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: | 03-31-2017 |
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 | 05-11-2017 |
[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: | 243 |
| Form 13F Information Table Value Total: | 2,072,061 |
| (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 | 028-17713 | 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 |
ABBVIE INC | COM | 00287Y109 | 326 | 50 | SH | Put | DFND | 2 | 50 | 0 | 0 |
ABBVIE INC | COM | 00287Y109 | 130 | 2,000 | SH | | DFND | 2 | 2,000 | 0 | 0 |
AERIE PHARMACEUTICALS INC | COM | 00771V108 | 454 | 100 | SH | Call | DFND | 2 | 100 | 0 | 0 |
AIR METHODS CORP | COM PAR $.06 | 009128307 | 13,629 | 316,961 | SH | | DFND | 1 | 316,961 | 0 | 0 |
ALERE INC | COM | 01449J105 | 4,059 | 102,161 | SH | | DFND | 1 | 102,161 | 0 | 0 |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 17,695 | 164,100 | SH | Put | DFND | 1 | 164,100 | 0 | 0 |
ALLERGAN PLC | SHS | G0177J108 | 3,524 | 14,750 | SH | | DFND | 1 | 14,750 | 0 | 0 |
ALLIED WRLD ASSUR COM HLDG A | SHS | H01531104 | 61,490 | 1,158,012 | SH | | DFND | 1 | 1,158,012 | 0 | 0 |
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 292 | 57 | SH | Call | DFND | 2 | 57 | 0 | 0 |
ALPHABET INC | CAP STK CL A | 02079K305 | 441 | 520 | SH | | DFND | 1 | 520 | 0 | 0 |
ALPHABET INC | CAP STK CL C | 02079K107 | 1,224 | 1,476 | SH | | DFND | 1 | 1,476 | 0 | 0 |
AMAZON COM INC | COM | 023135106 | 6,661 | 7,513 | SH | | DFND | 1 | 7,513 | 0 | 0 |
AMICUS THERAPEUTICS INC | COM | 03152W109 | 150 | 21,000 | SH | | DFND | 2 | 21,000 | 0 | 0 |
AMICUS THERAPEUTICS INC | COM | 03152W109 | 250 | 350 | SH | Put | DFND | 2 | 350 | 0 | 0 |
ANDINA ACQUISITION CORP II | SHS | G0441P104 | 1,411 | 139,853 | SH | | DFND | 2 | 139,853 | 0 | 0 |
ANHEUSER BUSCH INBEV SA/NV | SPONSORED ADR | 03524A108 | 811 | 7,385 | SH | | DFND | 1 | 7,385 | 0 | 0 |
ARRAY BIOPHARMA INC | COM | 04269X105 | 679 | 760 | SH | Call | DFND | 2 | 760 | 0 | 0 |
ARRAY BIOPHARMA INC | COM | 04269X105 | 679 | 760 | SH | Put | DFND | 2 | 760 | 0 | 0 |
ARRAY BIOPHARMA INC | COM | 04269X105 | 381 | 42,600 | SH | | DFND | 2 | 42,600 | 0 | 0 |
ASHFORD HOSPITALITY TR INC | COM SHS | 044103109 | 2,175 | 341,380 | SH | | DFND | 1 | 341,380 | 0 | 0 |
AT&T INC | COM | 00206R102 | 1,928 | 464 | SH | Call | DFND | 2 | 464 | 0 | 0 |
AT&T INC | COM | 00206R102 | 3,066 | 738 | SH | Put | DFND | 2 | 738 | 0 | 0 |
AVISTA HEALTHCARE PUB ACQ CO | *W EXP 99/99/999 | G0726L117 | 17 | 33,400 | SH | | DFND | 2 | 33,400 | 0 | 0 |
AVISTA HEALTHCARE PUB ACQ CO | CL A | G0726L125 | 575 | 58,160 | SH | | DFND | 2 | 58,160 | 0 | 0 |
BARINGTON HILCO ACQUISITION | COM | 06759V101 | 2,332 | 227,485 | SH | | DFND | 2 | 227,485 | 0 | 0 |
BIOVERATIV INC | COM | 09075E100 | 971 | 17,836 | SH | | DFND | 1 | 17,836 | 0 | 0 |
BLACKROCK CORPOR HI YLD FD I | COM | 09255P107 | 509 | 46,634 | SH | | DFND | 1 | 46,634 | 0 | 0 |
