SEC FORM 13F-HR/A

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: 09-30-2016
Check here if Amendment X Amendment Number: 1
This Amendment (Check only one.): X is a restatement.
   adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: COWEN GROUP, 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 12-12-2016
[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: 2
Form 13F Information Table Entry Total: 230
Form 13F Information Table Value Total: 1,687,937
(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
1 028-10674 RAMIUS ADVISORS LLC
2 028-04125 COWEN & COMPANY, 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
3M CO COM 88579Y101 369 2,096 SH   DFND 1 2,096 0 0
AARONS INC COM PAR $0.50 002535300 1,155 45,440 SH   DFND 1 45,440 0 0
ABBOTT LABS COM 002824100 2,778 65,700 SH Call DFND 1 65,700 0 0
ACTIVISION BLIZZARD INC COM 00507V109 3,227 72,846 SH   DFND 1 72,846 0 0
AGENUS INC COM NEW 00847G705 359 50,000 SH   DFND 2 50,000 0 0
AGENUS INC COM NEW 00847G705 574 79,900 SH Put DFND 2 79,900 0 0
ALEXION PHARMACEUTICALS INC COM 015351109 735 6,000 SH   DFND 1 6,000 0 0
ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 22,766 215,200 SH Call DFND 1 215,200 0 0
ALLERGAN PLC SHS G0177J108 4,543 19,726 SH   DFND 1 19,726 0 0
ALLIANCE DATA SYSTEMS CORP COM 018581108 536 2,500 SH   DFND 1 2,500 0 0
ALNYLAM PHARMACEUTICALS INC COM 02043Q107 271 4,000 SH   DFND 2 4,000 0 0
ALNYLAM PHARMACEUTICALS INC COM 02043Q107 915 13,500 SH Call DFND 2 13,500 0 0
ALNYLAM PHARMACEUTICALS INC COM 02043Q107 678 10,000 SH Put DFND 2 10,000 0 0
ALPHABET INC CAP STK CL A 02079K305 486 605 SH   DFND 1 605 0 0
ALPHABET INC CAP STK CL C 02079K107 1,642 2,113 SH   DFND 1 2,113 0 0
AMAZON COM INC COM 023135106 11,898 14,210 SH   DFND 1 14,210 0 0
AMERICAN CAP LTD COM 02503Y103 67,980 4,020,130 SH   DFND 1 4,020,130 0 0
AMERICAN INTL GROUP INC COM NEW 026874784 806 13,579 SH   DFND 1 13,579 0 0
AMGEN INC COM 031162100 590 3,539 SH   DFND 1 3,539 0 0
AMGEN INC COM 031162100 83 500 SH Call DFND 2 500 0 0
APOLLO ED GROUP INC CL A 037604105 4,748 597,300 SH Put DFND 1 597,300 0 0
APPLE INC COM 037833100 1,131 10,000 SH   DFND 1 10,000 0 0
APPLE INC COM 037833100 1,244 11,000 SH Call DFND 1 11,000 0 0
BARCLAYS BK PLC IPATH S&P500 VIX 06740Q252 256 7,500 SH Put DFND 2 7,500 0 0
BARINGTON HILCO ACQUISITION COM 06759V101 378 37,500 SH   DFND 2 37,500 0 0
BATS GLOBAL MKTS INC COM 05491G109 1,585 52,592 SH   DFND 1 52,592 0 0
BCE INC COM NEW 05534B760 5,186 112,302 SH   DFND 1 112,302 0 0
BELMOND LTD CL A G1154H107 4,033 317,300 SH   DFND 1 317,300 0 0
BELMOND LTD CL A G1154H107 568 44,700 SH Call DFND 1 44,700 0 0
BLACKROCK CORPOR HI YLD FD I COM 09255P107 820 75,783 SH   DFND 1 75,783 0 0
BOULEVARD ACQUISITION UNIT 99/99/9999 10157Q201 1,168 114,438 SH   DFND 2 114,438 0 0
BOYD GAMING CORP COM 103304101 1,553 78,496 SH   DFND 1 78,496 0 0
