRIP INC COM 09069N108 836 417,898 SH   DFND 4 417,898 0 0
BLACK RIDGE ACQUISITION CORP UNIT 10/05/2022 09216T206 531 50,000 SH   DFND 3 50,000 0 0
BLUEBIRD BIO INC COM 09609G100 1,259 8,000 SH   DFND 3 8,000 0 0
BLUEPRINT MEDICINES CORP COM 09627Y109 2,722 34,000 SH   DFND 3 34,000 0 0
BOEING CO COM 097023105 481 1,260 SH   DFND 3 1,260 0 0
BOXWOOD MERGER CORP *W EXP 11/26/202 10319T119 8 21,404 SH   DFND 1 21,404 0 0
BOXWOOD MERGER CORP UNIT 11/26/2025 10319T200 576 57,100 SH   DFND 1 57,100 0 0
BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 490 89,000 SH Put DFND 3 89,000 0 0
BRIGHTHOUSE FINL INC COM 10922N103 377 10,399 SH   DFND 1 10,399 0 0
BRISTOL MYERS SQUIBB CO COM 110122108 687 14,400 SH   DFND 1 14,400 0 0
BRISTOL MYERS SQUIBB CO COM 110122108 86 1,800 SH   DFND 4 1,800 0 0
BRISTOL MYERS SQUIBB CO COM 110122108 117 503,800 SH Call DFND 1 503,800 0 0
BRISTOL MYERS SQUIBB CO COM 110122108 253 311,000 SH Call DFND 4 311,000 0 0
BRISTOL MYERS SQUIBB CO COM 110122108 644 536,800 SH Put DFND 1 536,800 0 0
BROOKFIELD PROPERTY REIT INC CL A 11282X103 3,877 189,200 SH   DFND 2 189,200 0 0
BROOKFIELD PROPERTY REIT INC CL A 11282X103 464 22,659 SH   DFND 3 22,659 0 0
CAESARS ENTMT CORP COM 127686103 362 41,602 SH   DFND 3 41,602 0 0
CAESARS ENTMT CORP COM 127686103 2,451 282,100 SH   DFND 4 282,100 0 0
CAESARS ENTMT CORP COM 127686103 22 47,600 SH Put DFND 1 47,600 0 0
CAESARS ENTMT CORP COM 127686103 287 33,000 SH   DFND 1 33,000 0 0
CANNTRUST HLDGS INC COM 137800207 155 20,000 SH   DFND 1 20,000 0 0
CANOPY GROWTH CORP COM 138035100 4,883 112,600 SH   DFND 2 112,600 0 0
CANOPY GROWTH CORP COM 138035100 869 112,600 SH Put DFND 2 112,600 0 0
CAPITAL ONE FINL CORP COM 14040H105 408 5,000 SH   DFND 3 5,000 0 0
CAPITOL INVT CORP IV *W EXP 01/01/202 G18920127 94 68,450 SH   DFND 1 68,450 0 0
CAPITOL INVT CORP IV CL A ORD G18920101 3,919 384,988 SH   DFND 1 384,988 0 0
CAPITOL INVT CORP IV CL A ORD G18920101 3,054 300,000 SH   DFND 3 300,000 0 0
CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 529 50,000 SH   DFND 3 50,000 0 0
CARMAX INC COM 143130102 1,815 26,005 SH   DFND 1 26,005 0 0
CARMAX INC COM 143130102 9 57,500 SH Put DFND 1 57,500 0 0
CARS COM INC COM 14575E105 383 16,800 SH   DFND 1 16,800 0 0
CARS COM INC COM 14575E105 2,169 95,121 SH   DFND 4 95,121 0 0
CDN IMPERIAL BK COMM TORONTO COM 136069101 6 500,000 SH Call DFND 2 500,000 0 0
CDN IMPERIAL BK COMM TORONTO COM 136069101 16 200 SH   DFND 3 200 0 0
CELGENE CORP COM 151020104 1,166 12,355 SH   DFND 3 12,355 0 0
CELGENE CORP COM 151020104 2,811 29,795 SH   DFND 4 29,795 0 0
CELGENE CORP COM 151020104 1,539 275,600 SH Call DFND 1 275,600 0 0
CELGENE CORP COM 151020104 403 654,700 SH Put DFND 1 654,700 0 0
CENTENE CORP DEL COM 15135B101 22 30,000 SH Call DFND 1 30,000 0 0
CENTENE CORP DEL COM 15135B101 33 30,000 SH Put DFND 1 30,000 0 0
CF FIN ACQUISITION CORP UNIT 04/30/2025 12528N206 747 73,200 SH   DFND 1 73,200 0 0
CHARDAN HEALTHCARE ACQUISITI UNIT 12/13/2023 15957A207 145 14,475 SH   DFND 1 14,475 0 0
CHASERG TECHNLGY ACQUISITN C UNIT 09/30/2023 16166A202 1,708 169,100 SH   DFND 1 169,100 0 0
CHESAPEAKE ENERGY CORP COM 165167107 827 266,799 SH   DFND 3 266,799 0 0
CHESAPEAKE ENERGY CORP COM 165167107 379 268,800 SH Put DFND 3 268,800 0 0
CHESAPEAKE ENERGY CORP COM 165167107 34 481,200 SH Call DFND 1 481,200 0 0
CHURCHILL CAP CORP *W EXP 09/11/202 17142R111 473 140,283 SH   DFND 1 140,283 0 0