BOARDWALK PIPELINE PARTNERS | UT LTD PARTNER | 096627104 | 570 | 31,140 | SH | | DFND | 1 | 31,140 | 0 | 0 |
BOULEVARD ACQUISITION | CL A | 10157Q102 | 2,002 | 199,848 | SH | | DFND | 2 | 199,848 | 0 | 0 |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 9,174 | 1,687 | SH | Call | DFND | 2 | 1,687 | 0 | 0 |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 2,719 | 500 | SH | Put | DFND | 2 | 500 | 0 | 0 |
BRITISH AMERN TOB PLC | SPONSORED ADR | 110448107 | 3,979 | 60,000 | SH | | DFND | 1 | 60,000 | 0 | 0 |
BRITISH AMERN TOB PLC | SPONSORED ADR | 110448107 | 3,316 | 50,000 | SH | Call | DFND | 1 | 50,000 | 0 | 0 |
BROCADE COMMUNICATIONS SYS I | COM NEW | 111621306 | 81,870 | 6,560,136 | SH | | DFND | 1 | 6,560,136 | 0 | 0 |
BUCKEYE PARTNERS L P | UNIT LTD PARTN | 118230101 | 373 | 5,440 | SH | | DFND | 1 | 5,440 | 0 | 0 |
CABELAS INC | COM | 126804301 | 2,484 | 46,774 | SH | | DFND | 1 | 46,774 | 0 | 0 |
CABELAS INC | COM | 126804301 | 106 | 2,000 | SH | | DFND | 2 | 2,000 | 0 | 0 |
CABELAS INC | COM | 126804301 | 48 | 9 | SH | Call | DFND | 2 | 9 | 0 | 0 |
CABELAS INC | COM | 126804301 | 9,687 | 182,400 | SH | Put | DFND | 1 | 182,400 | 0 | 0 |
CADENCE DESIGN SYSTEM INC | COM | 127387108 | 937 | 29,850 | SH | | DFND | 1 | 29,850 | 0 | 0 |
CAPITAL ONE FINL CORP | COM | 14040H105 | 433 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
CAPITOL ACQUISITION CORP III | *W EXP 10/19/202 | 14055M114 | 306 | 160,931 | SH | | DFND | 2 | 160,931 | 0 | 0 |
CAPITOL ACQUISITION CORP III | UNIT 99/99/9999 | 14055M205 | 340 | 29,473 | SH | | DFND | 2 | 29,473 | 0 | 0 |
CENTRAL FD CDA LTD | CL A | 153501101 | 2,345 | 182,350 | SH | | DFND | 1 | 182,350 | 0 | 0 |
CENTURYLINK INC | COM | 156700106 | 31,441 | 1,333,900 | SH | Call | DFND | 1 | 1,333,900 | 0 | 0 |
CENTURYLINK INC | COM | 156700106 | 1,445 | 613 | SH | Call | DFND | 2 | 613 | 0 | 0 |
CF CORP | *W EXP 05/25/202 | G20307115 | 396 | 290,873 | SH | | DFND | 2 | 290,873 | 0 | 0 |
CF CORP | UNIT 99/99/9999E | G20307123 | 3,318 | 310,101 | SH | | DFND | 2 | 310,101 | 0 | 0 |
CHARTER COMMUNICATIONS INC N | CL A | 16119P108 | 4,451 | 136 | SH | Call | DFND | 2 | 136 | 0 | 0 |
CHEMTURA CORP | COM NEW | 163893209 | 1,705 | 51,060 | SH | | DFND | 1 | 51,060 | 0 | 0 |
CIGNA CORPORATION | COM | 125509109 | 9,826 | 67,078 | SH | | DFND | 1 | 67,078 | 0 | 0 |
CISCO SYS INC | COM | 17275R102 | 169 | 5,000 | SH | | DFND | 2 | 5,000 | 0 | 0 |
CISCO SYS INC | COM | 17275R102 | 338 | 100 | SH | Put | DFND | 2 | 100 | 0 | 0 |
CITRIX SYS INC | COM | 177376100 | 9,965 | 119,493 | SH | | DFND | 1 | 119,493 | 0 | 0 |
CLOVIS ONCOLOGY INC | COM | 189464100 | 96 | 1,500 | SH | | DFND | 2 | 1,500 | 0 | 0 |
CLOVIS ONCOLOGY INC | COM | 189464100 | 1,458 | 229 | SH | Call | DFND | 2 | 229 | 0 | 0 |
CLOVIS ONCOLOGY INC | COM | 189464100 | 1,458 | 229 | SH | Put | DFND | 2 | 229 | 0 | 0 |
COBALT INTL ENERGY INC | COM | 19075F106 | 13 | 25,000 | SH | | DFND | 2 | 25,000 | 0 | 0 |
