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: | 06-30-2013 |
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 | 08-14-2013 |
[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: | 5 | | |
| Form 13F Information Table Entry Total: | 281 |
| Form 13F Information Table Value Total: | 988,215 |
| (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 | 028-13626 | Ramius LLC |
| 2 | 028-10674 | RAMIUS ADVISORS LLC |
| 3 | 028-14361 | Ramius Alternative Solutions LLC |
| 4 | 028-10501 | COWEN CAPITAL LLC |
| 5 | 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 |
ACTAVIS INC | COM | 00507K103 | 6,361 | 50,400 | SH | | DFND | 2 | 50,400 | 0 | 0 |
ACTAVIS INC | COM | 00507K103 | 2,550 | 20,200 | SH | Call | DFND | 5 | 20,200 | 0 | 0 |
AEGERION PHARMACEUTICALS INC | COM | 00767E102 | 1,628 | 25,700 | SH | Call | DFND | 5 | 25,700 | 0 | 0 |
AGENUS INC | COM NEW | 00847G705 | 99 | 26,200 | SH | | DFND | 2 | 26,200 | 0 | 0 |
AMERICAN DG ENERGY INC | COM | 025398108 | 26 | 19,500 | SH | | DFND | 2 | 19,500 | 0 | 0 |
APPLE INC | COM | 037833100 | 3,966 | 10,000 | SH | | DFND | 2 | 10,000 | 0 | 0 |
ARBITRON INC | COM | 03875Q108 | 6,408 | 137,965 | SH | | DFND | 2 | 137,965 | 0 | 0 |
ARENA PHARMACEUTICALS INC | COM | 040047102 | 116 | 15,000 | SH | | DFND | 2 | 15,000 | 0 | 0 |
ARIAD PHARMACEUTICALS INC | COM | 04033A100 | 787 | 45,000 | SH | | DFND | 2 | 45,000 | 0 | 0 |
ASTA FDG INC | COM | 046220109 | 138 | 16,000 | SH | | DFND | 2 | 16,000 | 0 | 0 |
AT&T INC | COM | 00206R102 | 1,593 | 45,000 | SH | | DFND | 2 | 45,000 | 0 | 0 |
ATHENAHEALTH INC | COM | 04685W103 | 703 | 8,300 | SH | Call | DFND | 5 | 8,300 | 0 | 0 |
AWARE INC MASS | COM | 05453N100 | 219 | 42,200 | SH | | DFND | 2 | 42,200 | 0 | 0 |
AXT INC | COM | 00246W103 | 171 | 63,400 | SH | | DFND | 2 | 63,400 | 0 | 0 |
BANK OF AMERICA CORPORATION | COM | 060505104 | 9,002 | 700,000 | SH | | DFND | 2 | 700,000 | 0 | 0 |
BAXTER INTL INC | COM | 071813109 | 1,385 | 20,000 | SH | Put | DFND | 5 | 20,000 | 0 | 0 |
BAXTER INTL INC | COM | 071813109 | 422 | 6,100 | SH | Call | DFND | 5 | 6,100 | 0 | 0 |
BAXTER INTL INC | COM | 071813109 | 1,185 | 17,100 | SH | | DFND | 5 | 17,100 | 0 | 0 |
BELO CORP | COM SER A | 080555105 | 2,020 | 144,800 | SH | | DFND | 2 | 144,800 | 0 | 0 |
BERRY PETE CO | CL A | 085789105 | 19,050 | 450,140 | SH | | DFND | 2 | 450,140 | 0 | 0 |
BG MEDICINE INC | COM | 08861T107 | 91 | 68,400 | SH | | DFND | 2 | 68,400 | 0 | 0 |
BIOGEN IDEC INC | COM | 09062X103 | 753 | 3,500 | SH | Call | DFND | 5 | 3,500 | 0 | 0 |
BMC SOFTWARE INC | COM | 055921100 | 19,591 | 434,111 | SH | | DFND | 2 | 434,111 | 0 | 0 |
BMC SOFTWARE INC | COM | 055921100 | 316 | 7,000 | SH | | DFND | 5 | 7,000 | 0 | 0 |
BOARDWALK PIPELINE PARTNERS | UT LTD PARTNER | 096627104 | 622 | 20,600 | SH | | DFND | 2 | 20,600 | 0 | 0 |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 3,703 | 82,838 | SH | | DFND | 2 | 82,838 | 0 | 0 |
BSB BANCORP INC MD | COM | 05573H108 | 158 | 12,000 | SH | | DFND | 2 | 12,000 | 0 | 0 |
BUCKEYE PARTNERS L P | UNIT LTD PARTN | 118230101 | 1,316 | 18,750 | SH | | DFND | 2 | 18,750 | 0 | 0 |
CADIZ INC | COM NEW | 127537207 | 110 | 24,000 | SH | | DFND | 2 | 24,000 | 0 | 0 |
CAFEPRESS INC | COM | 12769A103 | 85 | 13,600 | SH | | DFND | 2 | 13,600 | 0 | 0 |
