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: | 12-31-2016 |
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 | 02-09-2017 |
[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: | 254 |
| Form 13F Information Table Value Total: | 2,406,418 |
| (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 |
| 3 | | Quadratic Capital Management 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 |
ABBOTT LABS | COM | 002824100 | 2,139 | 55,700 | SH | Call | DFND | 2 | 55,700 | 0 | 0 |
ACTIVISION BLIZZARD INC | COM | 00507V109 | 237 | 6,570 | SH | | DFND | 1 | 6,570 | 0 | 0 |
AGENUS INC | COM NEW | 00847G705 | 216 | 52,500 | SH | | DFND | 2 | 52,500 | 0 | 0 |
AGENUS INC | COM NEW | 00847G705 | 288 | 70,000 | SH | Put | DFND | 2 | 70,000 | 0 | 0 |
AIR PRODS & CHEMS INC | COM | 009158106 | 2,013 | 14,000 | SH | Put | DFND | 2 | 14,000 | 0 | 0 |
ALERE INC | COM | 01449J105 | 7,740 | 198,618 | SH | | DFND | 1 | 198,618 | 0 | 0 |
ALERE INC | COM | 01449J105 | 4,540 | 116,500 | SH | Call | DFND | 1 | 116,500 | 0 | 0 |
ALLERGAN PLC | SHS | G0177J108 | 3,444 | 16,401 | SH | | DFND | 1 | 16,401 | 0 | 0 |
ALLIED WRLD ASSUR COM HLDG A | SHS | H01531104 | 5,844 | 108,815 | SH | | DFND | 1 | 108,815 | 0 | 0 |
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 419 | 11,200 | SH | | DFND | 2 | 11,200 | 0 | 0 |
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 843 | 22,500 | SH | Call | DFND | 2 | 22,500 | 0 | 0 |
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 498 | 13,300 | SH | Put | DFND | 2 | 13,300 | 0 | 0 |
ALPHABET INC | CAP STK CL A | 02079K305 | 250 | 315 | SH | | DFND | 1 | 315 | 0 | 0 |
ALPHABET INC | CAP STK CL C | 02079K107 | 985 | 1,276 | SH | | DFND | 1 | 1,276 | 0 | 0 |
AMAZON COM INC | COM | 023135106 | 6,016 | 8,023 | SH | | DFND | 1 | 8,023 | 0 | 0 |
AMERICAN CAP LTD | COM | 02503Y103 | 41,305 | 2,304,940 | SH | | DFND | 1 | 2,304,940 | 0 | 0 |
AMERICAN EAGLE OUTFITTERS NE | COM | 02553E106 | 724 | 47,714 | SH | | DFND | 1 | 47,714 | 0 | 0 |
AMGEN INC | COM | 031162100 | 815 | 5,575 | SH | | DFND | 1 | 5,575 | 0 | 0 |
ANHEUSER BUSCH INBEV SA/NV | SPONSORED ADR | 03524A108 | 990 | 9,385 | SH | | DFND | 1 | 9,385 | 0 | 0 |
APOLLO ED GROUP INC | CL A | 037604105 | 6,183 | 624,600 | SH | Put | DFND | 1 | 624,600 | 0 | 0 |
APPLIED MATLS INC | COM | 038222105 | 1,109 | 34,379 | SH | | DFND | 1 | 34,379 | 0 | 0 |
APRICUS BIOSCIENCES INC | COM NEW | 03832V307 | 0 | 17,500 | SH | | DFND | 1 | 17,500 | 0 | 0 |
ARCHER DANIELS MIDLAND CO | COM | 039483102 | 1,269 | 27,800 | SH | Call | DFND | 2 | 27,800 | 0 | 0 |
AT&T INC | COM | 00206R102 | 17,837 | 419,400 | SH | Call | DFND | 1 | 419,400 | 0 | 0 |
AT&T INC | COM | 00206R102 | 26,033 | 612,100 | SH | Put | DFND | 1 | 612,100 | 0 | 0 |
B/E AEROSPACE INC | COM | 073302101 | 49,294 | 818,976 | SH | | DFND | 1 | 818,976 | 0 | 0 |
BARINGTON HILCO ACQUISITION | COM | 06759V101 | 610 | 60,036 | SH | | DFND | 2 | 60,036 | 0 | 0 |
BATS GLOBAL MKTS INC | COM | 05491G109 | 17,279 | 515,631 | SH | | DFND | 1 | 515,631 | 0 | 0 |
BCE INC | COM NEW | 05534B760 | 5,107 | 118,141 | SH | | DFND | 1 | 118,141 | 0 | 0 |