COMMUNITY HEALTH SYS INC NEW | RIGHT 99/99/9999 | 203668116 | 1 | 151,251 | SH | | DFND | 2 | 151,251 | 0 | 0 |
CONAGRA BRANDS INC | COM | 205887102 | 1,152 | 28,569 | SH | | DFND | 1 | 28,569 | 0 | 0 |
CONAGRA BRANDS INC | COM | 205887102 | 1,311 | 32,500 | SH | Call | DFND | 1 | 32,500 | 0 | 0 |
CONDUENT INC | COM | 206787103 | 1,389 | 82,800 | SH | | DFND | 1 | 82,800 | 0 | 0 |
CPFL ENERGIA S A | SPONSORED ADR | 126153105 | 4,917 | 300,000 | SH | | DFND | 1 | 300,000 | 0 | 0 |
CURRENCYSHARES EURO TR | EURO SHS | 23130C108 | 5,894 | 57,000 | SH | Call | DFND | 3 | 57,000 | 0 | 0 |
CURRENCYSHARES EURO TR | EURO SHS | 23130C108 | 5,894 | 57,000 | SH | Put | DFND | 3 | 57,000 | 0 | 0 |
CURRENCYSHS JAPANESE YEN TR | JAPANESE YEN | 23130A102 | 49,334 | 570,200 | SH | Put | DFND | 3 | 570,200 | 0 | 0 |
CYTOSORBENTS CORP | COM NEW | 23283X206 | 248 | 55,065 | SH | | DFND | 2 | 55,065 | 0 | 0 |
DASEKE INC | *W EXP 03/31/202 | 23753F115 | 325 | 289,908 | SH | | DFND | 2 | 289,908 | 0 | 0 |
DELL TECHNOLOGIES INC | COM CL V | 24703L103 | 52,286 | 815,954 | SH | | DFND | 1 | 815,954 | 0 | 0 |
DEUTSCHE BANK AG | NAMEN AKT | D18190898 | 858 | 50,000 | SH | | DFND | 1 | 50,000 | 0 | 0 |
DEUTSCHE BANK AG | NAMEN AKT | D18190898 | 1,287 | 75,000 | SH | Put | DFND | 1 | 75,000 | 0 | 0 |
DEUTSCHE BK AG | RIGHT 04/06/2017 | D1T769565 | 118 | 50,000 | SH | | DFND | 1 | 50,000 | 0 | 0 |
DOLLAR GEN CORP NEW | COM | 256677105 | 244 | 3,500 | SH | | DFND | 1 | 3,500 | 0 | 0 |
DOLLAR TREE INC | COM | 256746108 | 275 | 3,500 | SH | | DFND | 1 | 3,500 | 0 | 0 |
DOUBLE EAGLE ACQUISITION COR | *W EXP 09/16/202 | G28195116 | 44 | 78,500 | SH | | DFND | 2 | 78,500 | 0 | 0 |
DOW CHEM CO | COM | 260543103 | 1,862 | 293 | SH | Call | DFND | 2 | 293 | 0 | 0 |
DU PONT E I DE NEMOURS & CO | COM | 263534109 | 4,017 | 500 | SH | Put | DFND | 2 | 500 | 0 | 0 |
DU PONT E I DE NEMOURS & CO | COM | 263534109 | 40,277 | 501,395 | SH | | DFND | 1 | 501,395 | 0 | 0 |
E TRADE FINANCIAL CORP | COM NEW | 269246401 | 2,285 | 65,500 | SH | | DFND | 2 | 65,500 | 0 | 0 |
E TRADE FINANCIAL CORP | COM NEW | 269246401 | 2,791 | 800 | SH | Call | DFND | 2 | 800 | 0 | 0 |
E TRADE FINANCIAL CORP | COM NEW | 269246401 | 2,442 | 700 | SH | Put | DFND | 2 | 700 | 0 | 0 |
ELECTRUM SPL ACQUISITION COR | SHS | G3105C104 | 1,146 | 114,614 | SH | | DFND | 2 | 114,614 | 0 | 0 |
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 931 | 33,735 | SH | | DFND | 1 | 33,735 | 0 | 0 |
FAIRPOINT COMMUNICATIONS INC | COM NEW | 305560302 | 10,893 | 656,225 | SH | | DFND | 1 | 656,225 | 0 | 0 |
FELCOR LODGING TR INC | COM | 31430F101 | 9,796 | 1,304,395 | SH | | DFND | 1 | 1,304,395 | 0 | 0 |
FIDELITY NATIONAL FINANCIAL | FNF GROUP COM | 31620R303 | 2,521 | 64,742 | SH | | DFND | 1 | 64,742 | 0 | 0 |
FINTECH ACQUISITION CORP II | UNIT 99/99/9999 | 31810G208 | 126 | 12,313 | SH | | DFND | 2 | 12,313 | 0 | 0 |
FREDS INC | CL A | 356108100 | 328 | 250 | SH | Call | DFND | 2 | 250 | 0 | 0 |
