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: | 12-31-2013 |
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 | 02-13-2014 |
[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: | 226 |
| Form 13F Information Table Value Total: | 594,922 |
| (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 |
ACHILLION PHARMACEUTICALS IN | COM | 00448Q201 | 50 | 15,000 | SH | | DFND | 1 | 15,000 | 0 | 0 |
ACHILLION PHARMACEUTICALS IN | COM | 00448Q201 | 332 | 100,000 | SH | Call | DFND | 3 | 100,000 | 0 | 0 |
ACI WORLDWIDE INC | COM | 004498101 | 2,477 | 38,100 | SH | | DFND | 2 | 38,100 | 0 | 0 |
ADOBE SYS INC | COM | 00724F101 | 2,581 | 43,100 | SH | | DFND | 2 | 43,100 | 0 | 0 |
AIR PRODS & CHEMS INC | COM | 009158106 | 2,459 | 22,000 | SH | | DFND | 2 | 22,000 | 0 | 0 |
AIR PRODS & CHEMS INC | COM | 009158106 | 2,537 | 22,700 | SH | | DFND | 3 | 22,700 | 0 | 0 |
AIR PRODS & CHEMS INC | COM | 009158106 | 2,537 | 22,700 | SH | Put | DFND | 3 | 22,700 | 0 | 0 |
AKAMAI TECHNOLOGIES INC | COM | 00971T101 | 2,501 | 53,000 | SH | | DFND | 2 | 53,000 | 0 | 0 |
ALCOA INC | COM | 013817101 | 393 | 37,000 | SH | Call | DFND | 3 | 37,000 | 0 | 0 |
ALLISON TRANSMISSION HLDGS I | COM | 01973R101 | 472 | 17,092 | SH | | DFND | 1 | 17,092 | 0 | 0 |
AMERICAN AIRLS GROUP INC | COM | 02376R102 | 1,401 | 55,500 | SH | Call | DFND | 1 | 55,500 | 0 | 0 |
AMERICAN AIRLS GROUP INC | COM | 02376R102 | 1,969 | 77,985 | SH | | DFND | 1 | 77,985 | 0 | 0 |
AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 294 | 22,900 | SH | Call | DFND | 3 | 22,900 | 0 | 0 |
ANTARES PHARMA INC | COM | 036642106 | 67 | 15,000 | SH | | DFND | 1 | 15,000 | 0 | 0 |
AOL INC | COM | 00184X105 | 2,093 | 44,900 | SH | | DFND | 3 | 44,900 | 0 | 0 |
APPLIED MATLS INC | COM | 038222105 | 88 | 5,000 | SH | | DFND | 3 | 5,000 | 0 | 0 |
APPLIED MATLS INC | COM | 038222105 | 7,358 | 416,200 | SH | Call | DFND | 1 | 416,200 | 0 | 0 |
ARENA PHARMACEUTICALS INC | COM | 040047102 | 59 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
ARIAD PHARMACEUTICALS INC | COM | 04033A100 | 102 | 15,000 | SH | | DFND | 1 | 15,000 | 0 | 0 |
ASHLAND INC NEW | COM | 044209104 | 2,180 | 22,468 | SH | | DFND | 1 | 22,468 | 0 | 0 |
ASHLAND INC NEW | COM | 044209104 | 2,475 | 25,500 | SH | | DFND | 2 | 25,500 | 0 | 0 |
ASHLAND INC NEW | COM | 044209104 | 5,036 | 51,900 | SH | Put | DFND | 1 | 51,900 | 0 | 0 |
BAKER HUGHES INC | COM | 057224107 | 2,481 | 44,900 | SH | | DFND | 2 | 44,900 | 0 | 0 |
BARRICK GOLD CORP | COM | 067901108 | 441 | 25,000 | SH | | DFND | 1 | 25,000 | 0 | 0 |
BEAM INC | COM | 073730103 | 2,382 | 35,000 | SH | | DFND | 2 | 35,000 | 0 | 0 |
BLUEBIRD BIO INC | COM | 09609G100 | 3,330 | 158,709 | SH | | DFND | 1 | 158,709 | 0 | 0 |
