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: | Oct 31, 2018 |
Estimated average burden |
hours per response: | 23.8 |
|
|
Report for the Calendar Year or Quarter Ended: | 03-31-2016 |
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 | 05-12-2016 |
[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: | 3 | | |
| Form 13F Information Table Entry Total: | 270 |
| Form 13F Information Table Value Total: | 2,659,554 |
| (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: | Oct 31, 2018 |
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 |
22ND CENTY GROUP INC | COM | 90137F103 | 70 | 90,000 | SH | | DFND | 1 | 90,000 | 0 | 0 |
AARONS INC | COM PAR $0.50 | 002535300 | 1,484 | 59,136 | SH | | DFND | 1 | 59,136 | 0 | 0 |
ADOBE SYS INC | COM | 00724F101 | 6,312 | 67,296 | SH | | DFND | 2 | 67,296 | 0 | 0 |
AETNA INC NEW | COM | 00817Y108 | 43,435 | 386,600 | SH | Put | DFND | 1 | 386,600 | 0 | 0 |
AGCO CORP | COM | 001084102 | 6,048 | 121,693 | SH | | DFND | 2 | 121,693 | 0 | 0 |
AIR PRODS & CHEMS INC | COM | 009158106 | 6,282 | 43,609 | SH | | DFND | 2 | 43,609 | 0 | 0 |
ALERE INC | COM | 01449J105 | 10,122 | 200,000 | SH | Call | DFND | 1 | 200,000 | 0 | 0 |
ALERE INC | COM | 01449J105 | 16,180 | 319,704 | SH | | DFND | 1 | 319,704 | 0 | 0 |
ALERE INC | COM | 01449J105 | 10,122 | 200,000 | SH | Put | DFND | 1 | 200,000 | 0 | 0 |
ALEXION PHARMACEUTICALS INC | COM | 015351109 | 459 | 3,300 | SH | | DFND | 1 | 3,300 | 0 | 0 |
ALKERMES PLC | SHS | G01767105 | 342 | 10,000 | SH | Call | DFND | 3 | 10,000 | 0 | 0 |
ALLERGAN PLC | SHS | G0177J108 | 33,504 | 125,000 | SH | Call | DFND | 1 | 125,000 | 0 | 0 |
ALLERGAN PLC | SHS | G0177J108 | 229,326 | 855,598 | SH | | DFND | 1 | 855,598 | 0 | 0 |
ALLERGAN PLC | SHS | G0177J108 | 5,241 | 19,552 | SH | | DFND | 2 | 19,552 | 0 | 0 |
ALLIANCE DATA SYSTEMS CORP | COM | 018581108 | 550 | 2,500 | SH | | DFND | 1 | 2,500 | 0 | 0 |
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 860 | 13,700 | SH | Call | DFND | 3 | 13,700 | 0 | 0 |
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 672 | 10,700 | SH | Put | DFND | 3 | 10,700 | 0 | 0 |
ALPHABET INC | CAP STK CL A | 02079K305 | 1,572 | 2,060 | SH | | DFND | 1 | 2,060 | 0 | 0 |
ALPHABET INC | CAP STK CL C | 02079K107 | 2,479 | 3,328 | SH | | DFND | 1 | 3,328 | 0 | 0 |
AMAZON COM INC | COM | 023135106 | 6,824 | 11,496 | SH | | DFND | 1 | 11,496 | 0 | 0 |
AMAZON COM INC | COM | 023135106 | 950 | 1,600 | SH | Call | DFND | 1 | 1,600 | 0 | 0 |
AMERCO | COM | 023586100 | 393 | 1,100 | SH | | DFND | 1 | 1,100 | 0 | 0 |
AMERICAN CAP LTD | COM | 02503Y103 | 893 | 58,600 | SH | Put | DFND | 1 | 58,600 | 0 | 0 |
AMERICAN CAP LTD | COM | 02503Y103 | 1,045 | 68,571 | SH | | DFND | 1 | 68,571 | 0 | 0 |
AMERICAN INTL GROUP INC | COM NEW | 026874784 | 881 | 16,293 | SH | | DFND | 1 | 16,293 | 0 | 0 |
AMERICAN STS WTR CO | COM | 029899101 | 205 | 5,200 | SH | | DFND | 1 | 5,200 | 0 | 0 |
AMGEN INC | COM | 031162100 | 2,816 | 18,783 | SH | | DFND | 1 | 18,783 | 0 | 0 |
AMGEN INC | COM | 031162100 | 3,748 | 25,000 | SH | Call | DFND | 1 | 25,000 | 0 | 0 |
AMGEN INC | COM | 031162100 | 75 | 500 | SH | Call | DFND | 3 | 500 | 0 | 0 |
AMICUS THERAPEUTICS INC | COM | 03152W109 | 262 | 31,000 | SH | Call | DFND | 3 | 31,000 | 0 | 0 |
