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: | 06-30-2016 |
| 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 | 08-05-2016 |
| [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: | 217 |
| Form 13F Information Table Value Total: | 1,478,670 |
| (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 | 73 | 90,000 | SH | | DFND | 1 | 90,000 | 0 | 0 |
| AARONS INC | COM PAR $0.50 | 002535300 | 1,141 | 52,126 | SH | | DFND | 1 | 52,126 | 0 | 0 |
| ABBOTT LABS | COM | 002824100 | 12,194 | 310,200 | SH | Call | DFND | 1 | 310,200 | 0 | 0 |
| ACADIA PHARMACEUTICALS INC | COM | 004225108 | 568 | 17,500 | SH | | DFND | 3 | 17,500 | 0 | 0 |
| ACTIVISION BLIZZARD INC | COM | 00507V109 | 1,497 | 37,782 | SH | | DFND | 1 | 37,782 | 0 | 0 |
| AETNA INC NEW | COM | 00817Y108 | 12,213 | 100,000 | SH | Put | DFND | 1 | 100,000 | 0 | 0 |
| AGCO CORP | COM | 001084102 | 2,894 | 61,396 | SH | | DFND | 2 | 61,396 | 0 | 0 |
| ALERE INC | COM | 01449J105 | 1,038 | 24,900 | SH | | DFND | 1 | 24,900 | 0 | 0 |
| ALERE INC | COM | 01449J105 | 104 | 2,500 | SH | | DFND | 3 | 2,500 | 0 | 0 |
| ALERE INC | COM | 01449J105 | 1,988 | 47,700 | SH | Put | DFND | 1 | 47,700 | 0 | 0 |
| ALEXION PHARMACEUTICALS INC | COM | 015351109 | 525 | 4,500 | SH | | DFND | 1 | 4,500 | 0 | 0 |
| ALLERGAN PLC | SHS | G0177J108 | 3,102 | 13,423 | SH | | DFND | 2 | 13,423 | 0 | 0 |
| ALLERGAN PLC | SHS | G0177J108 | 3,977 | 17,208 | SH | | DFND | 1 | 17,208 | 0 | 0 |
| ALLIANCE DATA SYSTEMS CORP | COM | 018581108 | 490 | 2,500 | SH | | DFND | 1 | 2,500 | 0 | 0 |
| ALPHABET INC | CAP STK CL A | 02079K305 | 1,238 | 1,760 | SH | | DFND | 1 | 1,760 | 0 | 0 |
| ALPHABET INC | CAP STK CL C | 02079K107 | 2,556 | 3,693 | SH | | DFND | 1 | 3,693 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 | 8,007 | 11,189 | SH | | DFND | 1 | 11,189 | 0 | 0 |
| AMERICAN CAP LTD | COM | 02503Y103 | 45,781 | 2,892,014 | SH | | DFND | 1 | 2,892,014 | 0 | 0 |
| AMERICAN CAP LTD | COM | 02503Y103 | 1,029 | 65,000 | SH | Put | DFND | 1 | 65,000 | 0 | 0 |
| AMERICAN INTL GROUP INC | COM NEW | 026874784 | 618 | 11,693 | SH | | DFND | 1 | 11,693 | 0 | 0 |
| AMGEN INC | COM | 031162100 | 780 | 5,125 | SH | | DFND | 1 | 5,125 | 0 | 0 |
| APOLLO ED GROUP INC | CL A | 037604105 | 6,999 | 767,400 | SH | Put | DFND | 1 | 767,400 | 0 | 0 |
| APPLE INC | COM | 037833100 | 961 | 10,050 | SH | | DFND | 1 | 10,050 | 0 | 0 |
| APPLE INC | COM | 037833100 | 1,052 | 11,000 | SH | Call | DFND | 1 | 11,000 | 0 | 0 |
| APRICUS BIOSCIENCES INC | COM | 03832V109 | 0 | 175,000 | SH | | DFND | 1 | 175,000 | 0 | 0 |
| ASTORIA FINL CORP | COM | 046265104 | 7,599 | 495,700 | SH | | DFND | 1 | 495,700 | 0 | 0 |
