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Form 13F-HR COWEN AND COMPANY, LLC For: Mar 31

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May 4, 2021 2:18 PM EDT

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: 03-31-2021
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 AND COMPANY, LLC
Address: 599 LEXINGTON AVENUE
20TH FLOOR
NEW YORK , NY10022
Form 13F File Number: 028-19611

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: Steven Cohen
Title: Chief Compliance Officer
Phone: 646-562-1727
Signature, Place, and Date of Signing:
/s/ Steven Cohen New York , NY 05-03-2021
[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: 1
Form 13F Information Table Entry Total: 547
Form 13F Information Table Value Total: 1,454,717
(thousands)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
028-19614 Cowen Financial Products LLC

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
3 028-19614 Cowen Financial Products LLC

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
10X CAPITAL VENTURE ACQU COR COM CL A 88025V107 208 20,779 SH DFND 20,779 0 0
180 LIFE SCIENCES CORP COM 68236V104 72 39,800 SH Call DFND 39,800 0 0
21VIANET GROUP INC SPONSORED ADS A 90138A103 75 677,400 SH Call DFND 677,400 0 0
7GC & CO HOLDINGS INC *W EXP 12/23/202 81786A115 124 163,798 SH DFND 3 163,798 0 0
7GC & CO HOLDINGS INC COM CL A 81786A107 2,473 300,000 SH DFND 3 300,000 0 0
890 5TH AVE PARTNERS INC COM CL A 28250A105 702 72,412 SH DFND 72,412 0 0
890 5TH AVE PARTNERS INC UNIT 01/12/2026 28250A204 394 39,611 SH DFND 39,611 0 0
ACADIA PHARMACEUTICALS INC COM 004225108 194 7,500 SH DFND 7,500 0 0
ACADIA PHARMACEUTICALS INC COM 004225108 2 2,300 SH Call DFND 2,300 0 0
ACADIA PHARMACEUTICALS INC COM 004225108 148 7,500 SH Put DFND 7,500 0 0
ACE CONVERGENCE ACQU CORP CL A G0083D120 2,244 225,109 SH DFND 225,109 0 0
ACON S2 ACQUISITION CORP CL SHS G00748106 1,874 191,000 SH DFND 3 191,000 0 0
ADVISORSHARES TR PURE US CANNABIS 00768Y453 53 150,000 SH Call DFND 150,000 0 0
ADVISORSHARES TR PURE US CANNABIS 00768Y453 15 75,000 SH Put DFND 75,000 0 0
AEA-BRIDGES IMPACT CORP *W EXP 09/19/202 G01046112 319 354,730 SH DFND 354,730 0 0
AEA-BRIDGES IMPACT CORP SHS CL A G01046104 1,394 142,000 SH DFND 3 142,000 0 0
AEQUI ACQUISITION CORP *W EXP 11/30/202 00775W110 189 198,514 SH DFND 198,514 0 0
AEQUI ACQUISITION CORP COM CL A 00775W102 1,945 201,538 SH DFND 201,538 0 0
AEQUI ACQUISITION CORP UNIT 11/30/2027 00775W201 821 82,063 SH DFND 82,063 0 0
AEROJET ROCKETDYNE HLDGS INC COM 007800105 8 33,200 SH Call DFND 33,200 0 0
AERSALE CORPORATION *W EXP 12/22/202 00810F114 279 126,166 SH DFND 126,166 0 0
AERSALE CORPORATION COM 00810F106 2,198 178,803 SH DFND 178,803 0 0
AGIOS PHARMACEUTICALS INC COM 00847X104 137 20,900 SH Call DFND 20,900 0 0
AGIOS PHARMACEUTICALS INC COM 00847X104 74 24,400 SH Put DFND 24,400 0 0
AIR LEASE CORP CL A 00912X302 51 11,100 SH Call DFND 11,100 0 0
AIR LEASE CORP CL A 00912X302 31 21,100 SH Put DFND 21,100 0 0
AJAX I *W EXP 10/27/202 G0190X126 87 51,362 SH DFND 51,362 0 0
AJAX I COM G0190X100 368 35,822 SH DFND 35,822 0 0
ALEXION PHARMACEUTICALS INC COM 015351109 3,143 20,554 SH DFND 20,554 0 0
ALEXION PHARMACEUTICALS INC COM 015351109 422 48,500 SH Put DFND 48,500 0 0
ALNYLAM PHARMACEUTICALS INC COM 02043Q107 38 268 SH DFND 268 0 0
ALNYLAM PHARMACEUTICALS INC COM 02043Q107 17 6,000 SH Call DFND 6,000 0 0
ALNYLAM PHARMACEUTICALS INC COM 02043Q107 18 5,000 SH Put DFND 5,000 0 0
ALPHA HEALTHCARE ACQUISTN CO *W EXP 09/21/202 020751111 487 167,525 SH DFND 167,525 0 0
ALTIMAR ACQUISITION CORP II UNIT 99/99/9999 G03709113 255 25,000 SH DFND 25,000 0 0
AMC ENTMT HLDGS INC CL A COM 00165C104 1,955 191,450 SH DFND 191,450 0 0
AMC ENTMT HLDGS INC CL A COM 00165C104 14 208,000 SH Put DFND 208,000 0 0
AMERICAN AIRLS GROUP INC COM 02376R102 49 2,055 SH DFND 2,055 0 0
AMERICAN AIRLS GROUP INC COM 02376R102 48 121,400 SH Put DFND 121,400 0 0
AMGEN INC COM 031162100 204 4,500 SH Call DFND 4,500 0 0
AMGEN INC COM 031162100 10 4,500 SH Put DFND 4,500 0 0
AMICUS THERAPEUTICS INC COM 03152W109 99 10,000 SH DFND 10,000 0 0
AMICUS THERAPEUTICS INC COM 03152W109 101 160,600 SH Call DFND 160,600 0 0
AMICUS THERAPEUTICS INC COM 03152W109 99 74,900 SH Put DFND 74,900 0 0
ANDINA ACQUISITION CORP III SHS G04415108 4 409,967 SH DFND 409,967 0 0
ANDINA ACQUISITION CORP III UNIT 09/24/2020 G04415116 1,127 92,157 SH DFND 92,157 0 0
ANIKA THERAPEUTICS INC COM 035255108 64 73,000 SH Call DFND 73,000 0 0
AON PLC SHS CL A G0403H108 226 981 SH DFND 981 0 0
APHRIA INC COM 03765K104 1,299 70,713 SH DFND 70,713 0 0
APOLLO STRATEGIC GROWTH CAPT *W EXP 10/29/202 G0411R114 153 121,237 SH DFND 121,237 0 0
APPHARVEST INC COM 03783T103 7,173 391,943 SH DFND 391,943 0 0
APYX MEDICAL CORPORATION COM 03837C106 5,043 522,042 SH DFND 3 522,042 0 0
ARBUTUS BIOPHARMA CORP COM 03879J100 71 21,400 SH DFND 21,400 0 0
ARBUTUS BIOPHARMA CORP COM 03879J100 1,550 465,317 SH DFND 3 465,317 0 0
ARBUTUS BIOPHARMA CORP COM 03879J100 7 32,400 SH Call DFND 32,400 0 0
ARBUTUS BIOPHARMA CORP COM 03879J100 79 37,500 SH Put DFND 37,500 0 0
ARGENX SE SPONSORED ADR 04016X101 544 1,975 SH DFND 1,975 0 0
ARGENX SE SPONSORED ADR 04016X101 11 4,500 SH Call DFND 4,500 0 0