BRISTOL MYERS SQUIBB CO COM 110122108 2,426 45,000 SH Call DFND 2 45,000 0 0
BROADSOFT INC COM 11133B409 815 17,500 SH   DFND 1 17,500 0 0
BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 937 13,090 SH   DFND 1 13,090 0 0
CADENCE DESIGN SYSTEM INC COM 127387108 753 29,500 SH   DFND 1 29,500 0 0
CAPITAL ONE FINL CORP COM 14040H105 359 5,000 SH   DFND 1 5,000 0 0
CAPITOL ACQUISITION CORP III COM 14055M106 203 20,586 SH   DFND 2 20,586 0 0
CBOE HLDGS INC COM 12503M108 28,378 437,600 SH Call DFND 1 437,600 0 0
CF CORP SHS CL A G20307107 560 57,167 SH   DFND 2 57,167 0 0
CIGNA CORPORATION COM 125509109 4,781 36,686 SH   DFND 1 36,686 0 0
CITRIX SYS INC COM 177376100 1,237 14,521 SH   DFND 1 14,521 0 0
COMCAST CORP NEW CL A 20030N101 998 15,037 SH   DFND 1 15,037 0 0
CONAGRA FOODS INC COM 205887102 1,503 31,899 SH   DFND 1 31,899 0 0
CORNING INC COM 219350105 4,010 169,559 SH   DFND 1 169,559 0 0
COSTCO WHSL CORP NEW COM 22160K105 390 2,556 SH   DFND 1 2,556 0 0
COTY INC COM CL A 222070203 635 27,000 SH Call DFND 2 27,000 0 0
COVENANT TRANSN GROUP INC CL A 22284P105 290 15,000 SH   DFND 1 15,000 0 0
CYNAPSUS THERAPEUTICS INC COM PAR NO PAR 23257Y859 5,827 144,833 SH   DFND 1 144,833 0 0
DANAHER CORP DEL COM 235851102 200 2,556 SH   DFND 1 2,556 0 0
DELL TECHNOLOGIES INC COM CL V 24703L103 1,228 25,682 SH   DFND 1 25,682 0 0
DISNEY WALT CO COM DISNEY 254687106 4,610 49,640 SH   DFND 1 49,640 0 0
DOLLAR GEN CORP NEW COM 256677105 1,773 25,338 SH   DFND 1 25,338 0 0
DOLLAR TREE INC COM 256746108 1,843 23,345 SH   DFND 1 23,345 0 0
DOUBLE EAGLE ACQUISITION COR COM G28195124 981 100,000 SH   DFND 2 100,000 0 0
DOW CHEM CO COM 260543103 2,086 40,252 SH   DFND 1 40,252 0 0
DU PONT E I DE NEMOURS & CO COM 263534109 5,458 81,500 SH Put DFND 1 81,500 0 0
DYNAVAX TECHNOLOGIES CORP COM NEW 268158201 73 7,000 SH Call DFND 2 7,000 0 0
DYNAVAX TECHNOLOGIES CORP COM NEW 268158201 105 10,000 SH   DFND 1 10,000 0 0
ELECTRONIC ARTS INC COM 285512109 6,871 80,456 SH   DFND 1 80,456 0 0
ELECTRUM SPL ACQUISITION COR *W EXP 99/99/999 G3105C112 3 13,500 SH   DFND 2 13,500 0 0
ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 814 21,988 SH   DFND 1 21,988 0 0
ENTERPRISE PRODS PARTNERS L COM 293792107 778 28,160 SH   DFND 1 28,160 0 0
ENVISION HEALTHCARE HLDGS IN COM 29413U103 24,811 1,114,090 SH   DFND 1 1,114,090 0 0
FACEBOOK INC CL A 30303M102 2,031 15,833 SH   DFND 1 15,833 0 0
GAMING & LEISURE PPTYS INC COM 36467J108 5,043 150,765 SH   DFND 1 150,765 0 0
GENERAL DYNAMICS CORP COM 369550108 586 3,778 SH   DFND 1 3,778 0 0
GENESIS ENERGY L P UNIT LTD PARTN 371927104 570 15,000 SH Call DFND 2 15,000 0 0
GILEAD SCIENCES INC COM 375558103 791 10,000 SH   DFND 1 10,000 0 0
GILEAD SCIENCES INC COM 375558103 5,934 75,000 SH Call DFND 1 75,000 0 0
GLOBALSTAR INC COM 378973408 30 25,000 SH   DFND 2 25,000 0 0
GOODYEAR TIRE & RUBR CO COM 382550101 388 12,014 SH   DFND 1 12,014 0 0