| AUTODESK INC | COM | 052769106 | 3,038 | 56,108 | SH | | DFND | 2 | 56,108 | 0 | 0 |
| AXIALL CORP | COM | 05463D100 | 5,508 | 168,900 | SH | Put | DFND | 1 | 168,900 | 0 | 0 |
| AXIALL CORP | COM | 05463D100 | 14,184 | 434,969 | SH | | DFND | 1 | 434,969 | 0 | 0 |
| BAKER HUGHES INC | COM | 057224107 | 3,128 | 69,320 | SH | | DFND | 2 | 69,320 | 0 | 0 |
| BALL CORP | COM | 058498106 | 34,649 | 479,300 | SH | Call | DFND | 1 | 479,300 | 0 | 0 |
| BANK AMER CORP | *W EXP 10/28/201 | 060505153 | 4 | 49,417 | SH | | DFND | 3 | 49,417 | 0 | 0 |
| BANK NEW YORK MELLON CORP | COM | 064058100 | 3,081 | 79,314 | SH | | DFND | 2 | 79,314 | 0 | 0 |
| BARCLAYS BK PLC | IPATH S&P500 VIX | 06742E711 | 1,533 | 111,000 | SH | Call | DFND | 1 | 111,000 | 0 | 0 |
| BCE INC | COM NEW | 05534B760 | 1,640 | 34,650 | SH | | DFND | 1 | 34,650 | 0 | 0 |
| BELMOND LTD | CL A | G1154H107 | 1,717 | 173,422 | SH | | DFND | 1 | 173,422 | 0 | 0 |
| BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 1,891 | 181,125 | SH | | DFND | 1 | 181,125 | 0 | 0 |
| BOARDWALK PIPELINE PARTNERS | UT LTD PARTNER | 096627104 | 410 | 23,520 | SH | | DFND | 1 | 23,520 | 0 | 0 |
| BRISTOL MYERS SQUIBB CO | COM | 110122108 | 588 | 8,000 | SH | | DFND | 1 | 8,000 | 0 | 0 |
| BROADSOFT INC | COM | 11133B409 | 923 | 22,500 | SH | | DFND | 1 | 22,500 | 0 | 0 |
| BUCKEYE PARTNERS L P | UNIT LTD PARTN | 118230101 | 1,363 | 19,375 | SH | | DFND | 1 | 19,375 | 0 | 0 |
| BUILDERS FIRSTSOURCE INC | COM | 12008R107 | 322 | 28,652 | SH | | DFND | 1 | 28,652 | 0 | 0 |
| BWX TECHNOLOGIES INC | COM | 05605H100 | 3,243 | 90,670 | SH | | DFND | 2 | 90,670 | 0 | 0 |
| CALADRIUS BIOSCIENCES INC | COM | 128058104 | 0 | 22,500 | SH | | DFND | 1 | 22,500 | 0 | 0 |
| CAPITAL ONE FINL CORP | COM | 14040H105 | 318 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
| CARMAX INC | COM | 143130102 | 1,748 | 35,651 | SH | | DFND | 1 | 35,651 | 0 | 0 |
| CASCADIAN THERAPEUTICS INC | COM | 14740B101 | 108 | 114,200 | SH | | DFND | 1 | 114,200 | 0 | 0 |
| CAVIUM INC | COM | 14964U108 | 3,860 | 100,000 | SH | Call | DFND | 1 | 100,000 | 0 | 0 |
| CBRE GROUP INC | CL A | 12504L109 | 2,975 | 112,354 | SH | | DFND | 2 | 112,354 | 0 | 0 |
| CDK GLOBAL INC | COM | 12508E101 | 3,180 | 57,309 | SH | | DFND | 2 | 57,309 | 0 | 0 |
| CEL SCI CORP | COM PAR $0.01 | 150837508 | 0 | 48,975 | SH | | DFND | 1 | 48,975 | 0 | 0 |
| CELATOR PHARMACEUTICALS INC | COM | 15089R102 | 9,054 | 300,000 | SH | Call | DFND | 1 | 300,000 | 0 | 0 |
| CELATOR PHARMACEUTICALS INC | COM | 15089R102 | 6,392 | 211,800 | SH | Put | DFND | 1 | 211,800 | 0 | 0 |
| CENVEO INC | COM | 15670S105 | 68 | 83,505 | SH | | DFND | 3 | 83,505 | 0 | 0 |