BELMOND LTD | CL A | G1154H107 | 2,156 | 161,498 | SH | | DFND | 1 | 161,498 | 0 | 0 |
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 505 | 46,634 | SH | | DFND | 1 | 46,634 | 0 | 0 |
BOARDWALK PIPELINE PARTNERS | UT LTD PARTNER | 096627104 | 263 | 15,150 | SH | | DFND | 1 | 15,150 | 0 | 0 |
BOULEVARD ACQUISITION | CL A | 10157Q102 | 977 | 98,500 | SH | | DFND | 2 | 98,500 | 0 | 0 |
BOULEVARD ACQUISITION | UNIT 99/99/9999 | 10157Q201 | 1,181 | 115,967 | SH | | DFND | 2 | 115,967 | 0 | 0 |
BOYD GAMING CORP | COM | 103304101 | 1,034 | 51,281 | SH | | DFND | 1 | 51,281 | 0 | 0 |
BROCADE COMMUNICATIONS SYS I | COM NEW | 111621306 | 35,706 | 2,858,766 | SH | | DFND | 1 | 2,858,766 | 0 | 0 |
BUCKEYE PARTNERS L P | UNIT LTD PARTN | 118230101 | 711 | 10,740 | SH | | DFND | 1 | 10,740 | 0 | 0 |
CADENCE DESIGN SYSTEM INC | COM | 127387108 | 3,535 | 140,182 | SH | | DFND | 1 | 140,182 | 0 | 0 |
CAPITAL ONE FINL CORP | COM | 14040H105 | 436 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
CATERPILLAR INC DEL | COM | 149123101 | 946 | 10,200 | SH | Put | DFND | 1 | 10,200 | 0 | 0 |
CEL SCI CORP | COM PAR $0.01 | 150837508 | 0 | 48,975 | SH | | DFND | 1 | 48,975 | 0 | 0 |
CENTENNIAL RESOURCE DEV INC | *W EXP 02/23/202 | 15136A110 | 167 | 19,831 | SH | | DFND | 2 | 19,831 | 0 | 0 |
CENTURYLINK INC | COM | 156700106 | 23,591 | 992,000 | SH | Call | DFND | 1 | 992,000 | 0 | 0 |
CF CORP | SHS CL A | G20307107 | 543 | 54,720 | SH | | DFND | 2 | 54,720 | 0 | 0 |
CITRIX SYS INC | COM | 177376100 | 1,051 | 11,769 | SH | | DFND | 1 | 11,769 | 0 | 0 |
CONAGRA BRANDS INC | COM | 205887102 | 890 | 22,500 | SH | Call | DFND | 1 | 22,500 | 0 | 0 |
CONAGRA BRANDS INC | COM | 205887102 | 1,460 | 36,920 | SH | | DFND | 1 | 36,920 | 0 | 0 |
CONDUENT INC | COM | 206787103 | 739 | 49,600 | SH | | DFND | 1 | 49,600 | 0 | 0 |
CORNERSTONE ONDEMAND INC | COM | 21925Y103 | 13,964 | 330,049 | SH | | DFND | 1 | 330,049 | 0 | 0 |
COSTCO WHSL CORP NEW | COM | 22160K105 | 2,214 | 13,826 | SH | | DFND | 1 | 13,826 | 0 | 0 |
DELL TECHNOLOGIES INC | COM CL V | 24703L103 | 24,195 | 440,150 | SH | | DFND | 1 | 440,150 | 0 | 0 |
DEPOMED INC | COM | 249908104 | 1,339 | 74,300 | SH | Call | DFND | 1 | 74,300 | 0 | 0 |
DISNEY WALT CO | COM DISNEY | 254687106 | 5,234 | 50,221 | SH | | DFND | 1 | 50,221 | 0 | 0 |
DOLLAR GEN CORP NEW | COM | 256677105 | 349 | 4,709 | SH | | DFND | 1 | 4,709 | 0 | 0 |
DOLLAR TREE INC | COM | 256746108 | 352 | 4,557 | SH | | DFND | 1 | 4,557 | 0 | 0 |
DOUBLE EAGLE ACQUISITION COR | *W EXP 09/16/202 | G28195116 | 104 | 221,297 | SH | | DFND | 2 | 221,297 | 0 | 0 |
DOUBLE EAGLE ACQUISITION COR | COM | G28195124 | 2,889 | 290,319 | SH | | DFND | 2 | 290,319 | 0 | 0 |
DOW CHEM CO | COM | 260543103 | 36,031 | 629,685 | SH | | DFND | 1 | 629,685 | 0 | 0 |
DUNKIN BRANDS GROUP INC | COM | 265504100 | 815 | 15,551 | SH | | DFND | 1 | 15,551 | 0 | 0 |
DYNAVAX TECHNOLOGIES CORP | COM NEW | 268158201 | 130 | 33,000 | SH | Call | DFND | 2 | 33,000 | 0 | 0 |
EARTHLINK HLDGS CORP | COM | 27033X101 | 1,327 | 235,279 | SH | | DFND | 1 | 235,279 | 0 | 0 |
