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: | 09-30-2013 |
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 | 11-14-2013 |
[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: | 3 | | |
| Form 13F Information Table Entry Total: | 222 |
| Form 13F Information Table Value Total: | 666,951 |
| (thousands) |
|
List of Other Included Managers: |
Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this report is filed, other than the
manager filing this report. |
[If there are no entries in this list, state “NONE” and omit the
column headings and list entries.] |
| No. | Form 13F File Number | Name |
| 1 | 028-10674 | RAMIUS ADVISORS LLC |
| 2 | 028-14361 | Ramius Alternative Solutions LLC |
| 3 | 028-04125 | COWEN & COMPANY, LLC |
SEC FORM 13-F Information Table
The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete.
|
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F INFORMATION TABLE
|
OMB APPROVAL |
OMB Number: | 3235-0006 |
Expires: | Oct 31, 2018 |
Estimated average burden |
hours per response: | 23.8 |
|
|
COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 |
| | | VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY |
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
FORTRESS PAPER LTD-CL A | CS | 34958R101 | 2,627 | 384,898 | SH | | DFND | 1 | 384,898 | 0 | 0 |
ACCESS MIDSTREAM PARTNERS L | UNIT | 00434L109 | 242 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
ACHILLION PHARMACEUTICALS IN | COM | 00448Q201 | 0 | 100 | SH | | DFND | 2 | 100 | 0 | 0 |
ACHILLION PHARMACEUTICALS IN | COM | 00448Q201 | 302 | 100,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
ACTIVE NETWORK INC | COM | 00506D100 | 287 | 20,100 | SH | | DFND | 2 | 20,100 | 0 | 0 |
ACTIVE NETWORK INC | COM | 00506D100 | 3,184 | 222,500 | SH | | DFND | 1 | 222,500 | 0 | 0 |
ADOBE SYS INC | COM | 00724F101 | 784 | 15,100 | SH | Call | DFND | 2 | 0 | 0 | 0 |
AGILENT TECHNOLOGIES INC | COM | 00846U101 | 461 | 9,000 | SH | | DFND | 1 | 9,000 | 0 | 0 |
AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 2,001 | 164,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
AMYRIS INC | COM | 03236M101 | 99 | 42,800 | SH | | DFND | 1 | 42,800 | 0 | 0 |
APPLIED MATLS INC | COM | 038222105 | 1,490 | 8,500,000 | SH | Put | DFND | 1 | 8,500,000 | 0 | 0 |
ARIAD PHARMACEUTICALS INC | COM | 04033A100 | 828 | 45,000 | SH | | DFND | 1 | 45,000 | 0 | 0 |
ASTEX PHARMACEUTICALS INC | COM | 04624B103 | 5,340 | 628,972 | SH | | DFND | 1 | 628,972 | 0 | 0 |
AURICO GOLD INC | COM | 05155C105 | 40 | 10,600 | SH | | DFND | 1 | 10,600 | 0 | 0 |
B2GOLD CORP | COM | 11777Q209 | 62 | 25,000 | SH | | DFND | 1 | 25,000 | 0 | 0 |
BANK OF AMERICA CORPORATION | COM | 060505104 | 360 | 2,610,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