BOARDWALK PIPELINE PARTNERS | UT LTD PARTNER | 096627104 | 717 | 28,100 | SH | | DFND | 1 | 28,100 | 0 | 0 |
BOB EVANS FARMS INC | COM | 096761101 | 1,601 | 31,643 | SH | | DFND | 1 | 31,643 | 0 | 0 |
BROCADE COMMUNICATIONS SYS I | COM NEW | 111621306 | 2,477 | 279,400 | SH | | DFND | 2 | 279,400 | 0 | 0 |
BUCKEYE PARTNERS L P | UNIT LTD PARTN | 118230101 | 1,225 | 17,250 | SH | | DFND | 1 | 17,250 | 0 | 0 |
BURGER KING WORLDWIDE INC | COM | 121220107 | 2,569 | 112,400 | SH | | DFND | 2 | 112,400 | 0 | 0 |
CACI INTL INC | CL A | 127190304 | 2,409 | 32,900 | SH | | DFND | 2 | 32,900 | 0 | 0 |
CANADIAN PAC RY LTD | COM | 13645T100 | 2,376 | 15,700 | SH | | DFND | 2 | 15,700 | 0 | 0 |
CAPITAL ONE FINL CORP | COM | 14040H105 | 383 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
CAPITAL SR LIVING CORP | COM | 140475104 | 240 | 10,000 | SH | Put | DFND | 3 | 10,000 | 0 | 0 |
CBS CORP NEW | CL B | 124857202 | 2,569 | 40,300 | SH | | DFND | 2 | 40,300 | 0 | 0 |
CEMPRA INC | COM | 15130J109 | 248 | 20,000 | SH | | DFND | 1 | 20,000 | 0 | 0 |
CHICOS FAS INC | COM | 168615102 | 2,376 | 126,100 | SH | | DFND | 2 | 126,100 | 0 | 0 |
CISCO SYS INC | COM | 17275R102 | 457 | 20,383 | SH | | DFND | 3 | 20,383 | 0 | 0 |
CISCO SYS INC | COM | 17275R102 | 3,813 | 170,000 | SH | Put | DFND | 3 | 170,000 | 0 | 0 |
COBALT INTL ENERGY INC | COM | 19075F106 | 629 | 38,200 | SH | Call | DFND | 3 | 38,200 | 0 | 0 |
COLE REAL ESTATE INVTS INC | COM | 19329V105 | 1,841 | 131,100 | SH | | DFND | 1 | 131,100 | 0 | 0 |
COMMONWEALTH REIT | COM SH BEN INT | 203233101 | 2,434 | 104,400 | SH | | DFND | 2 | 104,400 | 0 | 0 |
COMMONWEALTH REIT | COM SH BEN INT | 203233101 | 2 | 78 | SH | | DFND | 3 | 78 | 0 | 0 |
COMMUNITY HEALTH SYS INC NEW | COM | 203668108 | 39 | 999 | SH | | DFND | 3 | 999 | 0 | 0 |
COMMUNITY HEALTH SYS INC NEW | COM | 203668108 | 719 | 18,300 | SH | | DFND | 1 | 18,300 | 0 | 0 |
COMMUNITY HEALTH SYS INC NEW | COM | 203668108 | 3,184 | 81,100 | SH | Call | DFND | 1 | 81,100 | 0 | 0 |
COMPUWARE CORP | COM | 205638109 | 2,879 | 256,800 | SH | Call | DFND | 1 | 256,800 | 0 | 0 |
COMPUWARE CORP | COM | 205638109 | 3,051 | 272,208 | SH | | DFND | 1 | 272,208 | 0 | 0 |
COWEN GROUP INC NEW | CL A | 223622101 | 16,877 | 4,316,490 | SH | | DFND | 1 | 4,316,490 | 0 | 0 |
CRESTWOOD MIDSTREAM PARTNERS | UNIT LTD PARTNER | 226378107 | 812 | 32,624 | SH | | DFND | 1 | 32,624 | 0 | 0 |
CUBIST PHARMACEUTICALS INC | COM | 229678107 | 207 | 3,000 | SH | | DFND | 1 | 3,000 | 0 | 0 |
CYPRESS SEMICONDUCTOR CORP | COM | 232806109 | 263 | 25,000 | SH | Put | DFND | 3 | 25,000 | 0 | 0 |
CYPRESS SEMICONDUCTOR CORP | COM | 232806109 | 551 | 52,500 | SH | Call | DFND | 3 | 52,500 | 0 | 0 |