ARGENX SE SPONSORED ADR 04016X101 169 3,400 SH Put DFND 3,400 0 0
ARRIVAL GROUP SHS L0423Q108 1,194 74,323 SH DFND 3 74,323 0 0
ARTIUS ACQUISITION INC COM CL A 04316G105 1,294 128,079 SH DFND 128,079 0 0
ARTIUS ACQUISITION INC COM CL A 04316G105 291 160,300 SH Put DFND 160,300 0 0
ASCENDIS PHARMA A/S SPONSORED ADR 04351P101 61 10,900 SH Call DFND 10,900 0 0
ASCENDIS PHARMA A/S SPONSORED ADR 04351P101 59 8,800 SH Put DFND 8,800 0 0
ATHLON ACQUISITION CORP *W EXP 01/12/202 04748A114 15 28,328 SH DFND 28,328 0 0
ATLANTIC AVE ACQUISITION COR *W EXP 10/06/202 04906P119 557 752,216 SH DFND 752,216 0 0
ATLAS CREST INVESTMENT CORP UNIT 99/99/9999 049287204 2,001 200,000 SH DFND 3 200,000 0 0
AURINIA PHARMACEUTICALS INC COM 05156V102 270 20,776 SH DFND 20,776 0 0
AURINIA PHARMACEUTICALS INC COM 05156V102 3 25,000 SH Call DFND 25,000 0 0
AURINIA PHARMACEUTICALS INC COM 05156V102 52 25,000 SH Put DFND 25,000 0 0
AURORA ACQUISITION CORP UNIT 03/02/2026 G0698L111 349 33,700 SH DFND 33,700 0 0
AURORA CANNABIS INC COM 05156X884 9 96,400 SH Call DFND 96,400 0 0
AVADEL PHARMACEUTICALS PLC SPONSORED ADR 05337M104 22,560 2,495,573 SH DFND 3 2,495,573 0 0
AVANTI ACQUISITION CORP *W EXP 99/99/999 G0682V125 145 138,080 SH DFND 138,080 0 0
BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 05946K101 5,220 1,000,000 SH DFND 1,000,000 0 0
BANCO SANTANDER S.A. ADR 05964H105 3,531 1,029,560 SH DFND 1,029,560 0 0
BANDWIDTH INC COM CL A 05988J103 801 6,322 SH DFND 6,322 0 0
BANDWIDTH INC COM CL A 05988J103 42 7,400 SH Call DFND 7,400 0 0
BANDWIDTH INC COM CL A 05988J103 13 2,700 SH Put DFND 2,700 0 0
BARCLAYS BANK PLC IPTH SR B S&P 06746P621 1,149 100,800 SH DFND 100,800 0 0
BEIGENE LTD SPONSORED ADR 07725L102 1,748 11,800 SH Call DFND 11,800 0 0
BETTER WORLD ACQUISITION COR *W EXP 11/15/202 08772B112 564 541,943 SH DFND 541,943 0 0
BETTER WORLD ACQUISITION COR COM 08772B104 413 41,500 SH DFND 41,500 0 0
BETTER WORLD ACQUISITION COR COM 08772B104 1,493 150,000 SH DFND 3 150,000 0 0
BIOMARIN PHARMACEUTICAL INC COM 09061G101 769 10,181 SH DFND 10,181 0 0
BIOMARIN PHARMACEUTICAL INC COM 09061G101 20 15,000 SH Call DFND 15,000 0 0
BIOMARIN PHARMACEUTICAL INC COM 09061G101 153 15,000 SH Put DFND 15,000 0 0
BIO-TECHNE CORP COM 09073M104 1,667 4,364 SH DFND 4,364 0 0
BIO-TECHNE CORP COM 09073M104 82 10,000 SH Put DFND 10,000 0 0
BK OF AMERICA CORP COM 060505104 395 10,201 SH DFND 10,201 0 0
BK OF AMERICA CORP COM 060505104 1,266 199,000 SH Call DFND 199,000 0 0
BLINK CHARGING CO COM 09354A100 2,055 50,000 SH DFND 3 50,000 0 0
BLINK CHARGING CO COM 09354A100 6,177 150,300 SH DFND 150,300 0 0
BLINK CHARGING CO COM 09354A100 674 150,300 SH Put DFND 150,300 0 0
BLUEBIRD BIO INC COM 09609G100 130 4,303 SH DFND 4,303 0 0
BLUEBIRD BIO INC COM 09609G100 16 9,300 SH Put DFND 9,300 0 0
BOSTON SCIENTIFIC CORP COM 101137107 5,400 139,705 SH DFND 139,705 0 0
BOSTON SCIENTIFIC CORP COM 101137107 168 209,500 SH Call DFND 209,500 0 0
BOSTON SCIENTIFIC CORP COM 101137107 448 209,800 SH Put DFND 209,800 0 0
BOWX ACQUISITION CORP *W EXP 08/03/202 103085114 234 109,483 SH DFND 109,483 0 0
BRAINSWAY LTD SPONSORED ADS 10501L106 8,838 978,759 SH DFND 3 978,759 0 0
BREEZE HOLDINGS ACQUISITN CO *W EXP 05/25/202 106762115 14 20,000 SH DFND 20,000 0 0
BRIDGEBIO PHARMA INC COM 10806X102 32 21,000 SH Call DFND 21,000 0 0
BRIGHT LIGHTS ACQUISITION CO *W EXP 01/01/202 10920K119 44 70,300 SH DFND 70,300 0 0
BRILLIANT ACQUISITION CORP *W EXP 03/31/202 G1643W129 11 19,601 SH DFND 19,601 0 0
BROOKFIELD PPTY REIT INC CL A 11282X103 1,452 80,885 SH DFND 80,885 0 0
BTRS HOLDINGS INC *W EXP 01/12/202 11778X112 49 10,284 SH DFND 10,284 0 0
BUILD ACQUISITION CORP UNIT 99/99/9999 12008J204 343 34,702 SH DFND 34,702 0 0
BULL HORN HLDGS CORP *W EXP 10/31/202 G1686P122 34 78,675 SH DFND 78,675 0 0
BURGUNDY TECHNOLOGY ACQU COR *W EXP 08/31/202 G1702T124 63 59,090 SH DFND 59,090 0 0
BURGUNDY TECHNOLOGY ACQU COR CL A G1702T116 1,367 138,189 SH DFND 138,189 0 0
BURGUNDY TECHNOLOGY ACQU COR CL A G1702T116 1,484 150,000 SH DFND 3 150,000 0 0
CAESARS ENTERTAINMENT INC NE COM 12769G100 110 84,000 SH Put DFND 84,000 0 0
CANADIAN PAC RY LTD COM 13645T100 7,703 20,310 SH DFND 20,310 0 0
CANADIAN PAC RY LTD COM 13645T100 35 49,500 SH Put DFND 49,500 0 0
CAPITAL ONE FINL CORP COM 14040H105 698 137,300 SH Call DFND 137,300 0 0
CAPITAL ONE FINL CORP COM 14040H105 4 600 SH Put DFND 600 0 0
CAPITOL INVESTMENT CORP V *W EXP 99/99/999 14064F118 34 25,000 SH DFND 25,000 0 0
CAPSTAR SPL PURP ACQUISITION *W EXP 99/99/999 14070Y119 44 61,818 SH DFND 61,818 0 0
CARA THERAPEUTICS INC COM 140755109 562 25,892 SH DFND 25,892 0 0
CARA THERAPEUTICS INC COM 140755109 162 99,400 SH Call DFND 99,400 0 0
CARA THERAPEUTICS INC COM 140755109 11 21,300 SH Put DFND 21,300 0 0
CARNEY TECHNOLOGY ACQU CORP CL A COMMON STK 143636108 376 38,843 SH DFND 38,843 0 0
CASCADE ACQUISITION CORP *W EXP 11/30/202 147151112 18 20,300 SH DFND 20,300 0 0
CBRE ACQUISITION HLDGS INC COM CL A 12510J106 1,706 175,000 SH DFND 3 175,000 0 0
CC NEUBERGER PRIN HLDGS II SHS CL A G3166T103 1,972 200,000 SH DFND 3 200,000 0 0
CC NEUBERGER PRIN HLDGS II SHS CL A G3166T103 144 14,588 SH DFND 14,588 0 0
CC NEUBERGER PRINCIPAL HOLDN UNIT 99/99/9999 G1992N118 1,998 200,000 SH DFND 3 200,000 0 0
