# EDGAR Filing Document

**Accession Number:** 0001475770
**File Stem:** 0001085146-23-001144
**Filing Date:** 2023-2
**Character Count:** 28117
**Document Hash:** e3bddb7c8de4adafe7194f1e3f41d865
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001085146-23-001144.hdr.sgml**: 20230213

**ACCESSION NUMBER**: 0001085146-23-001144

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230213

**DATE AS OF CHANGE**: 20230213

**EFFECTIVENESS DATE**: 20230213

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Cowen Investment Management LLC
- **CENTRAL INDEX KEY:** 0001475770
- **IRS NUMBER:** 270423711
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-13626
- **FILM NUMBER:** 23619399

**BUSINESS ADDRESS:**
- **STREET 1:** 599 LEXINGTON AVENUE, 20TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022
- **BUSINESS PHONE:** 212 845 7900

**MAIL ADDRESS:**
- **STREET 1:** 599 LEXINGTON AVENUE, 20TH FLOOR
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10022

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Ramius LLC
- **DATE OF NAME CHANGE:** 20091102

**FORMER COMPANY:**
- **FORMER CONFORMED NAME:** Park Exchange LLC
- **DATE OF NAME CHANGE:** 20091030

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**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 Investment Management LLC<br>**Address:** 599 LEXINGTON AVENUE 20TH FLOOR<br>NEW YORK, NY 10022

**Form 13F File Number:** 028-13626

**CRD Number (if applicable):** 000151953

**SEC File Number (if applicable):** 801-70868

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:** Ashley Latourelle<br>**Title:** Chief Compliance Officer<br>**Phone:** 609-304-6161

**Signature, Place, and Date of Signing:**

/s/ Ashley Latourelle  New York, NY  02-13-2023<br>[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 are reported 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:** 0

**Form 13F Information Table Entry Total:** 196

**Form 13F Information Table Value Total:** $492182569

      (round to nearest dollar)