ELDORADO RESORTS INC | COM | 28470R102 | 1,634 | 96,385 | SH | | DFND | 1 | 96,385 | 0 | 0 |
ELECTRONIC ARTS INC | COM | 285512109 | 916 | 11,631 | SH | | DFND | 1 | 11,631 | 0 | 0 |
ELECTRUM SPL ACQUISITION COR | SHS | G3105C104 | 386 | 38,949 | SH | | DFND | 2 | 38,949 | 0 | 0 |
ENERGY TRANSFER PRTNRS L P | UNIT LTD PARTN | 29273R109 | 405 | 11,313 | SH | | DFND | 1 | 11,313 | 0 | 0 |
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 413 | 15,290 | SH | | DFND | 1 | 15,290 | 0 | 0 |
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 2,163 | 80,000 | SH | Call | DFND | 2 | 80,000 | 0 | 0 |
EQUITY ONE | COM | 294752100 | 4,601 | 149,903 | SH | | DFND | 1 | 149,903 | 0 | 0 |
EXTENDED STAY AMER INC | UNIT 99/99/9999B | 30224P200 | 2,636 | 163,215 | SH | | DFND | 1 | 163,215 | 0 | 0 |
FACEBOOK INC | CL A | 30303M102 | 837 | 7,273 | SH | | DFND | 1 | 7,273 | 0 | 0 |
FAIRPOINT COMMUNICATIONS INC | COM NEW | 305560302 | 6,590 | 352,413 | SH | | DFND | 1 | 352,413 | 0 | 0 |
FIDELITY NATIONAL FINANCIAL | FNF GROUP COM | 31620R303 | 1,436 | 42,275 | SH | | DFND | 1 | 42,275 | 0 | 0 |
FORTINET INC | COM | 34959E109 | 1,662 | 55,200 | SH | Call | DFND | 1 | 55,200 | 0 | 0 |
GAMING & LEISURE PPTYS INC | COM | 36467J108 | 1,394 | 45,520 | SH | | DFND | 1 | 45,520 | 0 | 0 |
GAP INC DEL | COM | 364760108 | 860 | 38,317 | SH | | DFND | 1 | 38,317 | 0 | 0 |
GENERAL DYNAMICS CORP | COM | 369550108 | 527 | 3,051 | SH | | DFND | 1 | 3,051 | 0 | 0 |
GILEAD SCIENCES INC | COM | 375558103 | 716 | 10,000 | SH | Call | DFND | 1 | 10,000 | 0 | 0 |
HALOZYME THERAPEUTICS INC | COM | 40637H109 | 99 | 10,000 | SH | Call | DFND | 2 | 10,000 | 0 | 0 |
HARLEY DAVIDSON INC | COM | 412822108 | 2,450 | 42,000 | SH | Put | DFND | 1 | 42,000 | 0 | 0 |
HARMONY MERGER CORP | COM | 413247107 | 574 | 56,700 | SH | | DFND | 2 | 56,700 | 0 | 0 |
HEADWATERS INC | COM | 42210P102 | 56,266 | 2,392,282 | SH | | DFND | 1 | 2,392,282 | 0 | 0 |
HENNESSY CAP ACQUISITION COR | *W EXP 07/28/202 | 42588J118 | 75 | 87,886 | SH | | DFND | 2 | 87,886 | 0 | 0 |
HENNESSY CAP ACQUISITION COR | COM | 42588J100 | 1,334 | 132,299 | SH | | DFND | 2 | 132,299 | 0 | 0 |
HOLLYFRONTIER CORP | COM | 436106108 | 901 | 27,500 | SH | | DFND | 2 | 27,500 | 0 | 0 |
HOLLYFRONTIER CORP | COM | 436106108 | 1,346 | 41,100 | SH | Put | DFND | 2 | 41,100 | 0 | 0 |
HORIZON PHARMA PLC | SHS | G4617B105 | 519 | 32,100 | SH | Call | DFND | 2 | 32,100 | 0 | 0 |
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 2,513 | 1,436,087 | SH | | DFND | 2 | 1,436,087 | 0 | 0 |
HRG GROUP INC | COM | 40434J100 | 1,167 | 75,000 | SH | | DFND | 1 | 75,000 | 0 | 0 |
IMPERVA INC | COM | 45321L100 | 5,224 | 136,047 | SH | | DFND | 1 | 136,047 | 0 | 0 |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 747 | 4,500 | SH | | DFND | 1 | 4,500 | 0 | 0 |
INTERSIL CORP | CL A | 46069S109 | 8,976 | 402,525 | SH | | DFND | 1 | 402,525 | 0 | 0 |
INTERSIL CORP | CL A | 46069S109 | 4,237 | 190,000 | SH | Call | DFND | 1 | 190,000 | 0 | 0 |
INVENSENSE INC | COM | 46123D205 | 7,114 | 556,200 | SH | Put | DFND | 1 | 556,200 | 0 | 0 |
