SEC FORM 13F-HR
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. |
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F
FORM 13F COVER PAGE
|
OMB APPROVAL |
OMB Number: |
3235-0006 |
Expires: |
July 31, 2015 |
Estimated average burden |
hours per response: |
23.8 |
|
|
Report for the Calendar Year or Quarter Ended: |
03-31-2014 |
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 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 York,
NY
|
05-14-2014 |
[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: |
3 |
|
|
|
Form 13F Information Table Entry Total: |
208 |
|
Form 13F Information Table Value Total: |
811,142 |
|
(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 |
028-14361 |
Ramius Alternative Solutions LLC |
|
3 |
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 |
1 800 FLOWERS COM |
CL A |
68243Q106 |
226 |
40,100 |
SH |
|
DFND |
3 |
40,100 |
0 |
0 |
ACACIA RESH CORP |
ACACIA TCH COM |
003881307 |
270 |
17,660 |
SH |
|
DFND |
1 |
17,660 |
0 |
0 |
ACI WORLDWIDE INC |
COM |
004498101 |
3,469 |
58,602 |
SH |
|
DFND |
2 |
58,602 |
0 |
0 |
ADOBE SYS INC |
COM |
00724F101 |
3,368 |
51,232 |
SH |
|
DFND |
2 |
51,232 |
0 |
0 |
AIR PRODS & CHEMS INC |
COM |
009158106 |
3,469 |
29,145 |
SH |
|
DFND |
2 |
29,145 |
0 |
0 |
AKAMAI TECHNOLOGIES INC |
COM |
00971T101 |
3,235 |
55,578 |
SH |
|
DFND |
2 |
55,578 |
0 |
0 |
ALLERGAN INC |
COM |
018490102 |
226 |
1,825 |
SH |
|
DFND |
1 |
1,825 |
0 |
0 |
AMCOL INTL CORP |
COM |
02341W103 |
966 |
21,100 |
SH |
|
DFND |
3 |
21,100 |
0 |
0 |
AMERICAN RAILCAR INDS INC |
COM |
02916P103 |
795 |
11,350 |
SH |
|
DFND |
1 |
11,350 |
0 |
0 |
AMGEN INC |
COM |
031162100 |
411 |
3,330 |
SH |
|
DFND |
1 |
3,330 |
0 |
0 |
ANTARES PHARMA INC |
COM |
036642106 |
53 |
15,000 |
SH |
|
DFND |
1 |
15,000 |
0 |
0 |
APPLE INC |
COM |
037833100 |
751 |
1,400 |
SH |
|
DFND |
1 |
1,400 |
0 |
0 |
APPLIED MATLS INC |
COM |
038222105 |
3,885 |
190,300 |
SH |
|
DFND |
1 |
190,300 |
0 |
0 |
APPLIED MATLS INC |
COM |
038222105 |
51 |
2,500 |
SH |
|
DFND |
3 |
2,500 |
0 |
0 |
ARROWHEAD RESH CORP |
COM NEW |
042797209 |
164 |
10,000 |
SH |
|
DFND |
1 |
10,000 |
0 |
0 |
ASHLAND INC NEW |
COM |
044209104 |
1,215 |
12,213 |
SH |
|
DFND |
1 |
12,213 |
0 |
0 |
AUTOZONE INC |
COM |
053332102 |
1,719 |
3,200 |
SH |
|
DFND |
3 |
3,200 |
0 |
0 |
BAKER HUGHES INC |
COM |
057224107 |
3,632 |
55,859 |
SH |
|
DFND |
2 |
55,859 |
0 |
0 |
BEAM INC |
COM |
073730103 |
20,163 |
242,058 |
SH |
|
DFND |
1 |
242,058 |
0 |
0 |
BEAM INC |
COM |
073730103 |