CIGNA CORP NEW COM 125523100 53 15,500 SH Call DFND 1 15,500 0 0
CIGNA CORP NEW COM 125523100 3 27,700 SH Put DFND 1 27,700 0 0
CISCO SYS INC COM 17275R102 465 8,620 SH   DFND 1 8,620 0 0
CISCO SYS INC COM 17275R102 5 101 SH   DFND 3 101 0 0
CISCO SYS INC COM 17275R102 51 25,000 SH Put DFND 1 25,000 0 0
CM SEVEN STAR ACQUISITION CO RIGHT 08/21/2022 G2345N136 123 372,171 SH   DFND 1 372,171 0 0
CM SEVEN STAR ACQUISITION CO SHS G2345N102 978 136,104 SH   DFND 1 136,104 0 0
COLLIER CREEK HOLDINGS *W EXP 99/99/999 G22707114 67 60,488 SH   DFND 1 60,488 0 0
COLLIER CREEK HOLDINGS COM CL A G22707106 548 55,097 SH   DFND 1 55,097 0 0
COLLIER CREEK HOLDINGS UNIT 99/99/9999 G22707122 479 46,385 SH   DFND 1 46,385 0 0
COLLIER CREEK HOLDINGS UNIT 99/99/9999 G22707122 1,290 125,000 SH   DFND 3 125,000 0 0
CONSTELLATION ALPHA CAP CORP SHS G2379F108 7,709 747,050 SH   DFND 1 747,050 0 0
CONSTELLATION ALPHA CAP CORP UNIT 99/99/9999 G2379F124 1,418 136,250 SH   DFND 1 136,250 0 0
CORBUS PHARMACEUTICALS HLDGS COM 21833P103 309 44,500 SH   DFND 1 44,500 0 0
CORBUS PHARMACEUTICALS HLDGS COM 21833P103 2 59,900 SH Call DFND 1 59,900 0 0
CORVUS PHARMACEUTICALS INC COM 221015100 2,347 583,823 SH   DFND 3 583,823 0 0
COTY INC COM CL A 222070203 7,452 648,000 SH   DFND 3 648,000 0 0
COTY INC COM CL A 222070203 10 250,000 SH Call DFND 1 250,000 0 0
COTY INC COM CL A 222070203 88 454,200 SH Call DFND 3 454,200 0 0
COTY INC COM CL A 222070203 938 250,000 SH Put DFND 1 250,000 0 0
COTY INC COM CL A 222070203 78 160,200 SH Put DFND 3 160,200 0 0
COVETRUS INC COM 22304C100 637 20,000 SH   DFND 3 20,000 0 0
DASEKE INC *W EXP 02/27/202 23753F115 53 154,975 SH   DFND 1 154,975 0 0
DD3 ACQUISITION CORP *W EXP 10/20/202 G2692M111 14 50,799 SH   DFND 1 50,799 0 0
DELL TECHNOLOGIES INC CL C 24703L202 138 34,500 SH Call DFND 1 34,500 0 0
DENBURY RES INC COM NEW 247916208 101 292,400 SH Call DFND 4 292,400 0 0
DFB HEALTHCARE ACQUISTION CO *W EXP 04/11/202 23291E117 21 23,480 SH   DFND 1 23,480 0 0
DFB HEALTHCARE ACQUISTION CO COM 23291E109 313 31,300 SH   DFND 1 31,300 0 0
DIAMONDPEAK HLDGS COR UNIT 99/99/9999 25280H209 1,253 125,000 SH   DFND 1 125,000 0 0
DISNEY WALT CO COM DISNEY 254687106 1,665 15,000 SH   DFND 1 15,000 0 0
DISNEY WALT CO COM DISNEY 254687106 5 30,000 SH Call DFND 1 30,000 0 0
DISNEY WALT CO COM DISNEY 254687106 4 125,000 SH Put DFND 1 125,000 0 0
EDTECHX HLDGS ACQUISITION CO *W EXP 12/31/202 28138X111 3 15,300 SH   DFND 1 15,300 0 0
ELLIE MAE INC COM 28849P100 3 67,700 SH Call DFND 1 67,700 0 0
ENCANA CORP COM 292505104 9 175,100 SH Call DFND 1 175,100 0 0
ENTEGRIS INC COM 29362U104 607 17,000 SH   DFND 1 17,000 0 0
EXPEDIA GROUP INC COM NEW 30212P303 202 1,694 SH   DFND 3 1,694 0 0
EXXON MOBIL CORP COM 30231G102 1,244 15,400 SH   DFND 1 15,400 0 0
FAR PT ACQUISITION CORP *W EXP 06/01/202 30734W117 73 54,556 SH   DFND 1 54,556 0 0
FAR PT ACQUISITION CORP COM CL A 30734W109 787 79,106 SH   DFND 1 79,106 0 0
FASTENAL CO COM 311900104 386 6,000 SH   DFND 1 6,000 0 0
FASTENAL CO COM 311900104 110 104,700 SH Put DFND 1 104,700 0 0
FIFTH THIRD BANCORP COM 316773100 23 30,000 SH Put DFND 4 30,000 0 0
FINISAR CORP COM NEW 31787A507 3,594 155,125 SH   DFND 4 155,125 0 0
FINTECH ACQUISITION CORP III *W EXP 12/01/202 31811A119 73 80,671 SH   DFND 1 80,671 0 0
FINTECH ACQUISITION CORP III UNIT 12/01/2023 31811A309 1,015 99,600 SH   DFND 1 99,600 0 0