ISHARES | MSCI CDA ETF | 464286509 | 9,498 | 363,200 | SH | Call | DFND | 3 | 363,200 | 0 | 0 |
ISHARES | MSCI MEX CAP ETF | 464286822 | 3,904 | 88,800 | SH | Call | DFND | 1 | 88,800 | 0 | 0 |
ISHARES | MSCI MEX CAP ETF | 464286822 | 11,354 | 258,200 | SH | Call | DFND | 3 | 258,200 | 0 | 0 |
ISHARES | MSCI TURKEY ETF | 464286715 | 4,208 | 129,600 | SH | Put | DFND | 3 | 129,600 | 0 | 0 |
ISHARES INC | MSCI JPN ETF NEW | 46434G822 | 54,582 | 1,117,100 | SH | Call | DFND | 1 | 1,117,100 | 0 | 0 |
ISHARES INC | MSCI JPN ETF NEW | 46434G822 | 80,057 | 1,638,500 | SH | Call | DFND | 3 | 1,638,500 | 0 | 0 |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 1,919 | 55,300 | SH | Call | DFND | 1 | 55,300 | 0 | 0 |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 1,552 | 44,700 | SH | Call | DFND | 3 | 44,700 | 0 | 0 |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 4,797 | 138,200 | SH | Put | DFND | 1 | 138,200 | 0 | 0 |
ISHARES TR | MSCI UK ETF NEW | 46435G334 | 12,988 | 423,200 | SH | Put | DFND | 3 | 423,200 | 0 | 0 |
ISHARES TR | NASDQ BIOTEC ETF | 464287556 | 557 | 2,100 | SH | | DFND | 1 | 2,100 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 161,658 | 1,198,800 | SH | Put | DFND | 1 | 1,198,800 | 0 | 0 |
IXIA | COM | 45071R109 | 5,993 | 372,228 | SH | | DFND | 1 | 372,228 | 0 | 0 |
JM GLOBAL HLDG CO | COM | 46590H101 | 494 | 50,000 | SH | | DFND | 2 | 50,000 | 0 | 0 |
JOHNSON CTLS INTL PLC | SHS | G51502105 | 1,008 | 24,480 | SH | | DFND | 1 | 24,480 | 0 | 0 |
JOY GLOBAL INC | COM | 481165108 | 47,567 | 1,698,816 | SH | | DFND | 1 | 1,698,816 | 0 | 0 |
JPMORGAN CHASE & CO | COM | 46625H100 | 431 | 5,000 | SH | Put | DFND | 2 | 5,000 | 0 | 0 |
JPMORGAN CHASE & CO | COM | 46625H100 | 43 | 500 | SH | | DFND | 2 | 500 | 0 | 0 |
JUNO THERAPEUTICS INC | COM | 48205A109 | 379 | 20,100 | SH | Call | DFND | 2 | 20,100 | 0 | 0 |
KATE SPADE & CO | COM | 485865109 | 3,331 | 178,440 | SH | | DFND | 1 | 178,440 | 0 | 0 |
KENNAMETAL INC | COM | 489170100 | 625 | 20,000 | SH | Call | DFND | 2 | 20,000 | 0 | 0 |
KINDER MORGAN INC DEL | *W EXP 05/25/201 | 49456B119 | 5 | 881,714 | SH | | DFND | 2 | 881,714 | 0 | 0 |
KLR ENERGY ACQUISITION CORP | *W EXP 09/16/202 | 49877M116 | 76 | 54,344 | SH | | DFND | 2 | 54,344 | 0 | 0 |
KLR ENERGY ACQUISITION CORP | CL A | 49877M108 | 390 | 37,552 | SH | | DFND | 2 | 37,552 | 0 | 0 |
KROGER CO | COM | 501044101 | 2,090 | 60,554 | SH | | DFND | 1 | 60,554 | 0 | 0 |
LATTICE SEMICONDUCTOR CORP | COM | 518415104 | 5,044 | 685,349 | SH | | DFND | 1 | 685,349 | 0 | 0 |
LEVEL 3 COMMUNICATIONS INC | COM NEW | 52729N308 | 91,605 | 1,625,350 | SH | | DFND | 1 | 1,625,350 | 0 | 0 |
LEVEL 3 COMMUNICATIONS INC | COM NEW | 52729N308 | 102 | 1,815 | SH | | DFND | 2 | 1,815 | 0 | 0 |
LIBERTY BROADBAND CORP | COM SER A | 530307107 | 804 | 11,089 | SH | | DFND | 1 | 11,089 | 0 | 0 |
LIBERTY BROADBAND CORP | COM SER C | 530307305 | 2,496 | 33,704 | SH | | DFND | 1 | 33,704 | 0 | 0 |
LIBERTY INTERACTIVE CORP | LBT VEN COM A NE | 53071M856 | 2,248 | 60,979 | SH | | DFND | 1 | 60,979 | 0 | 0 |
LIBERTY INTERACTIVE CORP | QVC GP COM SER A | 53071M104 | 1,354 | 67,749 | SH | | DFND | 1 | 67,749 | 0 | 0 |