GENERAL DYNAMICS CORP | COM | 369550108 | 562 | 3,000 | SH | | DFND | 1 | 3,000 | 0 | 0 |
GORES HLDGS II INC | *W EXP 03/06/202 | 382867117 | 67 | 53,417 | SH | | DFND | 2 | 53,417 | 0 | 0 |
GORES HLDGS II INC | UNIT 99/99/9999 | 382867208 | 1,717 | 166,888 | SH | | DFND | 2 | 166,888 | 0 | 0 |
GTY TECHNOLOGY HOLDINGS INC | UNIT 99/99/9999 | G4182A110 | 1,678 | 162,619 | SH | | DFND | 2 | 162,619 | 0 | 0 |
HALOZYME THERAPEUTICS INC | COM | 40637H109 | 26 | 2,000 | SH | | DFND | 2 | 2,000 | 0 | 0 |
HALOZYME THERAPEUTICS INC | COM | 40637H109 | 518 | 400 | SH | Call | DFND | 2 | 400 | 0 | 0 |
HALOZYME THERAPEUTICS INC | COM | 40637H109 | 259 | 200 | SH | Put | DFND | 2 | 200 | 0 | 0 |
HCA HOLDINGS INC | COM | 40412C101 | 3,132 | 352 | SH | Call | DFND | 2 | 352 | 0 | 0 |
HEADWATERS INC | COM | 42210P102 | 14,165 | 603,282 | SH | | DFND | 1 | 603,282 | 0 | 0 |
HOLLYFRONTIER CORP | COM | 436106108 | 567 | 20,000 | SH | | DFND | 2 | 20,000 | 0 | 0 |
HOLLYFRONTIER CORP | COM | 436106108 | 1,165 | 411 | SH | Put | DFND | 2 | 411 | 0 | 0 |
HOLOGIC INC | COM | 436440101 | 213 | 5,000 | SH | | DFND | 2 | 5,000 | 0 | 0 |
HOLOGIC INC | COM | 436440101 | 319 | 75 | SH | Put | DFND | 2 | 75 | 0 | 0 |
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 2,947 | 1,044,897 | SH | | DFND | 2 | 1,044,897 | 0 | 0 |
HRG GROUP INC | COM | 40434J100 | 4,236 | 219,250 | SH | | DFND | 1 | 219,250 | 0 | 0 |
ILG INC | COM | 44967H101 | 589 | 28,100 | SH | | DFND | 1 | 28,100 | 0 | 0 |
IMPERVA INC | COM | 45321L100 | 776 | 18,908 | SH | | DFND | 1 | 18,908 | 0 | 0 |
INSPIRED ENTMT INC | COM | 45782N108 | 133 | 12,558 | SH | | DFND | 2 | 12,558 | 0 | 0 |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 784 | 4,500 | SH | | DFND | 1 | 4,500 | 0 | 0 |
INTREPID POTASH INC | COM | 46121Y102 | 17 | 10,000 | SH | | DFND | 2 | 10,000 | 0 | 0 |
ISHARES | MSCI CDA ETF | 464286509 | 9,196 | 342,100 | SH | Call | DFND | 3 | 342,100 | 0 | 0 |
ISHARES | MSCI STH KOR ETF | 464286772 | 32,915 | 532,000 | SH | Call | DFND | 3 | 532,000 | 0 | 0 |
ISHARES SILVER TRUST | ISHARES | 46428Q109 | 863 | 50,000 | SH | Put | DFND | 1 | 50,000 | 0 | 0 |
ISHARES TR | MSCI EAFE ETF | 464287465 | 2,367 | 38,000 | SH | Call | DFND | 3 | 38,000 | 0 | 0 |
ISHARES TR | MSCI UK ETF NEW | 46435G334 | 6,155 | 189,100 | SH | Put | DFND | 3 | 189,100 | 0 | 0 |
ISHARES TR | NASDQ BIOTEC ETF | 464287556 | 609 | 2,075 | SH | | DFND | 1 | 2,075 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 158,584 | 1,153,500 | SH | Put | DFND | 1 | 1,153,500 | 0 | 0 |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 481 | 35 | SH | Put | DFND | 2 | 35 | 0 | 0 |
JOHNSON CTLS INTL PLC | SHS | G51502105 | 1,145 | 27,180 | SH | | DFND | 1 | 27,180 | 0 | 0 |
JUNO THERAPEUTICS INC | COM | 48205A109 | 224 | 101 | SH | Call | DFND | 2 | 101 | 0 | 0 |
KATE SPADE & CO | COM | 485865109 | 980 | 422 | SH | Put | DFND | 2 | 422 | 0 | 0 |
KATE SPADE & CO | COM | 485865109 | 2,439 | 105,005 | SH | | DFND | 1 | 105,005 | 0 | 0 |