AMTRUST FINL SVCS INC | COM | 032359309 | 344 | 13,300 | SH | | DFND | 1 | 13,300 | 0 | 0 |
APOLLO ED GROUP INC | CL A | 037604105 | 5,429 | 660,800 | SH | Put | DFND | 1 | 660,800 | 0 | 0 |
APOLLO ED GROUP INC | CL A | 037604105 | 2,451 | 298,359 | SH | | DFND | 1 | 298,359 | 0 | 0 |
APPLE INC | COM | 037833100 | 1,705 | 15,640 | SH | | DFND | 1 | 15,640 | 0 | 0 |
APRICUS BIOSCIENCES INC | COM | 03832V109 | 0 | 175,000 | SH | | DFND | 1 | 175,000 | 0 | 0 |
ASTORIA FINL CORP | COM | 046265104 | 13,999 | 883,768 | SH | | DFND | 1 | 883,768 | 0 | 0 |
AUTODESK INC | COM | 052769106 | 6,638 | 113,848 | SH | | DFND | 2 | 113,848 | 0 | 0 |
AUTONATION INC | COM | 05329W102 | 387 | 8,300 | SH | | DFND | 1 | 8,300 | 0 | 0 |
AVIS BUDGET GROUP | COM | 053774105 | 471 | 17,200 | SH | Call | DFND | 1 | 17,200 | 0 | 0 |
BANK OF THE OZARKS INC | COM | 063904106 | 399 | 9,500 | SH | | DFND | 1 | 9,500 | 0 | 0 |
BAXALTA INC | COM | 07177M103 | 155,998 | 3,861,339 | SH | | DFND | 1 | 3,861,339 | 0 | 0 |
BAXALTA INC | COM | 07177M103 | 30,975 | 766,700 | SH | Put | DFND | 1 | 766,700 | 0 | 0 |
BELMOND LTD | CL A | G1154H107 | 1,515 | 159,590 | SH | | DFND | 1 | 159,590 | 0 | 0 |
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 1,842 | 184,725 | SH | | DFND | 1 | 184,725 | 0 | 0 |
BOARDWALK PIPELINE PARTNERS | UT LTD PARTNER | 096627104 | 1,426 | 96,710 | SH | | DFND | 1 | 96,710 | 0 | 0 |
BROADSOFT INC | COM | 11133B409 | 1,009 | 25,000 | SH | | DFND | 1 | 25,000 | 0 | 0 |
BUCKEYE PARTNERS L P | UNIT LTD PARTN | 118230101 | 1,750 | 25,760 | SH | | DFND | 1 | 25,760 | 0 | 0 |
BUILDERS FIRSTSOURCE INC | COM | 12008R107 | 340 | 30,200 | SH | Call | DFND | 1 | 30,200 | 0 | 0 |
BWX TECHNOLOGIES INC | COM | 05605H100 | 6,145 | 183,094 | SH | | DFND | 2 | 183,094 | 0 | 0 |
C&J ENERGY SVCS LTD | SHS | G3164Q101 | 24 | 17,200 | SH | | DFND | 1 | 17,200 | 0 | 0 |
CABLEVISION SYS CORP | CL A NY CABLVS | 12686C109 | 13,416 | 406,543 | SH | | DFND | 1 | 406,543 | 0 | 0 |
CALADRIUS BIOSCIENCES INC | COM | 128058104 | 0 | 22,500 | SH | | DFND | 1 | 22,500 | 0 | 0 |
CANADIAN PAC RY LTD | COM | 13645T100 | 6,401 | 48,244 | SH | | DFND | 2 | 48,244 | 0 | 0 |
CAPITAL ONE FINL CORP | COM | 14040H105 | 499 | 7,200 | SH | | DFND | 1 | 7,200 | 0 | 0 |
CARMIKE CINEMAS INC | COM | 143436400 | 294 | 9,795 | SH | | DFND | 3 | 9,795 | 0 | 0 |
CASEYS GEN STORES INC | COM | 147528103 | 419 | 3,700 | SH | | DFND | 1 | 3,700 | 0 | 0 |
CDK GLOBAL INC | COM | 12508E101 | 6,039 | 129,739 | SH | | DFND | 2 | 129,739 | 0 | 0 |
CEL SCI CORP | COM PAR $0.01 | 150837508 | 0 | 48,975 | SH | | DFND | 1 | 48,975 | 0 | 0 |
CELLDEX THERAPEUTICS INC NEW | COM | 15117B103 | 39 | 10,250 | SH | | DFND | 3 | 10,250 | 0 | 0 |
CELLDEX THERAPEUTICS INC NEW | COM | 15117B103 | 114 | 30,000 | SH | Put | DFND | 3 | 30,000 | 0 | 0 |
CHARTER COMMUNICATIONS INC D | CL A NEW | 16117M305 | 30,365 | 150,000 | SH | Put | DFND | 1 | 150,000 | 0 | 0 |
CHARTER COMMUNICATIONS INC D | CL A NEW | 16117M305 | 10,122 | 50,000 | SH | Call | DFND | 1 | 50,000 | 0 | 0 |
CHECK POINT SOFTWARE TECH LT | ORD | M22465104 | 875 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
CHECKPOINT SYS INC | COM | 162825103 | 304 | 30,000 | SH | | DFND | 3 | 30,000 | 0 | 0 |