FINTECH ACQUISITION CORP III UNIT 12/01/2023 31811A309 1,274 125,000 SH   DFND 3 125,000 0 0
FIRST DATA CORP NEW COM CL A 32008D106 34,309 1,306,018 SH   DFND 4 1,306,018 0 0
FIRST REP BK SAN FRANCISCO C COM 33616C100 89 63,600 SH Put DFND 1 63,600 0 0
FISERV INC COM 337738108 16 50,000 SH Put DFND 4 50,000 0 0
FORUM MERGER II CORP CL A 34986F103 303 30,574 SH   DFND 1 30,574 0 0
FORUM MERGER II CORP UNIT 09/30/2025 34986F202 113 10,902 SH   DFND 1 10,902 0 0
FORUM MERGER II CORP UNIT 09/30/2025 34986F202 5,175 500,000 SH   DFND 3 500,000 0 0
FOX CORP CL A COM 35137L105 3 27,500 SH Call DFND 1 27,500 0 0
GCI LIBERTY INC COM CLASS A 36164V305 4,628 83,231 SH   DFND 3 83,231 0 0
GENWORTH FINL INC COM CL A 37247D106 3,157 824,308 SH   DFND 4 824,308 0 0
GIGCAPITAL INC RIGHT 03/06/2020 37518N114 8 12,934 SH   DFND 1 12,934 0 0
GIGCAPITAL INC UNIT 03/06/2025 37518N205 1,150 105,532 SH   DFND 1 105,532 0 0
GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 3,599 68,000 SH   DFND 3 68,000 0 0
GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 9 6,800 SH Call DFND 1 6,800 0 0
GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 29 23,100 SH Call DFND 3 23,100 0 0
GLOBALSTAR INC COM 378973408 24 55,000 SH   DFND 1 55,000 0 0
GORDON POINTE ACQUISITION CO *W EXP 07/30/202 382788115 6 15,690 SH   DFND 1 15,690 0 0
GORDON POINTE ACQUISITION CO COM CLASS A 382788107 819 80,250 SH   DFND 1 80,250 0 0
GORES HOLDINGS III INC *W EXP 09/11/202 38286G117 47 33,333 SH   DFND 1 33,333 0 0
GORES HOLDINGS III INC CLASS A 38286G109 2,079 210,802 SH   DFND 1 210,802 0 0
GORES METROPOULOS INC *W EXP 01/28/202 382872117 21 14,734 SH   DFND 1 14,734 0 0
GORES METROPOULOS INC UNIT 99/99/9999 382872208 3,326 324,830 SH   DFND 1 324,830 0 0
GRAF INDL CORP *W EXP 12/31/202 384278115 40 121,571 SH   DFND 1 121,571 0 0
GRAF INDL CORP UNIT 12/31/2025 384278206 251 24,800 SH   DFND 1 24,800 0 0
GREENLAND ACQUISITIN CORPORA RIGHT 04/27/2025 G40981113 72 233,540 SH   DFND 1 233,540 0 0
GS ACQUISITION HLDGS CORP *W EXP 06/12/202 36255F110 67 48,002 SH   DFND 1 48,002 0 0
GS ACQUISITION HLDGS CORP UNIT 06/12/2023 36255F201 20 1,898 SH   DFND 1 1,898 0 0
GS ACQUISITION HLDGS CORP UNIT 06/12/2023 36255F201 1,574 150,000 SH   DFND 3 150,000 0 0
GW PHARMACEUTICALS PLC ADS 36197T103 4,855 28,800 SH   DFND 1 28,800 0 0
GW PHARMACEUTICALS PLC ADS 36197T103 89 11,000 SH Call DFND 1 11,000 0 0
HALCON RES CORP *W EXP 09/09/202 40537Q118 1 140,499 SH   DFND 1 140,499 0 0
HARRIS CORP DEL COM 413875105 33 30,000 SH Put DFND 4 30,000 0 0
HENNESSY CAP ACQUSTION CORP UNIT 99/99/9999 42589C203 1,461 144,976 SH   DFND 1 144,976 0 0
HSBC HLDGS PLC SPON ADR NEW 404280406 10,212 251,650 SH   DFND 3 251,650 0 0
HUNTER MARITIME ACQUISITION *W EXP 11/17/202 Y37828129 12 23,830 SH   DFND 1 23,830 0 0
II VI INC COM 902104108 5 50,000 SH Put DFND 4 50,000 0 0
IMMUNOMEDICS INC COM 452907108 5 15,000 SH Put DFND 1 15,000 0 0
INSMED INC COM PAR $.01 457669307 58 2,000 SH   DFND 1 2,000 0 0
INSMED INC COM PAR $.01 457669307 5 19,300 SH Call DFND 1 19,300 0 0
INSURANCE ACQUISITION CORP UNIT 03/31/2024 457867307 1,568 155,200 SH   DFND 1 155,200 0 0
INTEGRATED DEVICE TECHNOLOGY COM 458118106 8,683 177,246 SH   DFND 4 177,246 0 0
INTERCEPT PHARMACEUTICALS IN COM 45845P108 34 10,000 SH Call DFND 1 10,000 0 0
INTERCEPT PHARMACEUTICALS IN COM 45845P108 43 12,000 SH Put DFND 1 12,000 0 0
IRON MTN INC NEW COM 46284V101 217 110,000 SH Put DFND 1 110,000 0 0