KATE SPADE & CO | COM | 485865109 | 348 | 15,000 | SH | | DFND | 2 | 15,000 | 0 | 0 |
KATE SPADE & CO | COM | 485865109 | 4,051 | 1,745 | SH | Call | DFND | 2 | 1,745 | 0 | 0 |
KAYNE ANDERSON ACQUISITION | UNIT 06/30/2022 | 48661U201 | 2,714 | 270,826 | SH | | DFND | 1 | 270,826 | 0 | 0 |
KINDER MORGAN INC DEL | *W EXP 05/25/201 | 49456B119 | 2 | 881,814 | SH | | DFND | 2 | 881,814 | 0 | 0 |
LA JOLLA PHARMACEUTICAL CO | COM PAR $.0001 2 | 503459604 | 299 | 100 | SH | Call | DFND | 2 | 100 | 0 | 0 |
LENNAR CORP | CL B | 526057302 | 700 | 16,736 | SH | | DFND | 1 | 16,736 | 0 | 0 |
LEVEL 3 COMMUNICATIONS INC | COM NEW | 52729N308 | 128,102 | 2,238,768 | SH | | DFND | 1 | 2,238,768 | 0 | 0 |
LIBERTY BROADBAND CORP | COM SER A | 530307107 | 6,342 | 74,533 | SH | | DFND | 1 | 74,533 | 0 | 0 |
LIBERTY GLOBAL PLC | LILAC SHS CL C | G5480U153 | 386 | 16,750 | SH | | DFND | 1 | 16,750 | 0 | 0 |
LIBERTY INTERACTIVE CORP | LBT VEN COM A NE | 53071M856 | 7,873 | 177,007 | SH | | DFND | 1 | 177,007 | 0 | 0 |
LIBERTY INTERACTIVE CORP | QVC GP COM SER A | 53071M104 | 1,236 | 61,749 | SH | | DFND | 1 | 61,749 | 0 | 0 |
LIBERTY MEDIA CORP DELAWARE | COM A SIRIUSXM | 531229409 | 10,340 | 265,674 | SH | | DFND | 1 | 265,674 | 0 | 0 |
LIBERTY MEDIA CORP DELAWARE | COM C SIRIUSXM | 531229607 | 3,421 | 88,207 | SH | | DFND | 1 | 88,207 | 0 | 0 |
LIBERTY MEDIA CORP DELAWARE | COM SER A FRMLA | 531229870 | 5,354 | 163,718 | SH | | DFND | 1 | 163,718 | 0 | 0 |
LMI AEROSPACE INC | COM | 502079106 | 730 | 530 | SH | Put | DFND | 2 | 530 | 0 | 0 |
LOGMEIN INC | COM | 54142L109 | 1,511 | 15,500 | SH | | DFND | 1 | 15,500 | 0 | 0 |
M III ACQUISITION CORP | UNIT 99/99/9999T | 55378T203 | 962 | 95,500 | SH | | DFND | 1 | 95,500 | 0 | 0 |
M III ACQUISITION CORP | UNIT 99/99/9999T | 55378T203 | 94 | 9,360 | SH | | DFND | 2 | 9,360 | 0 | 0 |
MACYS INC | COM | 55616P104 | 1,770 | 597 | SH | Call | DFND | 2 | 597 | 0 | 0 |
MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 1,076 | 13,984 | SH | | DFND | 1 | 13,984 | 0 | 0 |
MATTEL INC | COM | 577081102 | 1,281 | 500 | SH | Call | DFND | 2 | 500 | 0 | 0 |
MEAD JOHNSON NUTRITION CO | COM | 582839106 | 112,719 | 1,265,370 | SH | | DFND | 1 | 1,265,370 | 0 | 0 |
MEAD JOHNSON NUTRITION CO | COM | 582839106 | 7,741 | 869 | SH | Call | DFND | 2 | 869 | 0 | 0 |
MEAD JOHNSON NUTRITION CO | COM | 582839106 | 4,375 | 491 | SH | Put | DFND | 2 | 491 | 0 | 0 |
MEDICINES CO | COM | 584688105 | 245 | 5,000 | SH | | DFND | 2 | 5,000 | 0 | 0 |
MEDICINES CO | COM | 584688105 | 807 | 165 | SH | Put | DFND | 2 | 165 | 0 | 0 |
MERCK & CO INC | COM | 58933Y105 | 1,106 | 174 | SH | Call | DFND | 2 | 174 | 0 | 0 |
MOBILEYE N V AMSTELVEEN | ORD SHS | N51488117 | 7,061 | 1,150 | SH | Put | DFND | 2 | 1,150 | 0 | 0 |
MOBILEYE N V AMSTELVEEN | ORD SHS | N51488117 | 104,505 | 1,702,033 | SH | | DFND | 1 | 1,702,033 | 0 | 0 |
MOBILEYE N V AMSTELVEEN | ORD SHS | N51488117 | 1,842 | 30,000 | SH | | DFND | 2 | 30,000 | 0 | 0 |