CHESAPEAKE ENERGY CORP | COM | 165167107 | 142 | 34,500 | SH | | DFND | 1 | 34,500 | 0 | 0 |
CIGNA CORPORATION | COM | 125509109 | 24,450 | 178,155 | SH | | DFND | 1 | 178,155 | 0 | 0 |
CIGNA CORPORATION | COM | 125509109 | 11,089 | 80,800 | SH | Put | DFND | 1 | 80,800 | 0 | 0 |
CITRIX SYS INC | COM | 177376100 | 777 | 9,882 | SH | | DFND | 1 | 9,882 | 0 | 0 |
CLEVELAND BIOLABS INC | COM NEW | 185860202 | 0 | 109,375 | SH | | DFND | 1 | 109,375 | 0 | 0 |
COLUMBIA PIPELINE GROUP INC | COM | 198280109 | 16,884 | 672,657 | SH | | DFND | 1 | 672,657 | 0 | 0 |
COMSCORE INC | COM | 20564W105 | 210 | 7,000 | SH | Put | DFND | 1 | 7,000 | 0 | 0 |
COMSCORE INC | COM | 20564W105 | 210 | 7,000 | SH | | DFND | 1 | 7,000 | 0 | 0 |
CONAGRA FOODS INC | COM | 205887102 | 1,185 | 26,564 | SH | | DFND | 1 | 26,564 | 0 | 0 |
COSTAR GROUP INC | COM | 22160N109 | 339 | 1,800 | SH | | DFND | 1 | 1,800 | 0 | 0 |
COVENANT TRANSN GROUP INC | CL A | 22284P105 | 339 | 14,000 | SH | | DFND | 1 | 14,000 | 0 | 0 |
CREDIT ACCEP CORP MICH | COM | 225310101 | 399 | 2,200 | SH | | DFND | 1 | 2,200 | 0 | 0 |
CURRENCYSHARES EURO TR | EURO SHS | 23130C108 | 14,364 | 129,200 | SH | Put | DFND | 1 | 129,200 | 0 | 0 |
CURRENCYSHS JAPANESE YEN TR | JAPANESE YEN | 23130A102 | 22,228 | 258,400 | SH | Put | DFND | 1 | 258,400 | 0 | 0 |
CYCLACEL PHARMACEUTICALS INC | COM NEW | 23254L306 | 0 | 52,521 | SH | | DFND | 1 | 52,521 | 0 | 0 |
CYTRX CORP | COM PAR $.001 | 232828509 | 0 | 321,429 | SH | | DFND | 1 | 321,429 | 0 | 0 |
DELCATH SYS INC | COM NEW | 24661P401 | 140 | 485,900 | SH | | DFND | 1 | 485,900 | 0 | 0 |
DOMINION DIAMOND CORP | COM | 257287102 | 558 | 50,300 | SH | Call | DFND | 1 | 50,300 | 0 | 0 |
DOMINION DIAMOND CORP | COM | 257287102 | 2,723 | 245,502 | SH | | DFND | 1 | 245,502 | 0 | 0 |
DU PONT E I DE NEMOURS & CO | COM | 263534109 | 12,664 | 200,000 | SH | Call | DFND | 1 | 200,000 | 0 | 0 |
DU PONT E I DE NEMOURS & CO | COM | 263534109 | 5,999 | 94,747 | SH | | DFND | 2 | 94,747 | 0 | 0 |
E M C CORP MASS | COM | 268648102 | 188,943 | 7,089,787 | SH | | DFND | 1 | 7,089,787 | 0 | 0 |
E M C CORP MASS | COM | 268648102 | 50,332 | 1,888,600 | SH | Put | DFND | 1 | 1,888,600 | 0 | 0 |
EDWARDS LIFESCIENCES CORP | COM | 28176E108 | 882 | 10,000 | SH | Call | DFND | 3 | 10,000 | 0 | 0 |
ELECTRONIC ARTS INC | COM | 285512109 | 1,091 | 16,500 | SH | Call | DFND | 1 | 16,500 | 0 | 0 |
ELECTRONIC ARTS INC | COM | 285512109 | 3,813 | 57,675 | SH | | DFND | 1 | 57,675 | 0 | 0 |
ENERGY TRANSFER EQUITY L P | COM UT LTD PTN | 29273V100 | 279 | 39,200 | SH | | DFND | 1 | 39,200 | 0 | 0 |
ENERGY TRANSFER PRTNRS L P | UNIT LTD PARTN | 29273R109 | 865 | 26,750 | SH | | DFND | 1 | 26,750 | 0 | 0 |
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 1,022 | 41,525 | SH | | DFND | 1 | 41,525 | 0 | 0 |
EXELIXIS INC | COM | 30161Q104 | 70 | 17,500 | SH | | DFND | 3 | 17,500 | 0 | 0 |
FACEBOOK INC | CL A | 30303M102 | 3,866 | 33,883 | SH | | DFND | 1 | 33,883 | 0 | 0 |
FELCOR LODGING TR INC | COM | 31430F101 | 1,182 | 145,606 | SH | | DFND | 1 | 145,606 | 0 | 0 |
FELCOR LODGING TR INC | COM | 31430F101 | 124 | 15,300 | SH | Call | DFND | 1 | 15,300 | 0 | 0 |
FIDELITY NATIONAL FINANCIAL | FNF GROUP COM | 31620R303 | 6,005 | 177,139 | SH | | DFND | 2 | 177,139 | 0 | 0 |