CAPE BANCORP INC | COM | 139209100 | 144 | 15,200 | SH | | DFND | 2 | 15,200 | 0 | 0 |
CAPITAL ONE FINL CORP | COM | 14040H105 | 317 | 5,050 | SH | | DFND | 2 | 5,050 | 0 | 0 |
CENOVUS ENERGY INC | COM | 15135U109 | 713 | 25,000 | SH | | DFND | 5 | 25,000 | 0 | 0 |
CHEROKEE INC DEL NEW | COM | 16444H102 | 189 | 14,800 | SH | | DFND | 2 | 14,800 | 0 | 0 |
CHEVRON CORP NEW | COM | 166764100 | 16,935 | 143,112 | SH | | DFND | 2 | 143,112 | 0 | 0 |
CISCO SYS INC | COM | 17275R102 | 1,105 | 45,400 | SH | Put | DFND | 5 | 45,400 | 0 | 0 |
CISCO SYS INC | COM | 17275R102 | 1,105 | 45,400 | SH | | DFND | 5 | 45,400 | 0 | 0 |
CISCO SYS INC | COM | 17275R102 | 6,332 | 260,200 | SH | | DFND | 2 | 260,200 | 0 | 0 |
CITIGROUP INC | COM NEW | 172967424 | 5,693 | 118,675 | SH | | DFND | 2 | 118,675 | 0 | 0 |
CLEARWIRE CORP NEW | CL A | 18538Q105 | 1,141 | 228,500 | SH | Call | DFND | 5 | 228,500 | 0 | 0 |
CLEARWIRE CORP NEW | CL A | 18538Q105 | 6,933 | 1,387,900 | SH | | DFND | 2 | 1,387,900 | 0 | 0 |
CLEARWIRE CORP NEW | CL A | 18538Q105 | 75 | 15,000 | SH | | DFND | 5 | 15,000 | 0 | 0 |
CODEXIS INC | COM | 192005106 | 200 | 90,500 | SH | | DFND | 2 | 90,500 | 0 | 0 |
COLLECTORS UNIVERSE INC | COM NEW | 19421R200 | 199 | 15,000 | SH | | DFND | 2 | 15,000 | 0 | 0 |
COMPUWARE CORP | COM | 205638109 | 2,403 | 232,404 | SH | | DFND | 2 | 232,404 | 0 | 0 |
COOPER TIRE & RUBR CO | COM | 216831107 | 7,434 | 224,100 | SH | | DFND | 2 | 224,100 | 0 | 0 |
COOPER TIRE & RUBR CO | COM | 216831107 | 199 | 6,000 | SH | | DFND | 5 | 6,000 | 0 | 0 |
COOPER TIRE & RUBR CO | COM | 216831107 | 504 | 15,200 | SH | Put | DFND | 5 | 15,200 | 0 | 0 |
COVIDIEN PLC | SHS | G2554F113 | 4,022 | 64,000 | SH | | DFND | 2 | 64,000 | 0 | 0 |
COWEN GROUP INC NEW | CL A | 223622101 | 4,450 | 1,539,945 | SH | | DFND | 2 | 1,539,945 | 0 | 0 |
CPI AEROSTRUCTURES INC | COM NEW | 125919308 | 200 | 18,400 | SH | | DFND | 2 | 18,400 | 0 | 0 |
CPI AEROSTRUCTURES INC | COM NEW | 125919308 | 0 | 7 | SH | | DFND | 5 | 7 | 0 | 0 |
CROWN HOLDINGS INC | COM | 228368106 | 856 | 20,800 | SH | Call | DFND | 5 | 20,800 | 0 | 0 |
CUMBERLAND PHARMACEUTICALS I | COM | 230770109 | 101 | 19,800 | SH | | DFND | 2 | 19,800 | 0 | 0 |
DELL INC | COM | 24702R101 | 10,417 | 781,696 | SH | | DFND | 2 | 781,696 | 0 | 0 |
DELL INC | COM | 24702R101 | 653 | 49,000 | SH | | DFND | 5 | 49,000 | 0 | 0 |
DELL INC | COM | 24702R101 | 197 | 14,800 | SH | Call | DFND | 5 | 14,800 | 0 | 0 |
DELL INC | COM | 24702R101 | 988 | 74,100 | SH | Put | DFND | 5 | 74,100 | 0 | 0 |
DELTA APPAREL INC | COM | 247368103 | 183 | 13,000 | SH | | DFND | 2 | 13,000 | 0 | 0 |
DISCOVERY LABORATORIES INC N | COM NEW | 254668403 | 101 | 66,200 | SH | | DFND | 2 | 66,200 | 0 | 0 |
DOLAN CO | COM | 25659P402 | 184 | 112,600 | SH | | DFND | 2 | 112,600 | 0 | 0 |
DRESSER-RAND GROUP INC | COM | 261608103 | 1,512 | 25,200 | SH | Call | DFND | 5 | 25,200 | 0 | 0 |
DYNAVAX TECHNOLOGIES CORP | COM | 268158102 | 17 | 15,400 | SH | | DFND | 2 | 15,400 | 0 | 0 |
EBIX INC | COM NEW | 278715206 | 463 | 50,000 | SH | | DFND | 2 | 50,000 | 0 | 0 |
ECHELON CORP | COM | 27874N105 | 196 | 93,000 | SH | | DFND | 2 | 93,000 | 0 | 0 |
ELAN PLC | ADR | 284131208 | 3,936 | 278,300 | SH | | DFND | 2 | 278,300 | 0 | 0 |
ELAN PLC | ADR | 284131208 | 35 | 2,500 | SH | | DFND | 5 | 2,500 | 0 | 0 |
ELAN PLC | ADR | 284131208 | 905 | 64,000 | SH | Call | DFND | 5 | 64,000 | 0 | 0 |