1,001 |
12,022 |
SH |
|
DFND |
3 |
12,022 |
0 |
0 |
BLUEBIRD BIO INC |
COM |
09609G100 |
2,370 |
104,226 |
SH |
|
DFND |
1 |
104,226 |
0 |
0 |
BOARDWALK PIPELINE PARTNERS |
UT LTD PARTNER |
096627104 |
209 |
15,600 |
SH |
|
DFND |
1 |
15,600 |
0 |
0 |
BOB EVANS FARMS INC |
COM |
096761101 |
2,027 |
40,508 |
SH |
|
DFND |
1 |
40,508 |
0 |
0 |
BROCADE COMMUNICATIONS SYS I |
COM NEW |
111621306 |
3,804 |
358,515 |
SH |
|
DFND |
2 |
358,515 |
0 |
0 |
BUCKEYE PARTNERS L P |
UNIT LTD PARTN |
118230101 |
1,069 |
14,250 |
SH |
|
DFND |
1 |
14,250 |
0 |
0 |
BURGER KING WORLDWIDE INC |
COM |
121220107 |
3,440 |
129,581 |
SH |
|
DFND |
2 |
129,581 |
0 |
0 |
CACI INTL INC |
CL A |
127190304 |
3,295 |
44,651 |
SH |
|
DFND |
2 |
44,651 |
0 |
0 |
CAMERON INTERNATIONAL CORP |
COM |
13342B105 |
3,440 |
55,690 |
SH |
|
DFND |
2 |
55,690 |
0 |
0 |
CANADIAN PAC RY LTD |
COM |
13645T100 |
3,313 |
22,021 |
SH |
|
DFND |
2 |
22,021 |
0 |
0 |
CAPITAL ONE FINL CORP |
COM |
14040H105 |
386 |
5,000 |
SH |
|
DFND |
1 |
5,000 |
0 |
0 |
CAPITALSOURCE INC |
COM |
14055X102 |
187 |
12,784 |
SH |
|
DFND |
3 |
12,784 |
0 |
0 |
CATAMARAN CORP |
COM |
148887102 |
4,006 |
89,500 |
SH |
|
DFND |
3 |
89,500 |
0 |
0 |
CEMPRA INC |
COM |
15130J109 |
267 |
23,100 |
SH |
|
DFND |
1 |
23,100 |
0 |
0 |
CHENIERE ENERGY INC |
COM NEW |
16411R208 |
277 |
5,000 |
SH |
|
DFND |
1 |
5,000 |
0 |
0 |
CHICOS FAS INC |
COM |
168615102 |
3,283 |
204,795 |
SH |
|
DFND |
2 |
204,795 |
0 |
0 |
CHINA MING YANG WIND PWR GRO |
SPONSORED ADR |
16951C108 |
32 |
11,400 |
SH |
|
DFND |
1 |
11,400 |
0 |
0 |
CHIPMOS TECH BERMUDA LTD |
SHS |
G2110R114 |
224 |
10,160 |
SH |
|
DFND |
1 |
10,160 |
0 |
0 |
CIBER INC |
COM |
17163B102 |
80 |
17,400 |
SH |
|
DFND |
3 |
17,400 |
0 |
0 |
CISCO SYS INC |
COM |
17275R102 |
9,424 |
420,400 |
SH |
|
DFND |
3 |
420,400 |
0 |
0 |
CITRIX SYS INC |
COM |
177376100 |
214 |
3,725 |
SH |
|
DFND |
1 |
3,725 |
0 |
0 |
COMCAST CORP NEW |
CL A |
20030N101 |
47,377 |
946,785 |
SH |
|
DFND |
1 |
946,785 |
0 |
0 |
COMMONWEALTH REIT |
COM SH BEN INT |
203233101 |
526 |
20,000 |
SH |
|
DFND |
1 |
20,000 |
0 |
0 |
COMMONWEALTH REIT |
COM SH BEN INT |
203233101 |
3,416 |
129,881 |
SH |
|
DFND |
2 |
129,881 |
0 |
0 |
COMMUNITY HEALTH SYS INC NEW |
COM |
203668108 |
4,203 |
107,300 |
SH |
|
DFND |
1 |
107,300 |
0 |
0 |
COMMUNITY HEALTH SYS INC NEW |
RIGHT 01/27/2016 |
203668116 |
2 |
25,100 |
SH |
|
DFND |
3 |
25,100 |
0 |
0 |
COMPUWARE CORP |
COM |
205638109 |
3,633 |
345,979 |
SH |
|
DFND |
1 |
345,979 |
0 |