LIBERTY MEDIA CORP DELAWARE | COM A SIRIUSXM | 531229409 | 3,175 | 91,971 | SH | | DFND | 1 | 91,971 | 0 | 0 |
LIBERTY MEDIA CORP DELAWARE | COM C SIRIUSXM | 531229607 | 3,238 | 95,457 | SH | | DFND | 1 | 95,457 | 0 | 0 |
LINEAR TECHNOLOGY CORP | COM | 535678106 | 122,599 | 1,966,296 | SH | | DFND | 1 | 1,966,296 | 0 | 0 |
LIONS GATE ENTMNT CORP | CL B NON VTG | 535919500 | 236 | 9,597 | SH | | DFND | 1 | 9,597 | 0 | 0 |
LIONS GATE ENTMNT CORP | CL B NON VTG | 535919500 | 0 | 3 | SH | | DFND | 2 | 3 | 0 | 0 |
LIVE NATION ENTERTAINMENT IN | COM | 538034109 | 665 | 25,000 | SH | | DFND | 1 | 25,000 | 0 | 0 |
LULULEMON ATHLETICA INC | COM | 550021109 | 309 | 4,754 | SH | | DFND | 1 | 4,754 | 0 | 0 |
M III ACQUISITION CORP | *W EXP 10/10/202 | 55378T112 | 119 | 497,225 | SH | | DFND | 2 | 497,225 | 0 | 0 |
M III ACQUISITION CORP | COM | 55378T104 | 737 | 75,550 | SH | | DFND | 2 | 75,550 | 0 | 0 |
M III ACQUISITION CORP | UNIT 99/99/9999T | 55378T203 | 1,917 | 194,199 | SH | | DFND | 2 | 194,199 | 0 | 0 |
MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 528 | 6,984 | SH | | DFND | 1 | 6,984 | 0 | 0 |
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 569 | 11,425 | SH | | DFND | 1 | 11,425 | 0 | 0 |
MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 728 | 52,514 | SH | | DFND | 1 | 52,514 | 0 | 0 |
MAXIM INTEGRATED PRODS INC | COM | 57772K101 | 851 | 22,076 | SH | | DFND | 1 | 22,076 | 0 | 0 |
METALDYNE PERFORMANCE GROUP | COM | 59116R107 | 11,396 | 496,550 | SH | | DFND | 1 | 496,550 | 0 | 0 |
METLIFE INC | COM | 59156R108 | 3,444 | 63,900 | SH | Put | DFND | 2 | 63,900 | 0 | 0 |
METLIFE INC | COM | 59156R108 | 372 | 6,900 | SH | Call | DFND | 2 | 6,900 | 0 | 0 |
MGM RESORTS INTERNATIONAL | COM | 552953101 | 3,137 | 108,816 | SH | | DFND | 1 | 108,816 | 0 | 0 |
MICRON TECHNOLOGY INC | COM | 595112103 | 1,103 | 50,313 | SH | | DFND | 1 | 50,313 | 0 | 0 |
MICROSEMI CORP | COM | 595137100 | 948 | 17,571 | SH | | DFND | 1 | 17,571 | 0 | 0 |
MICROSEMI CORP | COM | 595137100 | 4,512 | 83,600 | SH | Put | DFND | 1 | 83,600 | 0 | 0 |
MIDSTATES PETE CO INC | COM PAR | 59804T407 | 220 | 10,602 | SH | | DFND | 2 | 10,602 | 0 | 0 |
MOLSON COORS BREWING CO | CL B | 60871R209 | 3,393 | 34,863 | SH | | DFND | 1 | 34,863 | 0 | 0 |
MONDELEZ INTL INC | CL A | 609207105 | 3,311 | 74,700 | SH | Call | DFND | 1 | 74,700 | 0 | 0 |
MONDELEZ INTL INC | CL A | 609207105 | 346 | 7,805 | SH | | DFND | 1 | 7,805 | 0 | 0 |
MONSANTO CO NEW | COM | 61166W101 | 10,024 | 95,277 | SH | | DFND | 1 | 95,277 | 0 | 0 |
MONSANTO CO NEW | COM | 61166W101 | 14,845 | 141,100 | SH | Call | DFND | 1 | 141,100 | 0 | 0 |
MOTOROLA SOLUTIONS INC | COM NEW | 620076307 | 2,816 | 33,967 | SH | | DFND | 1 | 33,967 | 0 | 0 |
NANOVIRICIDES INC | COM NEW | 630087203 | 0 | 373,750 | SH | | DFND | 1 | 373,750 | 0 | 0 |
NEUROCRINE BIOSCIENCES INC | COM | 64125C109 | 484 | 12,500 | SH | Call | DFND | 2 | 12,500 | 0 | 0 |
NEW YORK REIT INC | COM | 64976L109 | 5,110 | 504,931 | SH | | DFND | 1 | 504,931 | 0 | 0 |
NEW YORK REIT INC | COM | 64976L109 | 557 | 55,000 | SH | Call | DFND | 1 | 55,000 | 0 | 0 |