**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.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ABG ACQUISITION CORP I | CL A SHS | G00496102 | BBG00Z3YMTS6 | 2270250 | 225000 | SH |  | DFND |  | 225000 | 0 | 0 |
| ACHARI VENTURES HLDGS CORP I | COM | 00444X101 | BBG01223ZV80 | 1533000 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| ADARA ACQUISITION CORP | UNIT 99/99/9999 | 00653H201 | BBG00Y78GFZ1 | 505000 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| ADIT EDTECH ACQUISITION CORP | *W EXP 99/99/999 | 007024110 |  | 3000 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| AEQUI ACQUISITION CORP | *W EXP 11/30/202 | 00775W110 |  | 3267 | 116666 | SH |  | DFND |  | 116666 | 0 | 0 |
| AFRICAN GOLD ACQUISITION COR | SHS CL A | G0112R108 | BBG00YTSDC56 | 5527500 | 550000 | SH |  | DFND |  | 550000 | 0 | 0 |
| AGILE GROWTH CORP | CLASS A ORD | G01202103 | BBG00Z4HL239 | 2724300 | 270000 | SH |  | DFND |  | 270000 | 0 | 0 |
| AIMFINITY INVESTMENT CORP I | UNIT 02/01/2029 | G0135E100 | BBG016D6P296 | 4830730 | 479715 | SH |  | DFND |  | 479715 | 0 | 0 |
| ALPHA STAR ACQUISITION CORP | ORDINARY SHARES | G0230C108 | BBG014KF2P51 | 1026000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| AMCI ACQUISITION CORP II | UNIT 03/24/2026 | 00166R209 | BBG00Z8MTTC7 | 1497000 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| ANTHEMIS DIGITAL ACQUISITION | UNIT 10/18/2026 | G03959122 | BBG012SW2055 | 408000 | 40000 | SH |  | DFND |  | 40000 | 0 | 0 |
| ANZU SPECIAL ACQUISITIN CORP | COM CL A | 03737A101 | BBG00Z6RQKZ5 | 3507000 | 350000 | SH |  | DFND |  | 350000 | 0 | 0 |
| ANZU SPECIAL ACQUISITIN CORP | UNIT 01/27/2026 | 03737A200 | BBG00Z6FBJC5 | 500500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| AP ACQUISITION CORP | UNIT 99/99/9999 | G04058122 | BBG013VVN469 | 1030000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| APOLLO STRATEGIC GRWT CPTL I | *W EXP 02/12/202 | G0412A128 |  | 14000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| APOLLO STRATEGIC GRWT CPTL I | UNIT 99/99/9999 | G0412A110 | BBG00YS5Q4R7 | 501500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| ARCTOS NORTHSTAR ACQUIS CORP | SHS CL A | G0477L100 | BBG00Z6F38F5 | 3279250 | 325000 | SH |  | DFND |  | 325000 | 0 | 0 |
| ARCTOS NORTHSTAR ACQUIS CORP | UNIT 99/99/9999 | G0477L118 | BBG00Z61S235 | 504505 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| ARDAGH METAL PACKAGING S A | *W EXP 08/04/202 | L02235114 |  | 11000 | 25000 | SH |  | DFND |  | 25000 | 0 | 0 |
| ARES ACQUISITION CORPORATION | COM CL A | G33032106 | BBG00YZC2ZB8 | 5035000 | 500000 | SH |  | DFND |  | 500000 | 0 | 0 |
| ARES ACQUISITION CORPORATION | UNIT 99/99/9999 | G33032114 | BBG00YYCX736 | 508500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| ATENTO S A | SHS | L0427L204 | BBG006FT0V07 | 63353 | 14977 | SH |  | DFND |  | 14977 | 0 | 0 |
| AULT DISRUPTIVE TECHS CORP | COM | 05150A104 | BBG013DRDYD5 | 512500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| AURORA ACQUISITION CORP | CLASS A ORD SHS | G0698L103 | BBG0103VG6P8 | 504500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| AUTHENTIC EQUITY ACQUISTN CO | UNIT 10/31/2027 | G06607116 | BBG00YN6TBT9 | 505000 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| AVEPOINT INC | *W EXP 09/18/202 | 053604112 |  | 14000 | 25000 | SH |  | DFND |  | 25000 | 0 | 0 |
| BANCO SANTANDER MEXICO SA | SPONSORED ADS B | 05969B103 | BBG00JSKYNN0 | 353406 | 58608 | SH |  | DFND |  | 58608 | 0 | 0 |
