SEC FORM 3 SEC Form 3
FORM 3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
 
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1. Name and Address of Reporting Person*
LABRANCHE GEORGE M L IV

(Last) (First) (Middle)
COWEN GROUP, INC.
599 LEXINGTON AVENUE

(Street)
NEW YORK NY 10022

(City) (State) (Zip)
2. Date of Event Requiring Statement (Month/Day/Year)
06/28/2011
3. Issuer Name and Ticker or Trading Symbol
COWEN GROUP, INC. [ COWN ]
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director 10% Owner
X Officer (give title below) Other (specify below)
Senior Managing Director
5. If Amendment, Date of Original Filed (Month/Day/Year)
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4) 2. Amount of Securities Beneficially Owned (Instr. 4) 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 4. Nature of Indirect Beneficial Ownership (Instr. 5)
Class A Common Stock 1,697,691(1) D
Class A Common Stock 1,297,400(2) I Held by wife
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4) 2. Date Exercisable and Expiration Date (Month/Day/Year) 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) 4. Conversion or Exercise Price of Derivative Security 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) 6. Nature of Indirect Beneficial Ownership (Instr. 5)
Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Received in exchange for 1,701,094 shares of LaBranche & Co Inc. ("LaBranche") common stock upon consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of February 16, 2011, by and among the Issuer, Louisiana Merger Sub, Inc., a wholly owned subsidiary of the Issuer, and LaBranche.
2. Received in exchange for 1,300,000 shares of LaBranche & Co Inc. ("LaBranche") common stock upon consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of February 16, 2011, by and among the Issuer, Louisiana Merger Sub, Inc., a wholly owned subsidiary of the Issuer, and LaBranche.
Remarks:
The Reporting Person was appointed as an officer and director of the Issuer on June 28, 2011, effective immediately following the consummation of the transactions contemplated by the Agreement and Plan of Merger, dated as of February 16, 2011, by and among the Issuer, Louisiana Merger Sub, Inc., a wholly owned subsidiary of the Issuer, and LaBranche & Co Inc.
/s/ George M.L. LaBranche IV 07/07/2011
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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