MOBILEYE N V AMSTELVEEN | ORD SHS | N51488117 | 8,535 | 1,390 | SH | Call | DFND | 2 | 1,390 | 0 | 0 |
MOLSON COORS BREWING CO | CL B | 60871R209 | 1,834 | 19,164 | SH | | DFND | 1 | 19,164 | 0 | 0 |
MONSANTO CO NEW | COM | 61166W101 | 114,876 | 1,014,804 | SH | | DFND | 1 | 1,014,804 | 0 | 0 |
MONSANTO CO NEW | COM | 61166W101 | 53,453 | 472,200 | SH | Call | DFND | 1 | 472,200 | 0 | 0 |
MONSANTO CO NEW | COM | 61166W101 | 3,894 | 34,400 | SH | Put | DFND | 1 | 34,400 | 0 | 0 |
MOSAIC CO NEW | COM | 61945C103 | 248 | 85 | SH | Call | DFND | 2 | 85 | 0 | 0 |
NCR CORP NEW | COM | 62886E108 | 457 | 10,000 | SH | | DFND | 2 | 10,000 | 0 | 0 |
NCR CORP NEW | COM | 62886E108 | 799 | 175 | SH | Call | DFND | 2 | 175 | 0 | 0 |
NCR CORP NEW | COM | 62886E108 | 114 | 25 | SH | Put | DFND | 2 | 25 | 0 | 0 |
NEW YORK REIT INC | COM | 64976L109 | 39,758 | 4,102,957 | SH | | DFND | 1 | 4,102,957 | 0 | 0 |
NEW YORK REIT INC | COM | 64976L109 | 1,502 | 155,000 | SH | Call | DFND | 1 | 155,000 | 0 | 0 |
NEXEO SOLUTIONS INC | *W EXP 06/09/202 | 65342H110 | 45 | 62,037 | SH | | DFND | 2 | 62,037 | 0 | 0 |
NEXTERA ENERGY INC | COM | 65339F101 | 642 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
NIELSEN HLDGS PLC | SHS EUR | G6518L108 | 929 | 22,500 | SH | | DFND | 1 | 22,500 | 0 | 0 |
NIMBLE STORAGE INC | COM | 65440R101 | 2,500 | 2,000 | SH | Call | DFND | 2 | 2,000 | 0 | 0 |
NIMBLE STORAGE INC | COM | 65440R101 | 8,552 | 684,200 | SH | Call | DFND | 1 | 684,200 | 0 | 0 |
NORTHROP GRUMMAN CORP | COM | 666807102 | 476 | 2,000 | SH | | DFND | 1 | 2,000 | 0 | 0 |
NVIDIA CORP | COM | 67066G104 | 709 | 6,511 | SH | | DFND | 1 | 6,511 | 0 | 0 |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 143,847 | 1,389,828 | SH | | DFND | 1 | 1,389,828 | 0 | 0 |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 1,035 | 10,000 | SH | | DFND | 2 | 10,000 | 0 | 0 |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 10,112 | 977 | SH | Call | DFND | 2 | 977 | 0 | 0 |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 6,935 | 670 | SH | Put | DFND | 2 | 670 | 0 | 0 |
OCI PARTNERS LP | COM UNIT REP LP | 67091N108 | 957 | 95,670 | SH | | DFND | 1 | 95,670 | 0 | 0 |
ONEOK PARTNERS LP | UNIT LTD PARTN | 68268N103 | 364 | 6,750 | SH | | DFND | 1 | 6,750 | 0 | 0 |
ORGANOVO HLDGS INC | COM | 68620A104 | 80 | 25,000 | SH | | DFND | 1 | 25,000 | 0 | 0 |
PANDORA MEDIA INC | COM | 698354107 | 621 | 52,600 | SH | Call | DFND | 1 | 52,600 | 0 | 0 |
PANDORA MEDIA INC | COM | 698354107 | 1,049 | 88,800 | SH | | DFND | 1 | 88,800 | 0 | 0 |
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 193 | 100 | SH | Call | DFND | 2 | 100 | 0 | 0 |
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 193 | 100 | SH | Put | DFND | 2 | 100 | 0 | 0 |
PAYPAL HLDGS INC | COM | 70450Y103 | 1,064 | 24,737 | SH | | DFND | 1 | 24,737 | 0 | 0 |
PENN NATL GAMING INC | COM | 707569109 | 1,010 | 54,800 | SH | Call | DFND | 1 | 54,800 | 0 | 0 |