| CHARTER COMMUNICATIONS INC N | CL A | 16119P108 | 3,285 | 14,369 | SH | | DFND | 2 | 14,369 | 0 | 0 |
| CHARTER COMMUNICATIONS INC N | CL A | 16119P108 | 872 | 3,814 | SH | | DFND | 1 | 3,814 | 0 | 0 |
| CITRIX SYS INC | COM | 177376100 | 561 | 7,000 | SH | | DFND | 1 | 7,000 | 0 | 0 |
| CLEVELAND BIOLABS INC | COM NEW | 185860202 | 0 | 109,375 | SH | | DFND | 1 | 109,375 | 0 | 0 |
| CONAGRA FOODS INC | COM | 205887102 | 1,435 | 30,009 | SH | | DFND | 1 | 30,009 | 0 | 0 |
| CONFORMIS INC | COM | 20717E101 | 445 | 63,350 | SH | | DFND | 1 | 63,350 | 0 | 0 |
| COVENANT TRANSN GROUP INC | CL A | 22284P105 | 271 | 15,000 | SH | | DFND | 1 | 15,000 | 0 | 0 |
| CVENT INC | COM | 23247G109 | 5,358 | 150,000 | SH | Put | DFND | 1 | 150,000 | 0 | 0 |
| CYTRX CORP | COM PAR $.001 | 232828509 | 0 | 321,429 | SH | | DFND | 1 | 321,429 | 0 | 0 |
| DEMANDWARE INC | COM | 24802Y105 | 18,725 | 250,000 | SH | Call | DFND | 1 | 250,000 | 0 | 0 |
| DOLLAR GEN CORP NEW | COM | 256677105 | 235 | 2,500 | SH | | DFND | 1 | 2,500 | 0 | 0 |
| DOLLAR TREE INC | COM | 256746108 | 236 | 2,500 | SH | | DFND | 1 | 2,500 | 0 | 0 |
| DOMINION DIAMOND CORP | COM | 257287102 | 596 | 67,379 | SH | | DFND | 1 | 67,379 | 0 | 0 |
| DREAMWORKS ANIMATION SKG INC | CL A | 26153C103 | 2,203 | 53,900 | SH | Call | DFND | 1 | 53,900 | 0 | 0 |
| DU PONT E I DE NEMOURS & CO | COM | 263534109 | 1,296 | 20,000 | SH | Put | DFND | 1 | 20,000 | 0 | 0 |
| DU PONT E I DE NEMOURS & CO | COM | 263534109 | 3,274 | 50,518 | SH | | DFND | 2 | 50,518 | 0 | 0 |
| E M C CORP MASS | COM | 268648102 | 197,480 | 7,268,303 | SH | | DFND | 1 | 7,268,303 | 0 | 0 |
| EASTERLY ACQUISITION CORP | *W EXP 07/29/202 | 27616L110 | 29 | 44,254 | SH | | DFND | 3 | 44,254 | 0 | 0 |
| EASTERLY ACQUISITION CORP | COM | 27616L102 | 480 | 49,000 | SH | | DFND | 3 | 49,000 | 0 | 0 |
| ELECTRONIC ARTS INC | COM | 285512109 | 2,420 | 31,944 | SH | | DFND | 1 | 31,944 | 0 | 0 |
| ELECTRONIC ARTS INC | COM | 285512109 | 0 | 5 | SH | | DFND | 3 | 5 | 0 | 0 |
| ENERGY TRANSFER PRTNRS L P | UNIT LTD PARTN | 29273R109 | 1,326 | 34,823 | SH | | DFND | 1 | 34,823 | 0 | 0 |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 1,442 | 49,280 | SH | | DFND | 1 | 49,280 | 0 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 | 213 | 2,271 | SH | | DFND | 1 | 2,271 | 0 | 0 |
| FACEBOOK INC | CL A | 30303M102 | 3,111 | 27,225 | SH | | DFND | 1 | 27,225 | 0 | 0 |
| FIDELITY NATIONAL FINANCIAL | FNF GROUP COM | 31620R303 | 3,542 | 94,448 | SH | | DFND | 2 | 94,448 | 0 | 0 |
| GAMING & LEISURE PPTYS INC | COM | 36467J108 | 4,284 | 124,247 | SH | | DFND | 1 | 124,247 | 0 | 0 |
