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: 06-30-2019
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 08-05-2019
[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: 452
Form 13F Information Table Value Total: 1,298,546
(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
8I ENTERPRISES ACQUISITIN CO *W EXP 10/29/202 G2956M112 122 435,067 SH   DFND 1 435,067 0 0
8I ENTERPRISES ACQUISITIN CO RIGHT 10/29/2020 G2956M120 30 77,959 SH   DFND 1 77,959 0 0
8I ENTERPRISES ACQUISITIN CO SHS G2956M104 3,465 350,000 SH   DFND 3 350,000 0 0
8I ENTERPRISES ACQUISITIN CO SHS G2956M104 69 6,966 SH   DFND 1 6,966 0 0
8I ENTERPRISES ACQUISITIN CO UNIT 99/99/9999 G2956M138 164 15,573 SH   DFND 1 15,573 0 0
ABBVIE INC COM 00287Y109 514 2,068 SH Call DFND 1 2,068 0 0
ABBVIE INC COM 00287Y109 29 1,435 SH Put DFND 1 1,435 0 0
ACAMAR PARTNERS ACQSITION CO UNIT 12/30/2025 004285201 999 100,000 SH   DFND 1 100,000 0 0
ACAMAR PARTNERS ACQSITION CO UNIT 12/30/2025 004285201 2,008 201,000 SH   DFND 3 201,000 0 0
ACT II GLOBAL ACQUISITION CO UNIT 04/30/2026 G0080J112 643 63,555 SH   DFND 1 63,555 0 0
ADVANCED MICRO DEVICES INC COM 007903107 547 18,000 SH   DFND 1 18,000 0 0
ADVANCED MICRO DEVICES INC COM 007903107 13 400 SH Put DFND 1 400 0 0
AGBA ACQUISITION LTD UNIT 05/10/2024 G0120M133 645 64,324 SH   DFND 1 64,324 0 0
ALBERTON ACQUISITION CORP *W EXP 04/26/202 G35006124 74 669,780 SH   DFND 1 669,780 0 0
ALBERTON ACQUISITION CORP ORD SHS G35006108 379 37,364 SH   DFND 1 37,364 0 0
ALBERTON ACQUISITION CORP RIGHT 10/04/2020 G35006132 30 121,149 SH   DFND 1 121,149 0 0
ALLEGRO MERGER CORP *W EXP 01/06/202 01749N111 7 24,278 SH   DFND 1 24,278 0 0
ALLEGRO MERGER CORP COM 01749N103 546 54,529 SH   DFND 1 54,529 0 0
ALLEGRO MERGER CORP RIGHT 12/31/2023 01749N129 14 68,978 SH   DFND 1 68,978 0 0
ALTA MESA RES INC *W EXP 03/28/202 02133L117 22 3,075,558 SH   DFND 1 3,075,558 0 0
AMCI ACQUISITION CORP *W EXP 05/20/202 00165R119 4 13,000 SH   DFND 1 13,000 0 0
AMERIGAS PARTNERS L P UNIT L P INT 030975106 1,606 46,083 SH   DFND 3 46,083 0 0
ANADARKO PETE CORP COM 032511107 42,756 605,955 SH   DFND 4 605,955 0 0
ANADARKO PETE CORP COM 032511107 91 1,135 SH Put DFND 1 1,135 0 0
ANADARKO PETE CORP COM 032511107 131 492,200 SH Put DFND 4 492,200 0 0
ANDINA ACQUISITION CORP III *W EXP 07/31/202 G04415124 22 102,810 SH   DFND 1 102,810 0 0
ANDINA ACQUISITION CORP III RIGHT 07/31/2020 G04415132 93 358,207 SH   DFND 1 358,207 0 0
ANDINA ACQUISITION CORP III SHS G04415108 318 32,104 SH   DFND 1 32,104 0 0
ANDINA ACQUISITION CORP III UNIT 09/24/2020 G04415116 947 92,157 SH   DFND 1 92,157 0 0
APHRIA INC COM 03765K104 4,927 702,864 SH   DFND 2 702,864 0 0
APHRIA INC COM 03765K104 15 976 SH Call DFND 1 976 0 0
APHRIA INC COM 03765K104 257 117,200 SH Put DFND 2 117,200 0 0
APHRIA INC COM 03765K104 245 35,000 SH   DFND 1 35,000 0 0
APPLIED MATLS INC COM 038222105 221 550 SH Call DFND 1 550 0 0
ARRAY BIOPHARMA INC COM 04269X105 10,073 217,408 SH   DFND 4 217,408 0 0
ARRAY BIOPHARMA INC COM 04269X105 64 787,100 SH Put DFND 4 787,100 0 0
ARYA SCIENCES ACQUISITION CO UNIT 10/04/2023 G3165V117 265 24,800 SH   DFND 1 24,800 0 0
AT HOME GROUP INC COM 04650Y100 343 51,449 SH   DFND 4 51,449 0 0
AT HOME GROUP INC COM 04650Y100 21 250 SH Call DFND 1 250 0 0
AT HOME GROUP INC COM 04650Y100 371 546,400 SH Call DFND 4 546,400 0 0
AT&T INC COM 00206R102 898 26,800 SH   DFND 1 26,800 0 0
AT&T INC COM 00206R102 88 1,000 SH Call DFND 1 1,000 0 0
ATHENE HLDG LTD CL A G0684D107 1,077 25,000 SH   DFND 1 25,000 0 0
ATLAS AIR WORLDWIDE HLDGS IN NOTE 1.875% 6/0 049164BJ4 307 300,000 PRN   DFND 1 300,000 0 0
AUDENTES THERAPEUTICS INC COM 05070R104 1,446 38,190 SH   DFND 3 38,190 0 0
AURORA CANNABIS INC COM 05156X108 490 62,700 SH   DFND 1 62,700 0 0
AURORA CANNABIS INC COM 05156X108 76 606 SH Call DFND 1 606 0 0
AVAYA HLDGS CORP COM 05351X101 655 55,000 SH   DFND 1 55,000 0 0
AVAYA HLDGS CORP COM 05351X101 2 202 SH Call DFND 1 202 0 0
AVAYA HLDGS CORP COM 05351X101 25 125,000 SH Call DFND 4 125,000 0 0
AVON PRODS INC COM 054303102 506 130,500 SH   DFND 1 130,500 0 0
AVON PRODS INC COM 054303102 617 7,532 SH Call DFND 1 7,532 0 0
AVON PRODS INC COM 054303102 4 400 SH Put DFND 1 400 0 0
AXALTA COATING SYS LTD COM G0750C108 997 33,500 SH   DFND 1 33,500 0 0
B RILEY PRINCIPAL MERGER COR CL A 05586Y106 183 18,800 SH   DFND 1 18,800 0 0
B RILEY PRINCIPAL MERGER COR UNIT 99/99/9999 05586Y205 3,194 320,411 SH   DFND 1 320,411 0 0