EBAY INC | COM | 278642103 | 873 | 15,916 | SH | | DFND | 1 | 15,916 | 0 | 0 |
EDWARDS GROUP LTD | SPONSORED ADR | 281736108 | 1,174 | 115,344 | SH | | DFND | 1 | 115,344 | 0 | 0 |
ENERGY TRANSFER EQUITY L P | COM UT LTD PTN | 29273V100 | 1,731 | 21,175 | SH | | DFND | 1 | 21,175 | 0 | 0 |
ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 986 | 14,875 | SH | | DFND | 1 | 14,875 | 0 | 0 |
EQUINIX INC | COM NEW | 29444U502 | 2,853 | 16,080 | SH | | DFND | 1 | 16,080 | 0 | 0 |
EXXON MOBIL CORP | COM | 30231G102 | 301 | 2,971 | SH | | DFND | 1 | 2,971 | 0 | 0 |
F M C CORP | COM NEW | 302491303 | 1,962 | 26,000 | SH | Call | DFND | 3 | 26,000 | 0 | 0 |
FAMILY DLR STORES INC | COM | 307000109 | 195 | 3,000 | SH | | DFND | 3 | 3,000 | 0 | 0 |
FAMILY DLR STORES INC | COM | 307000109 | 650 | 10,000 | SH | Call | DFND | 3 | 10,000 | 0 | 0 |
FAMILY DLR STORES INC | COM | 307000109 | 650 | 10,000 | SH | Put | DFND | 3 | 10,000 | 0 | 0 |
FAMILY DLR STORES INC | COM | 307000109 | 2,365 | 36,400 | SH | | DFND | 2 | 36,400 | 0 | 0 |
FEDERAL SIGNAL CORP | COM | 313855108 | 670 | 45,708 | SH | | DFND | 1 | 45,708 | 0 | 0 |
FIDELITY NATIONAL FINANCIAL | CL A | 31620R105 | 14,333 | 441,700 | SH | Call | DFND | 1 | 441,700 | 0 | 0 |
FORTRESS PAPER LTD-CL A | CS | 34958R101 | 1,114 | 280,328 | SH | | DFND | 1 | 280,328 | 0 | 0 |
GENERAL GROWTH PPTYS INC NEW | COM | 370023103 | 2,294 | 114,300 | SH | | DFND | 2 | 114,300 | 0 | 0 |
GENESIS ENERGY L P | UNIT LTD PARTN | 371927104 | 394 | 7,500 | SH | | DFND | 1 | 7,500 | 0 | 0 |
GERON CORP | COM | 374163103 | 59 | 12,500 | SH | | DFND | 1 | 12,500 | 0 | 0 |
GOOGLE INC | CL A | 38259P508 | 1,457 | 1,300 | SH | | DFND | 1 | 1,300 | 0 | 0 |
HALLIBURTON CO | COM | 406216101 | 7,993 | 157,500 | SH | Call | DFND | 3 | 157,500 | 0 | 0 |
HARMAN INTL INDS INC | COM | 413086109 | 2,398 | 29,300 | SH | | DFND | 2 | 29,300 | 0 | 0 |
HEALTH MGMT ASSOC INC NEW | CL A | 421933102 | 462 | 35,300 | SH | Call | DFND | 3 | 35,300 | 0 | 0 |
HEALTH MGMT ASSOC INC NEW | CL A | 421933102 | 1,391 | 106,200 | SH | Put | DFND | 1 | 106,200 | 0 | 0 |
HERBALIFE LTD | COM USD SHS | G4412G101 | 832 | 10,575 | SH | | DFND | 1 | 10,575 | 0 | 0 |
HEWLETT PACKARD CO | COM | 428236103 | 2,443 | 87,300 | SH | | DFND | 2 | 87,300 | 0 | 0 |
HOLOGIC INC | COM | 436440101 | 503 | 22,499 | SH | | DFND | 1 | 22,499 | 0 | 0 |
HOUSTON AMERN ENERGY CORP | COM | 44183U100 | 10 | 38,000 | SH | | DFND | 1 | 38,000 | 0 | 0 |
ILLINOIS TOOL WKS INC | COM | 452308109 | 2,514 | 29,900 | SH | | DFND | 2 | 29,900 | 0 | 0 |
IMMUNOGEN INC | COM | 45253H101 | 1,125 | 76,658 | SH | | DFND | 3 | 76,658 | 0 | 0 |