NEXEO SOLUTIONS INC | *W EXP 06/09/202 | 65342H110 | 167 | 238,782 | SH | | DFND | 2 | 238,782 | 0 | 0 |
NEXEO SOLUTIONS INC | UNIT 06/11/2019 | 65342H201 | 1,938 | 192,242 | SH | | DFND | 2 | 192,242 | 0 | 0 |
NEXTERA ENERGY INC | COM | 65339F101 | 597 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
NEXVET BIOPHARMA PUB LTD CO | ORD SHS | G6503X109 | 43 | 11,542 | SH | | DFND | 1 | 11,542 | 0 | 0 |
NII HLDGS INC | COM PAR $0.001 | 62913F508 | 118 | 55,049 | SH | | DFND | 2 | 55,049 | 0 | 0 |
NOBLE CORP PLC | SHS USD | G65431101 | 314 | 53,000 | SH | Call | DFND | 2 | 53,000 | 0 | 0 |
NORTHROP GRUMMAN CORP | COM | 666807102 | 477 | 2,051 | SH | | DFND | 1 | 2,051 | 0 | 0 |
NORWEGIAN CRUISE LINE HLDGS | SHS | G66721104 | 1,719 | 40,411 | SH | | DFND | 1 | 40,411 | 0 | 0 |
NUCOR CORP | COM | 670346105 | 4,053 | 68,100 | SH | Put | DFND | 1 | 68,100 | 0 | 0 |
NVIDIA CORP | COM | 67066G104 | 695 | 6,511 | SH | | DFND | 1 | 6,511 | 0 | 0 |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 21,964 | 224,100 | SH | Call | DFND | 1 | 224,100 | 0 | 0 |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 223,376 | 2,279,115 | SH | | DFND | 1 | 2,279,115 | 0 | 0 |
OCI PARTNERS LP | COM UNIT REP LP | 67091N108 | 412 | 49,395 | SH | | DFND | 1 | 49,395 | 0 | 0 |
OCULAR THERAPEUTIX INC | COM | 67576A100 | 597 | 71,375 | SH | | DFND | 1 | 71,375 | 0 | 0 |
ONEOK PARTNERS LP | UNIT LTD PARTN | 68268N103 | 290 | 6,750 | SH | | DFND | 1 | 6,750 | 0 | 0 |
ORGANOVO HLDGS INC | COM | 68620A104 | 85 | 25,000 | SH | | DFND | 1 | 25,000 | 0 | 0 |
PACE HLDGS CORP | *W EXP 99/99/999 | G6865N111 | 268 | 446,627 | SH | | DFND | 2 | 446,627 | 0 | 0 |
PACE HLDGS CORP | CL A | G6865N103 | 980 | 96,801 | SH | | DFND | 2 | 96,801 | 0 | 0 |
PACIFIC SPL ACQUISITION CORP | *W EXP 10/20/202 | G68588121 | 5 | 17,600 | SH | | DFND | 2 | 17,600 | 0 | 0 |
PACIFIC SPL ACQUISITION CORP | SHS | G68588105 | 213 | 20,600 | SH | | DFND | 2 | 20,600 | 0 | 0 |
PANDORA MEDIA INC | COM | 698354107 | 1,108 | 85,000 | SH | Put | DFND | 1 | 85,000 | 0 | 0 |
PARK HOTELS RESORTS INC | COM | 700517105 | 297 | 9,920 | SH | | DFND | 1 | 9,920 | 0 | 0 |
PAYPAL HLDGS INC | COM | 70450Y103 | 1,357 | 34,387 | SH | | DFND | 1 | 34,387 | 0 | 0 |
PENN NATL GAMING INC | COM | 707569109 | 1,434 | 104,000 | SH | | DFND | 1 | 104,000 | 0 | 0 |
PENNEY J C INC | COM | 708160106 | 1,556 | 187,189 | SH | | DFND | 1 | 187,189 | 0 | 0 |
PENNEY J C INC | COM | 708160106 | 693 | 83,400 | SH | Call | DFND | 1 | 83,400 | 0 | 0 |
PETROBRAS ARGENTINA S A | SPONS ADR | 71646J109 | 383 | 54,593 | SH | | DFND | 1 | 54,593 | 0 | 0 |
PFIZER INC | COM | 717081103 | 65 | 2,000 | SH | | DFND | 2 | 2,000 | 0 | 0 |
PFIZER INC | COM | 717081103 | 1,299 | 40,000 | SH | Call | DFND | 2 | 40,000 | 0 | 0 |
PFIZER INC | COM | 717081103 | 1,299 | 40,000 | SH | Put | DFND | 2 | 40,000 | 0 | 0 |
PINNACLE ENTMT INC NEW | COM | 72348Y105 | 447 | 30,832 | SH | | DFND | 1 | 30,832 | 0 | 0 |
POWERSHARES ETF TRUST II | SENIOR LN PORT | 73936Q769 | 21,636 | 926,200 | SH | Put | DFND | 3 | 926,200 | 0 | 0 |