0 |
COWEN GROUP INC NEW |
CL A |
223622101 |
19,039 |
4,317,321 |
SH |
|
DFND |
1 |
4,317,321 |
0 |
0 |
CRESTWOOD EQUITY PARTNERS LP |
UNIT LTD PARTNER |
226344109 |
394 |
28,434 |
SH |
|
DFND |
1 |
28,434 |
0 |
0 |
CRESTWOOD MIDSTREAM PARTNERS |
UNIT LTD PARTNER |
226378107 |
848 |
37,624 |
SH |
|
DFND |
1 |
37,624 |
0 |
0 |
CUBIST PHARMACEUTICALS INC |
COM |
229678107 |
558 |
7,625 |
SH |
|
DFND |
1 |
7,625 |
0 |
0 |
DOMINION RES INC VA NEW |
COM |
25746U109 |
532 |
7,500 |
SH |
|
DFND |
1 |
7,500 |
0 |
0 |
DRESSER-RAND GROUP INC |
COM |
261608103 |
1,060 |
18,140 |
SH |
|
DFND |
1 |
18,140 |
0 |
0 |
EBAY INC |
COM |
278642103 |
1,507 |
27,276 |
SH |
|
DFND |
1 |
27,276 |
0 |
0 |
ENERGY TRANSFER EQUITY L P |
COM UT LTD PTN |
29273V100 |
2,027 |
43,350 |
SH |
|
DFND |
1 |
43,350 |
0 |
0 |
ENTEGRIS INC |
COM |
29362U104 |
1,556 |
128,500 |
SH |
|
DFND |
1 |
128,500 |
0 |
0 |
ENTERPRISE PRODS PARTNERS L |
COM |
293792107 |
1,379 |
19,875 |
SH |
|
DFND |
1 |
19,875 |
0 |
0 |
EPL OIL & GAS INC |
COM |
26883D108 |
3,729 |
96,596 |
SH |
|
DFND |
1 |
96,596 |
0 |
0 |
EPL OIL & GAS INC |
COM |
26883D108 |
386 |
10,000 |
SH |
|
DFND |
3 |
10,000 |
0 |
0 |
EQUINIX INC |
COM NEW |
29444U502 |
832 |
4,500 |
SH |
|
DFND |
1 |
4,500 |
0 |
0 |
EXXON MOBIL CORP |
COM |
30231G102 |
290 |
2,971 |
SH |
|
DFND |
1 |
2,971 |
0 |
0 |
FACEBOOK INC |
CL A |
30303M102 |
272 |
4,510 |
SH |
|
DFND |
1 |
4,510 |
0 |
0 |
FACEBOOK INC |
CL A |
30303M102 |
0 |
1 |
SH |
|
DFND |
3 |
1 |
0 |
0 |
FEDERAL SIGNAL CORP |
COM |
313855108 |
732 |
49,108 |
SH |
|
DFND |
1 |
49,108 |
0 |
0 |
FIDELITY NATIONAL FINANCIAL |
CL A |
31620R105 |
3,304 |
105,096 |
SH |
|
DFND |
2 |
105,096 |
0 |
0 |
FIDELITY NATIONAL FINANCIAL |
CL A |
31620R105 |
8,417 |
267,700 |
SH |
|
DFND |
1 |
267,700 |
0 |
0 |
FOREST LABS INC |
COM |
345838106 |
46,770 |
506,885 |
SH |
|
DFND |
1 |
506,885 |
0 |
0 |
FOREST LABS INC |
COM |
345838106 |
1,098 |
11,899 |
SH |
|
DFND |
3 |
11,899 |
0 |
0 |
FOSTER WHEELER AG |
COM |
H27178104 |
28,098 |
866,691 |
SH |
|
DFND |
1 |
866,691 |
0 |
0 |
GAMESTOP CORP NEW |
CL A |
36467W109 |
7,126 |
173,400 |
SH |
|
DFND |
3 |
173,400 |
0 |
0 |
GASTAR EXPL INC NEW |
COM |
36729W202 |
67 |
12,200 |
SH |
|
DFND |
1 |
12,200 |
0 |
0 |
GENERAL GROWTH PPTYS INC NEW |
COM |
370023103 |
3,415 |
155,232 |
SH |
|
DFND |
2 |
155,232 |
0 |
0 |
GENESEE & WYO INC |
CL A |
371559105 |
866 |
8,901 |
SH |
|
DFND |
1 |
8,901 |
0 |
0 |
GENESIS ENERGY L P |
UNIT LTD PARTN |
371927104 |
461 |
8,500 |
SH |
|
DFND |
1 |