FIDELITY NATL INFORMATION SV | COM | 31620M106 | 6,202 | 97,964 | SH | | DFND | 2 | 97,964 | 0 | 0 |
GAMING & LEISURE PPTYS INC | COM | 36467J108 | 999 | 32,310 | SH | | DFND | 1 | 32,310 | 0 | 0 |
GENERAL ELECTRIC CO | COM | 369604103 | 6,302 | 198,227 | SH | | DFND | 2 | 198,227 | 0 | 0 |
GENTHERM INC | COM | 37253A103 | 579 | 13,911 | SH | | DFND | 1 | 13,911 | 0 | 0 |
GERON CORP | COM | 374163103 | 56 | 19,300 | SH | | DFND | 1 | 19,300 | 0 | 0 |
GILEAD SCIENCES INC | COM | 375558103 | 2,445 | 26,613 | SH | | DFND | 1 | 26,613 | 0 | 0 |
GILEAD SCIENCES INC | COM | 375558103 | 5,512 | 60,000 | SH | Call | DFND | 1 | 60,000 | 0 | 0 |
GRAPHIC PACKAGING HLDG CO | COM | 388689101 | 400 | 31,100 | SH | | DFND | 1 | 31,100 | 0 | 0 |
HAIN CELESTIAL GROUP INC | COM | 405217100 | 511 | 12,500 | SH | | DFND | 1 | 12,500 | 0 | 0 |
HCA HOLDINGS INC | COM | 40412C101 | 2,599 | 33,300 | SH | Call | DFND | 3 | 33,300 | 0 | 0 |
HOUSTON AMERN ENERGY CORP | COM | 44183U100 | 8 | 38,000 | SH | | DFND | 1 | 38,000 | 0 | 0 |
HUMANA INC | COM | 444859102 | 30,297 | 165,600 | SH | Put | DFND | 1 | 165,600 | 0 | 0 |
HUMANA INC | COM | 444859102 | 82,012 | 448,275 | SH | | DFND | 1 | 448,275 | 0 | 0 |
IAC INTERACTIVECORP | COM | 44919P508 | 824 | 17,500 | SH | | DFND | 1 | 17,500 | 0 | 0 |
IMMUNOCELLULAR THERAPEUTICS | COM | 452536105 | 0 | 225,909 | SH | | DFND | 1 | 225,909 | 0 | 0 |
INCONTACT INC | COM | 45336E109 | 145 | 16,300 | SH | | DFND | 1 | 16,300 | 0 | 0 |
INGRAM MICRO INC | CL A | 457153104 | 25,198 | 701,702 | SH | | DFND | 1 | 701,702 | 0 | 0 |
INPHI CORP | COM | 45772F107 | 203 | 6,100 | SH | | DFND | 1 | 6,100 | 0 | 0 |
INTEGRATED DEVICE TECHNOLOGY | COM | 458118106 | 325 | 15,900 | SH | | DFND | 1 | 15,900 | 0 | 0 |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 682 | 4,500 | SH | | DFND | 1 | 4,500 | 0 | 0 |
INVESTORS BANCORP INC NEW | COM | 46146L101 | 5,838 | 501,538 | SH | | DFND | 2 | 501,538 | 0 | 0 |
INVESTORS BANCORP INC NEW | COM | 46146L101 | 151 | 13,000 | SH | | DFND | 1 | 13,000 | 0 | 0 |
ISHARES | MSCI BRZ CAP ETF | 464286400 | 6,796 | 258,400 | SH | Call | DFND | 1 | 258,400 | 0 | 0 |
ISHARES | MSCI BRZ CAP ETF | 464286400 | 16,990 | 646,000 | SH | Put | DFND | 1 | 646,000 | 0 | 0 |
ISHARES | MSCI ITALCPD ETF | 464286855 | 3,467 | 284,200 | SH | Call | DFND | 1 | 284,200 | 0 | 0 |
ISHARES | MSCI JAPAN ETF | 464286848 | 12,746 | 1,117,100 | SH | Call | DFND | 1 | 1,117,100 | 0 | 0 |
ISHARES | MSCI STH KOR ETF | 464286772 | 5,462 | 103,400 | SH | Put | DFND | 1 | 103,400 | 0 | 0 |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 1,867 | 55,300 | SH | Call | DFND | 1 | 55,300 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 172,418 | 1,558,500 | SH | Put | DFND | 1 | 1,558,500 | 0 | 0 |
ITC HLDGS CORP | COM | 465685105 | 11,354 | 260,581 | SH | | DFND | 1 | 260,581 | 0 | 0 |
JACK IN THE BOX INC | COM | 466367109 | 2,320 | 36,323 | SH | | DFND | 1 | 36,323 | 0 | 0 |
JPMORGAN CHASE & CO | COM | 46625H100 | 2,057 | 35,000 | SH | Put | DFND | 3 | 35,000 | 0 | 0 |
JPMORGAN CHASE & CO | COM | 46625H100 | 2,132 | 36,000 | SH | | DFND | 3 | 36,000 | 0 | 0 |
KATE SPADE & CO | COM | 485865109 | 2,819 | 110,443 | SH | | DFND | 1 | 110,443 | 0 | 0 |