EMULEX CORP | COM NEW | 292475209 | 98 | 15,000 | SH | | DFND | 5 | 15,000 | 0 | 0 |
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 1,235 | 19,875 | SH | | DFND | 2 | 19,875 | 0 | 0 |
EQUINIX INC | COM NEW | 29444U502 | 2,771 | 15,000 | SH | | DFND | 2 | 15,000 | 0 | 0 |
EXA CORP | COM | 300614500 | 153 | 14,900 | SH | | DFND | 2 | 14,900 | 0 | 0 |
EXPEDIA INC DEL | COM NEW | 30212P303 | 1,744 | 29,000 | SH | | DFND | 5 | 29,000 | 0 | 0 |
EXPEDIA INC DEL | COM NEW | 30212P303 | 3,014 | 50,100 | SH | Call | DFND | 5 | 50,100 | 0 | 0 |
EXPEDIA INC DEL | COM NEW | 30212P303 | 3,014 | 50,100 | SH | Put | DFND | 5 | 50,100 | 0 | 0 |
EXXON MOBIL CORP | COM | 30231G102 | 268 | 2,971 | SH | | DFND | 2 | 2,971 | 0 | 0 |
FACEBOOK INC | CL A | 30303M102 | 0 | 122,600 | SH | Call | DFND | 5 | 122,600 | 0 | 0 |
FALCONSTOR SOFTWARE INC | COM | 306137100 | 152 | 111,300 | SH | | DFND | 2 | 111,300 | 0 | 0 |
FARMERS NATL BANC CORP | COM | 309627107 | 85 | 13,500 | SH | | DFND | 2 | 13,500 | 0 | 0 |
FIDELITY NATIONAL FINANCIAL | CL A | 31620R105 | 8,479 | 356,100 | SH | | DFND | 2 | 356,100 | 0 | 0 |
FORBES ENERGY SVCS LTD | COM | 345143101 | 103 | 25,500 | SH | | DFND | 2 | 25,500 | 0 | 0 |
FORD MTR CO DEL | COM PAR $0.01 | 345370860 | 2,345 | 151,600 | SH | | DFND | 2 | 151,600 | 0 | 0 |
FORTINET INC | COM | 34959E109 | 3,000 | 171,400 | SH | Call | DFND | 5 | 171,400 | 0 | 0 |
FORTRESS PAPER LTD-CL A | CS | 34958R101 | 2,357 | 409,698 | SH | | DFND | 2 | 409,698 | 0 | 0 |
FRANCO NEVADA CORP | COM | 351858105 | 3,161 | 88,364 | SH | | DFND | 2 | 88,364 | 0 | 0 |
FREEPORT-MCMORAN COPPER & GO | COM | 35671D857 | 9,539 | 345,500 | SH | | DFND | 2 | 345,500 | 0 | 0 |
GARDNER DENVER INC | COM | 365558105 | 9,244 | 122,956 | SH | | DFND | 2 | 122,956 | 0 | 0 |
GARDNER DENVER INC | COM | 365558105 | 2,856 | 38,000 | SH | | DFND | 5 | 38,000 | 0 | 0 |
GARDNER DENVER INC | COM | 365558105 | 15,066 | 200,400 | SH | Call | DFND | 5 | 200,400 | 0 | 0 |
GARDNER DENVER INC | COM | 365558105 | 647 | 8,600 | SH | Put | DFND | 5 | 8,600 | 0 | 0 |
GENERAL MTRS CO | COM | 37045V100 | 0 | 80,000 | SH | Call | DFND | 5 | 80,000 | 0 | 0 |
GENESIS ENERGY L P | UNIT LTD PARTN | 371927104 | 518 | 10,000 | SH | | DFND | 2 | 10,000 | 0 | 0 |
GEO GROUP INC | COM | 36159R103 | 247 | 7,280 | SH | | DFND | 2 | 7,280 | 0 | 0 |
GEVO INC | COM | 374396109 | 183 | 90,000 | SH | | DFND | 2 | 90,000 | 0 | 0 |
GOLDEN MINERALS CO | COM | 381119106 | 180 | 132,100 | SH | | DFND | 2 | 132,100 | 0 | 0 |
GOLDEN STAR RES LTD CDA | COM | 38119T104 | 168 | 400,100 | SH | | DFND | 2 | 400,100 | 0 | 0 |
GOOGLE INC | CL A | 38259P508 | 1,056 | 1,200 | SH | | DFND | 2 | 1,200 | 0 | 0 |
GROUPON INC | COM CL A | 399473107 | 560 | 65,500 | SH | Call | DFND | 5 | 65,500 | 0 | 0 |
HALLIBURTON CO | COM | 406216101 | 104 | 2,500 | SH | | DFND | 5 | 2,500 | 0 | 0 |
HALLIBURTON CO | COM | 406216101 | 13,768 | 330,000 | SH | Call | DFND | 5 | 330,000 | 0 | 0 |
HANSEN MEDICAL INC | COM | 411307101 | 96 | 67,100 | SH | | DFND | 2 | 67,100 | 0 | 0 |
HARRIS & HARRIS GROUP INC | COM | 413833104 | 194 | 63,900 | SH | | DFND | 2 | 63,900 | 0 | 0 |
HARRIS TEETER SUPERMARKETS I | COM | 414585109 | 1,080 | 23,053 | SH | | DFND | 2 | 23,053 | 0 | 0 |
HARVEST NATURAL RESOURCES IN | COM | 41754V103 | 197 | 63,700 | SH | | DFND | 2 | 63,700 | 0 | 0 |