8,500 |
0 |
0 |
GILEAD SCIENCES INC |
COM |
375558103 |
464 |
6,545 |
SH |
|
DFND |
1 |
6,545 |
0 |
0 |
GREENBRIER COS INC |
COM |
393657101 |
611 |
13,400 |
SH |
|
DFND |
1 |
13,400 |
0 |
0 |
HALOZYME THERAPEUTICS INC |
COM |
40637H109 |
201 |
15,800 |
SH |
|
DFND |
1 |
15,800 |
0 |
0 |
HARMAN INTL INDS INC |
COM |
413086109 |
3,444 |
32,364 |
SH |
|
DFND |
2 |
32,364 |
0 |
0 |
HERTZ GLOBAL HOLDINGS INC |
COM |
42805T105 |
2,290 |
85,967 |
SH |
|
DFND |
1 |
85,967 |
0 |
0 |
HEWLETT PACKARD CO |
COM |
428236103 |
3,761 |
116,238 |
SH |
|
DFND |
2 |
116,238 |
0 |
0 |
HOLOGIC INC |
COM |
436440101 |
381 |
17,711 |
SH |
|
DFND |
1 |
17,711 |
0 |
0 |
HORIZON PHARMA INC |
COM |
44047T109 |
488 |
32,300 |
SH |
|
DFND |
3 |
32,300 |
0 |
0 |
HOUSTON AMERN ENERGY CORP |
COM |
44183U100 |
21 |
38,000 |
SH |
|
DFND |
1 |
38,000 |
0 |
0 |
HOWARD HUGHES CORP |
COM |
44267D107 |
3,653 |
25,594 |
SH |
|
DFND |
2 |
25,594 |
0 |
0 |
HUDSON CITY BANCORP |
COM |
443683107 |
229 |
23,300 |
SH |
|
DFND |
3 |
23,300 |
0 |
0 |
HUNT J B TRANS SVCS INC |
COM |
445658107 |
209 |
2,900 |
SH |
|
DFND |
1 |
2,900 |
0 |
0 |
IDERA PHARMACEUTICALS INC |
COM NEW |
45168K306 |
41 |
10,000 |
SH |
|
DFND |
1 |
10,000 |
0 |
0 |
ILLUMINA INC |
COM |
452327109 |
223 |
1,500 |
SH |
|
DFND |
1 |
1,500 |
0 |
0 |
INTERNATIONAL BUSINESS MACHS |
COM |
459200101 |
962 |
5,000 |
SH |
|
DFND |
1 |
5,000 |
0 |
0 |
ISHARES |
MSCI CDA ETF |
464286509 |
296 |
10,000 |
SH |
|
DFND |
1 |
10,000 |
0 |
0 |
ISHARES |
RUSSELL 2000 ETF |
464287655 |
18,940 |
162,800 |
SH |
|
DFND |
1 |
162,800 |
0 |
0 |
JAZZ PHARMACEUTICALS PLC |
SHS USD |
G50871105 |
475 |
3,425 |
SH |
|
DFND |
1 |
3,425 |
0 |
0 |
JUNIPER NETWORKS INC |
COM |
48203R104 |
728 |
28,262 |
SH |
|
DFND |
1 |
28,262 |
0 |
0 |
KEYW HLDG CORP |
COM |
493723100 |
344 |
18,400 |
SH |
|
DFND |
3 |
18,400 |
0 |
0 |
KKR FINL HLDGS LLC |
COM |
48248A306 |
8,754 |
756,605 |
SH |
|
DFND |
1 |
756,605 |
0 |
0 |
LAMAR ADVERTISING CO |
CL A |
512815101 |
9,149 |
179,398 |
SH |
|
DFND |
1 |
179,398 |
0 |
0 |
LEAR CORP |
COM NEW |
521865204 |
3,606 |
43,069 |
SH |
|
DFND |
2 |
43,069 |
0 |
0 |
LEGG MASON INC |
COM |
524901105 |
3,788 |
77,243 |
SH |
|
DFND |
2 |
77,243 |
0 |
0 |
LEVEL 3 COMMUNICATIONS INC |
COM NEW |
52729N308 |
3,531 |
90,203 |
SH |
|
DFND |
2 |
90,203 |
0 |
0 |
LORAL SPACE & COMMUNICATNS I |
COM |
543881106 |
5,947 |
84,100 |
SH |
|
DFND |
3 |
84,100 |
0 |
0 |
LOWES COS INC |
COM |
548661107 |
3,174 |
64,900 |
SH |
|
DFND |
3 |
64,900 |
0 |
0 |
LSI CORPORATION |