CERBERUS TELECOM ACQUISITION *W EXP 99/99/999 G2040C120 31 29,806 SH DFND 29,806 0 0
CERBERUS TELECOM ACQUISITION SHS CL A G2040C104 1,733 175,000 SH DFND 3 175,000 0 0
CERUS CORP COM 157085101 68 11,233 SH DFND 11,233 0 0
CF ACQUISITION CORP IV *W EXP 12/31/202 12520T110 43 49,167 SH DFND 49,167 0 0
CF ACQUISITION CORP IV COM CL A 12520T102 2,363 241,533 SH DFND 3 241,533 0 0
CF ACQUISITION CORP V *W EXP 01/25/202 12520R114 46 67,340 SH DFND 3 67,340 0 0
CF ACQUISITION CORP V *W EXP 01/25/202 12520R114 5 7,033 SH DFND 7,033 0 0
CF ACQUISITION CORP V CL A 12520R106 1,992 202,022 SH DFND 3 202,022 0 0
CHANGE HEALTHCARE INC UNIT 99/99/9999 15912K209 3,277 43,796 SH DFND 43,796 0 0
CHARDAN HEALTHCR ACQSTN 2 CO *W EXP 03/05/202 15957T115 21 21,977 SH DFND 21,977 0 0
CHARDAN HEALTHCR ACQSTN 2 CO COM 15957T107 1,396 138,896 SH DFND 3 138,896 0 0
CHARGEPOINT HOLDINGS INC COM CL A 15961R105 2,170 81,261 SH DFND 81,261 0 0
CHARGEPOINT HOLDINGS INC COM CL A 15961R105 175 113,600 SH Put DFND 113,600 0 0
CHESAPEAKE ENERGY CORP *W EXP 03/01/202 165167180 740 43,510 SH DFND 43,510 0 0
CHESAPEAKE ENERGY CORP *W EXP 99/99/999 165167172 422 21,383 SH DFND 21,383 0 0
CHP MERGER CORP COM CL A 12558Y106 99 10,000 SH DFND 10,000 0 0
CHURCHILL CAP CORP II CL A 17143G106 1,250 125,000 SH DFND 125,000 0 0
CHURCHILL CAP CORP II CL A 17143G106 4 52,000 SH Call DFND 52,000 0 0
CHURCHILL CAPITAL CORP IV CL A 171439102 580 25,000 SH DFND 25,000 0 0
CHURCHILL CAPITAL CORP IV CL A 171439102 1,457 25,000 SH Put DFND 25,000 0 0
CITIC CAPITAL ACQUISITION CO *W EXP 01/17/202 G21513117 63 56,934 SH DFND 56,934 0 0
CITIC CAPITAL ACQUISITION CO COM CL A G21513109 10,000 1,000,000 SH DFND 3 1,000,000 0 0
CITIC CAPITAL ACQUISITION CO COM CL A G21513109 705 70,497 SH DFND 70,497 0 0
CITIGROUP INC COM NEW 172967424 780 10,721 SH DFND 10,721 0 0
CITIGROUP INC COM NEW 172967424 669 50,000 SH Call DFND 50,000 0 0
CITIGROUP INC COM NEW 172967424 136 16,900 SH Put DFND 16,900 0 0
CLASS ACCELERATION CORP *W EXP 03/31/202 18274B114 88 142,711 SH DFND 142,711 0 0
CLASS ACCELERATION CORP COM 18274B106 97 10,000 SH DFND 10,000 0 0
CLEANSPARK INC COM NEW 18452B209 2,382 100,000 SH DFND 3 100,000 0 0
CLEVER LEAVES HOLDINGS INC COM 186760104 146 14,204 SH DFND 14,204 0 0
CLIMATE CHANGE CRISIS REAL I CL A COM 18716C100 685 50,000 SH DFND 3 50,000 0 0
COHERENT INC COM 192479103 68 25,000 SH Call DFND 25,000 0 0
COHERUS BIOSCIENCES INC COM 19249H103 109 7,479 SH DFND 7,479 0 0
COHERUS BIOSCIENCES INC COM 19249H103 1 15,000 SH Call DFND 15,000 0 0
COHERUS BIOSCIENCES INC COM 19249H103 8 15,300 SH Put DFND 15,300 0 0
COHN ROBBINS HOLDINGS CORP *W EXP 08/28/202 G23726113 82 68,152 SH DFND 68,152 0 0
COHN ROBBINS HOLDINGS CORP COM CL A G23726105 327 33,304 SH DFND 33,304 0 0
COLICITY INC UNIT 02/24/2026 194170205 7,070 700,000 SH DFND 3 700,000 0 0
COLICITY INC UNIT 02/24/2026 194170205 551 54,527 SH DFND 54,527 0 0
COLLECTIVE GROWTH CORP COM CL A 19424L101 2,490 250,000 SH DFND 3 250,000 0 0
COLONNADE ACQUISITION CORP I UNIT 99/99/9999 G2284B127 167 16,970 SH DFND 16,970 0 0
CONCORD ACQUISITION CORP *W EXP 12/28/202 206071110 471 523,030 SH DFND 523,030 0 0
CONSONANCE HFW ACQUISITION C UNIT 99/99/9999 G2445M129 826 84,653 SH DFND 84,653 0 0
CONSTELLATION PHARMCETICLS I COM 210373106 113 4,813 SH DFND 4,813 0 0
CONSTELLATION PHARMCETICLS I COM 210373106 18 30,700 SH Call DFND 30,700 0 0
CONSTELLATION PHARMCETICLS I COM 210373106 30 29,700 SH Put DFND 29,700 0 0
CONX CORP *W EXP 10/30/202 212873111 137 111,555 SH DFND 111,555 0 0
CORELOGIC INC COM 21871D103 14 47,500 SH Call DFND 47,500 0 0
CRUCIBLE ACQUISITION CORP *W EXP 12/26/202 22877P116 274 196,889 SH DFND 196,889 0 0
D8 HOLDINGS CORP SHS CL A G2614K110 994 100,000 SH DFND 3 100,000 0 0
DASEKE INC *W EXP 02/27/202 23753F115 455 1,340,298 SH DFND 1,340,298 0 0
DBV TECHNOLOGIES S A SPONSORED ADR 23306J101 1,412 264,895 SH DFND 264,895 0 0
DECARBONIZATION PLUS ACQU CO COM CL A 242797108 922 87,900 SH DFND 3 87,900 0 0
DECIPHERA PHARMACEUTICALS IN COM 24344T101 364 8,109 SH DFND 8,109 0 0
DECIPHERA PHARMACEUTICALS IN COM 24344T101 47 30,000 SH Call DFND 30,000 0 0
DECIPHERA PHARMACEUTICALS IN COM 24344T101 124 30,000 SH Put DFND 30,000 0 0
DEEP LAKE CAPITAL ACQUSTN CO *W EXP 01/04/202 G27029118 61 102,122 SH DFND 102,122 0 0
DEEP LAKE CAPITAL ACQUSTN CO CL A SHS G27029100 490 50,000 SH DFND 50,000 0 0
DELWINDS INS ACQUISITION COR UNIT 99/99/9999 24803C201 611 61,208 SH DFND 61,208 0 0
DEXCOM INC COM 252131107 1,283 3,571 SH DFND 3,571 0 0
DFP HEALTHCARE ACQUISITNS CO *W EXP 03/31/202 23343Q118 22 16,000 SH DFND 16,000 0 0
DICERNA PHARMACEUTICALS INC COM 253031108 35 10,000 SH Call DFND 10,000 0 0
DICERNA PHARMACEUTICALS INC COM 253031108 8 10,000 SH Put DFND 10,000 0 0
DICKS SPORTING GOODS INC COM 253393102 77 39,500 SH Put DFND 39,500 0 0
DISCOVERY INC COM SER A 25470F104 1,128 25,962 SH DFND 25,962 0 0
DISCOVERY INC COM SER A 25470F104 5 37,800 SH Call DFND 37,800 0 0
DISCOVERY INC COM SER A 25470F104 372 50,600 SH Put DFND 50,600 0 0
DISH NETWORK CORPORATION CL A 25470M109 13 50,000 SH Call DFND 50,000 0 0
DOVER CORP COM 260003108 60 8,300 SH Call DFND 8,300 0 0
DOVER CORP COM 260003108 8 3,800 SH Put DFND 3,800 0 0