HERBALIFE LTD | COM USD SHS | G4412G101 | 1,715 | 38,000 | SH | | DFND | 2 | 38,000 | 0 | 0 |
HERBALIFE LTD | COM USD SHS | G4412G101 | 248 | 5,500 | SH | | DFND | 5 | 5,500 | 0 | 0 |
HERBALIFE LTD | COM USD SHS | G4412G101 | 1,669 | 37,000 | SH | Put | DFND | 5 | 37,000 | 0 | 0 |
HILL INTERNATIONAL INC | COM | 431466101 | 117 | 42,600 | SH | | DFND | 2 | 42,600 | 0 | 0 |
HOME DEPOT INC | COM | 437076102 | 6,368 | 82,200 | SH | | DFND | 2 | 82,200 | 0 | 0 |
HORSEHEAD HLDG CORP | COM | 440694305 | 701 | 54,723 | SH | | DFND | 2 | 54,723 | 0 | 0 |
HOUSTON AMERN ENERGY CORP | COM | 44183U100 | 10 | 38,000 | SH | | DFND | 2 | 38,000 | 0 | 0 |
HUDSON GLOBAL INC | COM | 443787106 | 146 | 58,800 | SH | | DFND | 2 | 58,800 | 0 | 0 |
IAMGOLD CORP | COM | 450913108 | 1,277 | 295,000 | SH | | DFND | 5 | 295,000 | 0 | 0 |
IAMGOLD CORP | COM | 450913108 | 1,277 | 295,000 | SH | Put | DFND | 5 | 295,000 | 0 | 0 |
IMMUNOCELLULAR THERAPEUTICS | COM | 452536105 | 97 | 49,800 | SH | | DFND | 2 | 49,800 | 0 | 0 |
INERGY L P | UNIT LTD PTNR | 456615103 | 413 | 25,750 | SH | | DFND | 2 | 25,750 | 0 | 0 |
INFORMATICA CORP | COM | 45666Q102 | 341 | 9,750 | SH | | DFND | 5 | 9,750 | 0 | 0 |
INFORMATICA CORP | COM | 45666Q102 | 993 | 28,400 | SH | Put | DFND | 5 | 28,400 | 0 | 0 |
INNODATA INC | COM NEW | 457642205 | 79 | 24,700 | SH | | DFND | 2 | 24,700 | 0 | 0 |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 860 | 4,500 | SH | | DFND | 2 | 4,500 | 0 | 0 |
INTERPUBLIC GROUP COS INC | COM | 460690100 | 1,404 | 96,500 | SH | Call | DFND | 5 | 96,500 | 0 | 0 |
INTEVAC INC | COM | 461148108 | 140 | 24,700 | SH | | DFND | 2 | 24,700 | 0 | 0 |
IPASS INC | COM | 46261V108 | 160 | 84,900 | SH | | DFND | 2 | 84,900 | 0 | 0 |
IRON MTN INC | COM | 462846106 | 2,410 | 90,554 | SH | | DFND | 2 | 90,554 | 0 | 0 |
ISHARES INC | MSCI BRAZIL CAPP | 464286400 | 10,664 | 243,128 | SH | | DFND | 2 | 243,128 | 0 | 0 |
ISHARES INC | MSCI CDA INDEX | 464286509 | 262 | 10,000 | SH | | DFND | 2 | 10,000 | 0 | 0 |
ISHARES TR | FTSE CHINA25 IDX | 464287184 | 3,786 | 116,400 | SH | | DFND | 2 | 116,400 | 0 | 0 |
ISHARES TR | MSCI EAFE INDEX | 464287465 | 229 | 4,000 | SH | | DFND | 2 | 4,000 | 0 | 0 |
ISHARES TR | MSCI EMERG MKT | 464287234 | 8,480 | 220,269 | SH | | DFND | 2 | 220,269 | 0 | 0 |
ISHARES TR | RUSSELL 2000 | 464287655 | 240 | 2,474 | SH | | DFND | 2 | 2,474 | 0 | 0 |
ISHARES TR | RUSSELL1000VAL | 464287598 | 46,320 | 552,808 | SH | | DFND | 3 | 552,808 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 3,005 | 35,000 | SH | Put | DFND | 5 | 35,000 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 6,845 | 79,707 | SH | | DFND | 2 | 79,707 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 3,005 | 35,000 | SH | | DFND | 5 | 35,000 | 0 | 0 |
JOS A BANK CLOTHIERS INC | COM | 480838101 | 310 | 7,500 | SH | | DFND | 5 | 7,500 | 0 | 0 |
JOS A BANK CLOTHIERS INC | COM | 480838101 | 1,194 | 28,900 | SH | Call | DFND | 5 | 28,900 | 0 | 0 |
JOS A BANK CLOTHIERS INC | COM | 480838101 | 769 | 18,600 | SH | Put | DFND | 5 | 18,600 | 0 | 0 |
JPMORGAN CHASE & CO | COM | 46625H100 | 6,841 | 129,600 | SH | | DFND | 2 | 129,600 | 0 | 0 |
JPMORGAN CHASE & CO | COM | 46625H100 | 135 | 2,900 | SH | Call | DFND | 5 | 2,900 | 0 | 0 |
KEY TRONICS CORP | COM | 493144109 | 193 | 18,600 | SH | | DFND | 2 | 18,600 | 0 | 0 |