COM |
502161102 |
307 |
27,702 |
SH |
|
DFND |
3 |
27,702 |
0 |
0 |
MACK CALI RLTY CORP |
COM |
554489104 |
1,407 |
67,700 |
SH |
|
DFND |
3 |
67,700 |
0 |
0 |
MACQUARIE INFRASTR CO LLC |
MEMBERSHIP INT |
55608B105 |
3,563 |
62,211 |
SH |
|
DFND |
2 |
62,211 |
0 |
0 |
MAGELLAN MIDSTREAM PRTNRS LP |
COM UNIT RP LP |
559080106 |
2,089 |
29,960 |
SH |
|
DFND |
1 |
29,960 |
0 |
0 |
MANNKIND CORP |
COM |
56400P201 |
128 |
31,800 |
SH |
|
DFND |
3 |
31,800 |
0 |
0 |
MARATHON PETE CORP |
COM |
56585A102 |
2,072 |
23,800 |
SH |
|
DFND |
3 |
23,800 |
0 |
0 |
MARKET VECTORS ETF TR |
GOLD MINER ETF |
57060U100 |
944 |
40,000 |
SH |
|
DFND |
3 |
40,000 |
0 |
0 |
MCKESSON CORP |
COM |
58155Q103 |
265 |
1,500 |
SH |
|
DFND |
1 |
1,500 |
0 |
0 |
MENS WEARHOUSE INC |
COM |
587118100 |
245 |
5,000 |
SH |
|
DFND |
1 |
5,000 |
0 |
0 |
MICROSOFT CORP |
COM |
594918104 |
205 |
5,000 |
SH |
|
DFND |
1 |
5,000 |
0 |
0 |
MICROSOFT CORP |
COM |
594918104 |
3,758 |
91,693 |
SH |
|
DFND |
2 |
91,693 |
0 |
0 |
MONDELEZ INTL INC |
CL A |
609207105 |
299 |
8,666 |
SH |
|
DFND |
1 |
8,666 |
0 |
0 |
MONDELEZ INTL INC |
CL A |
609207105 |
3,483 |
100,796 |
SH |
|
DFND |
2 |
100,796 |
0 |
0 |
MOTOROLA SOLUTIONS INC |
COM NEW |
620076307 |
3,416 |
53,140 |
SH |
|
DFND |
2 |
53,140 |
0 |
0 |
NABORS INDUSTRIES LTD |
SHS |
G6359F103 |
376 |
15,237 |
SH |
|
DFND |
1 |
15,237 |
0 |
0 |
NCR CORP NEW |
COM |
62886E108 |
3,761 |
102,888 |
SH |
|
DFND |
2 |
102,888 |
0 |
0 |
NII HLDGS INC |
CL B NEW |
62913F201 |
322 |
270,571 |
SH |
|
DFND |
1 |
270,571 |
0 |
0 |
NOBLE CORP PLC |
SHS USD |
G65431101 |
4,256 |
130,000 |
SH |
Call |
DFND |
3 |
130,000 |
0 |
0 |
NORDION INC |
COM |
65563C105 |
173 |
15,000 |
SH |
|
DFND |
3 |
15,000 |
0 |
0 |
NORTHWEST PIPE CO |
COM |
667746101 |
1,964 |
54,320 |
SH |
|
DFND |
1 |
54,320 |
0 |
0 |
NUANCE COMMUNICATIONS INC |
COM |
67020Y100 |
3,428 |
199,624 |
SH |
|
DFND |
1 |
199,624 |
0 |
0 |
NUANCE COMMUNICATIONS INC |
COM |
67020Y100 |
34 |
2,000 |
SH |
|
DFND |
3 |
2,000 |
0 |
0 |
OIL STS INTL INC |
COM |
678026105 |
953 |
9,668 |
SH |
|
DFND |
1 |
9,668 |
0 |
0 |
OIL STS INTL INC |
COM |
678026105 |
3,564 |
36,143 |
SH |
|
DFND |
2 |
36,143 |
0 |
0 |
OMNICOM GROUP INC |
COM |
681919106 |
5,241 |
72,185 |
SH |
|
DFND |
1 |
72,185 |
0 |
0 |
ONEOK PARTNERS LP |
UNIT LTD PARTN |
68268N103 |
767 |
14,315 |
SH |
|
DFND |
1 |
14,315 |
0 |
0 |
OUTERWALL INC |
COM |
690070107 |
1,569 |
21,643 |
SH |
|
DFND |
1 |
21,643 |
0 |
0 |
OWENS ILL INC |
COM NEW |
690768403 |
3,478 |