PENN NATL GAMING INC | COM | 707569109 | 2,454 | 133,150 | SH | | DFND | 1 | 133,150 | 0 | 0 |
PETROBRAS ARGENTINA S A | SPONS ADR | 71646J109 | 1,798 | 162,731 | SH | | DFND | 1 | 162,731 | 0 | 0 |
PINNACLE ENTMT INC NEW | COM | 72348Y105 | 589 | 30,191 | SH | | DFND | 1 | 30,191 | 0 | 0 |
PLAINS ALL AMERN PIPELINE L | UNIT LTD PARTN | 726503105 | 629 | 19,900 | SH | | DFND | 1 | 19,900 | 0 | 0 |
POWERSHARES ETF TRUST II | SENIOR LN PORT | 73936Q769 | 21,543 | 926,200 | SH | Put | DFND | 3 | 926,200 | 0 | 0 |
PRIVATEBANCORP INC | COM | 742962103 | 3,068 | 51,672 | SH | | DFND | 1 | 51,672 | 0 | 0 |
PROSHARES TR | PSHS ULSHT SP500 | 74347B300 | 759 | 56,425 | SH | | DFND | 1 | 56,425 | 0 | 0 |
PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 2,242 | 248,000 | SH | Put | DFND | 3 | 248,000 | 0 | 0 |
PRUDENTIAL SHT DURATION HG Y | COM | 74442F107 | 546 | 35,500 | SH | | DFND | 1 | 35,500 | 0 | 0 |
QUINPARIO ACQUISITION CORP 2 | *W EXP 01/01/202 | 74874U119 | 318 | 635,566 | SH | | DFND | 2 | 635,566 | 0 | 0 |
QUINPARIO ACQUISITION CORP 2 | COM | 74874U101 | 7,304 | 732,580 | SH | | DFND | 2 | 732,580 | 0 | 0 |
RAYTHEON CO | COM NEW | 755111507 | 534 | 3,500 | SH | | DFND | 1 | 3,500 | 0 | 0 |
REYNOLDS AMERICAN INC | COM | 761713106 | 6,950 | 110,285 | SH | | DFND | 1 | 110,285 | 0 | 0 |
RITE AID CORP | COM | 767754104 | 3,024 | 7,114 | SH | Call | DFND | 2 | 7,114 | 0 | 0 |
RITE AID CORP | COM | 767754104 | 4,445 | 10,457 | SH | Put | DFND | 2 | 10,457 | 0 | 0 |
RITE AID CORP | COM | 767754104 | 4,568 | 1,074,900 | SH | Call | DFND | 1 | 1,074,900 | 0 | 0 |
RITE AID CORP | COM | 767754104 | 482 | 113,300 | SH | | DFND | 2 | 113,300 | 0 | 0 |
SCHWAB CHARLES CORP NEW | COM | 808513105 | 673 | 16,500 | SH | | DFND | 1 | 16,500 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 12,450 | 228,100 | SH | Put | DFND | 3 | 228,100 | 0 | 0 |
SIBANYE GOLD LTD | SPONSORED ADR | 825724206 | 1,357 | 154,000 | SH | Call | DFND | 1 | 154,000 | 0 | 0 |
SINA CORP | ORD | G81477104 | 1,803 | 25,000 | SH | | DFND | 1 | 25,000 | 0 | 0 |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 1,187 | 10,000 | SH | Put | DFND | 1 | 10,000 | 0 | 0 |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 915 | 7,710 | SH | | DFND | 1 | 7,710 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 3,677 | 156 | SH | Call | DFND | 2 | 156 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 94 | 4 | SH | Put | DFND | 2 | 4 | 0 | 0 |
SPDR SER TR | BLOOMBERG SRT TR | 78468R408 | 1,574 | 56,290 | SH | | DFND | 1 | 56,290 | 0 | 0 |
SPDR SERIES TRUST | S&P OILGAS EXP | 78464A730 | 14,227 | 380,000 | SH | Call | DFND | 3 | 380,000 | 0 | 0 |
SPDR SERIES TRUST | S&P RETAIL ETF | 78464A714 | 211 | 5,000 | SH | | DFND | 2 | 5,000 | 0 | 0 |
SPROUTS FMRS MKT INC | COM | 85208M102 | 335 | 145 | SH | Call | DFND | 2 | 145 | 0 | 0 |
STELLAR ACQUISITION III INC | COM | Y8172W107 | 676 | 66,449 | SH | | DFND | 2 | 66,449 | 0 | 0 |