IRON MTN INC NEW COM 46284V101 50 100,000 SH Call DFND 1 100,000 0 0
ISHARES TR IBOXX HI YD ETF 464288513 103 250,000 SH Put DFND 1 250,000 0 0
JACK IN THE BOX INC COM 466367109 1,540 19,004 SH   DFND 4 19,004 0 0
JACOBS ENGR GROUP INC COM 469814107 2 10,000 SH Put DFND 1 10,000 0 0
KBL MERGER CORP IV COM 48242A104 849 81,700 SH   DFND 1 81,700 0 0
KEMPHARM INC COM 488445107 732 438,505 SH   DFND 3 438,505 0 0
KEZAR LIFE SCIENCES INC COM 49372L100 8,728 492,006 SH   DFND 3 492,006 0 0
KLA-TENCOR CORP COM 482480100 75 624 SH   DFND 4 624 0 0
KLA-TENCOR CORP COM 482480100 62 100,000 SH Put DFND 4 100,000 0 0
KRAFT HEINZ CO COM 500754106 89 100,000 SH Call DFND 4 100,000 0 0
LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 70 231,921 SH   DFND 1 231,921 0 0
LEGACY ACQUISITION CORP COM CL A 524643103 1,506 150,000 SH   DFND 1 150,000 0 0
LEGACY ACQUISITION CORP UNIT 05/31/2024 524643202 6,162 600,000 SH   DFND 3 600,000 0 0
LEGACY ACQUISITION CORP UNIT 05/31/2024 524643202 1,689 164,450 SH   DFND 1 164,450 0 0
LEISURE ACQUISITION CORP *W EXP 12/05/201 52539T115 144 320,098 SH   DFND 1 320,098 0 0
LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 1,025 100,000 SH   DFND 3 100,000 0 0
LEO HOLDINGS CORP *W EXP 02/07/202 G5463L113 108 138,190 SH   DFND 1 138,190 0 0
LEO HOLDINGS CORP COM CL A G5463L105 205 20,450 SH   DFND 1 20,450 0 0
LIBERTY BROADBAND CORP COM SER C 530307305 6,346 69,171 SH   DFND 3 69,171 0 0
LIBERTY EXPEDIA HLDGS INC SER A COM 53046P109 1,059 24,749 SH   DFND 3 24,749 0 0
LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 7,229 189,336 SH   DFND 3 189,336 0 0
LIBERTY MEDIA CORP DELAWARE COM C SIRIUSXM 531229607 380 9,947 SH   DFND 3 9,947 0 0
LILLY ELI & CO COM 532457108 130 1,000 SH   DFND 1 1,000 0 0
LILLY ELI & CO COM 532457108 155 206,000 SH Put DFND 1 206,000 0 0
LIVENT CORP COM 53814L108 3 30,000 SH Call DFND 2 30,000 0 0
LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 29,159 9,083,813 SH   DFND 3 9,083,813 0 0
LONGEVITY ACQUISITION CORP *W EXP 07/31/202 G56372116 22 371,430 SH   DFND 1 371,430 0 0
LONGEVITY ACQUISITION CORP UNIT 08/29/2024 G56372108 227 22,253 SH   DFND 1 22,253 0 0
LUXOFT HLDG INC ORD SHS CL A G57279104 24,463 416,678 SH   DFND 4 416,678 0 0
LUXOFT HLDG INC ORD SHS CL A G57279104 5 98,000 SH Put DFND 4 98,000 0 0
MAGELLAN HEALTH INC COM NEW 559079207 9,978 151,360 SH   DFND 4 151,360 0 0
MAGNOLIA OIL & GAS CORP *W EXP 07/31/202 559663117 1,226 361,568 SH   DFND 1 361,568 0 0
MANULIFE FINL CORP COM 56501R106 484 28,611 SH   DFND 3 28,611 0 0
MAXWELL TECHNOLOGIES INC COM 577767106 7,970 1,783,094 SH   DFND 4 1,783,094 0 0
MCDERMOTT INTL INC COM 580037703 391 52,500 SH   DFND 1 52,500 0 0
MCDERMOTT INTL INC COM 580037703 1 11,500 SH Call DFND 1 11,500 0 0
MEGALITH FINL ACQUISITION CO CL A COM 58518F109 918 91,972 SH   DFND 1 91,972 0 0
MEGALITH FINL ACQUISITION CO UNIT 09/30/2025 58518F208 11 1,100 SH   DFND 1 1,100 0 0
MEGALITH FINL ACQUISITION CO UNIT 09/30/2025 58518F208 3,381 328,900 SH   DFND 3 328,900 0 0
MELLANOX TECHNOLOGIES LTD SHS M51363113 51,784 437,510 SH   DFND 4 437,510 0 0
MELLANOX TECHNOLOGIES LTD SHS M51363113 38 50,000 SH Call DFND 1 50,000 0 0
MERCK & CO INC COM 58933Y105 166 2,000 SH   DFND 1 2,000 0 0
MERCK & CO INC COM 58933Y105 13 10,400 SH Call DFND 1 10,400 0 0
MICROSOFT CORP COM 594918104 348 2,952 SH   DFND 3 2,952 0 0
MIZUHO FINL GROUP INC SPONSORED ADR 60687Y109 3,039 993,000 SH   DFND 2 993,000 0 0