| GENERAL DYNAMICS CORP | COM | 369550108 | 348 | 2,500 | SH | | DFND | 1 | 2,500 | 0 | 0 |
| GENERAL ELECTRIC CO | COM | 369604103 | 3,327 | 105,693 | SH | | DFND | 2 | 105,693 | 0 | 0 |
| GENTHERM INC | COM | 37253A103 | 444 | 12,951 | SH | | DFND | 1 | 12,951 | 0 | 0 |
| GILEAD SCIENCES INC | COM | 375558103 | 834 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
| GILEAD SCIENCES INC | COM | 375558103 | 2,085 | 25,000 | SH | Call | DFND | 1 | 25,000 | 0 | 0 |
| HAIN CELESTIAL GROUP INC | COM | 405217100 | 373 | 7,500 | SH | | DFND | 1 | 7,500 | 0 | 0 |
| HENNESSY CAP ACQUISITION COR | UNIT 99/99/9999 | 42588J209 | 388 | 37,700 | SH | | DFND | 3 | 37,700 | 0 | 0 |
| HOLLYFRONTIER CORP | COM | 436106108 | 1,010 | 42,500 | SH | | DFND | 3 | 42,500 | 0 | 0 |
| HOUSTON AMERN ENERGY CORP | COM | 44183U100 | 8 | 38,000 | SH | | DFND | 1 | 38,000 | 0 | 0 |
| HUNTINGTON BANCSHARES INC | COM | 446150104 | 4,470 | 500,000 | SH | Put | DFND | 1 | 500,000 | 0 | 0 |
| IAC INTERACTIVECORP | COM | 44919P508 | 2,269 | 40,300 | SH | | DFND | 1 | 40,300 | 0 | 0 |
| IMMUNOCELLULAR THERAPEUTICS | COM | 452536105 | 0 | 225,909 | SH | | DFND | 1 | 225,909 | 0 | 0 |
| INGRAM MICRO INC | CL A | 457153104 | 51,169 | 1,471,207 | SH | | DFND | 1 | 1,471,207 | 0 | 0 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 683 | 4,500 | SH | | DFND | 1 | 4,500 | 0 | 0 |
| INTERVAL LEISURE GROUP INC | COM | 46113M108 | 660 | 41,500 | SH | | DFND | 1 | 41,500 | 0 | 0 |
| INVESTORS BANCORP INC NEW | COM | 46146L101 | 2,963 | 267,414 | SH | | DFND | 2 | 267,414 | 0 | 0 |
| ISHARES | MSCI JAPAN ETF | 464286848 | 12,847 | 1,117,100 | SH | Call | DFND | 1 | 1,117,100 | 0 | 0 |
| ISHARES | MSCI MEX CAP ETF | 464286822 | 2,236 | 44,400 | SH | Call | DFND | 1 | 44,400 | 0 | 0 |
| ISHARES | MSCI MEX CAP ETF | 464286822 | 1,511 | 30,000 | SH | Put | DFND | 1 | 30,000 | 0 | 0 |
| ISHARES | MSCI TURKEY ETF | 464286715 | 2,490 | 62,800 | SH | Put | DFND | 1 | 62,800 | 0 | 0 |
| ISHARES TR | CHINA LG-CAP ETF | 464287184 | 1,892 | 55,300 | SH | Call | DFND | 1 | 55,300 | 0 | 0 |
| ISHARES TR | CHINA LG-CAP ETF | 464287184 | 4,178 | 122,100 | SH | Put | DFND | 1 | 122,100 | 0 | 0 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 15,936 | 138,600 | SH | Call | DFND | 1 | 138,600 | 0 | 0 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 124,581 | 1,083,500 | SH | Put | DFND | 1 | 1,083,500 | 0 | 0 |
| ITC HLDGS CORP | COM | 465685105 | 5,992 | 127,986 | SH | | DFND | 1 | 127,986 | 0 | 0 |
| KATE SPADE & CO | COM | 485865109 | 1,677 | 81,353 | SH | | DFND | 1 | 81,353 | 0 | 0 |
| KINDER MORGAN INC DEL | *W EXP 05/25/201 | 49456B119 | 2 | 148,212 | SH | | DFND | 3 | 148,212 | 0 | 0 |