GORES HLDGS INC *W EXP 08/13/202 382866119 531 442,530 SH   DFND 2 442,530 0 0
GORES HLDGS INC UNIT 99/99/9999 382866200 367 29,858 SH   DFND 2 29,858 0 0
GP INVTS ACQUISITION COR *W EXP 05/19/202 G40357108 105 165,255 SH   DFND 2 165,255 0 0
HAIN CELESTIAL GROUP INC COM 405217100 267 7,500 SH   DFND 1 7,500 0 0
HCA HOLDINGS INC COM 40412C101 393 40,000 SH Call DFND 2 40,000 0 0
HENNESSY CAP ACQUISITION COR COM 42588J100 2,896 294,573 SH   DFND 2 294,573 0 0
HOLLYFRONTIER CORP COM 436106108 858 35,000 SH   DFND 2 35,000 0 0
HOLLYFRONTIER CORP COM 436106108 1,497 61,100 SH Put DFND 2 61,100 0 0
HUMANA INC COM 444859102 3,133 17,712 SH   DFND 1 17,712 0 0
HUNTINGTON INGALLS INDS INC COM 446413106 392 2,556 SH   DFND 1 2,556 0 0
HYDRA INDS ACQUISITION CORP COM 448740100 801 80,454 SH   DFND 2 80,454 0 0
IAC INTERACTIVECORP COM 44919P508 1,812 29,000 SH   DFND 1 29,000 0 0
IMPERVA INC COM 45321L100 18,283 340,400 SH Call DFND 1 340,400 0 0
IMPERVA INC COM 45321L100 15,667 291,700 SH Put DFND 1 291,700 0 0
IMPERVA INC COM 45321L100 21,905 407,839 SH   DFND 1 407,839 0 0
INFINERA CORPORATION COM 45667G103 1,014 112,300 SH   DFND 1 112,300 0 0
INFOBLOX INC COM 45672H104 1,074 40,734 SH   DFND 1 40,734 0 0
INGRAM MICRO INC CL A 457153104 24,855 696,996 SH   DFND 1 696,996 0 0
INTEL CORP COM 458140100 998 26,427 SH   DFND 1 26,427 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 715 4,500 SH   DFND 1 4,500 0 0
INTERSIL CORP CL A 46069S109 15,027 685,222 SH   DFND 1 685,222 0 0
INTERSIL CORP CL A 46069S109 7,470 340,600 SH Call DFND 1 340,600 0 0
ISHARES MSCI CDA ETF 464286509 4,832 188,100 SH Call DFND 1 188,100 0 0
ISHARES MSCI JAPAN ETF 464286848 14,008 1,117,100 SH Call DFND 1 1,117,100 0 0
ISHARES MSCI MEX CAP ETF 464286822 2,153 44,400 SH Call DFND 1 44,400 0 0
ISHARES MSCI MEX CAP ETF 464286822 1,454 30,000 SH Put DFND 1 30,000 0 0
ISHARES MSCI TURKEY ETF 464286715 2,378 62,800 SH Put DFND 1 62,800 0 0
ISHARES TR CHINA LG-CAP ETF 464287184 2,102 55,300 SH Call DFND 1 55,300 0 0
ISHARES TR RUSSELL 2000 ETF 464287655 140,219 1,128,900 SH Put DFND 1 1,128,900 0 0
JOHNSON CTLS INTL PLC SHS G51502105 681 14,646 SH   DFND 1 14,646 0 0
JONES ENERGY INC COM CL A 48019R108 94 26,521 SH   DFND 2 26,521 0 0
JOY GLOBAL INC COM 481165108 6,117 220,524 SH   DFND 1 220,524 0 0
KATE SPADE & CO COM 485865109 2,623 153,127 SH   DFND 1 153,127 0 0
KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 33 2,213,538 SH   DFND 2 2,213,538 0 0
KITE PHARMA INC COM 49803L109 1,676 30,000 SH Put DFND 2 30,000 0 0
KLR ENERGY ACQUISITION CORP *W EXP 09/16/202 49877M116 10 22,825 SH   DFND 2 22,825 0 0
L BRANDS INC COM 501797104 1,005 14,197 SH   DFND 1 14,197 0 0
L-3 COMMUNICATIONS HLDGS INC COM 502424104 200 1,329 SH   DFND 1 1,329 0 0
LEXMARK INTL INC CL A 529771107 9,123 228,291 SH   DFND 1 228,291 0 0
LEXMARK INTL INC CL A 529771107 16,735 418,800 SH Put DFND 1 418,800 0 0