POWERSHARES QQQ TRUST | UNIT SER 1 | 73935A104 | 3,697 | 31,200 | SH | Put | DFND | 1 | 31,200 | 0 | 0 |
POWERSHS DB MULTI SECT COMM | PS DB AGRICUL FD | 73936B408 | 5,070 | 253,900 | SH | Put | DFND | 3 | 253,900 | 0 | 0 |
PROSHARES TR | PSHS ULSHT SP500 | 74347B300 | 1,008 | 66,690 | SH | | DFND | 1 | 66,690 | 0 | 0 |
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 832 | 99,700 | SH | Put | DFND | 1 | 99,700 | 0 | 0 |
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 1,238 | 148,300 | SH | Put | DFND | 3 | 148,300 | 0 | 0 |
PRUDENTIAL SHT DURATION HG Y | COM | 74442F107 | 550 | 35,500 | SH | | DFND | 1 | 35,500 | 0 | 0 |
PTC INC | COM | 69370C100 | 899 | 19,427 | SH | | DFND | 1 | 19,427 | 0 | 0 |
PVH CORP | COM | 693656100 | 730 | 8,085 | SH | | DFND | 1 | 8,085 | 0 | 0 |
RAYTHEON CO | COM NEW | 755111507 | 504 | 3,550 | SH | | DFND | 1 | 3,550 | 0 | 0 |
RED HAT INC | COM | 756577102 | 1,604 | 23,018 | SH | | DFND | 1 | 23,018 | 0 | 0 |
REMARK MEDIA INC | COM | 75954W107 | 0 | 22,222 | SH | | DFND | 1 | 22,222 | 0 | 0 |
REPLIGEN CORP | COM | 759916109 | 1,140 | 37,000 | SH | Call | DFND | 2 | 37,000 | 0 | 0 |
RITE AID CORP | COM | 767754104 | 12,135 | 1,472,698 | SH | | DFND | 1 | 1,472,698 | 0 | 0 |
RITE AID CORP | COM | 767754104 | 41 | 5,000 | SH | Call | DFND | 2 | 5,000 | 0 | 0 |
RITE AID CORP | COM | 767754104 | 6,346 | 770,200 | SH | Put | DFND | 1 | 770,200 | 0 | 0 |
ROCKWELL COLLINS INC | COM | 774341101 | 2,618 | 28,228 | SH | | DFND | 1 | 28,228 | 0 | 0 |
SANOFI | RIGHT 12/31/2020 | 80105N113 | 54 | 142,624 | SH | | DFND | 2 | 142,624 | 0 | 0 |
SCHWAB CHARLES CORP NEW | COM | 808513105 | 651 | 16,500 | SH | | DFND | 1 | 16,500 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 11,624 | 224,800 | SH | Call | DFND | 3 | 224,800 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 5,336 | 103,200 | SH | Put | DFND | 1 | 103,200 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 4,706 | 91,000 | SH | Put | DFND | 3 | 91,000 | 0 | 0 |
SENSATA TECHNOLOGIES HLDG NV | SHS | N7902X106 | 2,993 | 76,841 | SH | | DFND | 1 | 76,841 | 0 | 0 |
SERVICENOW INC | COM | 81762P102 | 1,600 | 21,529 | SH | | DFND | 1 | 21,529 | 0 | 0 |
SHUTTERFLY INC | COM | 82568P304 | 477 | 9,500 | SH | | DFND | 1 | 9,500 | 0 | 0 |
SIBANYE GOLD LTD | SPONSORED ADR | 825724206 | 1,207 | 170,965 | SH | | DFND | 1 | 170,965 | 0 | 0 |
SIBANYE GOLD LTD | SPONSORED ADR | 825724206 | 3,772 | 534,200 | SH | Call | DFND | 1 | 534,200 | 0 | 0 |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 889 | 8,111 | SH | | DFND | 1 | 8,111 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 134,118 | 600,000 | SH | | DFND | 1 | 600,000 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 155,644 | 696,300 | SH | Put | DFND | 1 | 696,300 | 0 | 0 |
SPDR SER TR | BLOOMBERG SRT TR | 78468R408 | 1,568 | 56,660 | SH | | DFND | 1 | 56,660 | 0 | 0 |
SPECTRA ENERGY CORP | COM | 847560109 | 87,081 | 2,119,277 | SH | | DFND | 1 | 2,119,277 | 0 | 0 |
ST JUDE MED INC | COM | 790849103 | 99,790 | 1,244,421 | SH | | DFND | 1 | 1,244,421 | 0 | 0 |
STARBUCKS CORP | COM | 855244109 | 1,218 | 21,942 | SH | | DFND | 1 | 21,942 | 0 | 0 |