BANCO SANTANDER MEXICO S A SPONSORED ADS B 05969B103 2,481 324,337 SH   DFND 2 324,337 0 0
BANCO SANTANDER SA ADR 05964H105 41,379 9,034,700 SH   DFND 2 9,034,700 0 0
BANCO SANTANDER SA ADR 05964H105 20,232 4,417,479 SH   DFND 3 4,417,479 0 0
BANK N S HALIFAX COM 064149107 54,350 1,000,000 SH   DFND 3 1,000,000 0 0
BANK N S HALIFAX COM 064149107 5,811 1,000,000 SH Put DFND 3 1,000,000 0 0
BARCLAYS PLC ADR 06738E204 2,468 324,358 SH   DFND 3 324,358 0 0
BB&T CORP COM 054937107 198 201,300 SH Put DFND 4 201,300 0 0
BEYOND MEAT INC COM 08862E109 41 16,200 SH Call DFND 2 16,200 0 0
BHP GROUP PLC SPONSORED ADR 05545E209 4,644 90,868 SH   DFND 2 90,868 0 0
BIG ROCK PARTNERS ACQUISI CO *W EXP 12/01/202 089482111 15 67,000 SH   DFND 1 67,000 0 0
BIG ROCK PARTNERS ACQUISI CO RIGHT 12/01/2022 089482129 17 90,020 SH   DFND 1 90,020 0 0
BIOHAVEN PHARMACTL HLDG CO L COM G11196105 119 125 SH Put DFND 1 125 0 0
BIOHAVEN PHARMACTL HLDG CO L COM G11196105 48 302 SH Call DFND 1 302 0 0
BIOHAVEN PHARMACTL HLDG CO L COM G11196105 543 105,000 SH Call DFND 4 105,000 0 0
BIOSCRIP INC COM 09069N108 27 10,239 SH   DFND 4 10,239 0 0
BLACK RIDGE ACQUISITION CORP *W EXP 07/10/202 09216T115 27 65,600 SH   DFND 1 65,600 0 0
BLACK RIDGE ACQUISITION CORP *W EXP 07/10/202 09216T115 21 50,000 SH   DFND 3 50,000 0 0
BLACK RIDGE ACQUISITION CORP COM 09216T107 6,894 670,000 SH   DFND 3 670,000 0 0
BLACK RIDGE ACQUISITION CORP COM 09216T107 1 100 SH   DFND 1 100 0 0
BLACK RIDGE ACQUISITION CORP RIGHT 07/10/2019 09216T123 208 494,461 SH   DFND 1 494,461 0 0
BLACK RIDGE ACQUISITION CORP RIGHT 07/10/2019 09216T123 21 50,000 SH   DFND 3 50,000 0 0
BLUEBIRD BIO INC COM 09609G100 1,908 15,000 SH   DFND 3 15,000 0 0
BLUEPRINT MEDICINES CORP COM 09627Y109 2,075 22,000 SH   DFND 3 22,000 0 0
BOXWOOD MERGER CORP *W EXP 11/26/202 10319T119 19 31,198 SH   DFND 1 31,198 0 0
BOXWOOD MERGER CORP UNIT 11/26/2025 10319T200 192 18,656 SH   DFND 1 18,656 0 0
BP PLC SPONSORED ADR 055622104 7,827 187,696 SH   DFND 3 187,696 0 0
BRISTOL MYERS SQUIBB CO COM 110122108 776 646,800 SH Call DFND 4 646,800 0 0
BROOKFIELD PROPERTY REIT INC CL A 11282X103 3,468 183,600 SH   DFND 2 183,600 0 0
BROOKFIELD PROPERTY REIT INC CL A 11282X103 428 22,659 SH   DFND 3 22,659 0 0
BRP INC COM SUN VTG 05577W200 1,161 32,500 SH   DFND 3 32,500 0 0
BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 3,509 85,491 SH   DFND 4 85,491 0 0
CAESARS ENTMT CORP COM 127686103 1,988 168,200 SH   DFND 1 168,200 0 0
CAESARS ENTMT CORP COM 127686103 10,064 851,405 SH   DFND 4 851,405 0 0
CAESARS ENTMT CORP COM 127686103 1 110,000 SH Put DFND 4 110,000 0 0
CANOPY GROWTH CORP COM 138035100 1,662 160,600 SH Put DFND 2 160,600 0 0
CANOPY GROWTH CORP COM 138035100 6,474 160,600 SH   DFND 2 160,600 0 0
CAPITOL INVT CORP IV *W EXP 01/01/202 G18920127 343 246,748 SH   DFND 1 246,748 0 0
CAPITOL INVT CORP IV CL A ORD G18920101 6 580 SH   DFND 1 580 0 0
CAPITOL INVT CORP IV CL A ORD G18920101 3,069 300,000 SH   DFND 3 300,000 0 0
CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 1,507 140,839 SH   DFND 1 140,839 0 0
CAPITOL INVT CORP IV UNIT 99/99/9999 G18920119 535 50,000 SH   DFND 3 50,000 0 0
CBS CORP NEW CL B 124857202 156 250,000 SH Put DFND 4 250,000 0 0
CELGENE CORP COM 151020104 12 200,100 SH Put DFND 4 200,100 0 0
CELGENE CORP COM 151020104 188 2,223 SH Put DFND 1 2,223 0 0
CELGENE CORP COM 151020104 62,684 678,108 SH   DFND 4 678,108 0 0
CELGENE CORP COM 151020104 6 250 SH Call DFND 1 250 0 0
CENTENE CORP DEL COM 15135B101 1,894 36,113 SH   DFND 1 36,113 0 0
CENTENE CORP DEL COM 15135B101 23,485 447,850 SH   DFND 4 447,850 0 0
CENTENE CORP DEL COM 15135B101 735 4,165 SH Call DFND 1 4,165 0 0
CENTENE CORP DEL COM 15135B101 832 5,385 SH Put DFND 1 5,385 0 0
CENTENE CORP DEL COM 15135B101 289 162,400 SH Put DFND 4 162,400 0 0
CF FIN ACQUISITION CORP *W EXP 04/30/202 12528N115 27 44,902 SH   DFND 1 44,902 0 0
CF FIN ACQUISITION CORP COM CL A 12528N107 239 23,900 SH   DFND 1 23,900 0 0
CF FIN ACQUISITION CORP UNIT 04/30/2025 12528N206 129 12,438 SH   DFND 1 12,438 0 0
CHAPARRAL ENERGY INC COM CL A 15942R208 78 16,500 SH   DFND 1 16,500 0 0
CHARDAN HEALTHCARE ACQUISITI UNIT 12/13/2023 15957A207 1,666 163,500 SH   DFND 3 163,500 0 0
CHASERG TECHNLGY ACQUISITN C CLASS A 16166A103 1,174 116,962 SH   DFND 1 116,962 0 0
CHASERG TECHNLGY ACQUISITN C CLASS A 16166A103 4,016 400,000 SH   DFND 3 400,000 0 0