MODERN MEDIA ACQUISITION COM 60765P103 1,587 153,158 SH   DFND 1 153,158 0 0
MOSAIC ACQUISITION CORP UNIT 99/99/9999 61946M209 991 96,200 SH   DFND 1 96,200 0 0
MOSAIC ACQUISITION CORP UNIT 99/99/9999 61946M209 1,548 150,000 SH   DFND 3 150,000 0 0
MTECH ACQUISITION CORP COM CLASS A 55378W107 211 20,869 SH   DFND 1 20,869 0 0
MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 115 208,215 SH   DFND 1 208,215 0 0
MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 138 250,000 SH   DFND 3 250,000 0 0
MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 72 7,100 SH   DFND 1 7,100 0 0
MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 2,520 250,000 SH   DFND 3 250,000 0 0
MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 172 16,290 SH   DFND 1 16,290 0 0
MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 1,058 100,000 SH   DFND 3 100,000 0 0
MYOKARDIA INC COM 62857M105 2,806 53,965 SH   DFND 3 53,965 0 0
NATIONAL ENERGY SERVICES REU *W EXP 05/05/202 G6375R115 127 111,363 SH   DFND 1 111,363 0 0
NEBULA ACQUISITION CORP COM CLASS A 629076100 1,578 158,415 SH   DFND 1 158,415 0 0
NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 147 14,359 SH   DFND 1 14,359 0 0
NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 1,025 100,000 SH   DFND 3 100,000 0 0
NEW FRONTIER CORP *W EXP 99/99/999 G6485P124 302 430,820 SH   DFND 1 430,820 0 0
NEW FRONTIER CORP COM CL A G6485P108 4,607 465,335 SH   DFND 1 465,335 0 0
NEW FRONTIER CORP UNIT 99/99/9999 G6485P116 886 87,735 SH   DFND 1 87,735 0 0
NEXSTAR MEDIA GROUP INC CL A 65336K103 488 52,500 SH Call DFND 1 52,500 0 0
NEXSTAR MEDIA GROUP INC CL A 65336K103 30 120,000 SH Put DFND 4 120,000 0 0
NIELSEN HLDGS PLC SHS EUR G6518L108 5,885 248,611 SH   DFND 4 248,611 0 0
NIELSEN HLDGS PLC SHS EUR G6518L108 26 26,300 SH Call DFND 1 26,300 0 0
NIELSEN HLDGS PLC SHS EUR G6518L108 154 125,200 SH Call DFND 4 125,200 0 0
NIELSEN HLDGS PLC SHS EUR G6518L108 349 175,000 SH Put DFND 4 175,000 0 0
NIO INC SPON ADS 62914V106 15 300,000 SH Call DFND 2 300,000 0 0
NIO INC SPON ADS 62914V106 1 50,000 SH Call DFND 3 50,000 0 0
NOMURA HLDGS INC SPONSORED ADR 65535H208 844 235,000 SH   DFND 2 235,000 0 0
NOVAVAX INC COM 670002104 54 66,000 SH Put DFND 1 66,000 0 0
NXP SEMICONDUCTORS N V COM N6596X109 1,167 13,205 SH   DFND 1 13,205 0 0
NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 371 120,500 PRN Call DFND 1 120,500 0 0
NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 226 8,000 PRN Put DFND 1 8,000 0 0
OAKTREE CAP GROUP LLC UNIT CL A 674001201 1,774 35,731 SH   DFND 4 35,731 0 0
ONE MADISON CORP *W EXP 99/99/999 G6772P126 33 29,485 SH   DFND 1 29,485 0 0
ONE MADISON CORP COM CL A G6772P100 112 10,960 SH   DFND 1 10,960 0 0
ONESPAWORLD HOLDINGS LIMITED COM P73684113 343 25,098 SH   DFND 1 25,098 0 0
OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 142 590,773 SH   DFND 1 590,773 0 0
OPES ACQUISITION CORP COM 68373P100 1,421 139,975 SH   DFND 1 139,975 0 0
OPES ACQUISITION CORP UNIT 03/07/2023 68373P209 200 19,300 SH   DFND 1 19,300 0 0
ORCHARD THERAPEUTICS PLC ADS 68570P101 51,989 2,907,627 SH   DFND 3 2,907,627 0 0
OVID THERAPEUTICS INC COM 690469101 1,950 1,101,414 SH   DFND 3 1,101,414 0 0
PACIFIC BIOSCIENCES CALIF IN COM 69404D108 869 120,200 SH   DFND 1 120,200 0 0
PACIFIC BIOSCIENCES CALIF IN COM 69404D108 54 144,900 SH Put DFND 1 144,900 0 0
PENN NATL GAMING INC COM 707569109 287 14,300 SH   DFND 3 14,300 0 0