STERLING BANCORP DEL | COM | 85917A100 | 1,216 | 51,960 | SH | | DFND | 1 | 51,960 | 0 | 0 |
STILLWATER MNG CO | COM | 86074Q102 | 28,645 | 1,778,072 | SH | | DFND | 1 | 1,778,072 | 0 | 0 |
STILLWATER MNG CO | COM | 86074Q102 | 3,478 | 215,900 | SH | Put | DFND | 1 | 215,900 | 0 | 0 |
T MOBILE US INC | COM | 872590104 | 2,873 | 49,962 | SH | | DFND | 1 | 49,962 | 0 | 0 |
TAKE-TWO INTERACTIVE SOFTWAR | COM | 874054109 | 4,640 | 94,128 | SH | | DFND | 1 | 94,128 | 0 | 0 |
TECK RESOURCES LTD | CL B | 878742204 | 1,402 | 70,000 | SH | Put | DFND | 1 | 70,000 | 0 | 0 |
TERADYNE INC | COM | 880770102 | 1,367 | 53,800 | SH | Call | DFND | 2 | 53,800 | 0 | 0 |
TEVA PHARMACEUTICAL INDS LTD | ADR | 881624209 | 1,715 | 47,300 | SH | Call | DFND | 1 | 47,300 | 0 | 0 |
TIME WARNER INC | COM NEW | 887317303 | 73,667 | 763,151 | SH | | DFND | 1 | 763,151 | 0 | 0 |
TYSON FOODS INC | CL A | 902494103 | 834 | 13,518 | SH | | DFND | 1 | 13,518 | 0 | 0 |
UNDER ARMOUR INC | CL C | 904311206 | 310 | 12,316 | SH | | DFND | 1 | 12,316 | 0 | 0 |
VANECK VECTORS ETF TR | COAL ETF | 92189F809 | 1,716 | 140,000 | SH | Put | DFND | 1 | 140,000 | 0 | 0 |
VANECK VECTORS ETF TR | COAL ETF | 92189F809 | 2,480 | 202,300 | SH | Put | DFND | 3 | 202,300 | 0 | 0 |
VANECK VECTORS ETF TR | COAL ETF | 92189F809 | 2,480 | 202,300 | SH | Call | DFND | 3 | 202,300 | 0 | 0 |
VANECK VECTORS ETF TR | COAL ETF | 92189F809 | 1,716 | 140,000 | SH | Call | DFND | 1 | 140,000 | 0 | 0 |
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 5,676 | 271,300 | SH | Put | DFND | 3 | 271,300 | 0 | 0 |
VANECK VECTORS ETF TR | SEMICONDUCTOR ET | 92189F676 | 60,442 | 843,700 | SH | Put | DFND | 1 | 843,700 | 0 | 0 |
WESTERN REFNG INC | COM | 959319104 | 54,214 | 1,432,336 | SH | | DFND | 1 | 1,432,336 | 0 | 0 |
WHITEWAVE FOODS CO | COM | 966244105 | 15,590 | 280,400 | SH | Call | DFND | 1 | 280,400 | 0 | 0 |
WHITEWAVE FOODS CO | COM | 966244105 | 2,680 | 48,200 | SH | Put | DFND | 1 | 48,200 | 0 | 0 |
WHOLE FOODS MKT INC | COM | 966837106 | 2,955 | 96,062 | SH | | DFND | 1 | 96,062 | 0 | 0 |
WILLIS TOWERS WATSON PUB LTD | SHS | G96629103 | 1,552 | 12,695 | SH | | DFND | 1 | 12,695 | 0 | 0 |
WISDOMTREE TR | EUROPE HEDGED EQ | 97717X701 | 27,988 | 487,600 | SH | Call | DFND | 1 | 487,600 | 0 | 0 |
WISDOMTREE TR | EUROPE HEDGED EQ | 97717X701 | 41,604 | 724,800 | SH | Call | DFND | 3 | 724,800 | 0 | 0 |
WORLD WRESTLING ENTMT INC | CL A | 98156Q108 | 740 | 40,222 | SH | | DFND | 1 | 40,222 | 0 | 0 |
XILINX INC | COM | 983919101 | 4,772 | 79,046 | SH | | DFND | 1 | 79,046 | 0 | 0 |
XILINX INC | COM | 983919101 | 4,172 | 69,100 | SH | Call | DFND | 1 | 69,100 | 0 | 0 |
YAHOO INC | COM | 984332106 | 2,427 | 62,770 | SH | | DFND | 1 | 62,770 | 0 | 0 |
ZAYO GROUP HLDGS INC | COM | 98919V105 | 3,296 | 100,290 | SH | | DFND | 1 | 100,290 | 0 | 0 |
ZENDESK INC | COM | 98936J101 | 487 | 22,961 | SH | | DFND | 1 | 22,961 | 0 | 0 |
ZIMMER BIOMET HLDGS INC | COM | 98956P102 | 1,868 | 18,100 | SH | Call | DFND | 2 | 18,100 | 0 | 0 |
ZYNGA INC | CL A | 98986T108 | 1,964 | 764,242 | SH | | DFND | 1 | 764,242 | 0 | 0 |