102,804 |
SH |
|
DFND |
2 |
102,804 |
0 |
0 |
PACER INTL INC TENN |
COM |
69373H106 |
990 |
110,494 |
SH |
|
DFND |
1 |
110,494 |
0 |
0 |
PACIFIC BIOSCIENCES CALIF IN |
COM |
69404D108 |
54 |
10,100 |
SH |
|
DFND |
1 |
10,100 |
0 |
0 |
PACTERA TECHNOLOGY INTL LTD |
SPONSORED ADR |
695255109 |
102 |
14,050 |
SH |
Put |
DFND |
3 |
14,050 |
0 |
0 |
PACWEST BANCORP DEL |
COM |
695263103 |
3,541 |
82,333 |
SH |
|
DFND |
1 |
82,333 |
0 |
0 |
PARKERVISION INC |
COM |
701354102 |
96 |
20,000 |
SH |
|
DFND |
1 |
20,000 |
0 |
0 |
PEPSICO INC |
COM |
713448108 |
3,647 |
43,673 |
SH |
|
DFND |
2 |
43,673 |
0 |
0 |
PHILLIPS 66 PARTNERS LP |
COM UNIT REP INT |
718549207 |
631 |
13,000 |
SH |
|
DFND |
1 |
13,000 |
0 |
0 |
PLAINS ALL AMERN PIPELINE L |
UNIT LTD PARTN |
726503105 |
1,106 |
20,070 |
SH |
|
DFND |
1 |
20,070 |
0 |
0 |
PLAINS GP HLDGS L P |
SHS A REP LTPN |
72651A108 |
839 |
30,000 |
SH |
|
DFND |
1 |
30,000 |
0 |
0 |
PMC-SIERRA INC |
COM |
69344F106 |
627 |
82,440 |
SH |
|
DFND |
1 |
82,440 |
0 |
0 |
POWERSHARES ETF TRUST II |
SENIOR LN PORT |
73936Q769 |
13,201 |
530,803 |
SH |
|
DFND |
2 |
530,803 |
0 |
0 |
PROGRESSIVE WASTE SOLUTIONS |
COM |
74339G101 |
3,532 |
139,551 |
SH |
|
DFND |
2 |
139,551 |
0 |
0 |
PROSHARES TR |
PSHS ULSHT SP500 |
74347B300 |
567 |
20,000 |
SH |
|
DFND |
1 |
20,000 |
0 |
0 |
PROSHARES TR II |
ULTRASHORT YEN N |
74347W569 |
1,319 |
19,500 |
SH |
|
DFND |
1 |
19,500 |
0 |
0 |
PROSHARES TR II |
ULTRASHRT EURO |
74347W882 |
169 |
10,000 |
SH |
|
DFND |
1 |
10,000 |
0 |
0 |
PTC INC |
COM |
69370C100 |
3,184 |
89,861 |
SH |
|
DFND |
2 |
89,861 |
0 |
0 |
QEP RES INC |
COM |
74733V100 |
7,361 |
250,043 |
SH |
|
DFND |
1 |
250,043 |
0 |
0 |
QUALCOMM INC |
COM |
747525103 |
1,273 |
16,140 |
SH |
|
DFND |
1 |
16,140 |
0 |
0 |
REGENCY ENERGY PARTNERS L P |
COM UNITS L P |
75885Y107 |
272 |
10,000 |
SH |
|
DFND |
1 |
10,000 |
0 |
0 |
REGIONS FINL CORP NEW |
COM |
7591EP100 |
222 |
20,000 |
SH |
|
DFND |
3 |
20,000 |
0 |
0 |
REPUBLIC AWYS HLDGS INC |
COM |
760276105 |
1,084 |
118,631 |
SH |
|
DFND |
1 |
118,631 |
0 |
0 |
RIGEL PHARMACEUTICALS INC |
COM NEW |
766559603 |
213 |
55,000 |
SH |
|
DFND |
3 |
55,000 |
0 |
0 |
RIVERBED TECHNOLOGY INC |
COM |
768573107 |
936 |
47,469 |
SH |
|
DFND |
1 |
47,469 |
0 |
0 |
RLJ ENTMT INC |
COM |
74965F104 |
60 |
13,503 |
SH |
|
DFND |
1 |
13,503 |
0 |
0 |
ROCKWELL COLLINS INC |
COM |
774341101 |
3,365 |
42,231 |
SH |
|
DFND |
2 |
42,231 |
0 |
0 |
SAFEWAY INC |
COM NEW |
786514208 |
517 |
14,000 |
SH |
|
DFND |
3 |