IMMUNOGEN INC | COM | 45253H101 | 1,320 | 90,000 | SH | Put | DFND | 3 | 90,000 | 0 | 0 |
INGERSOLL-RAND PLC | SHS | G47791101 | 2,593 | 42,100 | SH | | DFND | 2 | 42,100 | 0 | 0 |
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 844 | 4,500 | SH | | DFND | 1 | 4,500 | 0 | 0 |
ISHARES | MSCI CDA ETF | 464286509 | 292 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
ISHARES | RUSSELL 2000 ETF | 464287655 | 59,872 | 519,000 | SH | Put | DFND | 1 | 519,000 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 165 | 1,800 | SH | | DFND | 3 | 1,800 | 0 | 0 |
JOHNSON & JOHNSON | COM | 478160104 | 1,832 | 20,000 | SH | Put | DFND | 3 | 20,000 | 0 | 0 |
KRAFT FOODS GROUP INC | COM | 50076Q106 | 1,143 | 21,200 | SH | | DFND | 3 | 21,200 | 0 | 0 |
KRAFT FOODS GROUP INC | COM | 50076Q106 | 1,143 | 21,200 | SH | Put | DFND | 3 | 21,200 | 0 | 0 |
LAMAR ADVERTISING CO | CL A | 512815101 | 3,587 | 68,645 | SH | | DFND | 1 | 68,645 | 0 | 0 |
LAMAR ADVERTISING CO | CL A | 512815101 | 15,508 | 296,800 | SH | Put | DFND | 1 | 296,800 | 0 | 0 |
LAMAR ADVERTISING CO | CL A | 512815101 | 18,001 | 344,500 | SH | Call | DFND | 1 | 344,500 | 0 | 0 |
LEAP WIRELESS INTL INC | COM NEW | 521863308 | 11,656 | 669,900 | SH | Put | DFND | 1 | 669,900 | 0 | 0 |
LEAR CORP | COM NEW | 521865204 | 2,372 | 29,300 | SH | | DFND | 2 | 29,300 | 0 | 0 |
LENDER PROCESSING SVCS INC | COM | 52602E102 | 964 | 25,787 | SH | | DFND | 1 | 25,787 | 0 | 0 |
LIFE TECHNOLOGIES CORP | COM | 53217V109 | 5,215 | 68,800 | SH | Call | DFND | 3 | 68,800 | 0 | 0 |
LIFE TECHNOLOGIES CORP | COM | 53217V109 | 33,882 | 446,989 | SH | | DFND | 1 | 446,989 | 0 | 0 |
LINN ENERGY LLC | UNIT LTD LIAB | 536020100 | 4,899 | 159,100 | SH | Call | DFND | 1 | 159,100 | 0 | 0 |
LINNCO LLC | COMSHS LTD INT | 535782106 | 0 | 1 | SH | | DFND | 3 | 1 | 0 | 0 |
LINNCO LLC | COMSHS LTD INT | 535782106 | 1,685 | 54,700 | SH | Put | DFND | 1 | 54,700 | 0 | 0 |
LORAL SPACE & COMMUNICATNS I | COM | 543881106 | 535 | 6,600 | SH | Call | DFND | 3 | 6,600 | 0 | 0 |
LORAL SPACE & COMMUNICATNS I | COM | 543881106 | 850 | 10,500 | SH | Put | DFND | 3 | 10,500 | 0 | 0 |
LORAL SPACE & COMMUNICATNS I | COM | 543881106 | 3,806 | 47,000 | SH | | DFND | 3 | 47,000 | 0 | 0 |
LSI CORPORATION | COM | 502161102 | 143 | 12,994 | SH | | DFND | 3 | 12,994 | 0 | 0 |
LYONDELLBASELL INDUSTRIES N | SHS - A - | N53745100 | 2,007 | 25,000 | SH | Put | DFND | 3 | 25,000 | 0 | 0 |
LYONDELLBASELL INDUSTRIES N | SHS - A - | N53745100 | 9,930 | 123,700 | SH | Call | DFND | 3 | 123,700 | 0 | 0 |
MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 1,769 | 27,960 | SH | | DFND | 1 | 27,960 | 0 | 0 |
MANNKIND CORP | COM | 56400P201 | 125 | 24,000 | SH | | DFND | 3 | 24,000 | 0 | 0 |