LAMAR ADVERTISING CO | CL A | 512815101 | 1,866 | 43,000 | SH | | DFND | 2 | 43,000 | 0 | 0 |
LENDER PROCESSING SVCS INC | COM | 52602E102 | 3,149 | 97,339 | SH | | DFND | 2 | 97,339 | 0 | 0 |
LEVEL 3 COMMUNICATIONS INC | COM NEW | 52729N308 | 822 | 39,000 | SH | | DFND | 2 | 39,000 | 0 | 0 |
LIFE TECHNOLOGIES CORP | COM | 53217V109 | 25,254 | 341,274 | SH | | DFND | 2 | 341,274 | 0 | 0 |
LIFE TECHNOLOGIES CORP | COM | 53217V109 | 1,551 | 20,954 | SH | | DFND | 5 | 20,954 | 0 | 0 |
LIFE TECHNOLOGIES CORP | COM | 53217V109 | 8,791 | 118,800 | SH | Call | DFND | 5 | 118,800 | 0 | 0 |
LIFE TECHNOLOGIES CORP | COM | 53217V109 | 8,155 | 110,200 | SH | Put | DFND | 5 | 110,200 | 0 | 0 |
LILLY ELI & CO | COM | 532457108 | 2,770 | 56,400 | SH | | DFND | 2 | 56,400 | 0 | 0 |
LINN ENERGY LLC | UNIT LTD LIAB | 536020100 | 431 | 13,000 | SH | | DFND | 5 | 13,000 | 0 | 0 |
LINN ENERGY LLC | UNIT LTD LIAB | 536020100 | 1,659 | 50,000 | SH | Put | DFND | 5 | 50,000 | 0 | 0 |
LINNCO LLC | COMSHS LTD INT | 535782106 | 8,878 | 238,200 | SH | | DFND | 2 | 238,200 | 0 | 0 |
LIPOSCIENCE INC | COM | 53630M108 | 106 | 15,100 | SH | | DFND | 2 | 15,100 | 0 | 0 |
LYONDELLBASELL INDUSTRIES N | SHS - A - | N53745100 | 1,835 | 27,700 | SH | Call | DFND | 5 | 27,700 | 0 | 0 |
MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 1,788 | 32,810 | SH | | DFND | 2 | 32,810 | 0 | 0 |
MANNKIND CORP | COM | 56400P201 | 585 | 90,000 | SH | Call | DFND | 5 | 90,000 | 0 | 0 |
MARKET LEADER INC | COM | 57056R103 | 650 | 60,781 | SH | | DFND | 2 | 60,781 | 0 | 0 |
MATTERSIGHT CORP | COM | 577097108 | 48 | 16,700 | SH | | DFND | 2 | 16,700 | 0 | 0 |
MATTSON TECHNOLOGY INC | COM | 577223100 | 203 | 92,600 | SH | | DFND | 2 | 92,600 | 0 | 0 |
MAXYGEN INC | COM | 577776107 | 100 | 40,500 | SH | | DFND | 2 | 40,500 | 0 | 0 |
MCEWEN MNG INC | COM | 58039P107 | 199 | 118,300 | SH | | DFND | 2 | 118,300 | 0 | 0 |
MEETME INC | COM | 585141104 | 102 | 62,700 | SH | | DFND | 2 | 62,700 | 0 | 0 |
MERCK & CO INC NEW | COM | 58933Y105 | 4,478 | 96,400 | SH | | DFND | 2 | 96,400 | 0 | 0 |
MET PRO CORP | COM | 590876306 | 4,116 | 306,269 | SH | | DFND | 2 | 306,269 | 0 | 0 |
MICROFINANCIAL INC | COM | 595072109 | 85 | 10,800 | SH | | DFND | 2 | 10,800 | 0 | 0 |
MTR GAMING GROUP INC | COM | 553769100 | 152 | 45,400 | SH | | DFND | 2 | 45,400 | 0 | 0 |
MYERS INDS INC | COM | 628464109 | 201 | 13,400 | SH | | DFND | 2 | 13,400 | 0 | 0 |
MYLAN INC | COM | 628530107 | 2,172 | 70,000 | SH | Put | DFND | 5 | 70,000 | 0 | 0 |
MYRIAD GENETICS INC | COM | 62855J104 | 575 | 21,400 | SH | Call | DFND | 5 | 21,400 | 0 | 0 |
MYRIAD GENETICS INC | COM | 62855J104 | 134 | 5,000 | SH | Put | DFND | 5 | 5,000 | 0 | 0 |
NATIONAL AMERN UNIV HLDGS IN | COM | 63245Q105 | 120 | 32,200 | SH | | DFND | 2 | 32,200 | 0 | 0 |
NATIONAL FINL PARTNERS CORP | COM | 63607P208 | 18,953 | 748,845 | SH | | DFND | 2 | 748,845 | 0 | 0 |
NII HLDGS INC | CL B NEW | 62913F201 | 1,215 | 182,500 | SH | | DFND | 2 | 182,500 | 0 | 0 |
NOBLE ENERGY INC | COM | 655044105 | 3,602 | 60,000 | SH | Call | DFND | 5 | 60,000 | 0 | 0 |
NOKIA CORP | SPONSORED ADR | 654902204 | 935 | 250,000 | SH | | DFND | 2 | 250,000 | 0 | 0 |
NORANDA ALUM HLDG CORP | COM | 65542W107 | 54 | 16,700 | SH | | DFND | 2 | 16,700 | 0 | 0 |