LIBERTY BROADBAND CORP COM SER C 530307305 2,099 29,359 SH   DFND 1 29,359 0 0
LIBERTY INTERACTIVE CORP QVC GP COM SER A 53071M104 583 29,154 SH   DFND 1 29,154 0 0
LIBERTY MEDIA CORP DELAWARE COM A SIRIUSXM 531229409 2,284 67,221 SH   DFND 1 67,221 0 0
LIMELIGHT NETWORKS INC COM 53261M104 234 125,000 SH   DFND 1 125,000 0 0
LINDBLAD EXPEDITIONS HLDGS I *W EXP 07/08/202 535219117 196 100,986 SH   DFND 2 100,986 0 0
LINEAR TECHNOLOGY CORP COM 535678106 76,695 1,293,565 SH   DFND 1 1,293,565 0 0
LINKEDIN CORP COM CL A 53578A108 227,478 1,190,235 SH   DFND 1 1,190,235 0 0
LINKEDIN CORP COM CL A 53578A108 860 4,500 SH Call DFND 1 4,500 0 0
LIONS GATE ENTMNT CORP COM NEW 535919203 7,096 355,000 SH Call DFND 1 355,000 0 0
LIVE NATION ENTERTAINMENT IN COM 538034109 603 21,952 SH   DFND 1 21,952 0 0
LOCKHEED MARTIN CORP COM 539830109 576 2,403 SH   DFND 1 2,403 0 0
LSC COMMUNICATIONS INC COM 50218P107 594 15,877 SH   DFND 2 15,877 0 0
LULULEMON ATHLETICA INC COM 550021109 788 12,929 SH   DFND 1 12,929 0 0
M III ACQUISITION CORP UNIT 99/99/9999T 55378T203 1,137 116,050 SH   DFND 2 116,050 0 0
MADISON SQUARE GARDEN CO NEW CL A 55825T103 1,025 6,051 SH   DFND 1 6,051 0 0
MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 607 8,584 SH   DFND 1 8,584 0 0
MARRIOTT INTL INC NEW CL A 571903202 1,784 26,500 SH Call DFND 2 26,500 0 0
MCKESSON CORP COM 58155Q103 667 4,000 SH   DFND 2 4,000 0 0
MCKESSON CORP COM 58155Q103 1,668 10,000 SH Put DFND 2 10,000 0 0
MEDIA GEN INC NEW COM 58441K100 16,454 892,782 SH   DFND 1 892,782 0 0
MERCK & CO INC COM 58933Y105 1,123 18,000 SH   DFND 2 18,000 0 0
MERCK & CO INC COM 58933Y105 1,248 20,000 SH Put DFND 2 20,000 0 0
METLIFE INC COM 59156R108 2,444 55,000 SH Call DFND 2 55,000 0 0
MGM RESORTS INTERNATIONAL COM 552953101 2,884 110,781 SH   DFND 1 110,781 0 0
MICHAEL KORS HLDGS LTD SHS G60754101 1,489 31,833 SH   DFND 1 31,833 0 0
MICRON TECHNOLOGY INC COM 595112103 2,955 166,202 SH   DFND 1 166,202 0 0
MOLSON COORS BREWING CO CL B 60871R209 7,254 66,064 SH   DFND 1 66,064 0 0
MOLSON COORS BREWING CO CL B 60871R209 4,150 37,800 SH Call DFND 1 37,800 0 0
MONDELEZ INTL INC CL A 609207105 4,558 103,836 SH   DFND 1 103,836 0 0
MONRO MUFFLER BRAKE INC COM 610236101 889 14,536 SH   DFND 1 14,536 0 0
MONSANTO CO NEW COM 61166W101 11,716 114,636 SH   DFND 1 114,636 0 0
MONSANTO CO NEW COM 61166W101 20,583 201,400 SH Call DFND 1 201,400 0 0
MOTOROLA SOLUTIONS INC COM NEW 620076307 1,793 23,506 SH   DFND 1 23,506 0 0
NETFLIX INC COM 64110L106 848 8,600 SH Put DFND 1 8,600 0 0
NEW YORK REIT INC COM 64976L109 641 70,000 SH   DFND 1 70,000 0 0
NEXEO SOLUTIONS INC UNIT 06/11/2019 65342H201 989 111,591 SH   DFND 2 111,591 0 0
NEXVET BIOPHARMA PUB LTD CO ORD SHS G6503X109 61 14,642 SH   DFND 1 14,642 0 0
NOBLE CORP PLC SHS USD G65431101 1,072 30,000 SH Call DFND 2 30,000 0 0
NORTHROP GRUMMAN CORP COM 666807102 580 2,709 SH   DFND 1 2,709 0 0