CHASERG TECHNLGY ACQUISITN C UNIT 09/30/2023 16166A202 1,273 124,431 SH   DFND 1 124,431 0 0
CHURCHILL CAP CORP II UNIT 99/99/9999 17143G205 11,246 1,107,985 SH   DFND 1 1,107,985 0 0
CISCO SYS INC COM 17275R102 153 2,790 SH   DFND 1 2,790 0 0
CISCO SYS INC COM 17275R102 179 1,300 SH Put DFND 1 1,300 0 0
CLARIVATE ANALYTICS PLC *W EXP 11/09/201 G21810117 1,798 378,515 SH   DFND 1 378,515 0 0
COLLIER CREEK HOLDINGS *W EXP 99/99/999 G22707114 87 66,666 SH   DFND 3 66,666 0 0
COLLIER CREEK HOLDINGS COM CL A G22707106 679 67,909 SH   DFND 1 67,909 0 0
COLLIER CREEK HOLDINGS COM CL A G22707106 3,000 300,000 SH   DFND 3 300,000 0 0
COLLIER CREEK HOLDINGS UNIT 99/99/9999 G22707122 795 75,000 SH   DFND 1 75,000 0 0
CONSTELLATION ALPHA CAP CORP RIGHT 99/99/9999 G2379F132 171 947,074 SH   DFND 1 947,074 0 0
CONSTELLATION ALPHA CAP CORP SHS G2379F108 7,897 759,312 SH   DFND 1 759,312 0 0
CONSTELLATION ALPHA CAP CORP UNIT 99/99/9999 G2379F124 1,417 136,250 SH   DFND 1 136,250 0 0
CORVUS PHARMACEUTICALS INC COM 221015100 2,155 576,231 SH   DFND 3 576,231 0 0
CRESCENT ACQUISITION CORP *W EXP 03/08/202 22564L113 36 55,799 SH   DFND 1 55,799 0 0
CRESCENT ACQUISITION CORP UNIT 99/99/9999 22564L204 101 10,000 SH   DFND 1 10,000 0 0
CROCS INC COM 227046109 1,037 52,500 SH   DFND 1 52,500 0 0
CROCS INC COM 227046109 92 550 SH Call DFND 1 550 0 0
CYPRESS SEMICONDUCTOR CORP COM 232806109 40,946 1,841,078 SH   DFND 4 1,841,078 0 0
CYPRESS SEMICONDUCTOR CORP COM 232806109 3 1,000 SH Call DFND 1 1,000 0 0
CYPRESS SEMICONDUCTOR CORP COM 232806109 1 75 SH Put DFND 1 75 0 0
DASEKE INC *W EXP 02/27/202 23753F115 87 394,501 SH   DFND 1 394,501 0 0
DAVITA INC COM 23918K108 996 1,118 SH Call DFND 1 1,118 0 0
DAVITA INC COM 23918K108 183 1,118 SH Put DFND 1 1,118 0 0
DD3 ACQUISITION CORP *W EXP 10/20/202 G2692M111 15 50,799 SH   DFND 1 50,799 0 0
DENBURY RES INC COM NEW 247916208 3 18,100 SH Call DFND 4 18,100 0 0
DEUTSCHE BANK AG NAMEN AKT D18190898 1,221 160,000 SH   DFND 2 160,000 0 0
DEUTSCHE BANK AG NAMEN AKT D18190898 240 160,000 SH Put DFND 2 160,000 0 0
DFB HEALTHCARE ACQUISTION CO *W EXP 04/11/202 23291E117 36 28,459 SH   DFND 1 28,459 0 0
DFB HEALTHCARE ACQUISTION CO UNIT 01/30/2023 23291E208 671 64,500 SH   DFND 3 64,500 0 0
DIAMONDPEAK HLDGS COR *W EXP 02/22/202 25280H118 12 14,433 SH   DFND 1 14,433 0 0
DIAMONDPEAK HLDGS COR UNIT 99/99/9999 25280H209 5,221 520,000 SH   DFND 3 520,000 0 0
DISCOVERY INC COM SER C 25470F302 2,845 100,000 SH   DFND 2 100,000 0 0
EL PASO ELEC CO COM NEW 283677854 6,884 105,258 SH   DFND 4 105,258 0 0
ELDORADO RESORTS INC COM 28470R102 545 11,838 SH   DFND 4 11,838 0 0
ELECTRONIC ARTS INC COM 285512109 1,316 13,000 SH   DFND 1 13,000 0 0
ELECTRONIC ARTS INC COM 285512109 241 317 SH Call DFND 1 317 0 0
ELECTRONIC ARTS INC COM 285512109 13 100 SH Put DFND 1 100 0 0
EMCOR GROUP INC COM 29084Q100 20 24,200 SH Call DFND 4 24,200 0 0
ENEL AMERICAS S A SPONSORED ADR 29274F104 444 50,000 SH   DFND 3 50,000 0 0
ENEL AMERICAS S A SPONSORED ADR 29274F104 162 44,600 SH Put DFND 3 44,600 0 0
FAR PT ACQUISITION CORP *W EXP 06/01/202 30734W117 16 12,659 SH   DFND 1 12,659 0 0
FAR PT ACQUISITION CORP COM CL A 30734W109 255 25,000 SH   DFND 3 25,000 0 0
FASTENAL CO COM 311900104 136 425 SH Call DFND 1 425 0 0
FASTENAL CO COM 311900104 272 1,700 SH Put DFND 1 1,700 0 0
FINTECH ACQUISITION CORP III UNIT 12/01/2023 31811A309 95 8,872 SH   DFND 1 8,872 0 0
FINTECH ACQUISITION CORP III UNIT 12/01/2023 31811A309 2,784 260,000 SH   DFND 3 260,000 0 0
FORUM MERGER II CORP *W EXP 09/30/202 34986F111 15 23,000 SH   DFND 1 23,000 0 0
FORUM MERGER II CORP CL A 34986F103 112 11,176 SH   DFND 1 11,176 0 0
FORUM MERGER II CORP CL A 34986F103 2,767 275,000 SH   DFND 3 275,000 0 0
FORUM MERGER II CORP UNIT 09/30/2025 34986F202 82 7,700 SH   DFND 1 7,700 0 0
FORUM MERGER II CORP UNIT 09/30/2025 34986F202 3,916 369,052 SH   DFND 3 369,052 0 0
GCI LIBERTY INC COM CLASS A 36164V305 4,814 78,334 SH   DFND 3 78,334 0 0
GIGCAPITAL INC RIGHT 03/06/2020 37518N114 26 49,600 SH   DFND 1 49,600 0 0
GIGCAPITAL INC UNIT 03/06/2025 37518N205 996 90,592 SH   DFND 1 90,592 0 0
GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 1,834 45,825 SH   DFND 3 45,825 0 0
GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 50 135 SH Put DFND 1 135 0 0
GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 20 40,000 SH Call DFND 3 40,000 0 0
GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 410 7,800 SH   DFND 1 7,800 0 0
GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 3,130 59,500 SH   DFND 3 59,500 0 0
GLOBAL BLOOD THERAPEUTICS IN COM 37890U108 1 25 SH Call DFND 1 25 0 0
GLOBAL PMTS INC COM 37940X102 150 75,000 SH Put DFND 4 75,000 0 0
GLOBALSTAR INC COM 378973408 26 55,000 SH   DFND 1 55,000 0 0
GORDON POINTE ACQUISITION CO *W EXP 07/30/202 382788115 17 50,000 SH   DFND 1 50,000 0 0
GORDON POINTE ACQUISITION CO COM CLASS A 382788107 362 35,000 SH   DFND 1 35,000 0 0
GORDON POINTE ACQUISITION CO COM CLASS A 382788107 4,907 475,000 SH   DFND 3 475,000 0 0
GORES HOLDINGS III INC *W EXP 09/11/202 38286G117 234 161,066 SH   DFND 1 161,066 0 0
GORES HOLDINGS III INC CLASS A 38286G109 2,870 285,585 SH   DFND 1 285,585 0 0
GORES HOLDINGS III INC UNIT 09/07/2024 38286G208 526 50,262 SH   DFND 1 50,262 0 0
GORES HOLDINGS III INC UNIT 09/07/2024 38286G208 1,571 150,000 SH   DFND 3 150,000 0 0
GORES METROPOULOS INC *W EXP 01/28/202 382872117 197 156,351 SH   DFND 1 156,351 0 0
GORES METROPOULOS INC COM CL A 382872109 5,614 557,478 SH   DFND 1 557,478 0 0
GORES METROPOULOS INC UNIT 99/99/9999 382872208 3,163 302,000 SH   DFND 3 302,000 0 0
GRAF INDL CORP *W EXP 12/31/202 384278115 120 304,072 SH   DFND 1 304,072 0 0
GREENLAND ACQUISITIN CORPORA RIGHT 04/27/2025 G40981113 79 201,816 SH   DFND 1 201,816 0 0
GREENLANE HLDGS INC CL A 395330103 3,228 336,686 SH   DFND 1 336,686 0 0
GS ACQUISITION HLDGS CORP *W EXP 06/12/202 36255F110 61 48,496 SH   DFND 1 48,496 0 0
GS ACQUISITION HLDGS CORP COM CL A 36255F102 840 82,888 SH   DFND 1 82,888 0 0
GS ACQUISITION HLDGS CORP UNIT 06/12/2023 36255F201 1,575 150,000 SH   DFND 3 150,000 0 0
GX ACQUISITION CORP UNIT 05/24/2026 36251A206 426 42,396 SH   DFND 1 42,396 0 0
GX ACQUISITION CORP UNIT 05/24/2026 36251A206 3,015 300,000 SH   DFND 3 300,000 0 0
HALCON RES CORP *W EXP 09/09/202 40537Q118 4 443,716 SH   DFND 1 443,716 0 0
HAYMAKER ACQUISITION CORP II UNIT 10/31/2026 42087L200 1,919 187,926 SH   DFND 1 187,926 0 0
HEALTH SCIENCES ACQUSTN CORP UNIT 04/01/2024 42227C201 639 60,300 SH   DFND 1 60,300 0 0
HENNESSY CAP ACQUSTION CORP *W EXP 09/05/202 42589C112 82 135,883 SH   DFND 1 135,883 0 0
HENNESSY CAP ACQUSTION CORP CL A COM 42589C104 632 63,840 SH   DFND 1 63,840 0 0
HENNESSY CAP ACQUSTION CORP UNIT 99/99/9999 42589C203 53 5,053 SH   DFND 1 5,053 0 0
HENNESSY CAP ACQUSTION CORP UNIT 99/99/9999 42589C203 884 85,000 SH   DFND 3 85,000 0 0
HL ACQUISITIONS CORP UNIT 06/21/2023 G4603R114 475 45,027 SH   DFND 1 45,027 0 0
II VI INC COM 902104108 2,730 74,675 SH   DFND 4 74,675 0 0
IMMUNOMEDICS INC COM 452907108 203 14,611 SH   DFND 1 14,611 0 0
IMMUNOMEDICS INC COM 452907108 139 1,400 SH Call DFND 1 1,400 0 0
INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 1,482 1,670,000 PRN   DFND 1 1,670,000 0 0
INVESCO QQQ TR UNIT SER 1 46090E103 379 250,000 SH Call DFND 3 250,000 0 0
ISHARES INC MSCI STH AFR ETF 464286780 437 8,000 SH   DFND 3 8,000 0 0
JPMORGAN CHASE & CO COM 46625H100 4,629 41,400 SH   DFND 1 41,400 0 0
JPMORGAN CHASE & CO COM 46625H100 71 225 SH Put DFND 1 225 0 0
KEMPHARM INC COM 488445107 438 250,000 SH   DFND 3 250,000 0 0
KEZAR LIFE SCIENCES INC COM 49372L100 2,645 343,049 SH   DFND 3 343,049 0 0
KONTOOR BRANDS INC COM 50050N103 280 10,000 SH   DFND 1 10,000 0 0
L3 TECHNOLOGIES INC COM 502413107 490 2,000 SH   DFND 1 2,000 0 0
LANDCADIA HLDGS II INC *W EXP 05/09/202 51476X113 50 58,833 SH   DFND 1 58,833 0 0
LANDCADIA HLDGS II INC UNIT 05/09/2026 51476X204 2,313 231,300 SH   DFND 3 231,300 0 0
LEGACY ACQUISITION CORP *W EXP 11/30/202 524643111 30 92,481 SH   DFND 1 92,481 0 0
LEGACY ACQUISITION CORP COM CL A 524643103 1,010 99,969 SH   DFND 1 99,969 0 0
LEGACY ACQUISITION CORP COM CL A 524643103 2,020 200,000 SH   DFND 3 200,000 0 0
LEGACY ACQUISITION CORP UNIT 05/31/2024 524643202 6,270 600,000 SH   DFND 3 600,000 0 0
LEGACY TEX FINL GROUP INC COM 52471Y106 1,953 47,970 SH   DFND 4 47,970 0 0
LEISURE ACQUISITION CORP *W EXP 12/05/201 52539T115 143 220,087 SH   DFND 1 220,087 0 0
LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 4,400 422,303 SH   DFND 1 422,303 0 0
LEISURE ACQUISITION CORP UNIT 99/99/9999 52539T206 1,428 137,000 SH   DFND 3 137,000 0 0
LENNAR CORP CL A 526057104 1,001 20,663 SH   DFND 1 20,663 0 0
LENNAR CORP CL A 526057104 82 2,582 SH Call DFND 1 2,582 0 0
LEO HOLDINGS CORP *W EXP 02/07/202 G5463L113 213 170,534 SH   DFND 1 170,534 0 0