BAXTER INTL INC | COM | 071813109 | 985 | 15,000 | SH | | DFND | 2 | 15,000 | 0 | 0 |
BAXTER INTL INC | COM | 071813109 | 1,314 | 20,000 | SH | Put | DFND | 2 | 20,000 | 0 | 0 |
BELO CORP | COM SER A | 080555105 | 333 | 2,430,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
BIOGEN IDEC INC | COM | 09062X103 | 843 | 3,500 | SH | Call | DFND | 2 | 0 | 0 | 0 |
BLACKBERRY LTD | COM | 09228F103 | 1,647 | 20,730,000 | SH | Put | DFND | 1 | 20,730,000 | 0 | 0 |
BOISE INC | COM | 09746Y105 | 1,260 | 100,000 | SH | | DFND | 1 | 100,000 | 0 | 0 |
BROADCOM CORP | CL A | 111320107 | 390 | 15,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
BUCKEYE PARTNERS L P | UNIT LTD PARTN | 118230101 | 1,556 | 23,750 | SH | | DFND | 1 | 23,750 | 0 | 0 |
CAPITAL ONE FINL CORP | COM | 14040H105 | 347 | 5,050 | SH | | DFND | 1 | 5,050 | 0 | 0 |
CAPITALSOURCE INC | COM | 14055X102 | 210 | 17,700 | SH | | DFND | 2 | 17,700 | 0 | 0 |
CARNIVAL CORP | PAIRED CTF | 143658300 | 653 | 20,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
CF INDS HLDGS INC | COM | 125269100 | 474 | 2,250 | SH | | DFND | 1 | 2,250 | 0 | 0 |
CISCO SYS INC | COM | 17275R102 | 1,036 | 44,200 | SH | | DFND | 2 | 44,200 | 0 | 0 |
CISCO SYS INC | COM | 17275R102 | 1,036 | 44,200 | SH | Put | DFND | 2 | 44,200 | 0 | 0 |
COMPUWARE CORP | COM | 205638109 | 1,912 | 170,873 | SH | | DFND | 1 | 170,873 | 0 | 0 |
COOPER TIRE & RUBR CO | COM | 216831107 | 320 | 1,040,000 | SH | Put | DFND | 1 | 1,040,000 | 0 | 0 |
COOPER TIRE & RUBR CO | COM | 216831107 | 417 | 13,537 | SH | | DFND | 2 | 13,537 | 0 | 0 |
COOPER TIRE & RUBR CO | COM | 216831107 | 619 | 20,100 | SH | Put | DFND | 2 | 20,100 | 0 | 0 |
COOPER TIRE & RUBR CO | COM | 216831107 | 3,662 | 11,890,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
COPART INC | COM | 217204106 | 501 | 15,750 | SH | | DFND | 1 | 15,750 | 0 | 0 |
COWEN GROUP INC NEW | CL A | 223622101 | 5,484 | 1,594,292 | SH | | DFND | 1 | 1,594,292 | 0 | 0 |
CROWN HOLDINGS INC | COM | 228368106 | 846 | 20,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
CYPRESS SEMICONDUCTOR CORP | COM | 232806109 | 234 | 25,000 | SH | Put | DFND | 2 | 25,000 | 0 | 0 |
CYPRESS SEMICONDUCTOR CORP | COM | 232806109 | 491 | 52,500 | SH | Call | DFND | 2 | 0 | 0 | 0 |
DELL INC | COM | 24702R101 | 10 | 700 | SH | | DFND | 2 | 700 | 0 | 0 |
DELL INC | COM | 24702R101 | 1,191 | 8,660,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
DELL INC | COM | 24702R101 | 13,268 | 964,900 | SH | | DFND | 1 | 964,900 | 0 | 0 |
ELAN PLC | ADR | 284131208 | 318 | 20,398 | SH | | DFND | 2 | 20,398 | 0 | 0 |
ELAN PLC | ADR | 284131208 | 408 | 2,620,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
ELAN PLC | ADR | 284131208 | 10,900 | 699,620 | SH | | DFND | 1 | 699,620 | 0 | 0 |