| KLR ENERGY ACQUISITION CORP | *W EXP 09/16/202 | 49877M116 | 3 | 20,300 | SH | | DFND | 3 | 20,300 | 0 | 0 |
| KLR ENERGY ACQUISITION CORP | UNIT 12/31/2020 | 49877M207 | 275 | 27,100 | SH | | DFND | 3 | 27,100 | 0 | 0 |
| LAM RESEARCH CORP | COM | 512807108 | 4,203 | 50,000 | SH | Put | DFND | 1 | 50,000 | 0 | 0 |
| LEXMARK INTL INC | CL A | 529771107 | 14,913 | 395,034 | SH | | DFND | 1 | 395,034 | 0 | 0 |
| LIBERTY INTERACTIVE CORP | QVC GP COM SER A | 53071M104 | 393 | 15,500 | SH | | DFND | 1 | 15,500 | 0 | 0 |
| LIBERTY MEDIA CORP DELAWARE | COM A MEDIA GRP | 531229870 | 683 | 35,667 | SH | | DFND | 1 | 35,667 | 0 | 0 |
| LIBERTY MEDIA CORP DELAWARE | COM A SIRIUSXM | 531229409 | 2,909 | 92,774 | SH | | DFND | 1 | 92,774 | 0 | 0 |
| LIMELIGHT NETWORKS INC | COM | 53261M104 | 153 | 102,500 | SH | | DFND | 1 | 102,500 | 0 | 0 |
| LINKEDIN CORP | COM CL A | 53578A108 | 52,214 | 275,898 | SH | | DFND | 1 | 275,898 | 0 | 0 |
| LIONS GATE ENTMNT CORP | COM NEW | 535919203 | 324 | 16,000 | SH | | DFND | 1 | 16,000 | 0 | 0 |
| LIVE NATION ENTERTAINMENT IN | COM | 538034109 | 331 | 14,100 | SH | | DFND | 1 | 14,100 | 0 | 0 |
| LOCKHEED MARTIN CORP | COM | 539830109 | 620 | 2,500 | SH | | DFND | 1 | 2,500 | 0 | 0 |
| MADISON SQUARE GARDEN CO NEW | CL A | 55825T103 | 577 | 3,345 | SH | | DFND | 1 | 3,345 | 0 | 0 |
| MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 830 | 10,924 | SH | | DFND | 1 | 10,924 | 0 | 0 |
| MATCH GROUP INC | COM | 57665R106 | 679 | 45,000 | SH | Put | DFND | 1 | 45,000 | 0 | 0 |
| MEDIA GEN INC NEW | COM | 58441K100 | 19,994 | 1,163,110 | SH | | DFND | 1 | 1,163,110 | 0 | 0 |
| MEDIVATION INC | COM | 58501N101 | 6,030 | 100,000 | SH | Put | DFND | 1 | 100,000 | 0 | 0 |
| MGM RESORTS INTERNATIONAL | COM | 552953101 | 2,192 | 96,881 | SH | | DFND | 1 | 96,881 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 3,099 | 60,572 | SH | | DFND | 2 | 60,572 | 0 | 0 |
| MOLSON COORS BREWING CO | CL B | 60871R209 | 6,133 | 60,649 | SH | | DFND | 1 | 60,649 | 0 | 0 |
| MOLSON COORS BREWING CO | CL B | 60871R209 | 99,037 | 979,300 | SH | Put | DFND | 1 | 979,300 | 0 | 0 |
| MONDELEZ INTL INC | CL A | 609207105 | 3,277 | 72,015 | SH | | DFND | 2 | 72,015 | 0 | 0 |
| MONSANTO CO NEW | COM | 61166W101 | 9,630 | 93,127 | SH | | DFND | 1 | 93,127 | 0 | 0 |
| MSG NETWORK INC | CL A | 553573106 | 546 | 35,607 | SH | | DFND | 1 | 35,607 | 0 | 0 |
| MYLAN N V | SHS EURO | N59465109 | 13,076 | 302,400 | SH | Call | DFND | 1 | 302,400 | 0 | 0 |
| NANOVIRICIDES INC | COM NEW | 630087203 | 1 | 373,750 | SH | | DFND | 1 | 373,750 | 0 | 0 |
| NEXVET BIOPHARMA PUB LTD CO | ORD SHS | G6503X109 | 128 | 27,485 | SH | | DFND | 1 | 27,485 | 0 | 0 |