| BANNIX ACQUISITION CORP | COM | 066644105 | BBG00ZDRD4L2 | 2034000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| BATTERY FUTURE ACQUISITION C | UNIT 99/99/9999 | G0888J116 | BBG013SN02P9 | 1026000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| BILANDER ACQUISITION CORP | UNIT 05/19/2026 | 09001T205 | BBG00ZF3NT55 | 1981000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| BLACK MOUNTAIN ACQ CORP | CL A COM | 09216A108 | BBG012JCKW59 | 4080000 | 400000 | SH |  | DFND |  | 400000 | 0 | 0 |
| BLEUACACIA LTD | UNIT 10/30/2026 | G11728121 | BBG011K4X7Y6 | 4072000 | 400000 | SH |  | DFND |  | 400000 | 0 | 0 |
| BLUERIVER ACQUISITION CORP | UNIT 01/04/2026 | G1261Q123 | BBG00YVK60D5 | 1008000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| BM TECHNOLOGIES INC | *W EXP 01/04/202 | 05591L115 |  | 13000 | 25000 | SH |  | DFND |  | 25000 | 0 | 0 |
| BUILD ACQUISITION CORP | COM CLASS A | 12008J105 | BBG010HFCH05 | 1002000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| BURTECH ACQUISITION CORP | CLASS A COM | 123013104 | BBG0127JV7T4 | 11369040 | 1119000 | SH |  | DFND |  | 1119000 | 0 | 0 |
| BYTE ACQUISITION CORP | CLASS A ORD SHS | G1R25Q105 | BBG00ZZNS7D3 | 1260000 | 125000 | SH |  | DFND |  | 125000 | 0 | 0 |
| CARNEY TECHNOLOGY ACQU CORP | *W EXP 11/30/202 | 143636116 |  | 1904 | 28333 | SH |  | DFND |  | 28333 | 0 | 0 |
| CARTESIAN GROWTH CORP II | UNIT 07/12/2028 | G19305104 | BBG0148QL2X0 | 5195000 | 500000 | SH |  | DFND |  | 500000 | 0 | 0 |
| CARTICA ACQUISITION CORP | UNIT 04/30/2028 | G1995D125 | BBG013KBBLD2 | 1030000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| CATALYST PARTNRS ACQUISITN C | CLASS A ORD SHS | G19550105 | BBG00ZMZ20P0 | 2518750 | 250000 | SH |  | DFND |  | 250000 | 0 | 0 |
| CC NEUBERGER PRINCIPAL HOLDN | UNIT 99/99/9999 | G1992N118 | BBG00YXVL113 | 3757614 | 372041 | SH |  | DFND |  | 372041 | 0 | 0 |
| CHURCHILL CAPITAL CORP V | COM CL A | 17144T107 | BBG00YRX3C30 | 6431180 | 647000 | SH |  | DFND |  | 647000 | 0 | 0 |
| CHURCHILL CAPITAL CORP VI | UNIT 99/99/9999 | 17143W200 | BBG00YV14NF7 | 3496535 | 350000 | SH |  | DFND |  | 350000 | 0 | 0 |
| CHURCHILL CAPITAL CORP VII | UNIT 99/99/9999 | 17144M201 | BBG00YV0ZT80 | 996010 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| CIIG CAPITAL PARTNERS II INC | COM CL A | 12561U109 | BBG00ZMZ2NB5 | 1019000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| COLISEUM ACQUISITION CORP | UNIT 04/02/2028 | G2263T115 | BBG00ZR8GC65 | 2510000 | 250000 | SH |  | DFND |  | 250000 | 0 | 0 |
| COLOMBIER ACQUISITION CORP | UNIT 99/99/9999 | 19533H207 | BBG00ZR8D6H9 | 2497500 | 250000 | SH |  | DFND |  | 250000 | 0 | 0 |
| COLONNADE ACQUISITION CORP I | SHS CL A | G2284B101 | BBG00ZCMH2J7 | 1913300 | 190000 | SH |  | DFND |  | 190000 | 0 | 0 |
| COMPASS DIGITAL ACQUISITN CO | UNIT 09/29/2026 | G2476C115 | BBG012J84N83 | 998000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| CONCORD ACQUISITION CORP II | COM CL A | 20607U108 | BBG00ZVTY6P6 | 6961500 | 700000 | SH |  | DFND |  | 700000 | 0 | 0 |
| CONCORD ACQUISITION CORP III | COM CL A | 20607V106 | BBG00ZVLGBF3 | 1019000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| CONCORD ACQUISITION CORP III | UNIT 99/99/9999 | 20607V205 | BBG00ZV1VQT2 | 511173 | 531061 | SH |  | DFND |  | 531061 | 0 | 0 |
| CORAZON CAPITAL V838 MONOCER | CLASS A ORD SHS | G24237102 | BBG00Z92VP71 | 1411200 | 140000 | SH |  | DFND |  | 140000 | 0 | 0 |