NORTHWEST PIPE CO | COM | 667746101 | 1,293 | 46,345 | SH | | DFND | 2 | 46,345 | 0 | 0 |
NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 6,764 | 367,600 | SH | | DFND | 2 | 367,600 | 0 | 0 |
NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 598 | 32,500 | SH | | DFND | 5 | 32,500 | 0 | 0 |
NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 938 | 51,000 | SH | Call | DFND | 5 | 51,000 | 0 | 0 |
NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 74 | 4,000 | SH | Put | DFND | 5 | 4,000 | 0 | 0 |
NV ENERGY INC | COM | 67073Y106 | 16,754 | 714,150 | SH | | DFND | 2 | 714,150 | 0 | 0 |
NYSE EURONEXT | COM | 629491101 | 5,108 | 123,386 | SH | | DFND | 2 | 123,386 | 0 | 0 |
OCCIDENTAL PETE CORP DEL | COM | 674599105 | 2,677 | 30,000 | SH | Call | DFND | 5 | 30,000 | 0 | 0 |
OCCIDENTAL PETE CORP DEL | COM | 674599105 | 1,022 | 11,450 | SH | | DFND | 5 | 11,450 | 0 | 0 |
OCLARO INC | COM NEW | 67555N206 | 30 | 25,000 | SH | | DFND | 5 | 25,000 | 0 | 0 |
OFS CAP CORP | COM | 67103B100 | 202 | 17,000 | SH | | DFND | 2 | 17,000 | 0 | 0 |
OMTHERA PHARMACEUTICALS INC | COM | 68217A103 | 2,566 | 192,935 | SH | | DFND | 2 | 192,935 | 0 | 0 |
ONCOTHYREON INC | COM | 682324108 | 259 | 165,000 | SH | | DFND | 2 | 165,000 | 0 | 0 |
ONEOK INC NEW | COM | 682680103 | 219 | 5,310 | SH | | DFND | 2 | 5,310 | 0 | 0 |
ONEOK PARTNERS LP | UNIT LTD PARTN | 68268N103 | 224 | 4,515 | SH | | DFND | 2 | 4,515 | 0 | 0 |
OPTIMER PHARMACEUTICALS INC | COM | 68401H104 | 2,136 | 147,648 | SH | | DFND | 2 | 147,648 | 0 | 0 |
PACIFIC MERCANTILE BANCORP | COM | 694552100 | 102 | 17,700 | SH | | DFND | 2 | 17,700 | 0 | 0 |
PACKAGING CORP AMER | COM | 695156109 | 1,557 | 31,800 | SH | Call | DFND | 5 | 31,800 | 0 | 0 |
PDI INC | COM | 69329V100 | 163 | 34,600 | SH | | DFND | 2 | 34,600 | 0 | 0 |
PFIZER INC | COM | 717081103 | 4,202 | 150,000 | SH | | DFND | 2 | 150,000 | 0 | 0 |
PFIZER INC | COM | 717081103 | 42 | 1,517 | SH | | DFND | 5 | 1,517 | 0 | 0 |
PFIZER INC | COM | 717081103 | 493 | 17,600 | SH | Call | DFND | 5 | 17,600 | 0 | 0 |
PLAINS ALL AMERN PIPELINE L | UNIT LTD PARTN | 726503105 | 1,176 | 21,070 | SH | | DFND | 2 | 21,070 | 0 | 0 |
POWER ONE INC NEW | COM | 73930R102 | 1,885 | 298,400 | SH | | DFND | 2 | 298,400 | 0 | 0 |
POWERSHARES ETF TRUST II | SENIOR LN PORT | 73936Q769 | 25,557 | 1,032,600 | SH | | DFND | 3 | 1,032,600 | 0 | 0 |
PREMIER EXIBITIONS INC | COM | 74051E102 | 143 | 82,000 | SH | | DFND | 2 | 82,000 | 0 | 0 |
PROCTER & GAMBLE CO | COM | 742718109 | 354 | 4,600 | SH | | DFND | 2 | 4,600 | 0 | 0 |
PROLOR BIOTECH INC | COM | 74344F106 | 991 | 157,479 | SH | | DFND | 2 | 157,479 | 0 | 0 |
PROSHARES TR II | ULTRASHORT YEN N | 74347W569 | 800 | 12,490 | SH | | DFND | 2 | 12,490 | 0 | 0 |
PRUDENTIAL FINL INC | COM | 744320102 | 1,556 | 21,300 | SH | | DFND | 2 | 21,300 | 0 | 0 |
PUT SPDR SER TR | OP | 78464A730 | 2,327 | 40,000 | SH | Put | DFND | 5 | 40,000 | 0 | 0 |
QLIK TECHNOLOGIES INC | COM | 74733T105 | 283 | 10,000 | SH | | DFND | 5 | 10,000 | 0 | 0 |
QLIK TECHNOLOGIES INC | COM | 74733T105 | 424 | 15,000 | SH | Put | DFND | 5 | 15,000 | 0 | 0 |
QUICKLOGIC CORP | COM | 74837P108 | 190 | 86,000 | SH | | DFND | 2 | 86,000 | 0 | 0 |
RAND LOGISTICS INC | COM | 752182105 | 97 | 18,400 | SH | | DFND | 2 | 18,400 | 0 | 0 |
RED LION HOTELS CORP | COM | 756764106 | 186 | 30,400 | SH | | DFND | 2 | 30,400 | 0 | 0 |