| NORWEGIAN CRUISE LINE HLDGS | SHS | G66721104 | 2,938 | 73,748 | SH | | DFND | 1 | 73,748 | 0 | 0 |
| NVIDIA CORP | COM | 67066G104 | 1,026 | 21,818 | SH | | DFND | 1 | 21,818 | 0 | 0 |
| OCULAR THERAPEUTIX INC | COM | 67576A100 | 628 | 126,904 | SH | | DFND | 1 | 126,904 | 0 | 0 |
| ONEOK PARTNERS LP | UNIT LTD PARTN | 68268N103 | 743 | 18,553 | SH | | DFND | 1 | 18,553 | 0 | 0 |
| ORGANOVO HLDGS INC | COM | 68620A104 | 234 | 63,000 | SH | | DFND | 1 | 63,000 | 0 | 0 |
| PAYPAL HLDGS INC | COM | 70450Y103 | 628 | 17,200 | SH | | DFND | 1 | 17,200 | 0 | 0 |
| PENN NATL GAMING INC | COM | 707569109 | 1,567 | 112,313 | SH | | DFND | 1 | 112,313 | 0 | 0 |
| PFIZER INC | COM | 717081103 | 3,227 | 91,661 | SH | | DFND | 2 | 91,661 | 0 | 0 |
| PFIZER INC | COM | 717081103 | 690 | 19,600 | SH | | DFND | 3 | 19,600 | 0 | 0 |
| PINNACLE ENTMT INC NEW | COM | 72348Y105 | 650 | 58,700 | SH | | DFND | 1 | 58,700 | 0 | 0 |
| PLAINS GP HLDGS L P | SHS A REP LTPN | 72651A108 | 177 | 16,950 | SH | | DFND | 1 | 16,950 | 0 | 0 |
| PLURISTEM THERAPEUTICS INC | COM | 72940R102 | 0 | 180,000 | SH | | DFND | 1 | 180,000 | 0 | 0 |
| POLYCOM INC | COM | 73172K104 | 16,578 | 1,473,563 | SH | | DFND | 1 | 1,473,563 | 0 | 0 |
| POWERSHARES ETF TRUST II | SENIOR LN PORT | 73936Q769 | 14,326 | 623,700 | SH | Put | DFND | 1 | 623,700 | 0 | 0 |
| PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 1,861 | 238,000 | SH | Put | DFND | 1 | 238,000 | 0 | 0 |
| PRUDENTIAL SHT DURATION HG Y | COM | 74442F107 | 1,437 | 91,000 | SH | | DFND | 1 | 91,000 | 0 | 0 |
| PVH CORP | COM | 693656100 | 1,501 | 15,927 | SH | | DFND | 1 | 15,927 | 0 | 0 |
| QLIK TECHNOLOGIES INC | COM | 74733T105 | 97,291 | 3,289,089 | SH | | DFND | 1 | 3,289,089 | 0 | 0 |
| RACKSPACE HOSTING INC | COM | 750086100 | 3,022 | 144,866 | SH | | DFND | 2 | 144,866 | 0 | 0 |
| RADIUS HEALTH INC | COM NEW | 750469207 | 239 | 6,500 | SH | | DFND | 1 | 6,500 | 0 | 0 |
| RAYTHEON CO | COM NEW | 755111507 | 340 | 2,500 | SH | | DFND | 1 | 2,500 | 0 | 0 |
| REMARK MEDIA INC | COM | 75954W107 | 0 | 22,222 | SH | | DFND | 1 | 22,222 | 0 | 0 |
| RITE AID CORP | COM | 767754104 | 34,840 | 4,651,539 | SH | | DFND | 1 | 4,651,539 | 0 | 0 |
| RITE AID CORP | COM | 767754104 | 4,120 | 550,000 | SH | Call | DFND | 1 | 550,000 | 0 | 0 |
| ROFIN SINAR TECHNOLOGIES INC | COM | 775043102 | 374 | 11,697 | SH | | DFND | 1 | 11,697 | 0 | 0 |
| ROYAL CARIBBEAN CRUISES LTD | COM | V7780T103 | 1,802 | 26,841 | SH | | DFND | 1 | 26,841 | 0 | 0 |
| SAGE THERAPEUTICS INC | COM | 78667J108 | 211 | 7,000 | SH | | DFND | 3 | 7,000 | 0 | 0 |
| SALLY BEAUTY HLDGS INC | COM | 79546E104 | 294 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