LF CAP ACQUISITION CORP CL A 50200K108 1,690 166,057 SH   DFND 1 166,057 0 0
LIBERTY BROADBAND CORP COM SER A 530307107 514 5,000 SH   DFND 3 5,000 0 0
LIBERTY BROADBAND CORP COM SER C 530307305 2,739 26,279 SH   DFND 3 26,279 0 0
LIBERTY EXPEDIA HLDGS INC SER A COM 53046P109 5,022 105,083 SH   DFND 2 105,083 0 0
LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 3,394 89,765 SH   DFND 3 89,765 0 0
LLOYDS BANKING GROUP PLC SPONSORED ADR 539439109 23,782 8,374,111 SH   DFND 3 8,374,111 0 0
LONGEVITY ACQUISITION CORP UNIT 08/29/2024 G56372108 219 21,176 SH   DFND 1 21,176 0 0
LOWES COS INC COM 548661107 353 3,500 SH   DFND 1 3,500 0 0
LOWES COS INC COM 548661107 16 400 SH Put DFND 1 400 0 0
LUCKIN COFFEE INC SPONSORED ADS 54951L109 4,385 225,000 SH   DFND 2 225,000 0 0
LUCKIN COFFEE INC SPONSORED ADS 54951L109 788 225,000 SH Put DFND 2 225,000 0 0
LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 1,292 15,000 SH   DFND 1 15,000 0 0
MEDICINES CO COM 584688105 368 10,100 SH   DFND 1 10,100 0 0
MEDICINES CO COM 584688105 65 150 SH Put DFND 1 150 0 0
MEDIDATA SOLUTIONS INC COM 58471A105 2 1,800 SH Put DFND 4 1,800 0 0
MEDIDATA SOLUTIONS INC COM 58471A105 23,289 257,314 SH   DFND 4 257,314 0 0
MEGALITH FINL ACQUISITION CO *W EXP 08/26/202 58518F117 22 72,869 SH   DFND 1 72,869 0 0
MEGALITH FINL ACQUISITION CO UNIT 09/30/2025 58518F208 3,407 328,900 SH   DFND 3 328,900 0 0
MIDSOUTH BANCORP INC COM 598039105 153 12,900 SH   DFND 4 12,900 0 0
MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 606822104 3,595 756,800 SH   DFND 2 756,800 0 0
MIZUHO FINL GROUP INC SPONSORED ADR 60687Y109 15,799 5,485,850 SH   DFND 2 5,485,850 0 0
MODERN MEDIA ACQUISITION COM 60765P103 2,092 200,000 SH   DFND 3 200,000 0 0
MODERN MEDIA ACQUISITION RIGHT 99/99/9999 60765P129 21 71,814 SH   DFND 1 71,814 0 0
MONOCLE ACQUISITION CORP *W EXP 12/06/202 609754114 19 55,371 SH   DFND 1 55,371 0 0
MONOCLE ACQUISITION CORP COM 609754106 189 19,100 SH   DFND 1 19,100 0 0
MONOCLE ACQUISITION CORP UNIT 99/99/9999 609754205 610 59,248 SH   DFND 1 59,248 0 0
MOSAIC ACQUISITION CORP *W EXP 10/23/202 61946M118 26 27,800 SH   DFND 1 27,800 0 0
MOSAIC ACQUISITION CORP COM CL A 61946M100 510 50,000 SH   DFND 3 50,000 0 0
MOSAIC ACQUISITION CORP COM CL A 61946M100 385 37,716 SH   DFND 1 37,716 0 0
MOSAIC ACQUISITION CORP UNIT 99/99/9999 61946M209 68 6,430 SH   DFND 1 6,430 0 0
MOSAIC ACQUISITION CORP UNIT 99/99/9999 61946M209 1,586 150,000 SH   DFND 3 150,000 0 0
MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 96 195,282 SH   DFND 1 195,282 0 0
MUDRICK CAP ACQUISITION CORP *W EXP 02/12/202 624745113 123 250,000 SH   DFND 3 250,000 0 0
MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 559 54,915 SH   DFND 1 54,915 0 0
MUDRICK CAP ACQUISITION CORP COM CLASS A 624745105 2,545 250,000 SH   DFND 3 250,000 0 0
MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 1,324 125,000 SH   DFND 3 125,000 0 0
MYLAN N V SHS EURO N59465109 443 395,000 SH Call DFND 4 395,000 0 0
MYOKARDIA INC COM 62857M105 2,256 45,000 SH   DFND 3 45,000 0 0
NEBULA ACQUISITION CORP *W EXP 03/12/202 629076118 38 38,059 SH   DFND 1 38,059 0 0
NEBULA ACQUISITION CORP COM CLASS A 629076100 10 963 SH   DFND 1 963 0 0
NEBULA ACQUISITION CORP COM CLASS A 629076100 1,009 100,000 SH   DFND 3 100,000 0 0
NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 1,027 100,000 SH   DFND 3 100,000 0 0
NEW FRONTIER CORP *W EXP 99/99/999 G6485P124 342 488,387 SH   DFND 1 488,387 0 0
NEW FRONTIER CORP COM CL A G6485P108 3,505 348,102 SH   DFND 1 348,102 0 0
NIELSEN HLDGS PLC SHS EUR G6518L108 395 17,500 SH   DFND 4 17,500 0 0
NIELSEN HLDGS PLC SHS EUR G6518L108 106 125,000 SH Call DFND 4 125,000 0 0
NII HLDGS INC COM PAR 62913F508 85 50,000 SH   DFND 1 50,000 0 0
NIO INC SPON ADS 62914V106 446 175,000 SH   DFND 2 175,000 0 0
NIO INC SPON ADS 62914V106 96 175,000 SH Put DFND 2 175,000 0 0
NOMURA HLDGS INC SPONSORED ADR 65535H208 834 235,000 SH   DFND 2 235,000 0 0
NXP SEMICONDUCTORS N V COM N6596X109 1,630 16,700 SH   DFND 1 16,700 0 0
NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 635 1,205 PRN Call DFND 1 1,205 0 0
NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 169 80 PRN Put DFND 1 80 0 0
OAKTREE CAP GROUP LLC UNIT CL A 674001201 5,591 112,859 SH   DFND 4 112,859 0 0
OCCIDENTAL PETE CORP COM 674599105 22 2,120 SH Call DFND 1 2,120 0 0