PENSARE ACQUISITION CORP *W EXP 07/27/202 70957E113 10 52,000 SH   DFND 1 52,000 0 0
PENSARE ACQUISITION CORP COM 70957E105 1,046 102,000 SH   DFND 3 102,000 0 0
PENSARE ACQUISITION CORP COM 70957E105 673 65,636 SH   DFND 1 65,636 0 0
PIONEER NAT RES CO COM 723787107 891 5,850 SH   DFND 1 5,850 0 0
PIONEER NAT RES CO COM 723787107 11 15,000 SH Put DFND 1 15,000 0 0
PIVOTAL ACQUISITION CORP UNIT 12/01/2025 72583A200 278 27,300 SH   DFND 1 27,300 0 0
PRECISION BIOSCIENCES INC COM 74019P108 18,104 1,008,565 SH   DFND 3 1,008,565 0 0
PURE ACQUISITION CORP *W EXP 04/17/202 74621Q114 1 146,129 SH   DFND 1 146,129 0 0
PURE ACQUISITION CORP CL A 74621Q106 6,837 682,321 SH   DFND 1 682,321 0 0
PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 47 4,443 SH   DFND 1 4,443 0 0
PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 2,645 250,000 SH   DFND 3 250,000 0 0
PVH CORP COM 693656100 2,893 23,720 SH   DFND 1 23,720 0 0
PVH CORP COM 693656100 23 17,000 SH Put DFND 1 17,000 0 0
QUAD / GRAPHICS INC COM CL A 747301109 1,338 112,401 SH   DFND 4 112,401 0 0
QUALCOMM INC COM 747525103 757 13,274 SH   DFND 1 13,274 0 0
QUALCOMM INC COM 747525103 14 15,900 SH Put DFND 1 15,900 0 0
QUEST DIAGNOSTICS INC COM 74834L100 4 25,000 SH Put DFND 1 25,000 0 0
QUEST DIAGNOSTICS INC COM 74834L100 4 25,000 SH Call DFND 1 25,000 0 0
QUTOUTIAO INC ADS REP SHS A 74915J107 8 55,000 SH Call DFND 2 55,000 0 0
REALOGY HLDGS CORP COM 75605Y106 125 11,000 SH   DFND 1 11,000 0 0
RED HAT INC COM 756577102 67,561 369,790 SH   DFND 4 369,790 0 0
RED HAT INC COM 756577102 144 37,500 SH Call DFND 1 37,500 0 0
RED HAT INC COM 756577102 181 74,600 SH Put DFND 1 74,600 0 0
RED HAT INC COM 756577102 303 155,000 SH Put DFND 4 155,000 0 0
REGALWOOD GLOBAL ENERGY LTD *W EXP 12/05/202 G74760128 56 62,300 SH   DFND 1 62,300 0 0
RIMINI STR INC DEL COM 76674Q107 1,188 237,500 SH   DFND 1 237,500 0 0
RMG ACQUISITION CORP UNIT 99/99/9999 749641205 1,255 125,173 SH   DFND 1 125,173 0 0
SABAN CAP ACQUISITION CORP COM CL A 78516C106 6,367 619,361 SH   DFND 1 619,361 0 0
SABAN CAP ACQUISITION CORP COM CL A 78516C106 6,682 650,000 SH   DFND 3 650,000 0 0
SCHULTZE SPL PURP ACQUSTN CO *W EXP 12/31/202 80821R117 104 334,390 SH   DFND 1 334,390 0 0
SEATTLE GENETICS INC COM 812578102 58 40,000 SH Put DFND 1 40,000 0 0
SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 274 217,500 SH Put DFND 4 217,500 0 0
SIERRA ONCOLOGY INC COM 82640U107 128 75,000 SH   DFND 1 75,000 0 0
SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 09/14/202 G8250R129 14 16,889 SH   DFND 1 16,889 0 0
SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 12 1,200 SH   DFND 1 1,200 0 0
SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 10,190 1,000,000 SH   DFND 3 1,000,000 0 0
SPARK THERAPEUTICS INC COM 84652J103 56,680 497,720 SH   DFND 4 497,720 0 0
SPARK THERAPEUTICS INC COM 84652J103 3,848 91,000 SH Call DFND 1 91,000 0 0
SPARK THERAPEUTICS INC COM 84652J103 1 27,500 SH Call DFND 4 27,500 0 0
SPARK THERAPEUTICS INC COM 84652J103 205 2,887,200 SH Put DFND 4 2,887,200 0 0
SPARTAN ENERGY ACQUISITON CO *W EXP 08/27/202 846784122 158 143,651 SH   DFND 1 143,651 0 0
SPARTAN ENERGY ACQUISITON CO UNIT 99/99/9999 846784114 5,075 500,000 SH   DFND 3 500,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 340 354,500 SH Put DFND 1 354,500 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 271 566,500 SH Call DFND 4 566,500 0 0