ENERGY TRANSFER EQUITY L P | COM UT LTD PTN | 29273V100 | 932 | 14,175 | SH | | DFND | 1 | 14,175 | 0 | 0 |
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 1,366 | 22,375 | SH | | DFND | 1 | 22,375 | 0 | 0 |
EQUINIX INC | COM NEW | 29444U502 | 3,009 | 16,382 | SH | | DFND | 1 | 16,382 | 0 | 0 |
EXPEDIA INC DEL | COM NEW | 30212P303 | 363 | 7,000 | SH | | DFND | 2 | 7,000 | 0 | 0 |
EXPEDIA INC DEL | COM NEW | 30212P303 | 1,295 | 25,000 | SH | Put | DFND | 2 | 25,000 | 0 | 0 |
EXPEDIA INC DEL | COM NEW | 30212P303 | 3,632 | 70,100 | SH | Call | DFND | 2 | 0 | 0 | 0 |
EXXON MOBIL CORP | COM | 30231G102 | 256 | 2,971 | SH | | DFND | 1 | 2,971 | 0 | 0 |
FACEBOOK INC | CL A | 30303M102 | 201 | 4,000 | SH | | DFND | 2 | 4,000 | 0 | 0 |
FACEBOOK INC | CL A | 30303M102 | 502 | 10,000 | SH | Put | DFND | 2 | 10,000 | 0 | 0 |
FAMILY DLR STORES INC | COM | 307000109 | 288 | 4,000 | SH | | DFND | 2 | 4,000 | 0 | 0 |
FAMILY DLR STORES INC | COM | 307000109 | 720 | 10,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
FAMILY DLR STORES INC | COM | 307000109 | 720 | 10,000 | SH | Put | DFND | 2 | 10,000 | 0 | 0 |
FEDERAL SIGNAL CORP | COM | 313855108 | 846 | 65,708 | SH | | DFND | 1 | 65,708 | 0 | 0 |
FMC TECHNOLOGIES INC | COM | 30249U101 | 2,030 | 28,300 | SH | Call | DFND | 2 | 0 | 0 | 0 |
FORTINET INC | COM | 34959E109 | 203 | 10,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
FORTINET INC | COM | 34959E109 | 810 | 40,000 | SH | | DFND | 2 | 40,000 | 0 | 0 |
GENCORP INC | COM | 368682100 | 361 | 22,500 | SH | | DFND | 1 | 22,500 | 0 | 0 |
GENESIS ENERGY L P | UNIT LTD PARTN | 371927104 | 501 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
GLOBECOMM SYSTEMS INC | COM | 37956X103 | 6,557 | 468,015 | SH | | DFND | 1 | 468,015 | 0 | 0 |
GOLD FIELDS LTD NEW | SPONSORED ADR | 38059T106 | 61 | 13,300 | SH | | DFND | 1 | 13,300 | 0 | 0 |
GOLDEN MINERALS CO | COM | 381119106 | 45 | 47,800 | SH | | DFND | 1 | 47,800 | 0 | 0 |
GOLDEN STAR RES LTD CDA | COM | 38119T104 | 13 | 31,600 | SH | | DFND | 1 | 31,600 | 0 | 0 |
GOOGLE INC | CL A | 38259P508 | 964 | 1,100 | SH | | DFND | 1 | 1,100 | 0 | 0 |
GROUPON INC | COM CL A | 399473107 | 734 | 65,500 | SH | Call | DFND | 2 | 0 | 0 | 0 |
GROUPON INC | COM CL A | 399473107 | 1,121 | 100,000 | SH | Put | DFND | 2 | 100,000 | 0 | 0 |
GROUPON INC | COM CL A | 399473107 | 1,906 | 170,000 | SH | | DFND | 2 | 170,000 | 0 | 0 |
HALLIBURTON CO | COM | 406216101 | 14,460 | 300,300 | SH | Call | DFND | 2 | 0 | 0 | 0 |
HARMONY GOLD MNG LTD | SPONSORED ADR | 413216300 | 59 | 17,400 | SH | | DFND | 1 | 17,400 | 0 | 0 |
HARRIS TEETER SUPERMARKETS I | COM | 414585109 | 349 | 7,088 | SH | | DFND | 2 | 7,088 | 0 | 0 |
HARSCO CORP | COM | 415864107 | 498 | 20,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