NORTHSTAR ASSET MGMT GROUP I COM 66705Y104 11,494 888,972 SH   DFND 1 888,972 0 0
NORTHSTAR RLTY FIN CORP COM 66704R803 2,555 194,000 SH Put DFND 1 194,000 0 0
NORWEGIAN CRUISE LINE HLDGS SHS G66721104 1,478 39,210 SH   DFND 1 39,210 0 0
NOVAVAX INC COM 670002104 209 100,300 SH   DFND 2 100,300 0 0
NOVAVAX INC COM 670002104 208 100,300 SH Put DFND 2 100,300 0 0
NVIDIA CORP COM 67066G104 783 11,428 SH   DFND 1 11,428 0 0
NXP SEMICONDUCTORS N V COM N6596X109 1,466 14,375 SH   DFND 1 14,375 0 0
NXSTAGE MEDICAL INC COM 67072V103 500 20,000 SH Call DFND 2 20,000 0 0
OCULAR THERAPEUTIX INC COM 67576A100 470 68,400 SH   DFND 1 68,400 0 0
ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 270 6,750 SH   DFND 1 6,750 0 0
ORGANOVO HLDGS INC COM 68620A104 95 25,000 SH   DFND 1 25,000 0 0
PAYPAL HLDGS INC COM 70450Y103 1,063 25,941 SH   DFND 1 25,941 0 0
PBF ENERGY INC CL A 69318G106 226 10,000 SH Call DFND 2 10,000 0 0
PENN NATL GAMING INC COM 707569109 1,696 124,998 SH   DFND 1 124,998 0 0
PENN NATL GAMING INC COM 707569109 1,115 82,200 SH Call DFND 1 82,200 0 0
PFIZER INC COM 717081103 728 21,500 SH   DFND 2 21,500 0 0
PFIZER INC COM 717081103 1,355 40,000 SH Call DFND 2 40,000 0 0
PFIZER INC COM 717081103 1,355 40,000 SH Put DFND 2 40,000 0 0
PINNACLE ENTMT INC NEW COM 72348Y105 965 78,176 SH   DFND 1 78,176 0 0
POST HLDGS INC COM 737446104 1,652 21,403 SH   DFND 1 21,403 0 0
POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 14,476 623,700 SH Put DFND 1 623,700 0 0
PRICELINE GRP INC COM NEW 741503403 1,374 934 SH   DFND 1 934 0 0
PROSHARES TR PSHS ULSHT SP500 74347B300 2,356 143,775 SH   DFND 1 143,775 0 0
PROSPECT CAPITAL CORPORATION COM 74348T102 808 99,700 SH Put DFND 1 99,700 0 0
PRUDENTIAL SHT DURATION HG Y COM 74442F107 688 43,000 SH   DFND 1 43,000 0 0
PVH CORP COM 693656100 2,567 23,231 SH   DFND 1 23,231 0 0
RACKSPACE HOSTING INC COM 750086100 13,859 437,322 SH   DFND 1 437,322 0 0
RAYTHEON CO COM NEW 755111507 986 7,243 SH   DFND 1 7,243 0 0
RESTORATION HARDWARE HLDGS I COM 761283100 1,018 29,428 SH   DFND 1 29,428 0 0
RITE AID CORP COM 767754104 5,005 650,886 SH   DFND 1 650,886 0 0
RITE AID CORP COM 767754104 17 2,200 SH Put DFND 2 2,200 0 0
SABAN CAP ACQUISITION CORP UNIT 99/99/9999 78516C205 240 23,832 SH   DFND 2 23,832 0 0
SCHWAB CHARLES CORP NEW COM 808513105 537 17,000 SH   DFND 1 17,000 0 0
SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 10,993 206,600 SH Put DFND 1 206,600 0 0
SHIRE PLC SPONSORED ADR 82481R106 969 5,000 SH   DFND 1 5,000 0 0
SHUTTERFLY INC COM 82568P304 345 7,726 SH   DFND 1 7,726 0 0
SILVER RUN ACQUISITION CORP UNIT 99/99/9999T 82811P200 6,859 389,487 SH   DFND 2 389,487 0 0
SPDR GOLD TRUST GOLD SHS 78463V107 3,690 29,368 SH   DFND 1 29,368 0 0
SPDR GOLD TRUST GOLD SHS 78463V107 7,639 60,800 SH Put DFND 1 60,800 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 756 3,494 SH   DFND 1 3,494 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 64,997 300,500 SH Put DFND 1 300,500 0 0