MCKESSON CORP | COM | 58155Q103 | 242 | 1,500 | SH | | DFND | 1 | 1,500 | 0 | 0 |
MEDASSETS INC | COM | 584045108 | 2,119 | 106,859 | SH | | DFND | 2 | 106,859 | 0 | 0 |
MENS WEARHOUSE INC | COM | 587118100 | 612 | 12,000 | SH | Call | DFND | 3 | 12,000 | 0 | 0 |
MICROSOFT CORP | COM | 594918104 | 2,342 | 62,600 | SH | | DFND | 2 | 62,600 | 0 | 0 |
MONDELEZ INTL INC | CL A | 609207105 | 2,439 | 69,100 | SH | | DFND | 2 | 69,100 | 0 | 0 |
MOTOROLA SOLUTIONS INC | COM NEW | 620076307 | 2,464 | 36,500 | SH | | DFND | 2 | 36,500 | 0 | 0 |
MYLAN INC | COM | 628530107 | 3,038 | 70,000 | SH | Put | DFND | 3 | 70,000 | 0 | 0 |
MYRIAD GENETICS INC | COM | 62855J104 | 63 | 3,000 | SH | | DFND | 3 | 3,000 | 0 | 0 |
MYRIAD GENETICS INC | COM | 62855J104 | 420 | 20,000 | SH | Put | DFND | 3 | 20,000 | 0 | 0 |
NABORS INDUSTRIES LTD | SHS | G6359F103 | 679 | 39,968 | SH | | DFND | 1 | 39,968 | 0 | 0 |
NCR CORP NEW | COM | 62886E108 | 511 | 14,994 | SH | | DFND | 1 | 14,994 | 0 | 0 |
NCR CORP NEW | COM | 62886E108 | 2,510 | 73,700 | SH | | DFND | 2 | 73,700 | 0 | 0 |
NEUROCRINE BIOSCIENCES INC | COM | 64125C109 | 93 | 10,000 | SH | Call | DFND | 3 | 10,000 | 0 | 0 |
NII HLDGS INC | CL B NEW | 62913F201 | 0 | 100 | SH | | DFND | 3 | 100 | 0 | 0 |
NII HLDGS INC | CL B NEW | 62913F201 | 388 | 140,900 | SH | Call | DFND | 3 | 140,900 | 0 | 0 |
NII HLDGS INC | CL B NEW | 62913F201 | 792 | 288,178 | SH | | DFND | 1 | 288,178 | 0 | 0 |
NORTHWEST PIPE CO | COM | 667746101 | 1,957 | 51,820 | SH | | DFND | 1 | 51,820 | 0 | 0 |
NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 1,515 | 99,700 | SH | Call | DFND | 1 | 99,700 | 0 | 0 |
NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 2,749 | 180,827 | SH | | DFND | 1 | 180,827 | 0 | 0 |
NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 152 | 10,000 | SH | | DFND | 3 | 10,000 | 0 | 0 |
NUPATHE INC | COM | 67059M100 | 420 | 128,492 | SH | | DFND | 1 | 128,492 | 0 | 0 |
OIL STS INTL INC | COM | 678026105 | 2,049 | 20,147 | SH | | DFND | 1 | 20,147 | 0 | 0 |
OIL STS INTL INC | COM | 678026105 | 2,401 | 23,600 | SH | | DFND | 2 | 23,600 | 0 | 0 |
OLIN CORP | COM PAR $1 | 680665205 | 1,010 | 35,000 | SH | Call | DFND | 3 | 35,000 | 0 | 0 |
OMNICOM GROUP INC | COM | 681919106 | 17,403 | 234,006 | SH | | DFND | 1 | 234,006 | 0 | 0 |
ONCOTHYREON INC | COM | 682324108 | 616 | 350,000 | SH | | DFND | 1 | 350,000 | 0 | 0 |
ONEOK PARTNERS LP | UNIT LTD PARTN | 68268N103 | 622 | 11,815 | SH | | DFND | 1 | 11,815 | 0 | 0 |
OUTERWALL INC | COM | 690070107 | 1,004 | 14,922 | SH | | DFND | 1 | 14,922 | 0 | 0 |
OWENS ILL INC | COM NEW | 690768403 | 2,548 | 71,200 | SH | | DFND | 2 | 71,200 | 0 | 0 |