KEMPHARM INC | COM | 488445107 | 487 | 33,574 | SH | | DFND | 1 | 33,574 | 0 | 0 |
KEMPHARM INC | COM | 488445107 | 302 | 20,861 | SH | | DFND | 3 | 20,861 | 0 | 0 |
KEYCORP NEW | COM | 493267108 | 5,674 | 513,989 | SH | | DFND | 1 | 513,989 | 0 | 0 |
KINDER MORGAN INC DEL | COM | 49456B101 | 1,052 | 58,900 | SH | | DFND | 1 | 58,900 | 0 | 0 |
LA QUINTA HLDGS INC | COM | 50420D108 | 250 | 20,000 | SH | | DFND | 1 | 20,000 | 0 | 0 |
LAM RESEARCH CORP | COM | 512807108 | 12,466 | 150,922 | SH | | DFND | 1 | 150,922 | 0 | 0 |
LANCASTER COLONY CORP | COM | 513847103 | 354 | 3,200 | SH | | DFND | 1 | 3,200 | 0 | 0 |
LEAPFROG ENTERPRISES INC | CL A | 52186N106 | 13 | 13,395 | SH | | DFND | 3 | 13,395 | 0 | 0 |
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 17,699 | 459,700 | SH | Call | DFND | 1 | 459,700 | 0 | 0 |
LIMELIGHT NETWORKS INC | COM | 53261M104 | 176 | 97,500 | SH | | DFND | 1 | 97,500 | 0 | 0 |
LIONS GATE ENTMNT CORP | COM NEW | 535919203 | 371 | 16,980 | SH | | DFND | 1 | 16,980 | 0 | 0 |
LITHIA MTRS INC | CL A | 536797103 | 227 | 2,600 | SH | | DFND | 1 | 2,600 | 0 | 0 |
MACYS INC | COM | 55616P104 | 1,329 | 30,143 | SH | | DFND | 1 | 30,143 | 0 | 0 |
MADISON SQUARE GARDEN CO NEW | CL A | 55825T103 | 637 | 3,830 | SH | | DFND | 1 | 3,830 | 0 | 0 |
MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 1,154 | 16,772 | SH | | DFND | 1 | 16,772 | 0 | 0 |
MAIN STREET CAPITAL CORP | COM | 56035L104 | 1,774 | 56,600 | SH | Put | DFND | 1 | 56,600 | 0 | 0 |
MANHATTAN ASSOCS INC | COM | 562750109 | 415 | 7,300 | SH | | DFND | 1 | 7,300 | 0 | 0 |
MBIA INC | COM | 55262C100 | 105 | 11,900 | SH | | DFND | 1 | 11,900 | 0 | 0 |
MCDONALDS CORP | COM | 580135101 | 628 | 5,000 | SH | Put | DFND | 3 | 5,000 | 0 | 0 |
MEDIA GEN INC NEW | COM | 58441K100 | 23,569 | 1,445,050 | SH | | DFND | 1 | 1,445,050 | 0 | 0 |
MGM RESORTS INTERNATIONAL | COM | 552953101 | 2,940 | 137,147 | SH | | DFND | 1 | 137,147 | 0 | 0 |
MICROSOFT CORP | COM | 594918104 | 592 | 10,710 | SH | | DFND | 1 | 10,710 | 0 | 0 |
MICROSOFT CORP | COM | 594918104 | 6,274 | 113,604 | SH | | DFND | 2 | 113,604 | 0 | 0 |
MIDDLEBY CORP | COM | 596278101 | 416 | 3,900 | SH | | DFND | 1 | 3,900 | 0 | 0 |
MOLSON COORS BREWING CO | CL B | 60871R209 | 6,239 | 64,866 | SH | | DFND | 1 | 64,866 | 0 | 0 |
MOLSON COORS BREWING CO | CL B | 60871R209 | 1,347 | 14,000 | SH | Put | DFND | 1 | 14,000 | 0 | 0 |
MONDELEZ INTL INC | CL A | 609207105 | 5,746 | 143,226 | SH | | DFND | 2 | 143,226 | 0 | 0 |
MOTOROLA SOLUTIONS INC | COM NEW | 620076307 | 5,893 | 77,850 | SH | | DFND | 2 | 77,850 | 0 | 0 |
MSG NETWORK INC | CL A | 553573106 | 676 | 39,107 | SH | | DFND | 1 | 39,107 | 0 | 0 |
MYLAN N V | SHS EURO | N59465109 | 14,897 | 321,400 | SH | Call | DFND | 1 | 321,400 | 0 | 0 |
MYLAN N V | SHS EURO | N59465109 | 967 | 20,860 | SH | | DFND | 1 | 20,860 | 0 | 0 |
NANOVIRICIDES INC | COM NEW | 630087203 | 12 | 373,750 | SH | | DFND | 1 | 373,750 | 0 | 0 |
NEW JERSEY RES | COM | 646025106 | 255 | 7,000 | SH | | DFND | 1 | 7,000 | 0 | 0 |
NEW YORK REIT INC | COM | 64976L109 | 505 | 50,000 | SH | Put | DFND | 1 | 50,000 | 0 | 0 |
NEW YORK REIT INC | COM | 64976L109 | 505 | 50,000 | SH | | DFND | 1 | 50,000 | 0 | 0 |