14,000 |
0 |
0 |
SANCHEZ ENERGY CORP |
COM |
79970Y105 |
322 |
10,857 |
SH |
|
DFND |
1 |
10,857 |
0 |
0 |
SCHWAB CHARLES CORP NEW |
COM |
808513105 |
1,157 |
42,350 |
SH |
|
DFND |
1 |
42,350 |
0 |
0 |
SCIENTIFIC GAMES CORP |
CL A |
80874P109 |
3,910 |
284,803 |
SH |
|
DFND |
1 |
284,803 |
0 |
0 |
SEATTLE GENETICS INC |
COM |
812578102 |
433 |
9,500 |
SH |
|
DFND |
1 |
9,500 |
0 |
0 |
SERVICE CORP INTL |
COM |
817565104 |
725 |
36,462 |
SH |
|
DFND |
1 |
36,462 |
0 |
0 |
SIGA TECHNOLOGIES INC |
COM |
826917106 |
650 |
209,654 |
SH |
|
DFND |
1 |
209,654 |
0 |
0 |
SIRIUS XM HLDGS INC |
COM |
82968B103 |
5,431 |
1,697,096 |
SH |
|
DFND |
1 |
1,697,096 |
0 |
0 |
SLM CORP |
COM |
78442P106 |
8,587 |
350,800 |
SH |
|
DFND |
3 |
350,800 |
0 |
0 |
SOTHEBYS |
COM |
835898107 |
3,156 |
72,472 |
SH |
|
DFND |
2 |
72,472 |
0 |
0 |
SPDR GOLD TRUST |
GOLD SHS |
78463V107 |
252 |
2,040 |
SH |
|
DFND |
1 |
2,040 |
0 |
0 |
SPDR GOLD TRUST |
GOLD SHS |
78463V107 |
309 |
2,500 |
SH |
|
DFND |
3 |
2,500 |
0 |
0 |
SPDR S&P 500 ETF TR |
TR UNIT |
78462F103 |
99,188 |
530,400 |
SH |
|
DFND |
1 |
530,400 |
0 |
0 |
SPDR S&P 500 ETF TR |
TR UNIT |
78462F103 |
2,543 |
13,600 |
SH |
|
DFND |
3 |
13,600 |
0 |
0 |
SPDR SERIES TRUST |
BRC HGH YLD BD |
78464A417 |
1,085 |
26,250 |
SH |
|
DFND |
1 |
26,250 |
0 |
0 |
SPX CORP |
COM |
784635104 |
3,202 |
32,568 |
SH |
|
DFND |
2 |
32,568 |
0 |
0 |
STERLING BANCORP DEL |
COM |
85917A100 |
658 |
51,960 |
SH |
|
DFND |
1 |
51,960 |
0 |
0 |
STRYKER CORP |
COM |
863667101 |
2,036 |
25,000 |
SH |
|
DFND |
3 |
25,000 |
0 |
0 |
SUBURBAN PROPANE PARTNERS L |
UNIT LTD PARTN |
864482104 |
490 |
11,797 |
SH |
|
DFND |
1 |
11,797 |
0 |
0 |
SUNEDISON INC |
COM |
86732Y109 |
4,086 |
216,900 |
SH |
|
DFND |
3 |
216,900 |
0 |
0 |
SUNESIS PHARMACEUTICALS INC |
COM NEW |
867328601 |
492 |
74,660 |
SH |
|
DFND |
3 |
74,660 |
0 |
0 |
SUNOCO LOGISTICS PRTNRS L P |
COM UNITS |
86764L108 |
1,432 |
15,759 |
SH |
|
DFND |
1 |
15,759 |
0 |
0 |
SWS GROUP INC |
COM |
78503N107 |
1,545 |
206,513 |
SH |
|
DFND |
1 |
206,513 |
0 |
0 |
SYSCO CORP |
COM |
871829107 |
3,754 |
103,900 |
SH |
|
DFND |
1 |
103,900 |
0 |
0 |
TESORO CORP |
COM |
881609101 |
15,153 |
299,510 |
SH |
|
DFND |
1 |
299,510 |
0 |
0 |
TETRAPHASE PHARMACEUTICALS I |
COM |
88165N105 |
200 |
18,400 |
SH |
|
DFND |
1 |
18,400 |
0 |
0 |
THE ADT CORPORATION |
COM |
00101J106 |
1,782 |
59,500 |
SH |
|
DFND |
3 |
59,500 |
0 |
0 |
THERMO FISHER SCIENTIFIC INC |
COM |
883556102 |
3,382 |
28,124 |
SH |
|
DFND |
2 |