| SANOFI | RIGHT 12/31/2020 | 80105N113 | 8 | 33,334 | SH | | DFND | 3 | 33,334 | 0 | 0 |
| SBA COMMUNICATIONS CORP | COM | 78388J106 | 3,422 | 31,707 | SH | | DFND | 2 | 31,707 | 0 | 0 |
| SCHWAB CHARLES CORP NEW | COM | 808513105 | 430 | 17,000 | SH | | DFND | 1 | 17,000 | 0 | 0 |
| SCIENTIFIC GAMES CORP | CL A | 80874P109 | 2,449 | 266,434 | SH | | DFND | 1 | 266,434 | 0 | 0 |
| SCOTTS MIRACLE GRO CO | CL A | 810186106 | 286 | 4,095 | SH | | DFND | 1 | 4,095 | 0 | 0 |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 8,548 | 155,000 | SH | Call | DFND | 1 | 155,000 | 0 | 0 |
| SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 11,394 | 206,600 | SH | Put | DFND | 1 | 206,600 | 0 | 0 |
| SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 6,525 | 116,500 | SH | Call | DFND | 1 | 116,500 | 0 | 0 |
| SIGNET JEWELERS LIMITED | SHS | G81276100 | 3,200 | 38,835 | SH | | DFND | 2 | 38,835 | 0 | 0 |
| SILVER RUN ACQUISITION CORP | UNIT 99/99/9999T | 82811P200 | 294 | 29,425 | SH | | DFND | 3 | 29,425 | 0 | 0 |
| SPDR GOLD TRUST | GOLD SHS | 78463V107 | 3,057 | 24,175 | SH | | DFND | 1 | 24,175 | 0 | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 2,618 | 12,500 | SH | Put | DFND | 1 | 12,500 | 0 | 0 |
| SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 1,357 | 25,100 | SH | Call | DFND | 1 | 25,100 | 0 | 0 |
| SPDR SERIES TRUST | S&P HOMEBUILD | 78464A888 | 7,453 | 222,200 | SH | Call | DFND | 1 | 222,200 | 0 | 0 |
| SPDR SERIES TRUST | S&P METALS MNG | 78464A755 | 3,986 | 163,300 | SH | Put | DFND | 1 | 163,300 | 0 | 0 |
| SPDR SERIES TRUST | S&P RETAIL ETF | 78464A714 | 944 | 22,500 | SH | | DFND | 3 | 22,500 | 0 | 0 |
| SS&C TECHNOLOGIES HLDGS INC | COM | 78467J100 | 365 | 13,000 | SH | | DFND | 1 | 13,000 | 0 | 0 |
| ST JUDE MED INC | COM | 790849103 | 116,723 | 1,496,443 | SH | | DFND | 1 | 1,496,443 | 0 | 0 |
| STAPLES INC | COM | 855030102 | 1,313 | 152,300 | SH | Call | DFND | 1 | 152,300 | 0 | 0 |
| STARZ | COM SER A | 85571Q102 | 7,097 | 237,200 | SH | | DFND | 1 | 237,200 | 0 | 0 |
| STERLING BANCORP DEL | COM | 85917A100 | 816 | 51,960 | SH | | DFND | 1 | 51,960 | 0 | 0 |
| SUBURBAN PROPANE PARTNERS L | UNIT LTD PARTN | 864482104 | 515 | 15,426 | SH | | DFND | 1 | 15,426 | 0 | 0 |
| SUNOCO LOGISTICS PRTNRS L P | COM UNITS | 86764L108 | 810 | 28,188 | SH | | DFND | 1 | 28,188 | 0 | 0 |
| SUNOCO LP | COM U REP LP | 86765K109 | 398 | 13,300 | SH | | DFND | 1 | 13,300 | 0 | 0 |
| SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | 675 | 177,700 | SH | | DFND | 1 | 177,700 | 0 | 0 |
| SYSCO CORP | COM | 871829107 | 3,248 | 64,012 | SH | | DFND | 2 | 64,012 | 0 | 0 |