| CORSAIR PARTNERING CORP | UNIT 99/99/9999 | G2540H124 | BBG00ZKY2N66 | 988000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| CRIXUS BH3 ACQUISITION CO | *W EXP 10/04/202 | 22677T110 |  | 5930 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| DA32 LIFE SCNCE TEC ACQSTN C | CLASS A COM | 23312M106 | BBG011PFN3R4 | 7996000 | 800000 | SH |  | DFND |  | 800000 | 0 | 0 |
| DECARBONIZATION PLUS ACQUISI | COM CL A | G2773W103 | BBG00ZWX88Q0 | 2553750 | 250000 | SH |  | DFND |  | 250000 | 0 | 0 |
| DHC ACQUISITION CORP | CLASS A ORD SHS | G2758T109 | BBG00Z83ZBP7 | 11983419 | 1190000 | SH |  | DFND |  | 1190000 | 0 | 0 |
| DIAMONDHEAD HOLDINGS CORP | UNIT 01/21/2026 | 25278L204 | BBG00YTRXLP4 | 402000 | 40000 | SH |  | DFND |  | 40000 | 0 | 0 |
| DMY TECHNOLOGY GROUP INC VI | CL A COM | 233247105 | BBG01252TR03 | 2562750 | 255000 | SH |  | DFND |  | 255000 | 0 | 0 |
| DP CAP ACQUISITION CORP I | CLASS A ORD | G2R05B100 | BBG0135S4TG0 | 1539000 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| DRAGONEER GROWTH OPT CORP II | CL A SHS | G28315102 | BBG00ZHSJQL1 | 1479000 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| ELLIOTT OPPORTUNITY II CORP | SHS CL A | G30092103 | BBG00ZSJXTC7 | 2016000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| ENERGY VAULT HOLDINGS INC | COM | 29280W109 | BBG00YXTKLB4 | 208762 | 66911 | SH |  | DFND |  | 66911 | 0 | 0 |
| ENTERPRISE 4.0 TEC ACQSTN CO | UNIT 10/14/2026 | G3137C122 | BBG012Q6ZG35 | 1030000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| EUCRATES BIOMEDICAL ACQU COR | *W EXP 10/23/202 | G3141W122 |  | 1853 | 33333 | SH |  | DFND |  | 33333 | 0 | 0 |
| EVE MOBILITY ACQUISITION COR | UNIT 99/99/9999 | G3218G125 | BBG013J8WPQ5 | 1542000 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| FAR PEAK ACQUISITION CORP | SHS CL A | G3312L103 | BBG00YVVW426 | 3012000 | 300000 | SH |  | DFND |  | 300000 | 0 | 0 |
| FATHOM DIGITAL MFG CORP | *W EXP 12/22/202 | 31189Y111 |  | 2075 | 25000 | SH |  | DFND |  | 25000 | 0 | 0 |
| FINTECH ECOSYSTEM DEVE | UNIT 04/01/2026 | 318136207 | BBG010WX42F5 | 1040000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| FORTRESS CAPITAL ACQUISITION | UNIT 99/99/9999 | G36427113 | BBG00YNK76T3 | 990000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| FORUM MERGER IV CORP | CLASS A COM | 349875104 | BBG00ZCX6K78 | 2006000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| FREEDOM ACQUISITION I CORP | SHS CL A | G3663X110 | BBG00ZCW2FF6 | 2020000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| FRONTIER ACQUISITION CORP | UNIT 03/01/2026 | G36826116 | BBG00ZCNR222 | 1008010 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| FTAC HERA ACQUISITION CORP | CLASS A ORD SHS | G3728Y103 | BBG00Z49ZND5 | 2022000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| FTAC HERA ACQUISITION CORP | UNIT 02/28/2026 | G3728Y129 | BBG00Z3V6MJ5 | 756000 | 75000 | SH |  | DFND |  | 75000 | 0 | 0 |
| FTAC PARNASSUS ACQUISITN COR | CLASS A COM | 30319B108 | BBG00ZTZS1R1 | 1003000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| FUSION ACQUISITION CORP II | COM CL A | 36118N102 | BBG00Z0H1G61 | 3012000 | 300000 | SH |  | DFND |  | 300000 | 0 | 0 |
| FUSION ACQUISITION CORP II | UNIT 02/29/2028 | 36118N201 | BBG00YZF6N06 | 1504500 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| FUTURETECH II ACQUISITION CO | CLASS A COM | 36119D103 | BBG0149PS3F2 | 1537500 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| G SQUARED ASCEND I INC | UNIT 99/99/9999 | G4204R125 | BBG00YZF8LX2 | 856809 | 85000 | SH |  | DFND |  | 85000 | 0 | 0 |
| G SQUARED ASCEND II INC | COM CL A | G42041106 | BBG0112C5LC2 | 4060000 | 400000 | SH |  | DFND |  | 400000 | 0 | 0 |