DRAGONEER GROWTH OPPORTUN CO *W EXP 08/18/202 G28302118 88 55,280 SH DFND 55,280 0 0
EASTMAN KODAK CO COM NEW 277461406 394 50,000 SH DFND 50,000 0 0
EASTMAN KODAK CO COM NEW 277461406 223 50,000 SH Put DFND 50,000 0 0
EDITAS MEDICINE INC COM 28106W103 7 24,200 SH Call DFND 24,200 0 0
EDTECHX HOLDINGS ACQU CORP I *W EXP 06/15/202 28139A110 5 10,000 SH DFND 10,000 0 0
EMPOWERMENT & INCLUSION CAPI COM CL A 29248N100 1,695 175,324 SH DFND 175,324 0 0
ENEL AMERICAS S A SPONSORED ADR 29274F104 4,653 548,700 SH DFND 548,700 0 0
ENERGY TRANSFER LP COM UT LTD PTN 29273V100 48 48,500 SH Call DFND 48,500 0 0
ENVIRONMENTAL IMPACT ACQU CO *W EXP 09/30/202 29408N114 40 46,234 SH DFND 46,234 0 0
ENVIRONMENTAL IMPACT ACQU CO COM CL A 29408N106 2,907 300,000 SH DFND 3 300,000 0 0
EQUINIX INC COM 29444U700 104 3,500 SH Call DFND 3,500 0 0
EQUINIX INC COM 29444U700 126 3,500 SH Put DFND 3,500 0 0
EQUITY DISTR ACQUISITION COR *W EXP 09/09/202 29465E114 208 192,497 SH DFND 192,497 0 0
EQUITY DISTR ACQUISITION COR COM CL A 29465E106 1,978 199,600 SH DFND 3 199,600 0 0
ESPERION THERAPEUTICS INC NE COM 29664W105 200 7,139 SH DFND 7,139 0 0
ESPERION THERAPEUTICS INC NE COM 29664W105 95 22,500 SH Put DFND 22,500 0 0
ESTABLISHMENT LABS HLDGS INC COM G31249108 24,140 386,047 SH DFND 3 386,047 0 0
EUCRATES BIOMEDICAL ACQU COR *W EXP 10/23/202 G3141W122 60 47,922 SH DFND 47,922 0 0
EUCRATES BIOMEDICAL ACQU COR SHS G3141W106 652 65,296 SH DFND 65,296 0 0
EUROPEAN SUSTAINABLE GROWTH *W EXP 01/21/202 G3194F117 24 39,836 SH DFND 39,836 0 0
EUROPEAN SUSTAINABLE GROWTH CL A SHS G3194F109 346 35,600 SH DFND 35,600 0 0
EXAGEN INC COM 30068X103 7,907 451,821 SH DFND 3 451,821 0 0
EXTENDED STAY AMER INC UNIT 99/99/9999B 30224P200 46 168,700 SH Call DFND 168,700 0 0
FAR PEAK ACQUISITION CORP SHS CL A G3312L103 295 30,227 SH DFND 30,227 0 0
FARFETCH LTD ORD SH CL A 30744W107 24 29,800 SH Call DFND 29,800 0 0
FAST ACQUISITION CORP II UNIT 03/16/2026 311874200 410 41,279 SH DFND 41,279 0 0
FG NEW AMER ACQUISITION CORP *W EXP 08/31/202 30259V114 30 19,462 SH DFND 19,462 0 0
FIFTH THIRD BANCORP COM 316773100 1,113 29,707 SH DFND 29,707 0 0
FINSERV ACQUISITION CORP CL A 318085107 233 17,820 SH DFND 17,820 0 0
FINSERV ACQUISITION CORP CL A 318085107 7 92,200 SH Call DFND 92,200 0 0
FINTECH ACQUISITION CORP V COM CL A 31810Q107 1,042 92,940 SH DFND 3 92,940 0 0
FIRSTENERGY CORP COM 337932107 75 2,162 SH DFND 2,162 0 0
FIRSTENERGY CORP COM 337932107 113 94,900 SH Call DFND 94,900 0 0
FIVE PRIME THERAPEUTICS INC COM 33830X104 7 90,200 SH Call DFND 90,200 0 0
FLAME ACQUISITION CORP UNIT 99/99/9999 33850F207 2,483 250,000 SH DFND 3 250,000 0 0
FORESIGHT ACQUISITION CORP UNIT 01/29/2026 34552Y205 4,955 500,000 SH DFND 3 500,000 0 0
FORESIGHT ACQUISITION CORP UNIT 01/29/2026 34552Y205 1,719 173,440 SH DFND 173,440 0 0
FORTISTAR SUSTAINABLE SOL CO *W EXP 01/14/202 34962M114 75 106,746 SH DFND 106,746 0 0
FORTISTAR SUSTAINABLE SOL CO UNIT 01/14/2026 34962M205 544 54,892 SH DFND 54,892 0 0
FORTISTAR SUSTAINABLE SOL CO UNIT 01/14/2026 34962M205 1,982 200,000 SH DFND 3 200,000 0 0
FORTRESS VALUE ACQUIS CORP I COM CL A 34964G107 1,977 199,960 SH DFND 3 199,960 0 0
FRAZIER LIFESCIENCES ACQU CO CL A SHS G3710A105 243 24,397 SH DFND 24,397 0 0
FREEPORT-MCMORAN INC CL B 35671D857 1,361 41,315 SH DFND 41,315 0 0
FREEPORT-MCMORAN INC CL B 35671D857 26 10,000 SH Call DFND 10,000 0 0
FREEPORT-MCMORAN INC CL B 35671D857 47 20,000 SH Put DFND 20,000 0 0
FTAC HERA ACQUISITION CORP UNIT 02/28/2026 G3728Y129 102 10,242 SH DFND 10,242 0 0
FTAC OLYMPUS ACQUISITION COR CL A SHS G37288100 347 32,871 SH DFND 32,871 0 0
FULCRUM THERAPEUTICS INC COM 359616109 10,388 881,832 SH DFND 3 881,832 0 0
FUSION ACQUISITION CORP CL A 36118H105 10,272 1,031,309 SH DFND 3 1,031,309 0 0
GABELLI UTIL TR RIGHT 04/14/2021 36240A168 6 50,000 SH DFND 50,000 0 0
GAMESTOP CORP NEW CL A 36467W109 21 111 SH DFND 111 0 0
GAMESTOP CORP NEW CL A 36467W109 18 69,000 SH Put DFND 69,000 0 0
GENERAL ELECTRIC CO COM 369604103 15 1,166 SH DFND 1,166 0 0
GENERAL ELECTRIC CO COM 369604103 2,012 373,100 SH Call DFND 373,100 0 0
GENERAL ELECTRIC CO COM 369604103 540 732,700 SH Put DFND 732,700 0 0
GENERAL MTRS CO COM 37045V100 170 30,000 SH Call DFND 30,000 0 0
GLOBAL SYNERGY ACQUISIT CORP *W EXP 99/99/999 G3934J122 63 125,000 SH DFND 3 125,000 0 0
GLOBAL SYNERGY ACQUISIT CORP CL A SHS G3934J106 2,430 250,500 SH DFND 3 250,500 0 0
GLRY STR NW MDIA GRUP HLDG L *W EXP 02/13/202 G39973113 13 85,000 SH DFND 85,000 0 0
GLU MOBILE INC COM 379890106 79 763,100 SH Call DFND 763,100 0 0
GO ACQUISITION CORP *W EXP 08/31/202 362019119 499 554,698 SH DFND 554,698 0 0
GOAL ACQUISITIONS CORP *W EXP 02/11/202 38021H115 44 100,600 SH DFND 100,600 0 0
GOLDEN FALCON ACQUISITION CO *W EXP 11/04/202 38102H117 68 96,286 SH DFND 96,286 0 0
GOLDEN FALCON ACQUISITION CO CL A 38102H109 831 85,956 SH DFND 85,956 0 0
GOODYEAR TIRE & RUBR CO COM 382550101 1 16,800 SH Call DFND 16,800 0 0
GORES HLDGS V INC *W EXP 08/05/202 382864114 47 30,000 SH DFND 30,000 0 0
GORES METROPOULOS II INC UNIT 01/31/2028 382873206 2,020 200,000 SH DFND 3 200,000 0 0
GREENLANE HLDGS INC CL A 395330103 1,786 336,686 SH DFND 336,686 0 0
GREENROSE ACQUISITION CORP *W EXP 08/11/202 395392111 17 20,000 SH DFND 20,000 0 0