OCCIDENTAL PETE CORP COM 674599105 352 651,400 SH Call DFND 4 651,400 0 0
OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 187 744,789 SH   DFND 1 744,789 0 0
OPES ACQUISITION CORP COM 68373P100 5,937 576,372 SH   DFND 1 576,372 0 0
ORCHARD THERAPEUTICS PLC ADS 68570P101 42,465 3,035,364 SH   DFND 3 3,035,364 0 0
ORGANIGRAM HLDGS INC COM 68620P101 99 15,300 SH   DFND 1 15,300 0 0
OVID THERAPEUTICS INC COM 690469101 1,799 972,260 SH   DFND 3 972,260 0 0
PACIFIC BIOSCIENCES CALIF IN COM 69404D108 151 25,000 SH   DFND 1 25,000 0 0
PACIFIC BIOSCIENCES CALIF IN COM 69404D108 1,693 279,791 SH   DFND 4 279,791 0 0
PACIRA BIOSCIENCES NOTE 2.375% 4/0 695127AD2 287 280,000 PRN   DFND 1 280,000 0 0
PARKER HANNIFIN CORP COM 701094104 1,165 6,851 SH   DFND 1 6,851 0 0
PARKER HANNIFIN CORP COM 701094104 11 201 SH Put DFND 1 201 0 0
PEARSON PLC SPONSORED ADR 705015105 1,036 100,000 SH   DFND 3 100,000 0 0
PENSARE ACQUISITION CORP RIGHT 99/99/9999 70957E121 5 33,151 SH   DFND 1 33,151 0 0
PIVOTAL ACQUISITION CORP *W EXP 12/01/202 72583A119 149 110,539 SH   DFND 1 110,539 0 0
PIVOTAL ACQUISITION CORP CL A COM 72583A101 2,642 260,280 SH   DFND 1 260,280 0 0
PIVOTAL ACQUISITION CORP UNIT 12/01/2025 72583A200 2,658 229,100 SH   DFND 1 229,100 0 0
PIVOTAL ACQUISITION CORP UNIT 12/01/2025 72583A200 812 70,000 SH   DFND 3 70,000 0 0
PRECISION BIOSCIENCES INC COM 74019P108 14,362 1,083,926 SH   DFND 3 1,083,926 0 0
PROFICIENT ALPHA ACQUSTN COR RIGHT 04/30/2026 74317H121 2 11,500 SH   DFND 1 11,500 0 0
PURE ACQUISITION CORP *W EXP 04/17/202 74621Q114 156 144,130 SH   DFND 1 144,130 0 0
PURE ACQUISITION CORP CL A 74621Q106 9,380 925,000 SH   DFND 3 925,000 0 0
PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 144 13,444 SH   DFND 1 13,444 0 0
PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 3,314 310,000 SH   DFND 3 310,000 0 0
PVH CORP COM 693656100 2,044 21,600 SH   DFND 1 21,600 0 0
PVH CORP COM 693656100 72 170 SH Put DFND 1 170 0 0
QEP RES INC COM 74733V100 21 302 SH Call DFND 1 302 0 0
QEP RES INC COM 74733V100 145 109,600 SH Call DFND 4 109,600 0 0
QEP RES INC COM 74733V100 36 5,000 SH   DFND 1 5,000 0 0
QEP RES INC COM 74733V100 2 74 SH Put DFND 1 74 0 0
QEP RES INC COM 74733V100 468 64,707 SH   DFND 4 64,707 0 0
RANPAK HLDGS CORP *W EXP 06/03/202 75321W111 35 29,500 SH   DFND 1 29,500 0 0
RED HAT INC COM 756577102 88,027 468,827 SH   DFND 4 468,827 0 0
RED HAT INC COM 756577102 115 175 SH Call DFND 1 175 0 0
RED HAT INC COM 756577102 1,398 50,000 SH Call DFND 4 50,000 0 0
RED HAT INC COM 756577102 31 1,183 SH Put DFND 1 1,183 0 0
RED HAT INC COM 756577102 59 308,700 SH Put DFND 4 308,700 0 0
REEBONZ HLDG LTD SHS G7457R122 113 29,942 SH   DFND 1 29,942 0 0
REGALWOOD GLOBAL ENERGY LTD *W EXP 12/05/202 G74760128 331 368,284 SH   DFND 1 368,284 0 0
REGALWOOD GLOBAL ENERGY LTD COM CL A G74760102 1 100 SH   DFND 1 100 0 0
REGALWOOD GLOBAL ENERGY LTD COM CL A G74760102 4,590 450,000 SH   DFND 3 450,000 0 0
REGALWOOD GLOBAL ENERGY LTD UNIT 99/99/9999 G74760110 10 908 SH   DFND 1 908 0 0
REGALWOOD GLOBAL ENERGY LTD UNIT 99/99/9999 G74760110 513 49,000 SH   DFND 3 49,000 0 0
REPLAY ACQUISITION CORP *W EXP 03/01/202 G75130115 51 73,400 SH   DFND 1 73,400 0 0
REPLAY ACQUISITION CORP COM G75130107 430 44,000 SH   DFND 1 44,000 0 0
REPLAY ACQUISITION CORP UNIT 03/01/2024 G75130123 128 12,804 SH   DFND 1 12,804 0 0
RIMINI STR INC DEL COM 76674Q107 1,259 237,500 SH   DFND 1 237,500 0 0
RMG ACQUISITION CORP *W EXP 02/21/202 749641114 27 29,250 SH   DFND 1 29,250 0 0
RMG ACQUISITION CORP UNIT 99/99/9999 749641205 1,998 199,000 SH   DFND 3 199,000 0 0
ROBERT HALF INTL INC COM 770323103 513 9,000 SH   DFND 1 9,000 0 0
SCHULTZE SPL PURP ACQUSTN CO *W EXP 12/31/202 80821R117 102 340,769 SH   DFND 1 340,769 0 0
SCHULTZE SPL PURP ACQUSTN CO COM 80821R109 495 50,000 SH   DFND 1 50,000 0 0
SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 475 407,200 SH Put DFND 4 407,200 0 0
SENTINEL ENERGY SVCS INC *W EXP 11/02/202 81728P113 227 324,221 SH   DFND 1 324,221 0 0
SENTINEL ENERGY SVCS INC CL A 81728P105 1,149 113,245 SH   DFND 1 113,245 0 0
SENTINEL ENERGY SVCS INC CL A 81728P105 17,255 1,700,000 SH   DFND 3 1,700,000 0 0
SHUTTERFLY INC COM 82568P304 76 125,900 SH Put DFND 4 125,900 0 0
SHUTTERFLY INC COM 82568P304 5 523 SH Call DFND 1 523 0 0
SIERRA ONCOLOGY INC COM 82640U107 28 50,000 SH   DFND 1 50,000 0 0
SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 09/14/202 G8250R129 51 38,023 SH   DFND 1 38,023 0 0
SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 1,052 100,777 SH   DFND 1 100,777 0 0
SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 10,435 1,000,000 SH   DFND 3 1,000,000 0 0
SOTHEBYS COM 835898107 23 50,200 SH Put DFND 4 50,200 0 0
SOUTH MTN MERGER CORP UNIT 99/99/9999 838884203 6,689 668,892 SH   DFND 1 668,892 0 0
SPARK THERAPEUTICS INC COM 84652J103 13 40 SH Call DFND 1 40 0 0
SPARK THERAPEUTICS INC COM 84652J103 47 99 SH Put DFND 1 99 0 0
SPARK THERAPEUTICS INC COM 84652J103 120 124,700 SH Put DFND 4 124,700 0 0
SPARTAN ENERGY ACQUISITON CO *W EXP 08/27/202 846784122 192 215,180 SH   DFND 1 215,180 0 0
SPARTAN ENERGY ACQUISITON CO CL A COM STK 846784106 2,000 200,000 SH   DFND 3 200,000 0 0
SPARTAN ENERGY ACQUISITON CO UNIT 99/99/9999 846784114 96 9,500 SH   DFND 1 9,500 0 0
SPARTAN ENERGY ACQUISITON CO UNIT 99/99/9999 846784114 5,303 525,000 SH   DFND 3 525,000 0 0
SPDR GOLD TRUST GOLD SHS 78463V107 66 100,000 SH Put DFND 3 100,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 517 521,000 SH Call DFND 4 521,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 33 40,000 SH Put DFND 3 40,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 519 70,000 SH Put DFND 4 70,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 9 30 SH   DFND 1 30 0 0
SPDR SERIES TRUST S&P REGL BKG 78464A698 1,240 23,200 SH   DFND 1 23,200 0 0
SPIRIT MTA REIT COM SHS BEN IN 84861U105 944 113,220 SH   DFND 3 113,220 0 0
SPRINT CORPORATION COM 85207U105 2,093 318,500 SH   DFND 4 318,500 0 0
SPRINT CORPORATION COM 85207U105 95 602 SH Call DFND 1 602 0 0
SPRINT CORPORATION COM 85207U105 63 2,930 SH Put DFND 1 2,930 0 0
SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 4,592 347,094 SH   DFND 3 347,094 0 0
STEWART INFORMATION SVCS COR COM 860372101 1,230 30,377 SH   DFND 4 30,377 0 0
SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 24,018 3,402,000 SH   DFND 2 3,402,000 0 0
SUNTRUST BKS INC COM 867914103 5,442 86,581 SH   DFND 4 86,581 0 0
T MOBILE US INC COM 872590104 31 25,000 SH Put DFND 4 25,000 0 0
TABLEAU SOFTWARE INC CL A 87336U105 63,525 382,632 SH   DFND 4 382,632 0 0
TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 5,308 299,914 SH   DFND 3 299,914 0 0
TARGA RES CORP COM 87612G101 2,846 72,500 SH   DFND 1 72,500 0 0
TARGA RES CORP COM 87612G101 945 1,400 SH Put DFND 1 1,400 0 0
TARGET HOSPITALITY CORP *W EXP 03/15/202 87615L115 132 65,993 SH   DFND 1 65,993 0 0
TARGET HOSPITALITY CORP COM 87615L107 958 105,314 SH   DFND 1 105,314 0 0
TELECOM ITALIA S P A NEW SPON ADR SVGS 87927Y201 1,015 197,552 SH   DFND 3 197,552 0 0
TENZING ACQUISITION CORP *W EXP 02/23/202 G8708A108 4 20,000 SH   DFND 1 20,000 0 0
TENZING ACQUISITION CORP ORD SHS G8708A116 1,796 175,000 SH   DFND 3 175,000 0 0
TESLA INC COM 88160R101 11,173 50,000 SH   DFND 2 50,000 0 0
TESLA INC COM 88160R101 2,383 50,000 SH Put DFND 2 50,000 0 0
THUNDER BRIDGE ACQUISITION L *W EXP 01/01/202 G8857R126 7 3,430 SH   DFND 1 3,430 0 0
THUNDER BRIDGE ACQUISITION L *W EXP 01/01/202 G8857R126 62 30,800 SH   DFND 3 30,800 0 0
THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 401 38,429 SH   DFND 1 38,429 0 0
THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 1,521 145,800 SH   DFND 3 145,800 0 0
TIBERIUS ACQUISITION CORP COM 88633A107 2,381 233,421 SH   DFND 1 233,421 0 0
TILRAY INC COM CL 2 88688T100 2,868 61,600 SH   DFND 2 61,600 0 0
TILRAY INC COM CL 2 88688T100 341 61,600 SH Put DFND 2 61,600 0 0
TKK SYMPHONY ACQUISITION COR *W EXP 02/20/202 G88950129 5 36,298 SH   DFND 1 36,298 0 0
TKK SYMPHONY ACQUISITION COR ORD SHS G88950103 265 26,507 SH   DFND 1 26,507 0 0
TKK SYMPHONY ACQUISITION COR UNIT 08/15/2023 G88950111 7 662 SH   DFND 1 662 0 0
TKK SYMPHONY ACQUISITION COR UNIT 08/15/2023 G88950111 591 57,500 SH   DFND 3 57,500 0 0
TORTOISE ACQUISITION CORP UNIT 03/04/2024 89154L209 292 29,140 SH   DFND 1 29,140 0 0
TORTOISE ACQUISITION CORP UNIT 03/04/2024 89154L209 3,006 300,000 SH   DFND 3 300,000 0 0
TOTAL SYS SVCS INC COM 891906109 8,708 67,888 SH   DFND 4 67,888 0 0
TOTTENHAM ACQUISITION I LTD *W EXP 05/06/202 G8959N114 6 60,743 SH   DFND 1 60,743 0 0
TOTTENHAM ACQUISITION I LTD RIGHT 06/05/2020 G8959N122 74 200,871 SH   DFND 1 200,871 0 0
TOTTENHAM ACQUISITION I LTD SHS G8959N106 1,987 194,837 SH   DFND 1 194,837 0 0
TOTTENHAM ACQUISITION I LTD SHS G8959N106 2,040 200,000 SH   DFND 3 200,000 0 0