| GAMES  ESPORTS EXPRNC ACQ C | CLASS A ORD SHS | G3731J119 | BBG014RL1QB3 | 1030000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| GELESIS HLDGS INC | *W EXP 01/13/202 | 36850R113 |  | 890 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| GLOBAL PARTNER ACQISTN CORP | UNIT 01/06/2026 | G3934P110 | BBG00YMX3L71 | 1009000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| GOLDEN ARROW MERGER CORP | CLASS A COM | 380799106 | BBG00ZGY4FF6 | 1001500 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| GRAB HOLDINGS LIMITED | *W EXP 12/01/202 | G4124C117 |  | 10692 | 19900 | SH |  | DFND |  | 19900 | 0 | 0 |
| GRAF ACQUISITION CORP IV | COM | 384272100 | BBG00ZFCTT31 | 5472500 | 550000 | SH |  | DFND |  | 550000 | 0 | 0 |
| HEARTLAND MEDIA ACQUISITION | UNIT 99/99/9999 | 42237V207 | BBG013SNW3Z1 | 501500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| HERTZ GLOBAL HLDGS INC | *W EXP 06/30/205 | 42806J148 |  | 11345593 | 1521877 | SH |  | DFND |  | 1521877 | 0 | 0 |
| ICONIC SPORTS ACQUISITION CO | UNIT 99/99/9999 | G4712C123 | BBG012VJJL29 | 2080000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| IMPERIAL OIL LTD | COM NEW | 453038408 | BBG001S5T1N6 | 1158327 | 23776 | SH |  | DFND |  | 23776 | 0 | 0 |
| INDEPENDENCE HOLDINGS CORP | CLASS A ORD SHS | G4761A101 | BBG010H57135 | 1512000 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| INDEPENDENCE HOLDINGS CORP | UNIT 03/02/2026 | G4761A119 | BBG00Z8MS175 | 4778500 | 475000 | SH |  | DFND |  | 475000 | 0 | 0 |
| INFINT ACQUISITION CORP | CL A ORD SHS | G47862100 | BBG011KCRG57 | 518000 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| INNOVATE CORP | COM | 45784J105 | BBG001S16908 | 46750 | 25000 | SH |  | DFND |  | 25000 | 0 | 0 |
| INVESTCORP EUROPE ACQUISITIO | UNIT 12/15/2026 | G4923T121 | BBG013QQ9J87 | 779250 | 75000 | SH |  | DFND |  | 75000 | 0 | 0 |
| INVESTCORP INDIA ACQUISTN CO | UNIT 06/01/2028 | G49219119 | BBG011F6N670 | 1030000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| ISTAR INC | COM | 45031U101 | BBG001SDG572 | 1814963 | 237872 | SH |  | DFND |  | 237872 | 0 | 0 |
| ITIQUIRA ACQUISITION CORP | CL A SHS | G49773107 | BBG00Z0DWW70 | 781975 | 77500 | SH |  | DFND |  | 77500 | 0 | 0 |
| JACK CREEK INVESTMENT CORP | CL A SHS | G4989X115 | BBG00ZMHN718 | 5065000 | 500000 | SH |  | DFND |  | 500000 | 0 | 0 |
| JATT ACQUISITION CORP | *W EXP 07/19/202 | G50752123 |  | 7500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| JATT ACQUISITION CORP | SHS CL A | G50752107 | BBG011FJXVZ5 | 1021000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| JAWS HURRICANE ACQUISITN COR | CLASS A COM | 47201B103 | BBG00ZHCPYY8 | 2741750 | 275000 | SH |  | DFND |  | 275000 | 0 | 0 |
| JAWS JUGGERNAUT ACQUISITN CO | CLASS A ORD SHS | G50735102 | BBG00Z92X467 | 1005800 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| JAWS MUSTANG ACQUISITION COR | SHS CL A | G50737108 | BBG00Z0DVX15 | 7073500 | 700000 | SH |  | DFND |  | 700000 | 0 | 0 |
| JUNIPER II CORP | CL A COM | 48203N103 | BBG00ZXZ1KQ4 | 1017000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| KAIROS ACQUISITION CORP | UNIT 99/99/9999 | G52110122 | BBG00YMWSSY1 | 754748 | 75000 | SH |  | DFND |  | 75000 | 0 | 0 |
| KHOSLA VENTURES ACQUISITION | CL A | 482504107 | BBG00Z8MS335 | 1497000 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| L CATTERTON ASIA ACQUISITION | CLASS A ORD SHS | G5346G125 | BBG010171ZV8 | 2525000 | 250000 | SH |  | DFND |  | 250000 | 0 | 0 |