GRUBHUB INC COM 400110102 343 5,714 SH DFND 5,714 0 0
GW PHARMACEUTICALS PLC ADS 36197T103 1,916 39,300 SH Call DFND 39,300 0 0
H I G ACQUISITION CORP *W EXP 99/99/999 G44898123 26 25,000 SH DFND 25,000 0 0
HALOZYME THERAPEUTICS INC COM 40637H109 313 7,513 SH DFND 7,513 0 0
HALOZYME THERAPEUTICS INC COM 40637H109 25 25,000 SH Put DFND 25,000 0 0
HANESBRANDS INC COM 410345102 2 101 SH DFND 101 0 0
HANESBRANDS INC COM 410345102 2 37,500 SH Put DFND 37,500 0 0
HARTFORD FINL SVCS GROUP INC COM 416515104 296 95,000 SH Call DFND 95,000 0 0
HARTFORD FINL SVCS GROUP INC COM 416515104 200 82,500 SH Put DFND 82,500 0 0
HIGHCAPE CAP ACQUISITION COR COM CL A 42984L105 692 58,034 SH DFND 58,034 0 0
HIGHCAPE CAP ACQUISITION COR COM CL A 42984L105 4 71,100 SH Call DFND 71,100 0 0
HIGHCAPE CAP ACQUISITION COR COM CL A 42984L105 73 76,700 SH Put DFND 76,700 0 0
HORIZON ACQUISITION CORPORAT SHS CL A G46044106 122 11,934 SH DFND 11,934 0 0
HOUSTON WIRE & CABLE CO COM 44244K109 157 30,000 SH DFND 30,000 0 0
HUDSON EXECUTIVE INVES III UNIT 02/22/2026 44376L206 368 37,066 SH DFND 37,066 0 0
HUDSON EXECUTIVE INVS CORP I *W EXP 01/31/202 443760111 39 50,000 SH DFND 3 50,000 0 0
HUDSON EXECUTIVE INVS CORP I *W EXP 01/31/202 443760111 4 5,000 SH DFND 5,000 0 0
HUDSON EXECUTIVE INVS CORP I COM CL A 443760103 1,022 100,000 SH DFND 3 100,000 0 0
HUDSON EXECUTIVE INVT CORP *W EXP 06/21/202 443761119 60 41,122 SH DFND 41,122 0 0
HUDSON EXECUTIVE INVT CORP COM CL A 443761101 8,837 890,804 SH DFND 3 890,804 0 0
HUMANIGEN INC COM NEW 444863203 40 2,097 SH DFND 2,097 0 0
HUMANIGEN INC COM NEW 444863203 29 15,200 SH Call DFND 15,200 0 0
II-VI INC COM 902104108 9 23,500 SH Call DFND 23,500 0 0
INDUSTRIAL TECH ACQU INC COM CL A 456357102 389 38,835 SH DFND 38,835 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 59 13,100 SH Call DFND 13,100 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 47 13,100 SH Put DFND 13,100 0 0
INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 1,410 26,600 SH DFND 3 26,600 0 0
INVESCO EXCHANGE TRADED FD T S&P500 PUR GWT 46137V266 1,253 10,375 SH DFND 3 10,375 0 0
INVESCO QQQ TR UNIT SER 1 46090E103 246,687 787,250 SH DFND 3 787,250 0 0
ION ACQUISITION CORP 1 LTD *W EXP 10/05/202 G49392114 1,583 697,500 SH DFND 697,500 0 0
IONIS PHARMACEUTICALS INC COM 462222100 318 7,081 SH DFND 7,081 0 0
IONIS PHARMACEUTICALS INC COM 462222100 33 40,300 SH Call DFND 40,300 0 0
IONIS PHARMACEUTICALS INC COM 462222100 210 15,900 SH Put DFND 15,900 0 0
IQIYI INC SPONSORED ADS 46267X108 3,307 198,955 SH DFND 198,955 0 0
IQIYI INC SPONSORED ADS 46267X108 51 117,300 SH Call DFND 117,300 0 0
IQIYI INC SPONSORED ADS 46267X108 285 369,500 SH Put DFND 369,500 0 0
ISHARES TR CHINA LG-CAP ETF 464287184 81 160,000 SH Call DFND 160,000 0 0
ISHARES TR CHINA LG-CAP ETF 464287184 63 50,000 SH Put DFND 50,000 0 0
ISHARES TR IBOXX HI YD ETF 464288513 265,027 3,040,000 SH DFND 3 3,040,000 0 0
ISHARES TR IBOXX INV CP ETF 464287242 107,291 825,000 SH DFND 3 825,000 0 0
ISHARES TR MSCI EMG MKT ETF 464287234 258 134,300 SH Call DFND 134,300 0 0
ISHARES TR MSCI EMG MKT ETF 464287234 190 150,000 SH Put DFND 150,000 0 0
ISHARES TR RUSSELL 2000 ETF 464287655 92,006 416,430 SH DFND 3 416,430 0 0
ITEOS THERAPEUTICS INC COM 46565G104 20,106 588,238 SH DFND 3 588,238 0 0
JAWS MUSTANG ACQUISITION COR *W EXP 01/30/202 G50737124 20 17,400 SH DFND 17,400 0 0
JAWS MUSTANG ACQUISITION COR UNIT 99/99/9999 G50737116 1,523 150,000 SH DFND 3 150,000 0 0
JAWS SPITFIRE ACQUISITION CO *W EXP 12/01/202 G50740110 576 293,745 SH DFND 293,745 0 0
KANSAS CITY SOUTHERN COM NEW 485170302 2,184 8,274 SH DFND 8,274 0 0
KANSAS CITY SOUTHERN COM NEW 485170302 127 13,200 SH Call DFND 13,200 0 0
KANSAS CITY SOUTHERN COM NEW 485170302 6 4,900 SH Put DFND 4,900 0 0
KERNEL GROUP HOLDINGS INC *W EXP 02/02/202 G5259L129 11 12,515 SH DFND 12,515 0 0
KEYCORP COM 493267108 89 17,800 SH Call DFND 17,800 0 0
KINGSWOOD ACQUISITION CORP *W EXP 05/01/202 496861113 137 258,266 SH DFND 258,266 0 0
KINGSWOOD ACQUISITION CORP COM CL A 496861105 399 40,105 SH DFND 40,105 0 0
KISMET ACQUISITION THREE COR UNIT 99/99/9999 G5276C128 464 47,009 SH DFND 47,009 0 0
KKR ACQUISITION HOLDING I CO UNIT 99/99/9999 48253T208 948 94,746 SH DFND 94,746 0 0
KL ACQUISITION CORP *W EXP 01/12/202 49837C117 33 51,364 SH DFND 51,364 0 0
KLUDEIN I ACQUISITION CORP CL A 49878L109 973 100,000 SH DFND 3 100,000 0 0
LAZARD GROWTH ACQUISITION CO UNIT 99/99/9999 G54035129 7,500 750,000 SH DFND 3 750,000 0 0
LEO HLDGS CORP II *W EXP 01/07/202 G5463R128 17 22,500 SH DFND 22,500 0 0
LIONHEART ACQUISITION CORP I COM CL A 53625R104 1,560 158,837 SH DFND 3 158,837 0 0
LIVE OAK ACQUISITION CORP II COM CL A 53804W106 1,998 200,000 SH DFND 3 200,000 0 0
LUMINAR TECHNOLOGIES INC COM CL A 550424105 3,647 150,000 SH DFND 150,000 0 0
LUMINAR TECHNOLOGIES INC COM CL A 550424105 1,785 150,000 SH Put DFND 150,000 0 0
LUX HEALTH TECH ACQUISITION *W EXP 11/30/202 55068A118 35 23,657 SH DFND 23,657 0 0
MAGNUM OPUS ACQUISITION LTD UNIT 06/03/2026 G5S70A120 221 22,306 SH DFND 22,306 0 0
MALLARD ACQUISITION CORP COM 561204108 2,392 242,604 SH DFND 3 242,604 0 0
MARLIN TECHNOLOGY CORP UNIT 99/99/9999 G58411128 702 71,067 SH DFND 71,067 0 0
MASON INDUSTRIAL TECHNOLGY I *W EXP 99/99/999 57520Y114 73 116,466 SH DFND 116,466 0 0