HEALTH MGMT ASSOC INC NEW | CL A | 421933102 | 512 | 40,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
HEALTH MGMT ASSOC INC NEW | CL A | 421933102 | 2,307 | 180,200 | SH | Put | DFND | 2 | 180,200 | 0 | 0 |
HERBALIFE LTD | COM USD SHS | G4412G101 | 877 | 12,575 | SH | | DFND | 1 | 12,575 | 0 | 0 |
HI-TECH PHARMACAL INC | COM | 42840B101 | 2,136 | 49,511 | SH | | DFND | 1 | 49,511 | 0 | 0 |
HOUSTON AMERN ENERGY CORP | COM | 44183U100 | 11 | 38,000 | SH | | DFND | 1 | 38,000 | 0 | 0 |
IAMGOLD CORP | COM | 450913108 | 57 | 11,900 | SH | | DFND | 1 | 11,900 | 0 | 0 |
IMMUNOGEN INC | COM | 45253H101 | 740 | 43,500 | SH | | DFND | 2 | 43,500 | 0 | 0 |
IMMUNOGEN INC | COM | 45253H101 | 1,595 | 93,700 | SH | Put | DFND | 2 | 93,700 | 0 | 0 |
INERGY L P | UNIT LTD PTNR | 456615103 | 355 | 25,750 | SH | | DFND | 1 | 25,750 | 0 | 0 |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 833 | 4,500 | SH | | DFND | 1 | 4,500 | 0 | 0 |
IRON MTN INC | COM | 462846106 | 1,108 | 40,999 | SH | | DFND | 1 | 40,999 | 0 | 0 |
ISHARES | MSCI CDA ETF | 464286509 | 283 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
ISHARES | RUS 1000 VAL ETF | 464287598 | 42,258 | 490,237 | SH | | DFND | 3 | 490,237 | 0 | 0 |
ISHARES | RUSSELL 2000 ETF | 464287655 | 810 | 7,600 | SH | | DFND | 1 | 7,600 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 3,034 | 35,000 | SH | | DFND | 2 | 35,000 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 3,034 | 35,000 | SH | Put | DFND | 2 | 35,000 | 0 | 0 |
JONES GROUP INC | COM | 48020T101 | 427 | 28,445 | SH | | DFND | 1 | 28,445 | 0 | 0 |
JONES GROUP INC | COM | 48020T101 | 826 | 55,000 | SH | Put | DFND | 2 | 55,000 | 0 | 0 |
JONES GROUP INC | COM | 48020T101 | 961 | 6,400,000 | SH | Put | DFND | 1 | 6,400,000 | 0 | 0 |
JONES GROUP INC | COM | 48020T101 | 1,006 | 67,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
KIOR INC | CL A | 497217109 | 31 | 11,100 | SH | | DFND | 1 | 11,100 | 0 | 0 |
LAMAR ADVERTISING CO | CL A | 512815101 | 847 | 18,000 | SH | | DFND | 1 | 18,000 | 0 | 0 |
LEAP WIRELESS INTL INC | COM NEW | 521863308 | 3,572 | 22,610,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
LEAP WIRELESS INTL INC | COM NEW | 521863308 | 7,328 | 46,380,000 | SH | Put | DFND | 1 | 46,380,000 | 0 | 0 |
LEVEL 3 COMMUNICATIONS INC | COM NEW | 52729N308 | 360 | 13,500 | SH | | DFND | 1 | 13,500 | 0 | 0 |
LIBERTY GLOBAL PLC | SHS CL C | G5480U120 | 4,786 | 63,455 | SH | | DFND | 1 | 63,455 | 0 | 0 |
LIFE TECHNOLOGIES CORP | COM | 53217V109 | 1,497 | 20,000 | SH | | DFND | 2 | 20,000 | 0 | 0 |
LIFE TECHNOLOGIES CORP | COM | 53217V109 | 4,490 | 60,000 | SH | Put | DFND | 2 | 60,000 | 0 | 0 |
LIFE TECHNOLOGIES CORP | COM | 53217V109 | 5,148 | 68,800 | SH | Call | DFND | 2 | 0 | 0 | 0 |
LIFE TECHNOLOGIES CORP | COM | 53217V109 | 28,455 | 380,268 | SH | | DFND | 1 | 380,268 | 0 | 0 |