| LAVA MEDTECH ACQUISITION COR | UNIT 10/21/2026 | 519345201 | BBG012SW1PR7 | 1022000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| LAZARD GROWTH ACQUISITION CO | CL A ORD SHS | G54035103 | BBG00Z3162M1 | 4292500 | 425000 | SH |  | DFND |  | 425000 | 0 | 0 |
| LAZARD GROWTH ACQUISITION CO | UNIT 99/99/9999 | G54035129 | BBG00Z19QLJ6 | 1008000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| LDH GROWTH CORP I | CLASS A ORD SHS | G54094100 | BBG010WX2HT9 | 1007000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| LEO HLDGS CORP II | COM CL A | G5463R102 | BBG00Y2PQ7B1 | 10342250 | 1025000 | SH |  | DFND |  | 1025000 | 0 | 0 |
| LIBERTY BROADBAND CORP | COM SER A | 530307107 | BBG006GNRZ92 | 961930 | 12682 | SH |  | DFND |  | 12682 | 0 | 0 |
| LIBERTY MEDIA CORP DEL | COM C SIRIUSXM | 531229607 | BBG00BFHD9T6 | 2718596 | 69476 | SH |  | DFND |  | 69476 | 0 | 0 |
| LIBERTY TRIPADVISOR HLDGS IN | COM SER A | 531465102 | BBG005DKMJ58 | 383189 | 572265 | SH |  | DFND |  | 572265 | 0 | 0 |
| LIGHTJUMP ACQUISITION CORP | *W EXP 01/12/202 | 53228M114 |  | 7400 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| LIV CAPITAL ACQUISITN CORP I | UNIT 02/07/2027 | G5510R121 | BBG014BH5KH2 | 1026000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| LLOYDS BANKING GROUP PLC | SPONSORED ADR | 539439109 | BBG001SDX252 | 9726603 | 4421183 | SH |  | DFND |  | 4421183 | 0 | 0 |
| LOGISTICS INNOVTN TECHNLGS C | CLASS A COM | 54141L100 | BBG00ZMYTWY4 | 10647891 | 1070000 | SH |  | DFND |  | 1070000 | 0 | 0 |
| M3 BRIGADE ACQUISITION II CO | COM CL A | 553800103 | BBG00ZCLL7V9 | 5010000 | 500000 | SH |  | DFND |  | 500000 | 0 | 0 |
| M3 BRIGADE ACQUISITION III | CL A COM | 55407R103 | BBG0112C9J51 | 2028000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| MASON INDUSTRIAL TECHNOLGY I | COM CL A | 57520Y106 | BBG00YVW6F91 | 1124438 | 112500 | SH |  | DFND |  | 112500 | 0 | 0 |
| MASON INDUSTRIAL TECHNOLGY I | UNIT 99/99/9999 | 57520Y205 | BBG00YVK6SZ0 | 1000000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| MELI KASZEK PIONEER CORP | CLASS A ORD | G5S74L106 | BBG012HQ70J0 | 2495000 | 250000 | SH |  | DFND |  | 250000 | 0 | 0 |
| MITSUBISHI UFJ FINL GROUP IN | SPONSORED ADS | 606822104 | BBG001SFZ3S8 | 14984155 | 2246500 | SH |  | DFND |  | 2246500 | 0 | 0 |
| MIZUHO FINANCIAL GROUP INC | SPONSORED ADR | 60687Y109 | BBG001SMCTP4 | 2840000 | 1000000 | SH |  | DFND |  | 1000000 | 0 | 0 |
| NOBLE ROCK ACQUISITION CORP | UNIT 01/31/2028 | G6546R127 | BBG00YVK7PK1 | 2525000 | 250000 | SH |  | DFND |  | 250000 | 0 | 0 |
| NORTHERN STAR INVEST CORP II | COM CL A | 66574L100 | BBG00Z61Q344 | 4521495 | 449900 | SH |  | DFND |  | 449900 | 0 | 0 |
| NORTHVIEW ACQUISITION CORP | COM | 66718N103 | BBG011J0RMT6 | 1013000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| P3 HEALTH PARTNERS INC | *W EXP 11/19/202 | 744413113 |  | 3500 | 25000 | SH |  | DFND | 1 | 25000 | 0 | 0 |
| PANACEA ACQUISITION CORP II | CL A SHS | G6882C106 | BBG00ZL82BD0 | 1959750 | 195000 | SH |  | DFND |  | 195000 | 0 | 0 |
| PATHFINDER ACQUISITION CORP | CL A | G04119106 | BBG00Z3H2DY3 | 503500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| PEPPERLIME HEALTH ACQUSTN CO | UNIT 99/99/9999 | G70021129 | BBG012QX2P32 | 1013000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| PERCEPTION CAPITAL CORP II | UNIT 10/25/2026 | G7007D128 | BBG00ZXZVP44 | 510500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| PERIDOT ACQUISITION CORP II | SHS CL A | G7008B105 | BBG00Z4H5XW7 | 2375850 | 235000 | SH |  | DFND |  | 235000 | 0 | 0 |
| PINE TECHNOLOGY ACQUISITN CO | CLASS A COM | 722850104 | BBG00ZDL8GC4 | 1675010 | 167000 | SH |  | DFND |  | 167000 | 0 | 0 |