NEWLINK GENETICS CORP | COM | 651511107 | 182 | 10,000 | SH | Call | DFND | 3 | 10,000 | 0 | 0 |
NEXSTAR BROADCASTING GROUP I | CL A | 65336K103 | 221 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
NEXSTAR BROADCASTING GROUP I | CL A | 65336K103 | 8,898 | 201,000 | SH | Put | DFND | 1 | 201,000 | 0 | 0 |
NEXVET BIOPHARMA PUB LTD CO | ORD SHS | G6503X109 | 91 | 27,485 | SH | | DFND | 1 | 27,485 | 0 | 0 |
NISOURCE INC | COM | 65473P105 | 410 | 17,400 | SH | | DFND | 1 | 17,400 | 0 | 0 |
NOBLE CORP PLC | SHS USD | G65431101 | 311 | 30,000 | SH | Call | DFND | 3 | 30,000 | 0 | 0 |
NORTHSTAR ASSET MGMT GROUP I | COM | 66705Y104 | 325 | 28,600 | SH | | DFND | 1 | 28,600 | 0 | 0 |
NORWEGIAN CRUISE LINE HLDGS | SHS | G66721104 | 2,874 | 51,989 | SH | | DFND | 1 | 51,989 | 0 | 0 |
NOVAVAX INC | COM | 670002104 | 75 | 14,500 | SH | | DFND | 1 | 14,500 | 0 | 0 |
NVIDIA CORP | COM | 67066G104 | 1,148 | 32,230 | SH | | DFND | 1 | 32,230 | 0 | 0 |
OCULAR THERAPEUTIX INC | COM | 67576A100 | 1,407 | 145,700 | SH | | DFND | 1 | 145,700 | 0 | 0 |
ONCOTHYREON INC | COM | 682324108 | 145 | 114,200 | SH | | DFND | 1 | 114,200 | 0 | 0 |
ONEOK PARTNERS LP | UNIT LTD PARTN | 68268N103 | 978 | 31,141 | SH | | DFND | 1 | 31,141 | 0 | 0 |
OPOWER INC | COM | 68375Y109 | 238 | 35,000 | SH | | DFND | 1 | 35,000 | 0 | 0 |
ORGANOVO HLDGS INC | COM | 68620A104 | 126 | 58,000 | SH | | DFND | 1 | 58,000 | 0 | 0 |
PARSLEY ENERGY INC | CL A | 701877102 | 848 | 37,500 | SH | Call | DFND | 3 | 37,500 | 0 | 0 |
PENN NATL GAMING INC | COM | 707569109 | 2,604 | 156,040 | SH | | DFND | 1 | 156,040 | 0 | 0 |
PEPSICO INC | COM | 713448108 | 6,072 | 59,250 | SH | | DFND | 2 | 59,250 | 0 | 0 |
PFIZER INC | COM | 717081103 | 88,920 | 3,000,000 | SH | Put | DFND | 1 | 3,000,000 | 0 | 0 |
PFIZER INC | COM | 717081103 | 168,159 | 5,673,400 | SH | Call | DFND | 1 | 5,673,400 | 0 | 0 |
PHILLIPS 66 | COM | 718546104 | 1,732 | 20,000 | SH | Call | DFND | 3 | 20,000 | 0 | 0 |
PINNACLE ENTMT INC | COM | 723456109 | 1,684 | 47,984 | SH | | DFND | 1 | 47,984 | 0 | 0 |
PLAINS ALL AMERN PIPELINE L | UNIT LTD PARTN | 726503105 | 279 | 13,300 | SH | | DFND | 1 | 13,300 | 0 | 0 |
PLAINS GP HLDGS L P | SHS A REP LTPN | 72651A108 | 234 | 26,950 | SH | | DFND | 1 | 26,950 | 0 | 0 |
PLURISTEM THERAPEUTICS INC | COM | 72940R102 | 0 | 180,000 | SH | | DFND | 1 | 180,000 | 0 | 0 |
POWERSHARES ETF TRUST II | SENIOR LN PORT | 73936Q769 | 13,961 | 614,600 | SH | Put | DFND | 1 | 614,600 | 0 | 0 |
PROOFPOINT INC | COM | 743424103 | 215 | 4,000 | SH | | DFND | 1 | 4,000 | 0 | 0 |
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 2,009 | 276,300 | SH | Put | DFND | 1 | 276,300 | 0 | 0 |
PRUDENTIAL SHT DURATION HG Y | COM | 74442F107 | 1,401 | 91,000 | SH | | DFND | 1 | 91,000 | 0 | 0 |
QUANTUM FUEL SYS TECH WORLDW | COM PAR $0.02 | 74765E307 | 0 | 110,202 | SH | | DFND | 1 | 110,202 | 0 | 0 |
RACKSPACE HOSTING INC | COM | 750086100 | 5,866 | 271,696 | SH | | DFND | 2 | 271,696 | 0 | 0 |
RADIUS HEALTH INC | COM NEW | 750469207 | 236 | 7,500 | SH | | DFND | 1 | 7,500 | 0 | 0 |
RELYPSA INC | COM | 759531106 | 203 | 15,000 | SH | Call | DFND | 3 | 15,000 | 0 | 0 |
REMARK MEDIA INC | COM | 75954W107 | 1 | 22,222 | SH | | DFND | 1 | 22,222 | 0 | 0 |