PACTERA TECHNOLOGY INTL LTD | SPONSORED ADR | 695255109 | 718 | 102,500 | SH | Put | DFND | 1 | 102,500 | 0 | 0 |
PARKERVISION INC | COM | 701354102 | 91 | 20,000 | SH | | DFND | 1 | 20,000 | 0 | 0 |
PENNEY J C INC | COM | 708160106 | 2,814 | 307,500 | SH | Call | DFND | 1 | 307,500 | 0 | 0 |
PENNEY J C INC | COM | 708160106 | 712 | 77,800 | SH | Put | DFND | 1 | 77,800 | 0 | 0 |
PEPSICO INC | COM | 713448108 | 2,364 | 28,500 | SH | | DFND | 2 | 28,500 | 0 | 0 |
PLAINS ALL AMERN PIPELINE L | UNIT LTD PARTN | 726503105 | 1,091 | 21,070 | SH | | DFND | 1 | 21,070 | 0 | 0 |
POLYCOM INC | COM | 73172K104 | 590 | 52,500 | SH | | DFND | 3 | 52,500 | 0 | 0 |
POLYCOM INC | COM | 73172K104 | 634 | 56,500 | SH | Put | DFND | 3 | 56,500 | 0 | 0 |
POWERSHARES ETF TRUST II | SENIOR LN PORT | 73936Q769 | 13,211 | 530,803 | SH | | DFND | 2 | 530,803 | 0 | 0 |
PROGRESSIVE WASTE SOLUTIONS | COM | 74339G101 | 1,979 | 79,958 | SH | | DFND | 2 | 79,958 | 0 | 0 |
PROSHARES TR II | ULTRASHORT YEN N | 74347W569 | 780 | 11,000 | SH | | DFND | 1 | 11,000 | 0 | 0 |
PVR PARTNERS L P | COM UNIT REPTG L | 693665101 | 2,482 | 92,523 | SH | | DFND | 1 | 92,523 | 0 | 0 |
QUESTCOR PHARMACEUTICALS INC | COM | 74835Y101 | 479 | 8,800 | SH | Call | DFND | 3 | 8,800 | 0 | 0 |
RAYTHEON CO | COM NEW | 755111507 | 943 | 10,400 | SH | | DFND | 3 | 10,400 | 0 | 0 |
RAYTHEON CO | COM NEW | 755111507 | 943 | 10,400 | SH | Put | DFND | 3 | 10,400 | 0 | 0 |
REGENCY ENERGY PARTNERS L P | COM UNITS L P | 75885Y107 | 263 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
REGIONS FINL CORP NEW | COM | 7591EP100 | 584 | 59,000 | SH | Call | DFND | 3 | 59,000 | 0 | 0 |
RIVERBED TECHNOLOGY INC | COM | 768573107 | 462 | 25,558 | SH | | DFND | 1 | 25,558 | 0 | 0 |
RLJ ENTMT INC | COM | 74965F104 | 65 | 13,503 | SH | | DFND | 1 | 13,503 | 0 | 0 |
ROCKWELL COLLINS INC | COM | 774341101 | 2,432 | 32,900 | SH | | DFND | 2 | 32,900 | 0 | 0 |
ROCKWOOD HLDGS INC | COM | 774415103 | 273 | 3,800 | SH | Call | DFND | 3 | 3,800 | 0 | 0 |
SAFEWAY INC | COM NEW | 786514208 | 814 | 25,000 | SH | Call | DFND | 1 | 25,000 | 0 | 0 |
SAFEWAY INC | COM NEW | 786514208 | 4,589 | 140,900 | SH | Put | DFND | 1 | 140,900 | 0 | 0 |
SALESFORCE COM INC | COM | 79466L302 | 276 | 5,000 | SH | | DFND | 3 | 5,000 | 0 | 0 |
SALESFORCE COM INC | COM | 79466L302 | 386 | 7,000 | SH | Put | DFND | 3 | 7,000 | 0 | 0 |
SANCHEZ ENERGY CORP | COM | 79970Y105 | 266 | 10,857 | SH | | DFND | 1 | 10,857 | 0 | 0 |
SANTARUS INC | COM | 802817304 | 639 | 20,000 | SH | | DFND | 3 | 20,000 | 0 | 0 |
SCHWAB CHARLES CORP NEW | COM | 808513105 | 1,304 | 50,150 | SH | | DFND | 1 | 50,150 | 0 | 0 |
SCIENCE APPLICATNS INTL CP N | COM | 808625107 | 661 | 20,000 | SH | | DFND | 1 | 20,000 | 0 | 0 |