MATTEL INC COM 577081102 21 1,030 SH DFND 1,030 0 0
MATTEL INC COM 577081102 2 20,500 SH Put DFND 20,500 0 0
MCAP ACQUISITION CORP UNIT 02/18/2030 55282T208 1,990 200,000 SH DFND 3 200,000 0 0
MDH ACQUISITION CORP *W EXP 02/02/202 55283P114 8 12,500 SH DFND 12,500 0 0
MEDTECH ACQUISITION CORP *W EXP 12/18/202 58507N113 26 23,440 SH DFND 23,440 0 0
MERSANA THERAPEUTICS INC COM 59045L106 341 21,100 SH DFND 21,100 0 0
MESOBLAST LTD SPONS ADR 590717104 1,232 149,000 SH DFND 149,000 0 0
MICHAELS COS INC COM 59408Q106 9 378,700 SH Call DFND 378,700 0 0
MICRON TECHNOLOGY INC COM 595112103 19 12,500 SH Call DFND 12,500 0 0
MILESTONE PHARMACEUTICALS IN COM 59935V107 30 5,166 SH DFND 5,166 0 0
MILESTONE PHARMACEUTICALS IN COM 59935V107 21 8,700 SH Put DFND 8,700 0 0
MIRATI THERAPEUTICS INC COM 60468T105 3,482 20,324 SH DFND 20,324 0 0
MIRATI THERAPEUTICS INC COM 60468T105 42 13,500 SH Call DFND 13,500 0 0
MIRATI THERAPEUTICS INC COM 60468T105 409 29,600 SH Put DFND 29,600 0 0
MONTES ARCHIMEDES ACQUISITIO *W EXP 99/99/999 612657114 16 18,845 SH DFND 18,845 0 0
MOTIVE CAPITAL CORP *W EXP 12/31/202 G6293A111 9 10,000 SH DFND 10,000 0 0
MP MATERIALS CORP *W EXP 05/04/202 553368119 267 11,031 SH DFND 11,031 0 0
MUDRICK CAPITAL ACQU CORP II *W EXP 09/10/202 62477L115 37 58,027 SH DFND 58,027 0 0
NATERA INC COM 632307104 309 3,039 SH DFND 3,039 0 0
NATERA INC COM 632307104 23 22,800 SH Put DFND 22,800 0 0
NATURAL ORDER ACQUISITION CO COM 63889L107 1,956 200,000 SH DFND 3 200,000 0 0
NCR CORP NEW COM 62886E108 280 7,379 SH DFND 7,379 0 0
NCR CORP NEW COM 62886E108 6 4,000 SH Call DFND 4,000 0 0
NCR CORP NEW COM 62886E108 1 13,800 SH Put DFND 13,800 0 0
NEKTAR THERAPEUTICS COM 640268108 7 5,000 SH Call DFND 5,000 0 0
NEKTAR THERAPEUTICS COM 640268108 7 5,000 SH Put DFND 5,000 0 0
NEUROCRINE BIOSCIENCES INC COM 64125C109 344 3,537 SH DFND 3,537 0 0
NEUROCRINE BIOSCIENCES INC COM 64125C109 28 6,500 SH Call DFND 6,500 0 0
NEUROCRINE BIOSCIENCES INC COM 64125C109 77 6,500 SH Put DFND 6,500 0 0
NEW BEGINNINGS ACQUISITION C *W EXP 11/01/202 64222H118 26 39,236 SH DFND 39,236 0 0
NEWHOLD INVESTMENT CORP *W EXP 03/10/202 651448110 337 202,843 SH DFND 202,843 0 0
NEWHOLD INVESTMENT CORP COM CL A 651448102 671 67,082 SH DFND 67,082 0 0
NEXTGEN ACQUISITION CORP CL A G65305107 757 76,328 SH DFND 76,328 0 0
NEXTGEN ACQUISITION CORP II UNIT 03/23/2026 G65317110 1,229 124,166 SH DFND 124,166 0 0
NOBLE ROCK ACQUISITION CORP *W EXP 01/31/202 G6546R119 15 21,542 SH DFND 21,542 0 0
NORTH MOUNTAIN MERGER CORP *W EXP 09/16/202 661204115 88 80,257 SH DFND 80,257 0 0
NORTHERN STAR INVEST CORP IV UNIT 02/25/2028 66575B200 139 13,992 SH DFND 13,992 0 0
NORTHERN STAR INVSTMNT CORP *W EXP 01/31/202 66573W115 38 28,064 SH DFND 28,064 0 0
NOVUS CAPITAL CORPORATION II UNIT 99/99/9999 67012W203 2,122 212,200 SH DFND 3 212,200 0 0
NUVATION BIO INC *W EXP 07/07/202 67080N119 124 46,554 SH DFND 46,554 0 0
NUVATION BIO INC COM CL A 67080N101 4,264 408,125 SH DFND 408,125 0 0
OCCIDENTAL PETE CORP COM 674599105 1,346 160,000 SH Call DFND 160,000 0 0
OMEGA ALPHA SPAC CL A G6749V107 1,306 131,955 SH DFND 131,955 0 0
OMEROS CORP COM 682143102 374 21,035 SH DFND 21,035 0 0
OMEROS CORP COM 682143102 195 49,400 SH Put DFND 49,400 0 0
OPENDOOR TECHNOLOGIES INC *W EXP 12/18/202 683712111 267 26,169 SH DFND 26,169 0 0
OPENDOOR TECHNOLOGIES INC COM 683712103 2,119 100,000 SH DFND 100,000 0 0
OPENDOOR TECHNOLOGIES INC COM 683712103 29 10,000 SH Put DFND 10,000 0 0
OTIS WORLDWIDE CORP COM 68902V107 46 16,400 SH Call DFND 16,400 0 0
OTIS WORLDWIDE CORP COM 68902V107 19 19,900 SH Put DFND 19,900 0 0
PAYA HOLDINGS INC *W EXP 10/16/202 70434P111 273 86,587 SH DFND 86,587 0 0
PERIDOT ACQUISITION CORP SHS CL A G7008A115 995 93,400 SH DFND 3 93,400 0 0
PLURALSIGHT INC COM CL A 72941B106 510 273,300 SH Call DFND 273,300 0 0
PLURALSIGHT INC COM CL A 72941B106 4 8,000 SH Put DFND 8,000 0 0
PONTEM CORPORATION *W EXP 01/05/202 G71707122 44 58,266 SH DFND 58,266 0 0
PONTEM CORPORATION SHS CL A G71707106 968 100,000 SH DFND 100,000 0 0
PONTEM CORPORATION UNIT 99/99/9999 G71707114 1,513 152,851 SH DFND 152,851 0 0
PRIME IMPACT ACQUISITION I *W EXP 10/01/203 G61074129 12 15,000 SH DFND 15,000 0 0
PROGRESS ACQUISITION CORP *W EXP 11/11/202 74327P113 14 31,250 SH DFND 31,250 0 0
PROPERTY SOLUTIONS ACQUISITI COM 74348Q108 43 101,800 SH Call DFND 101,800 0 0
PROPERTY SOLUTIONS ACQUISITI COM 74348Q108 126 40,000 SH Put DFND 40,000 0 0
PROQR THRAPEUTICS N V SHS EURO N71542109 1,888 285,696 SH DFND 3 285,696 0 0
PTK ACQUISITION CORP COM 69375F108 2,560 260,000 SH DFND 3 260,000 0 0
QELL ACQUISITION CORP CL A G7307X105 559 54,901 SH DFND 54,901 0 0
QUANTUMSCAPE CORP *W EXP 11/25/202 74767V117 253 7,602 SH DFND 7,602 0 0
QUANTUMSCAPE CORP COM CL A 74767V109 1,248 27,887 SH DFND 27,887 0 0
QUANTUMSCAPE CORP COM CL A 74767V109 993 28,500 SH Put DFND 28,500 0 0
QUEENS GAMBIT GROWTH CAPITAL *W EXP 01/19/202 G7315C119 129 121,016 SH DFND 121,016 0 0
QUEENS GAMBIT GROWTH CAPITAL CL A SHS G7315C101 631 65,099 SH DFND 65,099 0 0
RADIUS HEALTH INC COM NEW 750469207 4 174 SH DFND 174 0 0
RADIUS HEALTH INC COM NEW 750469207 6 15,000 SH Call DFND 15,000 0 0
RADIUS HEALTH INC COM NEW 750469207 1 10,000 SH Put DFND 10,000 0 0