REPLIGEN CORP | COM | 759916109 | 577 | 70,000 | SH | Call | DFND | 5 | 70,000 | 0 | 0 |
REPUBLIC AWYS HLDGS INC | COM | 760276105 | 702 | 61,997 | SH | | DFND | 2 | 61,997 | 0 | 0 |
REVETT MINERALS INC | COM NEW | 761505205 | 63 | 97,500 | SH | | DFND | 2 | 97,500 | 0 | 0 |
RF MICRODEVICES INC | COM | 749941100 | 134 | 25,000 | SH | | DFND | 5 | 25,000 | 0 | 0 |
RLJ ENTMT INC | COM | 74965F104 | 65 | 13,503 | SH | | DFND | 2 | 13,503 | 0 | 0 |
ROCKWOOD HLDGS INC | COM | 774415103 | 1,281 | 20,000 | SH | Call | DFND | 5 | 20,000 | 0 | 0 |
SANCHEZ ENERGY CORP | COM | 79970Y105 | 2,397 | 104,382 | SH | | DFND | 2 | 104,382 | 0 | 0 |
SARATOGA RES INC TEX | COM | 803521103 | 66 | 43,100 | SH | | DFND | 2 | 43,100 | 0 | 0 |
SCHWAB CHARLES CORP NEW | COM | 808513105 | 584 | 27,500 | SH | | DFND | 2 | 27,500 | 0 | 0 |
SCIENTIFIC GAMES CORP | CL A | 80874P109 | 3,299 | 293,201 | SH | | DFND | 2 | 293,201 | 0 | 0 |
SEATTLE GENETICS INC | COM | 812578102 | 875 | 27,800 | SH | Put | DFND | 5 | 27,800 | 0 | 0 |
SEATTLE GENETICS INC | COM | 812578102 | 157 | 5,000 | SH | | DFND | 5 | 5,000 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 21,755 | 1,118,700 | SH | | DFND | 2 | 1,118,700 | 0 | 0 |
SI FINL GROUP INC MD | COM | 78425V104 | 160 | 14,500 | SH | | DFND | 2 | 14,500 | 0 | 0 |
SIGA TECHNOLOGIES INC | COM | 826917106 | 603 | 212,432 | SH | | DFND | 2 | 212,432 | 0 | 0 |
SLM CORP | COM | 78442P106 | 949 | 41,500 | SH | Put | DFND | 5 | 41,500 | 0 | 0 |
SLM CORP | COM | 78442P106 | 2,636 | 115,300 | SH | Call | DFND | 5 | 115,300 | 0 | 0 |
SMITHFIELD FOODS INC | COM | 832248108 | 9,000 | 274,800 | SH | Call | DFND | 5 | 274,800 | 0 | 0 |
SMITHFIELD FOODS INC | COM | 832248108 | 1,166 | 35,600 | SH | Put | DFND | 5 | 35,600 | 0 | 0 |
SMITHFIELD FOODS INC | COM | 832248108 | 5,457 | 166,609 | SH | | DFND | 5 | 166,609 | 0 | 0 |
SMITHFIELD FOODS INC | COM | 832248108 | 47,213 | 1,441,549 | SH | | DFND | 2 | 1,441,549 | 0 | 0 |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 216 | 1,815 | SH | | DFND | 2 | 1,815 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 128,578 | 801,517 | SH | | DFND | 2 | 801,517 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 1,604 | 10,000 | SH | Put | DFND | 5 | 10,000 | 0 | 0 |
SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 78467Y107 | 106,371 | 506,256 | SH | | DFND | 3 | 506,256 | 0 | 0 |
SPDR SERIES TRUST | BRC HGH YLD BD | 78464A417 | 1,165 | 29,500 | SH | | DFND | 2 | 29,500 | 0 | 0 |
SPDR SERIES TRUST | S&P OILGAS EXP | 78464A730 | 716 | 12,300 | SH | | DFND | 5 | 12,300 | 0 | 0 |
SPRINT NEXTEL CORP | COM SER 1 | 852061100 | 5,393 | 768,290 | SH | | DFND | 2 | 768,290 | 0 | 0 |
STERLING BANCORP | COM | 859158107 | 478 | 41,157 | SH | | DFND | 2 | 41,157 | 0 | 0 |
STR HLDGS INC | COM | 78478V100 | 184 | 81,000 | SH | | DFND | 2 | 81,000 | 0 | 0 |
SUBURBAN PROPANE PARTNERS L | UNIT LTD PARTN | 864482104 | 432 | 9,297 | SH | | DFND | 2 | 9,297 | 0 | 0 |
SUNOCO LOGISTICS PRTNRS L P | COM UNITS | 86764L108 | 1,679 | 26,259 | SH | | DFND | 2 | 26,259 | 0 | 0 |
SYPRIS SOLUTIONS INC | COM | 871655106 | 68 | 21,300 | SH | | DFND | 2 | 21,300 | 0 | 0 |
TAKE-TWO INTERACTIVE SOFTWAR | COM | 874054109 | 150 | 10,034 | SH | | DFND | 5 | 10,034 | 0 | 0 |
TELEPHONE & DATA SYS INC | COM NEW | 879433829 | 3,081 | 125,000 | SH | | DFND | 2 | 125,000 | 0 | 0 |