28,124 |
0 |
0 |
TIME WARNER CABLE INC |
COM |
88732J207 |
39,544 |
288,266 |
SH |
|
DFND |
1 |
288,266 |
0 |
0 |
TIMKEN CO |
COM |
887389104 |
3,458 |
58,831 |
SH |
|
DFND |
2 |
58,831 |
0 |
0 |
T-MOBILE US INC |
COM |
872590104 |
304 |
9,211 |
SH |
|
DFND |
1 |
9,211 |
0 |
0 |
TOWER GROUP INTL LTD |
COM |
G8988C105 |
2,412 |
893,100 |
SH |
Put |
DFND |
1 |
893,100 |
0 |
0 |
TRIANGLE PETE CORP |
COM NEW |
89600B201 |
2,131 |
258,587 |
SH |
|
DFND |
1 |
258,587 |
0 |
0 |
TRINITY INDS INC |
COM |
896522109 |
1,110 |
15,400 |
SH |
|
DFND |
1 |
15,400 |
0 |
0 |
TRIQUINT SEMICONDUCTOR INC |
COM |
89674K103 |
989 |
73,834 |
SH |
|
DFND |
1 |
73,834 |
0 |
0 |
TWENTY FIRST CENTY FOX INC |
CL B |
90130A200 |
389 |
12,500 |
SH |
|
DFND |
3 |
12,500 |
0 |
0 |
UNITED RENTALS INC |
COM |
911363109 |
3,707 |
39,042 |
SH |
|
DFND |
2 |
39,042 |
0 |
0 |
UNITED RENTALS INC |
COM |
911363109 |
9,646 |
101,600 |
SH |
|
DFND |
3 |
101,600 |
0 |
0 |
URS CORP NEW |
COM |
903236107 |
1,766 |
37,525 |
SH |
|
DFND |
1 |
37,525 |
0 |
0 |
VALEANT PHARMACEUTICALS INTL |
COM |
91911K102 |
3,166 |
24,018 |
SH |
|
DFND |
2 |
24,018 |
0 |
0 |
VALEANT PHARMACEUTICALS INTL |
COM |
91911K102 |
5,352 |
40,600 |
SH |
|
DFND |
3 |
40,600 |
0 |
0 |
VANDA PHARMACEUTICALS INC |
COM |
921659108 |
488 |
30,000 |
SH |
|
DFND |
1 |
30,000 |
0 |
0 |
VERIZON COMMUNICATIONS INC |
COM |
92343V104 |
79,016 |
1,661,061 |
SH |
|
DFND |
1 |
1,661,061 |
0 |
0 |
VIRNETX HLDG CORP |
COM |
92823T108 |
3,875 |
273,257 |
SH |
|
DFND |
1 |
273,257 |
0 |
0 |
VMWARE INC |
CL A COM |
928563402 |
7,766 |
71,900 |
SH |
|
DFND |
3 |
71,900 |
0 |
0 |
VODAFONE GROUP PLC NEW |
SPNSR ADR NO PAR |
92857W308 |
1,332 |
36,190 |
SH |
|
DFND |
1 |
36,190 |
0 |
0 |
WABTEC CORP |
COM |
929740108 |
548 |
7,075 |
SH |
|
DFND |
1 |
7,075 |
0 |
0 |
WAL-MART STORES INC |
COM |
931142103 |
311 |
4,063 |
SH |
|
DFND |
1 |
4,063 |
0 |
0 |
WALTER INVT MGMT CORP |
COM |
93317W102 |
338 |
11,335 |
SH |
|
DFND |
1 |
11,335 |
0 |
0 |
WENDYS CO |
COM |
95058W100 |
3,155 |
345,976 |
SH |
|
DFND |
2 |
345,976 |
0 |
0 |
WILLIAMS COS INC DEL |
COM |
969457100 |
507 |
12,500 |
SH |
|
DFND |
1 |
12,500 |
0 |
0 |
WILLIAMS COS INC DEL |
COM |
969457100 |
3,368 |
82,997 |
SH |
|
DFND |
2 |
82,997 |
0 |
0 |
XPO LOGISTICS INC |
COM |
983793100 |
2,827 |
96,135 |
SH |
|
DFND |
1 |
96,135 |
0 |
0 |
XYRATEX LTD |
COM |
G98268108 |
5,425 |
409,400 |
SH |
Put |
DFND |
1 |
409,400 |
0 |
0 |
ZALE CORP NEW |
COM |
988858106 |
1,231 |
58,893 |
SH |
|
DFND |
1 |
58,893 |
0 |
0 |