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: | 09-30-2016 |
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 | 11-10-2016 |
[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: | 238 |
| Form 13F Information Table Value Total: | 1,716,094 |
| (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: | 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 |
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 | 4,846 | 21,041 | SH | | DFND | 1 | 21,041 | 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 | 1,335 | 1,660 | SH | | DFND | 1 | 1,660 | 0 | 0 |
ALPHABET INC | CAP STK CL C | 02079K107 | 2,497 | 3,213 | SH | | DFND | 1 | 3,213 | 0 | 0 |
AMAZON COM INC | COM | 023135106 | 14,120 | 16,863 | SH | | DFND | 1 | 16,863 | 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 | 1,130 | 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 | 568 | 44,700 | SH | Call | DFND | 1 | 44,700 | 0 | 0 |
BELMOND LTD | CL A | G1154H107 | 4,033 | 317,300 | SH | | DFND | 1 | 317,300 | 0 | 0 |
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 843 | 77,910 | SH | | DFND | 1 | 77,910 | 0 | 0 |
BOARDWALK PIPELINE PARTNERS | UT LTD PARTNER | 096627104 | 265 | 15,425 | SH | | DFND | 1 | 15,425 | 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 | 1,283 | 17,915 | SH | | DFND | 1 | 17,915 | 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 |
CATALYST PHARMACEUTICALS INC | COM | 14888U101 | 25 | 106,250 | SH | | DFND | 2 | 106,250 | 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 | 1,230 | 53,000 | SH | | DFND | 1 | 53,000 | 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 |
COWEN GROUP INC NEW | CL A | 223622101 | 14,088 | 3,880,939 | SH | | DFND | 1 | 3,880,939 | 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 | 105 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
DYNAVAX TECHNOLOGIES CORP | COM NEW | 268158201 | 73 | 7,000 | SH | Call | DFND | 2 | 7,000 | 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 | 1,066 | 28,818 | SH | | DFND | 1 | 28,818 | 0 | 0 |
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 1,006 | 987,400 | SH | | DFND | 1 | 987,400 | 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 | 5,934 | 75,000 | SH | Call | DFND | 1 | 75,000 | 0 | 0 |
GILEAD SCIENCES INC | COM | 375558103 | 791 | 10,000 | SH | | DFND | 1 | 10,000 | 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 | | 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 | 21,905 | 407,839 | SH | | DFND | 1 | 407,839 | 0 | 0 |
IMPERVA INC | COM | 45321L100 | 15,667 | 291,700 | SH | Put | DFND | 1 | 291,700 | 0 | 0 |
IMPERVA INC | COM | 45321L100 | 18,283 | 340,400 | SH | Call | DFND | 1 | 340,400 | 0 | 0 |
INFINERA CORPORATION | COM | 45667G103 | 1,014 | 112,300 | SH | | DFND | 1 | 112,300 | 0 | 0 |
INFOBLOX INC | COM | 45672H104 | 1,474 | 80,992 | SH | | DFND | 1 | 80,992 | 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 | 2,619 | 77,071 | SH | | DFND | 1 | 77,071 | 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 | 20,583 | 201,400 | SH | Call | DFND | 1 | 201,400 | 0 | 0 |
MONSANTO CO NEW | COM | 61166W101 | 11,716 | 114,636 | SH | | DFND | 1 | 114,636 | 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 | 1,189 | 17,348 | SH | | DFND | 1 | 17,348 | 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 | 603 | 87,825 | SH | | DFND | 1 | 87,825 | 0 | 0 |
ONEOK PARTNERS LP | UNIT LTD PARTN | 68268N103 | 330 | 8,250 | SH | | DFND | 1 | 8,250 | 0 | 0 |
ORGANOVO HLDGS INC | COM | 68620A104 | 239 | 63,000 | SH | | DFND | 1 | 63,000 | 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 | 2,678 | 163,375 | SH | | DFND | 1 | 163,375 | 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 |
RADIUS HEALTH INC | COM NEW | 750469207 | 352 | 6,500 | SH | | DFND | 1 | 6,500 | 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 |
SCIENTIFIC GAMES CORP | CL A | 80874P109 | 3,116 | 276,509 | SH | | DFND | 1 | 276,509 | 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 | *W EXP 02/23/202 | 82811P119 | 739 | 133,190 | SH | | DFND | 2 | 133,190 | 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 | 4,709 | 37,478 | SH | | DFND | 1 | 37,478 | 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 | 2,448 | 88,400 | SH | | DFND | 1 | 88,400 | 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 | 346 | 10,386 | SH | | DFND | 1 | 10,386 | 0 | 0 |
SUNEDISON SEMICONDUCTOR LTD | SHS | Y8213L102 | 4,328 | 379,947 | SH | | DFND | 1 | 379,947 | 0 | 0 |
SUNOCO LOGISTICS PRTNRS L P | COM UNITS | 86764L108 | 324 | 11,398 | SH | | DFND | 1 | 11,398 | 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 |