STEMLINE THERAPEUTICS INC | COM | 85858C107 | 657 | 76,900 | SH | | DFND | 1 | 76,900 | 0 | 0 |
STERLING BANCORP DEL | COM | 85917A100 | 1,231 | 51,960 | SH | | DFND | 1 | 51,960 | 0 | 0 |
STILLWATER MNG CO | COM | 86074Q102 | 3,335 | 193,100 | SH | Put | DFND | 1 | 193,100 | 0 | 0 |
SUBURBAN PROPANE PARTNERS L | UNIT LTD PARTN | 864482104 | 553 | 20,511 | SH | | DFND | 1 | 20,511 | 0 | 0 |
T MOBILE US INC | COM | 872590104 | 452 | 7,000 | SH | | DFND | 1 | 7,000 | 0 | 0 |
TERADYNE INC | COM | 880770102 | 370 | 11,900 | SH | | DFND | 2 | 11,900 | 0 | 0 |
TIME INC NEW | COM | 887228104 | 290 | 15,000 | SH | | DFND | 2 | 15,000 | 0 | 0 |
TIME INC NEW | COM | 887228104 | 571 | 295 | SH | Put | DFND | 2 | 295 | 0 | 0 |
TIME WARNER INC | COM NEW | 887317303 | 143,876 | 1,472,479 | SH | | DFND | 1 | 1,472,479 | 0 | 0 |
TIME WARNER INC | COM NEW | 887317303 | 1,925 | 19,700 | SH | | DFND | 2 | 19,700 | 0 | 0 |
TIME WARNER INC | COM NEW | 887317303 | 17,822 | 182,400 | SH | Put | DFND | 1 | 182,400 | 0 | 0 |
TIME WARNER INC | COM NEW | 887317303 | 9,742 | 997 | SH | Put | DFND | 2 | 997 | 0 | 0 |
TOYOTA MOTOR CORP | SP ADR REP2COM | 892331307 | 576 | 5,300 | SH | | DFND | 1 | 5,300 | 0 | 0 |
TRIBUNE MEDIA CO | CL A | 896047503 | 1,211 | 32,500 | SH | | DFND | 1 | 32,500 | 0 | 0 |
UNILEVER N V | N Y SHS NEW | 904784709 | 4,615 | 92,900 | SH | Put | DFND | 1 | 92,900 | 0 | 0 |
UNILEVER N V | N Y SHS NEW | 904784709 | 2,742 | 552 | SH | Put | DFND | 2 | 552 | 0 | 0 |
UNILEVER N V | N Y SHS NEW | 904784709 | 1,617 | 32,550 | SH | | DFND | 2 | 32,550 | 0 | 0 |
UNILEVER PLC | SPON ADR NEW | 904767704 | 3,186 | 64,572 | SH | | DFND | 1 | 64,572 | 0 | 0 |
VALSPAR CORP | COM | 920355104 | 555 | 5,000 | SH | | DFND | 2 | 5,000 | 0 | 0 |
VALSPAR CORP | COM | 920355104 | 144 | 13 | SH | Put | DFND | 2 | 13 | 0 | 0 |
VANECK VECTORS ETF TR | COAL ETF | 92189F809 | 4,734 | 342,300 | SH | Call | DFND | 3 | 342,300 | 0 | 0 |
VANECK VECTORS ETF TR | COAL ETF | 92189F809 | 4,734 | 342,300 | SH | Put | DFND | 3 | 342,300 | 0 | 0 |
VANECK VECTORS ETF TR | SEMICONDUCTOR ET | 92189F676 | 34,212 | 429,200 | SH | Put | DFND | 1 | 429,200 | 0 | 0 |
VECTOR GROUP LTD | COM | 92240M108 | 936 | 45,000 | SH | | DFND | 1 | 45,000 | 0 | 0 |
WALTER INVT MGMT CORP | NOTE 4.500%11/0 | 93317WAA0 | 165 | 500,000 | PRN | | DFND | 1 | 500,000 | 0 | 0 |
WEST CORP | COM | 952355204 | 8,783 | 359,672 | SH | | DFND | 1 | 359,672 | 0 | 0 |
WESTERN REFNG INC | COM | 959319104 | 71,311 | 2,033,402 | SH | | DFND | 1 | 2,033,402 | 0 | 0 |
WILLIAMS COS INC DEL | COM | 969457100 | 1,110 | 375 | SH | Call | DFND | 2 | 375 | 0 | 0 |
XILINX INC | COM | 983919101 | 1,098 | 18,975 | SH | | DFND | 1 | 18,975 | 0 | 0 |
XILINX INC | COM | 983919101 | 1,447 | 250 | SH | Call | DFND | 2 | 250 | 0 | 0 |
YAHOO INC | COM | 984332106 | 52,098 | 1,122,562 | SH | | DFND | 1 | 1,122,562 | 0 | 0 |
ZELTIQ AESTHETICS INC | COM | 98933Q108 | 2,308 | 415 | SH | Call | DFND | 2 | 415 | 0 | 0 |