| TAILORED BRANDS INC | COM | 87403A107 | 1,578 | 124,628 | SH | | DFND | 1 | 124,628 | 0 | 0 |
| TERRAPIN 3 ACQUISITION CORP | *W EXP 06/27/201 | 88104P112 | 13 | 63,217 | SH | | DFND | 3 | 63,217 | 0 | 0 |
| TEVA PHARMACEUTICAL INDS LTD | ADR | 881624209 | 6,380 | 127,000 | SH | Call | DFND | 1 | 127,000 | 0 | 0 |
| TIME WARNER INC | COM NEW | 887317303 | 1,403 | 19,080 | SH | | DFND | 1 | 19,080 | 0 | 0 |
| TIVO INC | COM | 888706108 | 12,573 | 1,270,032 | SH | | DFND | 1 | 1,270,032 | 0 | 0 |
| TREEHOUSE FOODS INC | COM | 89469A104 | 2,487 | 24,230 | SH | | DFND | 1 | 24,230 | 0 | 0 |
| TRONC INC | COM | 89703P107 | 276 | 20,000 | SH | | DFND | 3 | 20,000 | 0 | 0 |
| TWENTY FIRST CENTY FOX INC | CL B | 90130A200 | 3,113 | 114,241 | SH | | DFND | 2 | 114,241 | 0 | 0 |
| TYSON FOODS INC | CL A | 902494103 | 1,800 | 26,956 | SH | | DFND | 1 | 26,956 | 0 | 0 |
| UNDER ARMOUR INC | CL C | 904311206 | 430 | 11,825 | SH | | DFND | 1 | 11,825 | 0 | 0 |
| VALSPAR CORP | COM | 920355104 | 17,555 | 162,500 | SH | Put | DFND | 1 | 162,500 | 0 | 0 |
| VECTOR GROUP LTD | COM | 92240M108 | 751 | 33,500 | SH | | DFND | 1 | 33,500 | 0 | 0 |
| VMWARE INC | CL A COM | 928563402 | 11,444 | 200,000 | SH | Call | DFND | 1 | 200,000 | 0 | 0 |
| VONAGE HLDGS CORP | COM | 92886T201 | 1,556 | 255,000 | SH | | DFND | 1 | 255,000 | 0 | 0 |
| VORNADO RLTY TR | SH BEN INT | 929042109 | 2,764 | 27,603 | SH | | DFND | 1 | 27,603 | 0 | 0 |
| WHOLE FOODS MKT INC | COM | 966837106 | 1,892 | 59,101 | SH | | DFND | 1 | 59,101 | 0 | 0 |
| WILLIAMS COS INC DEL | COM | 969457100 | 3,113 | 143,932 | SH | | DFND | 2 | 143,932 | 0 | 0 |
| WILLIAMS SONOMA INC | COM | 969904101 | 1,711 | 32,829 | SH | | DFND | 1 | 32,829 | 0 | 0 |
| WILLIS TOWERS WATSON PUB LTD | SHS | G96629103 | 3,172 | 25,515 | SH | | DFND | 2 | 25,515 | 0 | 0 |
| WINTHROP RLTY TR | SH BEN INT NEW | 976391300 | 352 | 40,000 | SH | | DFND | 1 | 40,000 | 0 | 0 |
| WISDOMTREE TR | EUROPE HEDGED EQ | 97717X701 | 32,754 | 648,200 | SH | Call | DFND | 1 | 648,200 | 0 | 0 |
| WORLD WRESTLING ENTMT INC | CL A | 98156Q108 | 2,054 | 111,585 | SH | | DFND | 1 | 111,585 | 0 | 0 |
| XILINX INC | COM | 983919101 | 2,962 | 64,215 | SH | | DFND | 2 | 64,215 | 0 | 0 |
| XOMA CORP DEL | COM | 98419J107 | 0 | 113,636 | SH | | DFND | 1 | 113,636 | 0 | 0 |
| XURA INC | COM | 98420V107 | 7,392 | 302,570 | SH | | DFND | 1 | 302,570 | 0 | 0 |
| YAHOO INC | COM | 984332106 | 13,189 | 351,139 | SH | | DFND | 1 | 351,139 | 0 | 0 |
| YUM BRANDS INC | COM | 988498101 | 3,185 | 38,413 | SH | | DFND | 2 | 38,413 | 0 | 0 |
| ZYNGA INC | CL A | 98986T108 | 1,005 | 403,728 | SH | | DFND | 1 | 403,728 | 0 | 0 |