LINN ENERGY LLC | UNIT LTD LIAB | 536020100 | 2,657 | 10,250,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
LINN ENERGY LLC | UNIT LTD LIAB | 536020100 | 3,272 | 12,620,000 | SH | Put | DFND | 1 | 12,620,000 | 0 | 0 |
LOWES COS INC | COM | 548661107 | 1,690 | 35,500 | SH | Call | DFND | 2 | 0 | 0 | 0 |
LYONDELLBASELL INDUSTRIES N | SHS - A - | N53745100 | 7,660 | 104,600 | SH | Call | DFND | 2 | 0 | 0 | 0 |
MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 1,888 | 33,460 | SH | | DFND | 1 | 33,460 | 0 | 0 |
MAKO SURGICAL CORP | COM | 560879108 | 885 | 30,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
MAKO SURGICAL CORP | COM | 560879108 | 1,623 | 5,500,000 | SH | Put | DFND | 1 | 5,500,000 | 0 | 0 |
MAKO SURGICAL CORP | COM | 560879108 | 2,618 | 88,727 | SH | | DFND | 1 | 88,727 | 0 | 0 |
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 2,204 | 49,989 | SH | | DFND | 1 | 49,989 | 0 | 0 |
MANNKIND CORP | COM | 56400P201 | 51 | 9,000 | SH | | DFND | 2 | 9,000 | 0 | 0 |
MANNKIND CORP | COM | 56400P201 | 328 | 57,500 | SH | Call | DFND | 2 | 0 | 0 | 0 |
MICROSOFT CORP | COM | 594918104 | 901 | 27,085 | SH | | DFND | 1 | 27,085 | 0 | 0 |
MOLEX INC | CL A | 608554200 | 5,716 | 149,325 | SH | | DFND | 1 | 149,325 | 0 | 0 |
MONDELEZ INTL INC | CL A | 609207105 | 283 | 9,000 | SH | | DFND | 1 | 9,000 | 0 | 0 |
MONSTER WORLDWIDE INC | COM | 611742107 | 72 | 16,200 | SH | | DFND | 1 | 16,200 | 0 | 0 |
MYLAN INC | COM | 628530107 | 2,672 | 70,000 | SH | Put | DFND | 2 | 70,000 | 0 | 0 |
NABORS INDUSTRIES LTD | SHS | G6359F103 | 514 | 32,000 | SH | | DFND | 1 | 32,000 | 0 | 0 |
NEUROCRINE BIOSCIENCES INC | COM | 64125C109 | 113 | 10,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
NEW GOLD INC CDA | COM | 644535106 | 62 | 10,300 | SH | | DFND | 1 | 10,300 | 0 | 0 |
NEWS CORP NEW | CL B | 65249B208 | 444 | 27,000 | SH | | DFND | 1 | 27,000 | 0 | 0 |
NII HLDGS INC | CL B NEW | 62913F201 | 64 | 10,600 | SH | Call | DFND | 2 | 0 | 0 | 0 |
NII HLDGS INC | CL B NEW | 62913F201 | 599 | 98,600 | SH | | DFND | 2 | 98,600 | 0 | 0 |
NII HLDGS INC | CL B NEW | 62913F201 | 1,090 | 179,550 | SH | | DFND | 1 | 179,550 | 0 | 0 |
NOBLE CORPORATION BAAR | NAMEN -AKT | H5833N103 | 1,510 | 40,000 | SH | Put | DFND | 2 | 40,000 | 0 | 0 |
NOBLE CORPORATION BAAR | NAMEN -AKT | H5833N103 | 14,149 | 374,600 | SH | Call | DFND | 2 | 0 | 0 | 0 |
NORTHWEST PIPE CO | COM | 667746101 | 1,524 | 46,345 | SH | | DFND | 1 | 46,345 | 0 | 0 |
NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 955 | 51,100 | SH | | DFND | 2 | 51,100 | 0 | 0 |
NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 2,421 | 129,590 | SH | | DFND | 1 | 129,590 | 0 | 0 |
NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 2,522 | 13,500,000 | SH | Put | DFND | 1 | 13,500,000 | 0 | 0 |