SPDR SERIES TRUST S&P BIOTECH 78464A870 326 3,600 SH   DFND 1 3,600 0 0
SPDR SERIES TRUST S&P BIOTECH 78464A870 13 10,000 SH Put DFND 1 10,000 0 0
SPDR SERIES TRUST S&P BIOTECH 78464A870 36 30,000 SH Put DFND 3 30,000 0 0
SPRINT CORPORATION COM 85207U105 57 10,000 SH   DFND 1 10,000 0 0
SPRINT CORPORATION COM 85207U105 42 64,500 SH Call DFND 1 64,500 0 0
SPRINT CORPORATION COM 85207U105 1 1,000 SH Put DFND 1 1,000 0 0
SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 8,033 647,800 SH   DFND 3 647,800 0 0
STERLING BANCORP DEL COM 85917A100 968 51,960 SH   DFND 3 51,960 0 0
STITCH FIX INC COM CL A 860897107 24 20,000 SH Call DFND 1 20,000 0 0
STITCH FIX INC COM CL A 860897107 64 2,250 SH   DFND 1 2,250 0 0
SUNCOR ENERGY INC NEW COM 867224107 460 14,192 SH   DFND 3 14,192 0 0
SUNTRUST BKS INC COM 867914103 6,003 101,317 SH   DFND 4 101,317 0 0
SYMANTEC CORP COM 871503108 15 112,500 SH Put DFND 4 112,500 0 0
T MOBILE US INC COM 872590104 216 112,800 SH Put DFND 4 112,800 0 0
TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 6,007 294,914 SH   DFND 3 294,914 0 0
TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 77 66,000 SH Call DFND 1 66,000 0 0
TARGA RES CORP COM 87612G101 3,457 83,200 SH   DFND 1 83,200 0 0
TARGA RES CORP COM 87612G101 1,022 157,200 SH Put DFND 1 157,200 0 0
TARGET HOSPITALITY CORP *W EXP 03/15/202 87615L115 46 30,000 SH   DFND 1 30,000 0 0
TENZING ACQUISITION CORP *W EXP 02/23/202 G8708A108 6 40,351 SH   DFND 1 40,351 0 0
TENZING ACQUISITION CORP ORD SHS G8708A116 342 34,000 SH   DFND 1 34,000 0 0
THUNDER BRIDGE ACQUISITION L *W EXP 01/01/202 G8857R126 1 2,000 SH   DFND 1 2,000 0 0
THUNDER BRIDGE ACQUISITION L *W EXP 01/01/202 G8857R126 112 155,800 SH   DFND 3 155,800 0 0
THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 408 40,024 SH   DFND 1 40,024 0 0
THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 2,099 205,800 SH   DFND 3 205,800 0 0
TILRAY INC COM CL 2 88688T100 3,872 59,100 SH   DFND 2 59,100 0 0
TILRAY INC COM CL 2 88688T100 855 59,100 SH Put DFND 2 59,100 0 0
TKK SYMPHONY ACQUISITION COR *W EXP 02/20/202 G88950129 5 35,898 SH   DFND 1 35,898 0 0
TORTOISE ACQUISITION CORP UNIT 03/04/2024 89154L209 4,727 473,158 SH   DFND 1 473,158 0 0
TOTTENHAM ACQUISITION I LTD RIGHT 06/05/2020 G8959N122 54 200,271 SH   DFND 1 200,271 0 0
TOTTENHAM ACQUISITION I LTD SHS G8959N106 1,158 115,237 SH   DFND 1 115,237 0 0
TPG PACE HLDGS CORP *W EXP 06/27/202 G89827110 66 49,216 SH   DFND 1 49,216 0 0
TPG PACE HLDGS CORP CL A G89827128 62 6,087 SH   DFND 1 6,087 0 0
TPG PACE HLDGS CORP CL A G89827128 2,042 200,000 SH   DFND 3 200,000 0 0
TRANSDIGM GROUP INC COM 893641100 25 13,200 SH Put DFND 4 13,200 0 0
TRIBUNE MEDIA CO CL A 896047503 41 38,800 SH Call DFND 1 38,800 0 0
TRIBUNE MEDIA CO CL A 896047503 40 100,000 SH Put DFND 4 100,000 0 0
TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 33 204,056 SH   DFND 1 204,056 0 0
TRIDENT ACQUISITIONS CORP COM 89615T106 110 10,806 SH   DFND 1 10,806 0 0
TRIDENT ACQUISITIONS CORP COM 89615T106 1,019 100,000 SH   DFND 3 100,000 0 0
TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 116 11,300 SH   DFND 1 11,300 0 0
TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 6,739 654,300 SH   DFND 3 654,300 0 0
TRINE ACQUISITION CORP UNIT 03/31/2021 89628U207 4,152 414,331 SH   DFND 1 414,331 0 0
TRINITY MERGER CORP COM CL A 89653L106 796 77,872 SH   DFND 1 77,872 0 0