SCIENTIFIC GAMES CORP | CL A | 80874P109 | 4,735 | 279,701 | SH | | DFND | 1 | 279,701 | 0 | 0 |
SEALED AIR CORP NEW | COM | 81211K100 | 1,277 | 37,500 | SH | Call | DFND | 3 | 37,500 | 0 | 0 |
SEATTLE GENETICS INC | COM | 812578102 | 80 | 2,000 | SH | | DFND | 3 | 2,000 | 0 | 0 |
SEATTLE GENETICS INC | COM | 812578102 | 1,009 | 25,300 | SH | Put | DFND | 3 | 25,300 | 0 | 0 |
SERVICE CORP INTL | COM | 817565104 | 1,731 | 95,479 | SH | | DFND | 1 | 95,479 | 0 | 0 |
SIGA TECHNOLOGIES INC | COM | 826917106 | 686 | 209,654 | SH | | DFND | 1 | 209,654 | 0 | 0 |
SLM CORP | COM | 78442P106 | 6 | 200 | SH | Put | DFND | 3 | 200 | 0 | 0 |
SLM CORP | COM | 78442P106 | 23,915 | 910,000 | SH | Call | DFND | 3 | 910,000 | 0 | 0 |
SOTHEBYS | COM | 835898107 | 2,453 | 46,100 | SH | | DFND | 2 | 46,100 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 905 | 4,900 | SH | | DFND | 1 | 4,900 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 31,582 | 171,000 | SH | Put | DFND | 1 | 171,000 | 0 | 0 |
SPDR SERIES TRUST | BRC HGH YLD BD | 78464A417 | 1,085 | 26,750 | SH | | DFND | 1 | 26,750 | 0 | 0 |
SPRINT CORP | COM SER 1 | 85207U105 | 548 | 50,989 | SH | | DFND | 1 | 50,989 | 0 | 0 |
SPX CORP | COM | 784635104 | 2,520 | 25,300 | SH | | DFND | 2 | 25,300 | 0 | 0 |
STERLING BANCORP DEL | COM | 85917A100 | 695 | 51,960 | SH | | DFND | 1 | 51,960 | 0 | 0 |
SUBURBAN PROPANE PARTNERS L | UNIT LTD PARTN | 864482104 | 671 | 14,297 | SH | | DFND | 1 | 14,297 | 0 | 0 |
SUNEDISON INC | COM | 86732Y109 | 1,355 | 103,900 | SH | Put | DFND | 3 | 103,900 | 0 | 0 |
SUNEDISON INC | COM | 86732Y109 | 301 | 23,000 | SH | Call | DFND | 3 | 23,000 | 0 | 0 |
SUNEDISON INC | COM | 86732Y109 | 1,253 | 96,000 | SH | | DFND | 3 | 96,000 | 0 | 0 |
SUNESIS PHARMACEUTICALS INC | COM NEW | 867328601 | 3,299 | 696,075 | SH | | DFND | 3 | 696,075 | 0 | 0 |
SUNOCO LOGISTICS PRTNRS L P | COM UNITS | 86764L108 | 1,227 | 16,259 | SH | | DFND | 1 | 16,259 | 0 | 0 |
SYSCO CORP | COM | 871829107 | 5,429 | 150,400 | SH | Call | DFND | 1 | 150,400 | 0 | 0 |
TETRAPHASE PHARMACEUTICALS I | COM | 88165N105 | 203 | 15,000 | SH | | DFND | 1 | 15,000 | 0 | 0 |
THE ADT CORPORATION | COM | 00101J106 | 364 | 9,000 | SH | | DFND | 3 | 9,000 | 0 | 0 |
THE ADT CORPORATION | COM | 00101J106 | 2,024 | 50,000 | SH | Call | DFND | 3 | 50,000 | 0 | 0 |
THE ADT CORPORATION | COM | 00101J106 | 2,400 | 59,300 | SH | | DFND | 2 | 59,300 | 0 | 0 |
THERAVANCE INC | COM | 88338T104 | 1,426 | 40,005 | SH | | DFND | 1 | 40,005 | 0 | 0 |
THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 2,594 | 23,300 | SH | | DFND | 2 | 23,300 | 0 | 0 |
TIME WARNER CABLE INC | COM | 88732J207 | 760 | 5,612 | SH | | DFND | 1 | 5,612 | 0 | 0 |