RALPH LAUREN CORP CL A 751212101 846 6,867 SH DFND 6,867 0 0
RALPH LAUREN CORP CL A 751212101 10 21,900 SH Call DFND 21,900 0 0
REDBALL ACQUISITION CORP *W EXP 08/17/202 G7417R113 42 30,572 SH DFND 30,572 0 0
REDBALL ACQUISITION CORP COM CL A G7417R105 1,990 200,000 SH DFND 200,000 0 0
REGIONS FINANCIAL CORP NEW COM 7591EP100 587 28,402 SH DFND 28,402 0 0
REINVENT TECHNOLOGY PARTNERS UNIT 03/12/2026 G7484L114 251 25,000 SH DFND 25,000 0 0
REKOR SYSTEMS INC COM 759419104 278 27,300 SH Call DFND 27,300 0 0
RELMADA THERAPEUTICS INC COM 75955J402 5,878 166,942 SH DFND 3 166,942 0 0
REVLON INC CL A NEW 761525609 80 99,800 SH Call DFND 99,800 0 0
REVOLVE GROUP INC CL A 76156B107 1,381 30,727 SH DFND 30,727 0 0
REVOLVE GROUP INC CL A 76156B107 63 45,000 SH Put DFND 45,000 0 0
RICE ACQUISITION CORP *W EXP 10/26/202 762594117 170 114,651 SH DFND 114,651 0 0
RIGEL PHARMACEUTICALS INC COM NEW 766559603 137 40,000 SH DFND 40,000 0 0
RIGEL PHARMACEUTICALS INC COM NEW 766559603 42 78,400 SH Call DFND 78,400 0 0
RIGEL PHARMACEUTICALS INC COM NEW 766559603 77 106,900 SH Put DFND 106,900 0 0
RMG ACQUISITION CORP II CL A SHS G76083107 915 91,365 SH DFND 3 91,365 0 0
RMG ACQUISITION CORP III UNIT 02/08/2026 G76088114 1,990 200,000 SH DFND 3 200,000 0 0
ROMAN DBDR TECH ACQUISITION *W EXP 10/31/202 77584N119 400 528,141 SH DFND 528,141 0 0
ROMAN DBDR TECH ACQUISITION COM CL A 77584N101 2,487 249,975 SH DFND 3 249,975 0 0
ROOT INC COM CL A 77664L108 409 32,100 SH DFND 32,100 0 0
ROOT INC COM CL A 77664L108 96 32,100 SH Put DFND 32,100 0 0
RXR ACQUISITION CORP UNIT 01/01/2025 74981W206 1,384 140,474 SH DFND 140,474 0 0
SANDSTORM GOLD LTD COM NEW 80013R206 17 28,300 SH Call DFND 28,300 0 0
SARISSA CAPITAL ACQUISITN CO *W EXP 10/23/202 G7823W110 150 100,000 SH DFND 3 100,000 0 0
SARISSA CAPITAL ACQUISITN CO CL A G7823W102 3,030 300,000 SH DFND 3 300,000 0 0
SARISSA CAPITAL ACQUISITN CO CL A G7823W102 58 5,697 SH DFND 5,697 0 0
SC HEALTH CORP *W EXP 99/99/999 G78516401 66 35,000 SH DFND 35,000 0 0
SCIPLAY CORPORATION CL A 809087109 656 40,516 SH DFND 40,516 0 0
SCIPLAY CORPORATION CL A 809087109 85 100,000 SH Put DFND 100,000 0 0
SCP & CO HEALTHCARE ACQUSTN UNIT 10/27/2025 784065203 750 75,200 SH DFND 75,200 0 0
SCVX CORP *W EXP 01/24/202 G79448117 268 268,222 SH DFND 268,222 0 0
SEAGEN INC COM 81181C104 168 10,000 SH Call DFND 10,000 0 0
SEAGEN INC COM 81181C104 56 7,500 SH Put DFND 7,500 0 0
SEAPORT GLOBAL ACQUISITN COR *W EXP 12/15/202 812227114 28 50,100 SH DFND 50,100 0 0
SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1,675 9,964 SH DFND 9,964 0 0
SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 229 205,200 SH Put DFND 205,200 0 0
SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 39,692 340,000 SH DFND 3 340,000 0 0
SILVER SPIKE ACQUISITION COR CL A SHS G8136L106 63 250,000 SH Call DFND 250,000 0 0
SIO GENE THERAPIES INC COMMON 829399104 59 22,500 SH DFND 22,500 0 0
SIO GENE THERAPIES INC COMMON 829399104 3 22,500 SH Call DFND 22,500 0 0
SIO GENE THERAPIES INC COMMON 829399104 43 22,500 SH Put DFND 22,500 0 0
SKILLZ INC COM 83067L109 1,457 76,500 SH DFND 76,500 0 0
SKILLZ INC COM 83067L109 1,235 76,500 SH Put DFND 76,500 0 0
SLACK TECHNOLOGIES INC COM CL A 83088V102 654 16,107 SH DFND 16,107 0 0
SLACK TECHNOLOGIES INC COM CL A 83088V102 93 93,900 SH Call DFND 93,900 0 0
SOCIAL CAPITAL HEDOSOPHA HLD *W EXP 09/26/202 G82514111 61 25,000 SH DFND 25,000 0 0
SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G82514103 110 10,000 SH DFND 10,000 0 0
SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8251L105 268 25,000 SH DFND 25,000 0 0
SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8252P105 1,751 102,100 SH DFND 102,100 0 0
SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8252P105 2 16,700 SH Call DFND 16,700 0 0
SOCIAL CAPITAL HEDOSOPHA HLD SHS CL A G8252P105 395 113,800 SH Put DFND 113,800 0 0
SPARTACUS ACQUISITION CORP *W EXP 10/31/202 84677L117 31 48,855 SH DFND 48,855 0 0
SPARTACUS ACQUISITION CORP CL A 84677L109 1,970 200,000 SH DFND 3 200,000 0 0
SPARTAN ACQUISITION CORP III UNIT 99/99/9999 84677R205 251 25,000 SH DFND 25,000 0 0
SPARTAN ACQUISITION CORP III UNIT 99/99/9999 84677R205 2,006 200,000 SH DFND 3 200,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 75,184 189,700 SH DFND 3 189,700 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 793 2,000 SH DFND 2,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 18 105,000 SH Put DFND 105,000 0 0
SPDR SER TR S&P BIOTECH 78464A870 338 2,494 SH DFND 2,494 0 0
SPDR SER TR S&P BIOTECH 78464A870 54,260 400,000 SH DFND 3 400,000 0 0
SPDR SER TR S&P BIOTECH 78464A870 25 8,500 SH Call DFND 8,500 0 0
SPDR SER TR S&P BIOTECH 78464A870 236 34,900 SH Put DFND 34,900 0 0
SPDR SER TR S&P RETAIL ETF 78464A714 1,299 14,558 SH DFND 14,558 0 0
SPDR SER TR S&P RETAIL ETF 78464A714 219 138,900 SH Put DFND 138,900 0 0
SPINNAKER ETF SERIES CANNABIS ETF 84858T400 492 25,000 SH DFND 25,000 0 0
SPORTS ENTERTAINMENT ACQU CO *W EXP 10/30/202 84918M114 552 501,820 SH DFND 501,820 0 0
SPORTS ENTERTAINMENT ACQU CO COM CL A 84918M106 977 100,000 SH DFND 100,000 0 0
SPORTS ENTERTAINMENT ACQU CO COM CL A 84918M106 977 100,000 SH DFND 3 100,000 0 0