TPG PACE HLDGS CORP *W EXP 06/27/202 G89827110 69 43,819 SH   DFND 1 43,819 0 0
TPG PACE HLDGS CORP CL A G89827128 3,776 363,094 SH   DFND 1 363,094 0 0
TPG PACE HLDGS CORP CL A G89827128 2,080 200,000 SH   DFND 3 200,000 0 0
TRIBUNE MEDIA CO CL A 896047503 50 99,900 SH Put DFND 4 99,900 0 0
TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 49 326,711 SH   DFND 1 326,711 0 0
TRIDENT ACQUISITIONS CORP COM 89615T106 3,045 294,449 SH   DFND 1 294,449 0 0
TRIDENT ACQUISITIONS CORP COM 89615T106 7,238 700,000 SH   DFND 3 700,000 0 0
TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 362 34,505 SH   DFND 1 34,505 0 0
TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 6,870 654,300 SH   DFND 3 654,300 0 0
TRINE ACQUISITION CORP *W EXP 03/31/202 89628U116 24 32,500 SH   DFND 1 32,500 0 0
TRINE ACQUISITION CORP UNIT 03/31/2021 89628U207 4,040 400,000 SH   DFND 3 400,000 0 0
TRINE ACQUISITION CORP UNIT 03/31/2021 89628U207 1,614 159,977 SH   DFND 1 159,977 0 0
TRINITY MERGER CORP *W EXP 05/11/202 89653L114 10 31,900 SH   DFND 1 31,900 0 0
TRINITY MERGER CORP COM CL A 89653L106 127 12,326 SH   DFND 1 12,326 0 0
TRINITY MERGER CORP COM CL A 89653L106 2,060 200,000 SH   DFND 3 200,000 0 0
TRINITY MERGER CORP UNIT 05/11/2025 89653L205 106 10,000 SH   DFND 1 10,000 0 0
TRINITY MERGER CORP UNIT 05/11/2025 89653L205 1,331 125,240 SH   DFND 3 125,240 0 0
TURNING PT BRANDS INC COM 90041L105 511 10,424 SH   DFND 1 10,424 0 0
TURNING PT BRANDS INC COM 90041L105 48 200 SH Call DFND 1 200 0 0
TURNING PT BRANDS INC COM 90041L105 64 200 SH Put DFND 1 200 0 0
TUSCAN HOLDINGS CORP UNIT 99/99/9999 90069K203 1 100 SH   DFND 1 100 0 0
TUSCAN HOLDINGS CORP UNIT 99/99/9999 90069K203 1,060 100,000 SH   DFND 3 100,000 0 0
TWELVE SEAS INVESTMENT COMPA RIGHT 12/22/2019 G9145A131 307 1,057,298 SH   DFND 1 1,057,298 0 0
TWIN RIV WORLDWIDE HLDGS INC COM 90171V204 1,632 54,855 SH   DFND 1 54,855 0 0
ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 2,159 34,000 SH   DFND 3 34,000 0 0
UNDER ARMOUR INC CL C 904311206 5,352 241,102 SH   DFND 3 241,102 0 0
UNILEVER N V N Y SHS NEW 904784709 11,949 196,791 SH   DFND 3 196,791 0 0
UNILEVER PLC SPON ADR NEW 904767704 3,173 51,204 SH   DFND 3 51,204 0 0
UNITED STATES OIL FUND LP UNITS 91232N108 350 150,000 SH Put DFND 3 150,000 0 0
UNITED STS 12 MONTH OIL FD L UNIT BEN INT 91288V103 1,846 85,300 SH   DFND 3 85,300 0 0
UNUM THERAPEUTICS INC COM 903214104 2,151 820,805 SH   DFND 3 820,805 0 0
VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 2,904 39,588 SH Call DFND 1 39,588 0 0
VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 4,628 42,000 SH   DFND 1 42,000 0 0
VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 79 3,587 SH Call DFND 1 3,587 0 0
VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 251 102,500 SH Call DFND 4 102,500 0 0
VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 406 350,000 SH Put DFND 4 350,000 0 0
VECTOIQ ACQUISITION CORP *W EXP 05/11/202 92243N111 7 14,057 SH   DFND 1 14,057 0 0
VECTOIQ ACQUISITION CORP COM 92243N103 37 1,164,699 SH   DFND 1 1,164,699 0 0
VECTOIQ ACQUISITION CORP UNIT 05/11/2023 92243N202 3,139 296,667 SH   DFND 1 296,667 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 188 850 SH Put DFND 1 850 0 0
VERIZON COMMUNICATIONS INC COM 92343V104 63 1,100 SH   DFND 1 1,100 0 0
VERSUM MATLS INC COM 92532W103 21,827 423,162 SH   DFND 4 423,162 0 0
VERSUM MATLS INC COM 92532W103 39 85,000 SH Put DFND 4 85,000 0 0
VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 12,881 788,794 SH   DFND 3 788,794 0 0
WABCO HLDGS INC COM 92927K102 57,494 433,588 SH   DFND 4 433,588 0 0
WEALTHBRIDGE ACQUISITION LTD RIGHT 11/02/2023 G4887W136 6 25,000 SH   DFND 1 25,000 0 0
WEALTHBRIDGE ACQUISITION LTD UNIT 99/99/9999 G4887W102 179 17,650 SH   DFND 1 17,650 0 0
WELLCARE HEALTH PLANS INC COM 94946T106 881 380 SH Call DFND 1 380 0 0
WELLCARE HEALTH PLANS INC COM 94946T106 5 45 SH Put DFND 1 45 0 0
WORLDPAY INC CL A 981558109 15,928 129,972 SH   DFND 4 129,972 0 0
XYNOMIC PHARMACUTCLS HLDNG I *W EXP 05/15/202 98421X110 11 50,000 SH   DFND 1 50,000 0 0
YOGAWORKS INC COM 986005106 178 296,807 SH   DFND 1 296,807 0 0
ZAYO GROUP HLDGS INC COM 98919V105 18 100,000 SH Put DFND 4 100,000 0 0
ZAYO GROUP HLDGS INC COM 98919V105 49,348 1,499,493 SH   DFND 4 1,499,493 0 0
ZAYO GROUP HLDGS INC COM 98919V105 28 1,402 SH Call DFND 1 1,402 0 0
ZAYO GROUP HLDGS INC COM 98919V105 7 63 SH Put DFND 1 63 0 0