TELULAR CORP | COM NEW | 87970T208 | 1,264 | 100,200 | SH | | DFND | 2 | 100,200 | 0 | 0 |
TESORO CORP | COM | 881609101 | 314 | 6,000 | SH | | DFND | 2 | 6,000 | 0 | 0 |
THE ADT CORPORATION | COM | 00101J106 | 1,542 | 38,700 | SH | | DFND | 2 | 38,700 | 0 | 0 |
THERAVANCE INC | COM | 88338T104 | 2,104 | 54,600 | SH | Call | DFND | 5 | 54,600 | 0 | 0 |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 12,695 | 150,000 | SH | | DFND | 2 | 150,000 | 0 | 0 |
THRESHOLD PHARMACEUTICAL INC | COM NEW | 885807206 | 105 | 20,000 | SH | | DFND | 2 | 20,000 | 0 | 0 |
TIVO INC | COM | 888706108 | 1,356 | 122,700 | SH | | DFND | 2 | 122,700 | 0 | 0 |
T-MOBILE US INC | COM | 872590104 | 459 | 18,500 | SH | Call | DFND | 5 | 18,500 | 0 | 0 |
TOOTSIE ROLL INDS INC | COM | 890516107 | 203 | 6,400 | SH | | DFND | 2 | 6,400 | 0 | 0 |
TRANSCEPT PHARMACEUTICALS IN | COM | 89354M106 | 100 | 33,100 | SH | | DFND | 2 | 33,100 | 0 | 0 |
TRANSITION THERAPEUTICS INC | COM NEW | 893716209 | 119 | 36,600 | SH | | DFND | 5 | 36,600 | 0 | 0 |
TRINITY INDS INC | COM | 896522109 | 961 | 25,000 | SH | | DFND | 5 | 25,000 | 0 | 0 |
TRINITY INDS INC | COM | 896522109 | 2,787 | 72,500 | SH | Call | DFND | 5 | 72,500 | 0 | 0 |
TURQUOISE HILL RES LTD | COM | 900435108 | 101 | 17,000 | SH | | DFND | 5 | 17,000 | 0 | 0 |
U.S. AUTO PARTS NETWORK INC | COM | 90343C100 | 73 | 63,300 | SH | | DFND | 2 | 63,300 | 0 | 0 |
UNITED STATES ANTIMONY CORP | COM | 911549103 | 64 | 57,300 | SH | | DFND | 2 | 57,300 | 0 | 0 |
URANERZ ENERGY CORP | COM | 91688T104 | 196 | 178,600 | SH | | DFND | 2 | 178,600 | 0 | 0 |
VALSPAR CORP | COM | 920355104 | 867 | 13,400 | SH | Call | DFND | 5 | 13,400 | 0 | 0 |
VANGUARD HEALTH SYS INC | COM | 922036207 | 259 | 12,500 | SH | | DFND | 5 | 12,500 | 0 | 0 |
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 16,509 | 425,553 | SH | | DFND | 3 | 425,553 | 0 | 0 |
VENTRUS BIOSCIENCES INC | COM | 922822101 | 115 | 47,800 | SH | | DFND | 2 | 47,800 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 1,601 | 20,000 | SH | | DFND | 5 | 20,000 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 3,443 | 43,000 | SH | Put | DFND | 5 | 43,000 | 0 | 0 |
VIRNETX HLDG CORP | COM | 92823T108 | 22,328 | 1,116,951 | SH | | DFND | 2 | 1,116,951 | 0 | 0 |
VISTA GOLD CORP | COM NEW | 927926303 | 200 | 206,200 | SH | | DFND | 2 | 206,200 | 0 | 0 |
VIVUS INC | COM | 928551100 | 4,892 | 388,887 | SH | | DFND | 2 | 388,887 | 0 | 0 |
VIVUS INC | COM | 928551100 | 717 | 57,000 | SH | Call | DFND | 5 | 57,000 | 0 | 0 |
VODAFONE GROUP PLC NEW | SPONS ADR NEW | 92857W209 | 1,917 | 66,700 | SH | Call | DFND | 5 | 66,700 | 0 | 0 |
VODAFONE GROUP PLC NEW | SPONS ADR NEW | 92857W209 | 1,082 | 37,638 | SH | | DFND | 2 | 37,638 | 0 | 0 |
WAL-MART STORES INC | COM | 931142103 | 791 | 10,625 | SH | | DFND | 2 | 10,625 | 0 | 0 |
WALTER INVT MGMT CORP | COM | 93317W102 | 383 | 11,335 | SH | | DFND | 2 | 11,335 | 0 | 0 |
WARNER CHILCOTT PLC IRELAND | SHS A | G94368100 | 398 | 20,000 | SH | | DFND | 5 | 20,000 | 0 | 0 |
WELLS FARGO & CO NEW | COM | 949746101 | 1,576 | 38,200 | SH | | DFND | 2 | 38,200 | 0 | 0 |
WILLIAMS COS INC DEL | COM | 969457100 | 487 | 15,000 | SH | | DFND | 2 | 15,000 | 0 | 0 |
WYNDHAM WORLDWIDE CORP | COM | 98310W108 | 1,831 | 32,000 | SH | Call | DFND | 5 | 32,000 | 0 | 0 |