NV ENERGY INC | COM | 67073Y106 | 5,836 | 247,180 | SH | | DFND | 1 | 247,180 | 0 | 0 |
NYSE EURONEXT | COM | 629491101 | 17,393 | 414,314 | SH | | DFND | 1 | 414,314 | 0 | 0 |
OCCIDENTAL PETE CORP DEL | COM | 674599105 | 253 | 2,700 | SH | Call | DFND | 2 | 0 | 0 | 0 |
OIL STS INTL INC | COM | 678026105 | 1,164 | 11,250 | SH | | DFND | 1 | 11,250 | 0 | 0 |
ONCOTHYREON INC | COM | 682324108 | 412 | 200,000 | SH | | DFND | 1 | 200,000 | 0 | 0 |
ONEOK PARTNERS LP | UNIT LTD PARTN | 68268N103 | 637 | 12,015 | SH | | DFND | 1 | 12,015 | 0 | 0 |
ONYX PHARMACEUTICALS INC | COM | 683399109 | 1,110 | 890,000 | SH | Put | DFND | 1 | 890,000 | 0 | 0 |
ONYX PHARMACEUTICALS INC | COM | 683399109 | 4,801 | 38,500 | SH | Call | DFND | 2 | 0 | 0 | 0 |
ONYX PHARMACEUTICALS INC | COM | 683399109 | 21,069 | 168,961 | SH | | DFND | 1 | 168,961 | 0 | 0 |
ONYX PHARMACEUTICALS INC | COM | 683399109 | 25,438 | 20,400,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
OPTIMER PHARMACEUTICALS INC | COM | 68401H104 | 0 | 2,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
OPTIMER PHARMACEUTICALS INC | COM | 68401H104 | 171 | 13,581 | SH | | DFND | 2 | 13,581 | 0 | 0 |
PACKAGING CORP AMER | COM | 695156109 | 5,017 | 87,900 | SH | Call | DFND | 2 | 0 | 0 | 0 |
PACTERA TECHNOLOGY INTL LTD | SPONSORED ADR | 695255109 | 707 | 12,000,000 | SH | Put | DFND | 1 | 12,000,000 | 0 | 0 |
PACWEST BANCORP DEL | COM | 695263103 | 253 | 7,376 | SH | | DFND | 2 | 7,376 | 0 | 0 |
PARKERVISION INC | COM | 701354102 | 94 | 28,000 | SH | | DFND | 1 | 28,000 | 0 | 0 |
PERRIGO CO | COM | 714290103 | 1,838 | 1,490,000 | SH | Put | DFND | 1 | 1,490,000 | 0 | 0 |
PERRIGO CO | COM | 714290103 | 6,835 | 5,540,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
PLAINS ALL AMERN PIPELINE L | UNIT LTD PARTN | 726503105 | 1,215 | 23,070 | SH | | DFND | 1 | 23,070 | 0 | 0 |
POLYCOM INC | COM | 73172K104 | 546 | 50,000 | SH | Put | DFND | 2 | 50,000 | 0 | 0 |
POLYCOM INC | COM | 73172K104 | 612 | 56,000 | SH | | DFND | 2 | 56,000 | 0 | 0 |
POWERSHARES ETF TRUST II | SENIOR LN PORT | 73936Q769 | 15,782 | 639,283 | SH | | DFND | 3 | 639,283 | 0 | 0 |
PROSHARES TR II | ULTRASHORT YEN N | 74347W569 | 785 | 12,620 | SH | | DFND | 1 | 12,620 | 0 | 0 |
QUESTCOR PHARMACEUTICALS INC | COM | 74835Y101 | 510 | 8,800 | SH | Call | DFND | 2 | 0 | 0 | 0 |
RADISYS CORP | COM | 750459109 | 91 | 28,400 | SH | | DFND | 1 | 28,400 | 0 | 0 |
REGENCY ENERGY PARTNERS L P | COM UNITS L P | 75885Y107 | 286 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
REPLIGEN CORP | COM | 759916109 | 776 | 70,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
REPROS THERAPEUTICS INC | COM NEW | 76028H209 | 587 | 21,900 | SH | | DFND | 2 | 21,900 | 0 | 0 |