SPDR SER TR SHT TRM HGH YLD 78468R408 2,376 85,800 SH   DFND 1 85,800 0 0
SPDR SERIES TRUST S&P METALS MNG 78464A755 4,331 163,300 SH Put DFND 1 163,300 0 0
SPECTRA ENERGY CORP COM 847560109 5,269 123,253 SH   DFND 1 123,253 0 0
ST JUDE MED INC COM 790849103 186,011 2,332,132 SH   DFND 1 2,332,132 0 0
STARZ COM SER A 85571Q102 13,221 423,900 SH   DFND 1 423,900 0 0
STERLING BANCORP DEL COM 85917A100 909 51,960 SH   DFND 1 51,960 0 0
SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 296 8,886 SH   DFND 1 8,886 0 0
SUNEDISON SEMICONDUCTOR LTD SHS Y8213L102 4,328 379,947 SH   DFND 1 379,947 0 0
SYNGENTA AG SPONSORED ADR 87160A100 118,318 1,350,661 SH   DFND 1 1,350,661 0 0
TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 1,511 33,524 SH   DFND 1 33,524 0 0
TECK RESOURCES LTD CL B 878742204 1,262 70,000 SH Put DFND 1 70,000 0 0
TERRAPIN 3 ACQUISITION CORP *W EXP 06/27/201 88104P112 23 128,122 SH   DFND 2 128,122 0 0
TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1,480 32,165 SH   DFND 1 32,165 0 0
TEVA PHARMACEUTICAL INDS LTD ADR 881624209 184 4,000 SH   DFND 2 4,000 0 0
TEVA PHARMACEUTICAL INDS LTD ADR 881624209 5,016 109,000 SH Call DFND 1 109,000 0 0
TEVA PHARMACEUTICAL INDS LTD ADR 881624209 230 5,000 SH Put DFND 2 5,000 0 0
TIME WARNER INC COM NEW 887317303 6,515 81,842 SH   DFND 1 81,842 0 0
TREEHOUSE FOODS INC COM 89469A104 4,594 52,685 SH   DFND 1 52,685 0 0
TRONC INC COM 89703P107 169 10,000 SH   DFND 2 10,000 0 0
TWITTER INC COM 90184L102 2,242 97,258 SH   DFND 1 97,258 0 0
U S SILICA HLDGS INC COM 90346E103 1,304 28,000 SH Call DFND 2 28,000 0 0
UNDER ARMOUR INC CL C 904311206 1,667 49,245 SH   DFND 1 49,245 0 0
VALSPAR CORP COM 920355104 8,136 76,700 SH Put DFND 1 76,700 0 0
VECTOR GROUP LTD COM 92240M108 1,259 58,471 SH   DFND 1 58,471 0 0
VERSARTIS INC COM 92529L102 2,522 205,892 SH   DFND 2 205,892 0 0
VIACOM INC NEW CL B 92553P201 843 22,123 SH   DFND 1 22,123 0 0
VMWARE INC CL A COM 928563402 3,458 47,148 SH   DFND 1 47,148 0 0
VONAGE HLDGS CORP COM 92886T201 1,785 270,000 SH   DFND 1 270,000 0 0
VORNADO RLTY TR SH BEN INT 929042109 759 7,500 SH   DFND 1 7,500 0 0
WHITEWAVE FOODS CO COM 966244105 15,877 291,700 SH Call DFND 1 291,700 0 0
WHITEWAVE FOODS CO COM 966244105 8,116 149,100 SH Put DFND 1 149,100 0 0
WILLIS TOWERS WATSON PUB LTD SHS G96629103 1,845 13,895 SH   DFND 1 13,895 0 0
WISDOMTREE TR EUROPE HEDGED EQ 97717X701 13,102 243,800 SH Call DFND 1 243,800 0 0
WORLD WRESTLING ENTMT INC CL A 98156Q108 2,025 95,058 SH   DFND 1 95,058 0 0
XILINX INC COM 983919101 3,496 64,337 SH   DFND 1 64,337 0 0
YAHOO INC COM 984332106 86,169 1,999,280 SH   DFND 1 1,999,280 0 0
ZAYO GROUP HLDGS INC COM 98919V105 2,998 100,896 SH   DFND 1 100,896 0 0
ZYNGA INC CL A 98986T108 2,051 704,742 SH   DFND 1 704,742 0 0