| PIONEER MERGER CORP | CL A SHS | G7S24C103 | BBG00ZGXRG07 | 1014000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| PIVOTAL INVESTMENT CORP III | COM CL A | 72582M106 | BBG00YZ50059 | 1518150 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| PLUM ACQUISITION CORP I | CLASS A ORD SHS | G7134L126 | BBG00ZKFG909 | 1008000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| PONTEM CORPORATION | UNIT 99/99/9999 | G71707114 | BBG00YPS2RH6 | 1011000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| POWERED BRANDS | UNIT 99/99/9999 | G7209M124 | BBG00YN8KMH3 | 1009000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| PRIVETERRA ACQUISITION CORP | *W EXP 02/28/202 | 74275N110 |  | 1140 | 25000 | SH |  | DFND |  | 25000 | 0 | 0 |
| PRIVETERRA ACQUISITION CORP | CL A | 74275N102 | BBG00Z17HFQ5 | 5778750 | 575000 | SH |  | DFND |  | 575000 | 0 | 0 |
| PROGRESS ACQUISITION CORP | UNIT 12/25/2025 | 74327P204 | BBG00YVWFJF6 | 1011000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| PROOF ACQUISITION CORP I | UNIT 99/99/9999 | 74349W203 | BBG013J8LQC0 | 1017970 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| PROSPECTOR CAPITAL CORP | CL A | G7273A105 | BBG00YN63B99 | 2139250 | 215000 | SH |  | DFND |  | 215000 | 0 | 0 |
| PROTERRA INC | COM | 74374T109 | BBG00Y038YW0 | 39866562 | 10574685 | SH |  | DFND |  | 10574685 | 0 | 0 |
| PYROPHYTE ACQUISITION CORP | UNIT 99/99/9999 | G7308P119 | BBG012TW11Q0 | 1011000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| REDWOODS ACQUISITION CORP | UNIT 03/15/2027 | 758083208 | BBG015Z1KS39 | 1011000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| RENTOKIL INITIAL PLC | SPONSORED ADR | 760125104 | BBG001S80721 | 5183259 | 168233 | SH |  | DFND |  | 168233 | 0 | 0 |
| ROSS ACQUISITION CORP II | SHS CL A | G7641C106 | BBG00Z4J23T6 | 2024000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| RUBICON TECHNOLOGIES INC | CL A COM | 78112J109 | BBG011Y6M1V4 | 784142 | 440529 | SH |  | DFND |  | 440529 | 0 | 0 |
| SCION TECH GROWTH II | CL A SHS | G31070108 | BBG00Z0WL800 | 3207352 | 316932 | SH |  | DFND |  | 316932 | 0 | 0 |
| SHOULDERUP TECHNOLOGY ACQUIS | UNIT 99/99/9999 | 82537G203 | BBG0136KDK48 | 2527500 | 250000 | SH |  | DFND |  | 250000 | 0 | 0 |
| SIRIUS XM HOLDINGS INC | COM | 82968B103 | BBG001S70ZY6 | 805000 | 400000 | SH | Put | DFND |  | 400000 | 0 | 0 |
| SIRIUSPOINT LTD | COM | G8192H106 | BBG004V14D01 | 398917 | 67613 | SH |  | DFND |  | 67613 | 0 | 0 |
| SLAM CORP | UNIT 99/99/9999 | G8210L113 | BBG00Z5LC3F4 | 3030000 | 300000 | SH |  | DFND |  | 300000 | 0 | 0 |
| SNDL INC | COM | 83307B101 | BBG00PNJJW51 | 21548 | 10310 | SH |  | DFND |  | 10310 | 0 | 0 |
| SOCIAL CAP SUVRETTA HLDS CP | CLASS A ORD SHS | G8253Y105 | BBG0119BQFF4 | 502500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| SOCIAL CAP SUVRETTA HLDS CRP | CLASS A ORD SHS | G8253U103 | BBG0119BQ147 | 1006000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| SOMALOGIC INC | CLASS A COM | 83444K105 | BBG00Z4HKXY8 | 620537 | 247226 | SH |  | DFND |  | 247226 | 0 | 0 |
| SPDR S 500 ETF TR | TR UNIT | 78462F103 | BBG001S72SM3 | 1410535 | 186500 | SH | Put | DFND |  | 186500 | 0 | 0 |
| SPDR SER TR | S BIOTECH | 78464A870 | BBG001SQDKG3 | 277570 | 67700 | SH | Put | DFND |  | 67700 | 0 | 0 |
| SPORTSMAP TECH ACQUISITIN CO | UNIT 09/01/2027 | 84921J207 | BBG012S3G0V5 | 1019000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| SPRINGWATER SPL SITUATIONS C | UNIT 12/01/2027 | 85205U206 | BBG00ZLJF2T5 | 1015000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| STEEL CONNECT INC | COM | 858098106 | BBG001S5PXV1 | 276679 | 193482 | SH |  | DFND |  | 193482 | 0 | 0 |