REPROS THERAPEUTICS INC | COM NEW | 76028H209 | 654 | 24,400 | SH | Put | DFND | 2 | 24,400 | 0 | 0 |
RESMED INC | COM | 761152107 | 660 | 12,500 | SH | Put | DFND | 2 | 12,500 | 0 | 0 |
RICHMONT MINES INC | COM | 76547T106 | 74 | 52,300 | SH | | DFND | 1 | 52,300 | 0 | 0 |
RIVERBED TECHNOLOGY INC | COM | 768573107 | 146 | 10,000 | SH | | DFND | 2 | 10,000 | 0 | 0 |
RLJ ENTMT INC | COM | 74965F104 | 74 | 13,503 | SH | | DFND | 1 | 13,503 | 0 | 0 |
ROCKWOOD HLDGS INC | COM | 774415103 | 3,733 | 55,800 | SH | Call | DFND | 2 | 0 | 0 | 0 |
RUBICON MINERALS CORP | COM | 780911103 | 21 | 16,800 | SH | | DFND | 1 | 16,800 | 0 | 0 |
RUE21 INC | COM | 781295100 | 40 | 1,000 | SH | | DFND | 2 | 1,000 | 0 | 0 |
RUE21 INC | COM | 781295100 | 2,045 | 5,070,000 | SH | Put | DFND | 1 | 5,070,000 | 0 | 0 |
SANCHEZ ENERGY CORP | COM | 79970Y105 | 779 | 29,490 | SH | | DFND | 1 | 29,490 | 0 | 0 |
SCHWAB CHARLES CORP NEW | COM | 808513105 | 1,162 | 54,950 | SH | | DFND | 1 | 54,950 | 0 | 0 |
SCIENTIFIC GAMES CORP | CL A | 80874P109 | 4,741 | 293,201 | SH | | DFND | 1 | 293,201 | 0 | 0 |
SEALED AIR CORP NEW | COM | 81211K100 | 598 | 22,000 | SH | Put | DFND | 2 | 22,000 | 0 | 0 |
SEALED AIR CORP NEW | COM | 81211K100 | 639 | 23,500 | SH | | DFND | 2 | 23,500 | 0 | 0 |
SEALED AIR CORP NEW | COM | 81211K100 | 1,020 | 37,500 | SH | Call | DFND | 2 | 0 | 0 | 0 |
SEATTLE GENETICS INC | COM | 812578102 | 88 | 2,000 | SH | | DFND | 2 | 2,000 | 0 | 0 |
SEATTLE GENETICS INC | COM | 812578102 | 1,218 | 27,800 | SH | Put | DFND | 2 | 27,800 | 0 | 0 |
SHFL ENTMT INC | COM | 78423R105 | 2,655 | 115,598 | SH | | DFND | 1 | 115,598 | 0 | 0 |
SIBANYE GOLD LTD | SPONSORED ADR | 825724206 | 645 | 123,750 | SH | | DFND | 1 | 123,750 | 0 | 0 |
SIGA TECHNOLOGIES INC | COM | 826917106 | 1,035 | 270,914 | SH | | DFND | 1 | 270,914 | 0 | 0 |
SLM CORP | COM | 78442P106 | 9,178 | 368,600 | SH | Call | DFND | 2 | 0 | 0 | 0 |
SMITHFIELD FOODS INC | COM | 832248108 | 0 | 35,600 | SH | Put | DFND | 2 | 35,600 | 0 | 0 |
SMITHFIELD FOODS INC | COM | 832248108 | 0 | 382,500 | SH | Call | DFND | 2 | 0 | 0 | 0 |
SMITHFIELD FOODS INC | COM | 832248108 | 26,673 | 78,450,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
SOURCEFIRE INC | COM | 83616T108 | 486 | 6,400 | SH | Call | DFND | 2 | 0 | 0 | 0 |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 258 | 2,015 | SH | | DFND | 1 | 2,015 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 874 | 5,200 | SH | | DFND | 1 | 5,200 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 56,116 | 33,400,000 | SH | Put | DFND | 1 | 33,400,000 | 0 | 0 |
SPDR S&P MIDCAP 400 ETF TR | UTSER1 S&PDCRP | 78467Y107 | 97,431 | 430,482 | SH | | DFND | 3 | 430,482 | 0 | 0 |
SPDR SERIES TRUST | BRC HGH YLD BD | 78464A417 | 1,126 | 28,250 | SH | | DFND | 1 | 28,250 | 0 | 0 |