TIME WARNER CABLE INC | COM | 88732J207 | 2,331 | 17,200 | SH | Put | DFND | 1 | 17,200 | 0 | 0 |
TIMKEN CO | COM | 887389104 | 874 | 15,875 | SH | | DFND | 1 | 15,875 | 0 | 0 |
T-MOBILE US INC | COM | 872590104 | 542 | 16,119 | SH | | DFND | 1 | 16,119 | 0 | 0 |
TRANSOCEAN LTD | REG SHS | H8817H100 | 972 | 19,659 | SH | | DFND | 1 | 19,659 | 0 | 0 |
TRANSOCEAN LTD | REG SHS | H8817H100 | 5,174 | 104,700 | SH | Call | DFND | 1 | 104,700 | 0 | 0 |
UNITED RENTALS INC | COM | 911363109 | 2,627 | 33,700 | SH | | DFND | 2 | 33,700 | 0 | 0 |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 286 | 3,800 | SH | | DFND | 3 | 3,800 | 0 | 0 |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 286 | 3,800 | SH | Put | DFND | 3 | 3,800 | 0 | 0 |
UTI WORLDWIDE INC | ORD | G87210103 | 2,378 | 135,430 | SH | | DFND | 2 | 135,430 | 0 | 0 |
VAIL RESORTS INC | COM | 91879Q109 | 2,400 | 31,900 | SH | | DFND | 2 | 31,900 | 0 | 0 |
VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 2,595 | 22,100 | SH | | DFND | 2 | 22,100 | 0 | 0 |
VANDA PHARMACEUTICALS INC | COM | 921659108 | 310 | 25,000 | SH | | DFND | 1 | 25,000 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 1,858 | 25,000 | SH | Put | DFND | 3 | 25,000 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 372 | 5,000 | SH | Call | DFND | 3 | 5,000 | 0 | 0 |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 706 | 9,500 | SH | | DFND | 3 | 9,500 | 0 | 0 |
VIRNETX HLDG CORP | COM | 92823T108 | 4,778 | 246,157 | SH | | DFND | 1 | 246,157 | 0 | 0 |
VIROPHARMA INC | COM | 928241108 | 997 | 20,000 | SH | | DFND | 1 | 20,000 | 0 | 0 |
VIROPHARMA INC | COM | 928241108 | 2,552 | 51,200 | SH | Put | DFND | 1 | 51,200 | 0 | 0 |
VIVUS INC | COM | 928551100 | 1,432 | 157,738 | SH | | DFND | 1 | 157,738 | 0 | 0 |
VIVUS INC | COM | 928551100 | 2,543 | 280,000 | SH | Call | DFND | 3 | 280,000 | 0 | 0 |
VMWARE INC | CL A COM | 928563402 | 6,091 | 67,900 | SH | Put | DFND | 3 | 67,900 | 0 | 0 |
WAL-MART STORES INC | COM | 931142103 | 639 | 8,125 | SH | | DFND | 1 | 8,125 | 0 | 0 |
WAL-MART STORES INC | COM | 931142103 | 3,935 | 50,000 | SH | Call | DFND | 3 | 50,000 | 0 | 0 |
WALTER INVT MGMT CORP | COM | 93317W102 | 401 | 11,335 | SH | | DFND | 1 | 11,335 | 0 | 0 |
WENDYS CO | COM | 95058W100 | 2,454 | 281,400 | SH | | DFND | 2 | 281,400 | 0 | 0 |
WILLIAMS COS INC DEL | COM | 969457100 | 482 | 12,500 | SH | | DFND | 1 | 12,500 | 0 | 0 |
WILLIAMS COS INC DEL | COM | 969457100 | 2,646 | 68,600 | SH | | DFND | 2 | 68,600 | 0 | 0 |
XYLEM INC | COM | 98419M100 | 654 | 18,900 | SH | Call | DFND | 3 | 18,900 | 0 | 0 |
YUM BRANDS INC | COM | 988498101 | 4,158 | 55,000 | SH | Call | DFND | 3 | 55,000 | 0 | 0 |