| STONEBRIDGE ACQUISITION CORP | UNIT 04/11/2026 | G85094111 | BBG00ZGYP3M2 | 1001000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| SUMITOMO MITSUI FINL GROUP I | SPONSORED ADR | 86562M209 | BBG001SLH608 | 53283878 | 6643875 | SH |  | DFND |  | 6643875 | 0 | 0 |
| SUMMIT HEALTHCRE ACQUISTN CO | UNIT 06/03/2026 | G8566R128 | BBG010R8LYQ5 | 2024000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| SUPERNOVA PARTN ACQ CO III L | UNIT 99/99/9999 | G8T90F110 | BBG00ZCFTQR7 | 3024000 | 300000 | SH |  | DFND |  | 300000 | 0 | 0 |
| SUSTAINABLE DEVELP ACQU I CO | COM CL A | 86934L103 | BBG00YZ2XCB7 | 3521000 | 350000 | SH |  | DFND |  | 350000 | 0 | 0 |
| SVF INVESTMENT CORP | CL A SHS | G8601L102 | BBG00YNK2P34 | 5055000 | 500000 | SH |  | DFND |  | 500000 | 0 | 0 |
| SVF INVESTMENT CORP 2 | CL A SHS | G8601M100 | BBG00Z72FCM3 | 504500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| TABOOLA.COM LTD | *W EXP 06/29/202 | M8744T114 |  | 342054 | 697500 | SH |  | DFND | 1 | 697500 | 0 | 0 |
| TECH AND ENERGY TRANSITION | CLASS A COM | 87823R102 | BBG00ZH9R9F9 | 2006000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| TORTOISEECOFIN ACQUISITION C | UNIT 99/99/9999 | G8956E208 | BBG0112Z5VV8 | 1504500 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| TWELVE SEAS INVESTMENT CO II | COM CL A | 90118T106 | BBG00Z4HNKH2 | 6030000 | 600000 | SH |  | DFND |  | 600000 | 0 | 0 |
| TWELVE SEAS INVESTMENT CO II | UNIT 99/99/9999 | 90118T205 | BBG00Z3V7JP4 | 502500 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| TWIN RIDGE CAPITAL ACQUIS CO | UNIT 99/99/9999 | G9151L112 | BBG00Z0Z9V33 | 3524500 | 350000 | SH |  | DFND |  | 350000 | 0 | 0 |
| TZP STRATEGIES ACQUISTN CORP | UNIT 01/06/2026 | G91595127 | BBG00YPTSL52 | 1013000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| UWM HOLDINGS CORPORATION | *W EXP 01/21/202 | 91823B117 |  | 1506 | 12044 | SH |  | DFND |  | 12044 | 0 | 0 |
| VALOR LATITUDE ACQUISITN COR | UNIT 04/02/2026 | G9460N114 | BBG00ZMJVCW0 | 1007000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| VALUENCE MERGER CORP I | UNIT 02/18/2027 | G9R16L126 | BBG014MYSZ85 | 2158000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |
| VECTOR ACQUISITION CORP II | CL A SHS | G9460A104 | BBG00Z9FL185 | 1171600 | 116000 | SH |  | DFND |  | 116000 | 0 | 0 |
| VPC IMPACT ACQUISITION HLDG | CLASS A ORD | G9460L126 | BBG00Z1H94V1 | 1010000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| WARBURG PINCUS CAPTAL CORP I | SHS CL A | G9460M108 | BBG00ZCMWX39 | 1513500 | 150000 | SH |  | DFND |  | 150000 | 0 | 0 |
| WARBURG PINCUS CAPTAL CORP I | SHS CL A | G9461D107 | BBG00ZCVH7V2 | 1010000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| WARBURG PINCUS CAPTAL CORP I | UNIT 99/99/9999 | G9461D123 | BBG00Z9FL247 | 504000 | 50000 | SH |  | DFND |  | 50000 | 0 | 0 |
| WORLD QUANTUM GROWTH ACQUISI | SHS CL A | G5596W101 | BBG0110XBR10 | 3057000 | 300000 | SH |  | DFND |  | 300000 | 0 | 0 |
| WORLDWIDE WEBB ACQUISITION C | UNIT 10/20/2026 | G97775129 | BBG012QBQ299 | 995000 | 100000 | SH |  | DFND |  | 100000 | 0 | 0 |
| YAMANA GOLD INC | COM | 98462Y100 | BBG001S7X4Y9 | 194250 | 35000 | SH |  | DFND |  | 35000 | 0 | 0 |
| ZIMMER ENERGY TRANSITION ACQ | COM CL A | 989570106 | BBG0112J4YN8 | 1990000 | 200000 | SH |  | DFND |  | 200000 | 0 | 0 |

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