SPRINT CORP | COM SER 1 | 85207U105 | 1,238 | 19,910,000 | SH | Call | DFND | 1 | 0 | 0 | 0 |
STERLING BANCORP | COM | 859158107 | 565 | 41,157 | SH | | DFND | 1 | 41,157 | 0 | 0 |
STERLING FINL CORP WASH | COM NEW | 859319303 | 254 | 8,875 | SH | | DFND | 2 | 8,875 | 0 | 0 |
SUBURBAN PROPANE PARTNERS L | UNIT LTD PARTN | 864482104 | 669 | 14,297 | SH | | DFND | 1 | 14,297 | 0 | 0 |
SUNESIS PHARMACEUTICALS INC | COM NEW | 867328601 | 2,244 | 452,517 | SH | | DFND | 2 | 452,517 | 0 | 0 |
SUNOCO LOGISTICS PRTNRS L P | COM UNITS | 86764L108 | 1,745 | 26,259 | SH | | DFND | 1 | 26,259 | 0 | 0 |
SYNTA PHARMACEUTICALS CORP | COM | 87162T206 | 221 | 35,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
TANZANIAN ROYALTY EXPL CORP | COM | 87600U104 | 31 | 12,300 | SH | | DFND | 1 | 12,300 | 0 | 0 |
TELEPHONE & DATA SYS INC | COM NEW | 879433829 | 692 | 23,428 | SH | | DFND | 1 | 23,428 | 0 | 0 |
TESORO CORP | COM | 881609101 | 4,081 | 92,800 | SH | | DFND | 1 | 92,800 | 0 | 0 |
THE ADT CORPORATION | COM | 00101J106 | 955 | 23,490 | SH | | DFND | 1 | 23,490 | 0 | 0 |
THRESHOLD PHARMACEUTICAL INC | COM NEW | 885807206 | 93 | 20,000 | SH | | DFND | 1 | 20,000 | 0 | 0 |
TIMMINS GOLD CORP | COM | 88741P103 | 26 | 15,600 | SH | | DFND | 1 | 15,600 | 0 | 0 |
TRANSITION THERAPEUTICS INC | COM NEW | 893716209 | 150 | 36,600 | SH | | DFND | 2 | 36,600 | 0 | 0 |
TRANSOCEAN LTD | REG SHS | H8817H100 | 1,902 | 42,750 | SH | | DFND | 1 | 42,750 | 0 | 0 |
TURQUOISE HILL RES LTD | COM | 900435108 | 75 | 17,000 | SH | | DFND | 2 | 17,000 | 0 | 0 |
U S AIRWAYS GROUP INC | COM | 90341W108 | 1,909 | 10,070,000 | SH | Put | DFND | 1 | 10,070,000 | 0 | 0 |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 201 | 2,800 | SH | | DFND | 2 | 2,800 | 0 | 0 |
VANGUARD INTL EQUITY INDEX F | FTSE EMR MKT ETF | 922042858 | 13,008 | 324,110 | SH | | DFND | 3 | 324,110 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 1,365 | 18,000 | SH | | DFND | 2 | 18,000 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 3,124 | 41,200 | SH | Put | DFND | 2 | 41,200 | 0 | 0 |
VIRNETX HLDG CORP | COM | 92823T108 | 2,945 | 144,369 | SH | | DFND | 1 | 144,369 | 0 | 0 |
VISTA GOLD CORP | COM NEW | 927926303 | 43 | 93,800 | SH | | DFND | 1 | 93,800 | 0 | 0 |
VIVUS INC | COM | 928551100 | 395 | 42,500 | SH | | DFND | 2 | 42,500 | 0 | 0 |
VIVUS INC | COM | 928551100 | 1,349 | 145,000 | SH | Call | DFND | 2 | 0 | 0 | 0 |
VIVUS INC | COM | 928551100 | 2,072 | 222,759 | SH | | DFND | 1 | 222,759 | 0 | 0 |
WAL-MART STORES INC | COM | 931142103 | 564 | 7,625 | SH | | DFND | 1 | 7,625 | 0 | 0 |
WALTER INVT MGMT CORP | COM | 93317W102 | 448 | 11,335 | SH | | DFND | 1 | 11,335 | 0 | 0 |
WILLIAMS COS INC DEL | COM | 969457100 | 455 | 12,500 | SH | | DFND | 1 | 12,500 | 0 | 0 |