REPLIGEN CORP | COM | 759916109 | 19,284 | 53,500 | SH | Call | DFND | 3 | 53,500 | 0 | 0 |
RETROPHIN INC | COM | 761299106 | 137 | 10,000 | SH | Put | DFND | 3 | 10,000 | 0 | 0 |
RETROPHIN INC | COM | 761299106 | 41 | 3,000 | SH | | DFND | 3 | 3,000 | 0 | 0 |
RITE AID CORP | COM | 767754104 | 34,189 | 4,195,021 | SH | | DFND | 1 | 4,195,021 | 0 | 0 |
RITE AID CORP | COM | 767754104 | 57 | 7,000 | SH | | DFND | 3 | 7,000 | 0 | 0 |
SALLY BEAUTY HLDGS INC | COM | 79546E104 | 291 | 9,000 | SH | | DFND | 1 | 9,000 | 0 | 0 |
SANCHEZ ENERGY CORP | COM | 79970Y105 | 2,352 | 428,355 | SH | | DFND | 1 | 428,355 | 0 | 0 |
SANDISK CORP | COM | 80004C101 | 15,026 | 197,500 | SH | Put | DFND | 1 | 197,500 | 0 | 0 |
SANDISK CORP | COM | 80004C101 | 115,953 | 1,524,093 | SH | | DFND | 1 | 1,524,093 | 0 | 0 |
SCIENTIFIC GAMES CORP | CL A | 80874P109 | 2,512 | 266,434 | SH | | DFND | 1 | 266,434 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 8,224 | 155,000 | SH | Call | DFND | 1 | 155,000 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 10,962 | 206,600 | SH | Put | DFND | 1 | 206,600 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 1,274 | 18,800 | SH | Call | DFND | 3 | 18,800 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 14,037 | 207,100 | SH | | DFND | 2 | 207,100 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 1,274 | 18,800 | SH | Put | DFND | 3 | 18,800 | 0 | 0 |
SERVICE CORP INTL | COM | 817565104 | 420 | 17,000 | SH | | DFND | 1 | 17,000 | 0 | 0 |
SIGNET JEWELERS LIMITED | SHS | G81276100 | 7,292 | 58,790 | SH | | DFND | 2 | 58,790 | 0 | 0 |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 2,600 | 22,105 | SH | | DFND | 1 | 22,105 | 0 | 0 |
SPDR INDEX SHS FDS | S&P CHINA ETF | 78463X400 | 9,080 | 130,100 | SH | Call | DFND | 1 | 130,100 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 25,340 | 123,300 | SH | Put | DFND | 1 | 123,300 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 3,083 | 15,000 | SH | Put | DFND | 3 | 15,000 | 0 | 0 |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 284 | 5,500 | SH | Put | DFND | 3 | 5,500 | 0 | 0 |
SPDR SERIES TRUST | S&P HOMEBUILD | 78464A888 | 15,129 | 447,100 | SH | Call | DFND | 1 | 447,100 | 0 | 0 |
SPDR SERIES TRUST | S&P METALS MNG | 78464A755 | 3,171 | 155,000 | SH | Put | DFND | 1 | 155,000 | 0 | 0 |
STAPLES INC | COM | 855030102 | 3,798 | 344,400 | SH | Call | DFND | 1 | 344,400 | 0 | 0 |
STARWOOD HOTELS&RESORTS WRLD | COM | 85590A401 | 79,688 | 955,148 | SH | | DFND | 1 | 955,148 | 0 | 0 |
STARWOOD HOTELS&RESORTS WRLD | COM | 85590A401 | 20,858 | 250,000 | SH | Call | DFND | 1 | 250,000 | 0 | 0 |
STERLING BANCORP DEL | COM | 85917A100 | 828 | 51,960 | SH | | DFND | 1 | 51,960 | 0 | 0 |
SUBURBAN PROPANE PARTNERS L | UNIT LTD PARTN | 864482104 | 521 | 17,426 | SH | | DFND | 1 | 17,426 | 0 | 0 |
SUNOCO LOGISTICS PRTNRS L P | COM UNITS | 86764L108 | 852 | 34,004 | SH | | DFND | 1 | 34,004 | 0 | 0 |
SUNOCO LP | COM U REP LP | 86765K109 | 540 | 16,300 | SH | | DFND | 1 | 16,300 | 0 | 0 |
SYNAPTICS INC | COM | 87157D109 | 295 | 3,700 | SH | | DFND | 1 | 3,700 | 0 | 0 |
SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | 492 | 178,200 | SH | | DFND | 1 | 178,200 | 0 | 0 |
SYSCO CORP | COM | 871829107 | 6,295 | 134,717 | SH | | DFND | 2 | 134,717 | 0 | 0 |