SPRING VY ACQUISITION CORP *W EXP 05/20/202 G8377A124 434 364,391 SH DFND 364,391 0 0
STARBOARD VALUE ACQUISITN CO COM CL A 85521J109 497 50,000 SH DFND 50,000 0 0
STERLING BANCORP DEL COM 85917A100 237 10,311 SH DFND 10,311 0 0
STITCH FIX INC COM CL A 860897107 162 138,500 SH Call DFND 138,500 0 0
SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 45,977 6,341,605 SH DFND 6,341,605 0 0
SUNDIAL GROWERS INC COM 86730L109 230 203,101 SH DFND 203,101 0 0
SUSTAINABLE DEVELP ACQU I CO UNIT 02/04/2026 86934L202 1,493 150,000 SH DFND 3 150,000 0 0
SUSTAINABLE OPPORTNTS ACQ CO ORD SHS A G8598Y109 944 95,099 SH DFND 95,099 0 0
SWITCH INC CL A 87105L104 1,835 112,870 SH DFND 112,870 0 0
SWITCH INC CL A 87105L104 108 139,600 SH Put DFND 139,600 0 0
TAILWIND ACQUISITION CORP *W EXP 09/07/202 87403Q110 15 14,900 SH DFND 14,900 0 0
TAILWIND INTERNATNAL ACQ COR UNIT 99/99/9999 G8662F127 180 18,250 SH DFND 18,250 0 0
TASTEMAKER ACQUISITION CORP *W EXP 01/07/202 876545112 6 10,000 SH DFND 10,000 0 0
TELA BIO INC COM 872381108 5,981 401,376 SH DFND 3 401,376 0 0
TERNS PHARMACEUTICALS INC COM 880881107 550 25,000 SH DFND 3 25,000 0 0
THE MUSIC ACQUISITION CORP *W EXP 02/05/202 62752R118 15 25,000 SH DFND 25,000 0 0
THE REALREAL INC COM 88339P101 316 13,967 SH DFND 13,967 0 0
THUNDER BRIDGE CAP PRTNRS II UNIT 02/15/2028 88605T209 1,211 122,481 SH DFND 122,481 0 0
TILRAY INC COM CL 2 88688T100 1,706 75,041 SH DFND 75,041 0 0
TILRAY INC COM CL 2 88688T100 1,879 288,200 SH Call DFND 288,200 0 0
TILRAY INC COM CL 2 88688T100 588 177,700 SH Put DFND 177,700 0 0
TISHMAN SPEYER INNOVATION CO UNIT 02/11/2026 88825H209 2,500 250,000 SH DFND 3 250,000 0 0
TLG ACQUISITION ONE CORP *W EXP 01/25/202 87257M116 90 157,504 SH DFND 157,504 0 0
TLG ACQUISITION ONE CORP COM CL A 87257M108 247 25,500 SH DFND 25,500 0 0
TPG PACE BEN FIN CORP *W EXP 10/09/202 G8990D117 111 14,875 SH DFND 14,875 0 0
TPG PACE TECH OPPORTUNITIES CL A COM G8990Y103 423 42,647 SH DFND 42,647 0 0
TRAVERE THERAPEUTICS INC COM 89422G107 16 25,000 SH Call DFND 25,000 0 0
TREBIA ACQUISITION CORP COM CL A G9027T109 9,960 1,000,000 SH DFND 3 1,000,000 0 0
TREEHOUSE FOODS INC COM 89469A104 35 20,000 SH Call DFND 20,000 0 0
TRITERRAS INC SHS CL A G9103H102 991 144,095 SH DFND 3 144,095 0 0
UCOMMUNE INTERNATIONAL LTD *W EXP 11/17/202 G9449A118 30 80,000 SH DFND 3 80,000 0 0
UNION ACQUISITION CORP II *W EXP 04/01/202 G9402Q126 58 85,585 SH DFND 85,585 0 0
UNITED THERAPEUTICS CORP DEL COM 91307C102 500 10,500 SH Call DFND 10,500 0 0
UPSTART HLDGS INC COM 91680M107 6,495 50,400 SH DFND 50,400 0 0
UPSTART HLDGS INC COM 91680M107 6,443 50,000 SH DFND 3 50,000 0 0
UPSTART HLDGS INC COM 91680M107 1,421 50,400 SH Put DFND 50,400 0 0
USA TECHNOLOGIES INC COM 90328S500 26,637 2,272,778 SH DFND 3 2,272,778 0 0
VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 199 45,000 SH Call DFND 45,000 0 0
VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 73 25,000 SH Put DFND 25,000 0 0
VAXCYTE INC COM 92243G108 30 15,000 SH Call DFND 15,000 0 0
VECTOIQ ACQUISITION CORP II *W EXP 01/07/202 92244F117 533 372,628 SH DFND 372,628 0 0
VECTOIQ ACQUISITION CORP II COM CL A 92244F109 239 24,065 SH DFND 24,065 0 0
VECTOIQ ACQUISITION CORP II UNIT 99/99/9999 92244F208 607 59,952 SH DFND 59,952 0 0
VELODYNE LIDAR INC COM 92259F101 1,074 94,200 SH DFND 94,200 0 0
VELODYNE LIDAR INC COM 92259F101 526 94,200 SH Put DFND 94,200 0 0
VENTOUX CCM ACQUISITION CORP COM 92280L101 2,741 280,000 SH DFND 3 280,000 0 0
VERTEX PHARMACEUTICALS INC COM 92532F100 1,241 5,773 SH DFND 5,773 0 0
VERTEX PHARMACEUTICALS INC COM 92532F100 129 15,800 SH Call DFND 15,800 0 0
VERTEX PHARMACEUTICALS INC COM 92532F100 189 5,200 SH Put DFND 5,200 0 0
VIATRIS INC COM 92556V106 67 4,775 SH DFND 4,775 0 0
VIATRIS INC COM 92556V106 7 6,100 SH Put DFND 6,100 0 0
VILLAGE FARMS INTL INC COM 92707Y108 123 44,500 SH Call DFND 44,500 0 0
VIRGIN GALACTIC HOLDINGS INC COM 92766K106 217 7,097 SH DFND 7,097 0 0
VIVEON HEALTH ACQUISITION CO RIGHT 12/31/2025 92853V122 5 25,000 SH DFND 25,000 0 0
VY GLOBAL GROWTH *W EXP 01/30/203 G9444H118 27 13,500 SH DFND 13,500 0 0
VY GLOBAL GROWTH COM CL A G9444H100 101 10,000 SH DFND 10,000 0 0
WALGREENS BOOTS ALLIANCE INC COM 931427108 71 17,200 SH Call DFND 17,200 0 0
WELBILT INC COM 949090104 53 41,800 SH Call DFND 41,800 0 0
WELLS FARGO CO NEW COM 949746101 1,017 26,022 SH DFND 26,022 0 0
WELLS FARGO CO NEW COM 949746101 74 45,000 SH Call DFND 45,000 0 0
WINGSTOP INC COM 974155103 190 1,497 SH DFND 1,497 0 0
WINGSTOP INC COM 974155103 8 10,300 SH Put DFND 10,300 0 0
WISDOMTREE TR JAPN HEDGE EQT 97717W851 59 12,100 SH Call DFND 12,100 0 0
WISDOMTREE TR JAPN HEDGE EQT 97717W851 36 12,100 SH Put DFND 12,100 0 0
WORKHORSE GROUP INC COM NEW 98138J206 342 188,100 SH Call DFND 188,100 0 0
YELLOWSTONE ACQUISITION CO *W EXP 10/21/202 98566K113 27 29,723 SH DFND 29,723 0 0
YELLOWSTONE ACQUISITION CO COM CL A 98566K105 232 23,212 SH DFND 23,212 0 0
YUCAIPA ACQUISITION CORP COM G9879L105 3,694 375,000 SH DFND 3 375,000 0 0
YUNHONG INTL RIGHT 01/31/2027 G98882130 8 18,138 SH DFND 18,138 0 0
ZANITE ACQUISITION CORP COM CL A 98907K103 235 23,648 SH DFND 23,648 0 0
ZIONS BANCORPORATION N A COM 989701107 902 16,417 SH DFND 16,417 0 0

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