TRINITY MERGER CORP UNIT 05/11/2025 89653L205 1,315 125,240 SH   DFND 3 125,240 0 0
TURTLE BEACH CORP COM NEW 900450206 635 55,900 SH   DFND 2 55,900 0 0
TURTLE BEACH CORP COM NEW 900450206 224 55,900 SH Put DFND 2 55,900 0 0
TUSCAN HOLDINGS CORP UNIT 99/99/9999 90069K203 1,043 100,000 SH   DFND 3 100,000 0 0
TUSCAN HOLDINGS CORP UNIT 99/99/9999 90069K203 1,005 96,399 SH   DFND 1 96,399 0 0
TWELVE SEAS INVESTMENT COMPA *W EXP 12/22/202 G9145A115 31 120,212 SH   DFND 1 120,212 0 0
TWELVE SEAS INVESTMENT COMPA RIGHT 12/22/2019 G9145A131 192 710,579 SH   DFND 1 710,579 0 0
TWELVE SEAS INVESTMENT COMPA SHS G9145A107 4,458 445,842 SH   DFND 1 445,842 0 0
TWILIO INC CL A 90138F102 61 10,000 SH Call DFND 1 10,000 0 0
U S WELL SVCS INC *W EXP 03/15/202 91274U119 19 19,000 SH   DFND 1 19,000 0 0
ULTIMATE SOFTWARE GROUP INC COM 90385D107 79,575 241,040 SH   DFND 4 241,040 0 0
ULTIMATE SOFTWARE GROUP INC COM 90385D107 3 20,000 SH Call DFND 1 20,000 0 0
ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 2,081 30,000 SH   DFND 3 30,000 0 0
UNDER ARMOUR INC CL C 904311206 4,010 212,494 SH   DFND 3 212,494 0 0
UNILEVER N V N Y SHS NEW 904784709 5,829 100,000 SH   DFND 3 100,000 0 0
UNIQURE NV SHS N90064101 239 4,000 SH   DFND 1 4,000 0 0
UNIQURE NV SHS N90064101 29 23,500 SH Call DFND 1 23,500 0 0
UNITED STATES OIL FUND LP UNITS 91232N108 1,330 106,383 SH   DFND 3 106,383 0 0
UNUM THERAPEUTICS INC COM 903214104 3,588 817,395 SH   DFND 3 817,395 0 0
VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 5,717 255,000 SH   DFND 1 255,000 0 0
VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 475 1,713,400 SH Call DFND 1 1,713,400 0 0
VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 36 400,000 SH Put DFND 1 400,000 0 0
VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 4 15,000 SH Call DFND 1 15,000 0 0
VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 8 15,000 SH Put DFND 1 15,000 0 0
VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 128 103,400 SH Put DFND 4 103,400 0 0
VECTOIQ ACQUISITION CORP *W EXP 05/11/202 92243N111 9 21,990 SH   DFND 1 21,990 0 0
VECTOIQ ACQUISITION CORP COM 92243N103 89 1,169,890 SH   DFND 1 1,169,890 0 0
VECTOIQ ACQUISITION CORP UNIT 05/11/2023 92243N202 3,100 296,667 SH   DFND 1 296,667 0 0
VERRA MOBILITY CORP COM 92511U102 150 12,569 SH   DFND 1 12,569 0 0
VERSUM MATLS INC COM 92532W103 3 11,600 SH Put DFND 1 11,600 0 0
VERSUM MATLS INC COM 92532W103 9 85,000 SH Put DFND 4 85,000 0 0
VERSUM MATLS INC COM 92532W103 9 11,500 SH Call DFND 1 11,500 0 0
WABCO HLDGS INC COM 92927K102 8,745 66,332 SH   DFND 4 66,332 0 0
WEALTHBRIDGE ACQUISITION LTD SHS G4887W110 665 67,760 SH   DFND 1 67,760 0 0
WELLCARE HEALTH PLANS INC COM 94946T106 594 2,202 SH   DFND 1 2,202 0 0
WELLCARE HEALTH PLANS INC COM 94946T106 3,938 14,600 SH   DFND 4 14,600 0 0
WELLCARE HEALTH PLANS INC COM 94946T106 65 4,500 SH Call DFND 1 4,500 0 0
WELLCARE HEALTH PLANS INC COM 94946T106 20 4,500 SH Put DFND 1 4,500 0 0
WORLDPAY INC CL A 981558109 48,910 430,925 SH   DFND 4 430,925 0 0
WPX ENERGY INC COM 98212B103 7 45,000 SH Put DFND 1 45,000 0 0
YOGAWORKS INC COM 986005106 514 558,212 SH   DFND 1 558,212 0 0
ZAYO GROUP HLDGS INC COM 98919V105 5 5,700 SH Call DFND 1 5,700 0 0
ZAYO GROUP HLDGS INC COM 98919V105 190 110,000 SH Call DFND 4 110,000 0 0
ZIMMER BIOMET HLDGS INC COM 98956P102 170 56,500 SH Call DFND 1 56,500 0 0
ZOGENIX INC COM NEW 98978L204 76 20,000 SH Call DFND 1 20,000 0 0