TELIGENT INC NEW | COM | 87960W104 | 56 | 11,500 | SH | | DFND | 1 | 11,500 | 0 | 0 |
TEMPUR SEALY INTL INC | COM | 88023U101 | 419 | 6,900 | SH | | DFND | 1 | 6,900 | 0 | 0 |
TESARO INC | COM | 881569107 | 40 | 900 | SH | | DFND | 3 | 900 | 0 | 0 |
TESARO INC | COM | 881569107 | 198 | 4,500 | SH | Put | DFND | 3 | 4,500 | 0 | 0 |
TEVA PHARMACEUTICAL INDS LTD | ADR | 881624209 | 5,030 | 94,000 | SH | Call | DFND | 1 | 94,000 | 0 | 0 |
THE ADT CORPORATION | COM | 00101J106 | 26,006 | 630,300 | SH | Put | DFND | 1 | 630,300 | 0 | 0 |
THE ADT CORPORATION | COM | 00101J106 | 3,517 | 85,246 | SH | | DFND | 1 | 85,246 | 0 | 0 |
TIME WARNER CABLE INC | COM | 88732J207 | 220,897 | 1,079,548 | SH | | DFND | 1 | 1,079,548 | 0 | 0 |
TIME WARNER INC | COM NEW | 887317303 | 1,566 | 21,580 | SH | | DFND | 1 | 21,580 | 0 | 0 |
TREEHOUSE FOODS INC | COM | 89469A104 | 2,267 | 26,136 | SH | | DFND | 1 | 26,136 | 0 | 0 |
TRUECAR INC | COM | 89785L107 | 61 | 11,000 | SH | | DFND | 1 | 11,000 | 0 | 0 |
TWENTY FIRST CENTY FOX INC | CL B | 90130A200 | 6,042 | 214,260 | SH | | DFND | 2 | 214,260 | 0 | 0 |
TYLER TECHNOLOGIES INC | COM | 902252105 | 399 | 3,100 | SH | | DFND | 1 | 3,100 | 0 | 0 |
USA TECHNOLOGIES INC | COM NO PAR | 90328S500 | 1,690 | 953,125 | SH | | DFND | 1 | 953,125 | 0 | 0 |
V F CORP | COM | 918204108 | 1,036 | 16,000 | SH | Put | DFND | 1 | 16,000 | 0 | 0 |
VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 1,900 | 72,261 | SH | | DFND | 2 | 72,261 | 0 | 0 |
VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 13 | 500 | SH | | DFND | 3 | 500 | 0 | 0 |
VEREIT INC | COM | 92339V100 | 6,502 | 733,066 | SH | | DFND | 2 | 733,066 | 0 | 0 |
VIPER ENERGY PARTNERS LP | COM UNT RP INT | 92763M105 | 1,285 | 78,782 | SH | | DFND | 1 | 78,782 | 0 | 0 |
VMWARE INC | CL A COM | 928563402 | 4,750 | 90,800 | SH | Put | DFND | 1 | 90,800 | 0 | 0 |
VONAGE HLDGS CORP | COM | 92886T201 | 77 | 16,900 | SH | | DFND | 1 | 16,900 | 0 | 0 |
VORNADO RLTY TR | SH BEN INT | 929042109 | 3,818 | 40,432 | SH | | DFND | 1 | 40,432 | 0 | 0 |
WELLCARE HEALTH PLANS INC | COM | 94946T106 | 881 | 9,500 | SH | Call | DFND | 3 | 9,500 | 0 | 0 |
WENDYS CO | COM | 95058W100 | 1,306 | 119,938 | SH | | DFND | 1 | 119,938 | 0 | 0 |
WESTERN DIGITAL CORP | COM | 958102105 | 8,512 | 180,200 | SH | Put | DFND | 1 | 180,200 | 0 | 0 |
WISDOMTREE TR | CHINESE YUAN FD | 97717W182 | 2,568 | 102,700 | SH | Call | DFND | 1 | 102,700 | 0 | 0 |
WISDOMTREE TR | EUROPE HEDGED EQ | 97717X701 | 22,258 | 428,700 | SH | Call | DFND | 1 | 428,700 | 0 | 0 |
WORLD WRESTLING ENTMT INC | CL A | 98156Q108 | 1,406 | 79,604 | SH | | DFND | 1 | 79,604 | 0 | 0 |
WYNDHAM WORLDWIDE CORP | COM | 98310W108 | 405 | 5,300 | SH | | DFND | 1 | 5,300 | 0 | 0 |
XILINX INC | COM | 983919101 | 5,712 | 120,435 | SH | | DFND | 2 | 120,435 | 0 | 0 |
XOMA CORP DEL | COM | 98419J107 | 0 | 113,636 | SH | | DFND | 1 | 113,636 | 0 | 0 |
YAHOO INC | COM | 984332106 | 1,590 | 43,189 | SH | | DFND | 1 | 43,189 | 0 | 0 |
YUM BRANDS INC | COM | 988498101 | 6,679 | 81,600 | SH | | DFND | 2 | 81,600 | 0 | 0 |
ZOETIS INC | CL A | 98978V103 | 815 | 18,393 | SH | | DFND | 1 | 18,393 | 0 | 0 |
ZOETIS INC | CL A | 98978V103 | 6,099 | 137,580 | SH | | DFND | 2 | 137,580 | 0 | 0 |