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: | 06-30-2014 |
| 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 | 08-11-2014 |
| [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: | 267 |
| Form 13F Information Table Value Total: | 890,682 |
| (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 |
| 22ND CENTY GROUP INC | COM | 90137F103 | 154 | 50,000 | SH | | DFND | 1 | 50,000 | 0 | 0 |
| ABBVIE INC | COM | 00287Y109 | 5,080 | 90,000 | SH | Call | DFND | 1 | 90,000 | 0 | 0 |
| ACACIA RESH CORP | ACACIA TCH COM | 003881307 | 313 | 17,660 | SH | | DFND | 1 | 17,660 | 0 | 0 |
| ACI WORLDWIDE INC | COM | 004498101 | 3,982 | 71,320 | SH | | DFND | 2 | 71,320 | 0 | 0 |
| ACUITY BRANDS INC | COM | 00508Y102 | 249 | 1,800 | SH | | DFND | 1 | 1,800 | 0 | 0 |
| ADOBE SYS INC | COM | 00724F101 | 4,316 | 59,650 | SH | | DFND | 2 | 59,650 | 0 | 0 |
| AIR LEASE CORP | CL A | 00912X302 | 249 | 6,450 | SH | | DFND | 1 | 6,450 | 0 | 0 |
| AIR PRODS & CHEMS INC | COM | 009158106 | 4,215 | 32,773 | SH | | DFND | 2 | 32,773 | 0 | 0 |
| AKAMAI TECHNOLOGIES INC | COM | 00971T101 | 4,346 | 71,179 | SH | | DFND | 2 | 71,179 | 0 | 0 |
| ALKERMES PLC | SHS | G01767105 | 302 | 6,000 | SH | | DFND | 1 | 6,000 | 0 | 0 |
| ALLERGAN INC | COM | 018490102 | 16,905 | 99,900 | SH | Put | DFND | 1 | 99,900 | 0 | 0 |
| ALLIANT TECHSYSTEMS INC | COM | 018804104 | 3,442 | 25,703 | SH | | DFND | 1 | 25,703 | 0 | 0 |
| ALLIANT TECHSYSTEMS INC | COM | 018804104 | 10,714 | 80,000 | SH | Call | DFND | 1 | 80,000 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 | 559 | 1,720 | SH | | DFND | 1 | 1,720 | 0 | 0 |
| AMERICAN AIRLS GROUP INC | COM | 02376R102 | 215 | 5,000 | SH | Call | DFND | 3 | 5,000 | 0 | 0 |
| AMERICAN RAILCAR INDS INC | COM | 02916P103 | 857 | 12,650 | SH | | DFND | 1 | 12,650 | 0 | 0 |
| AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 3,925 | 313,224 | SH | | DFND | 2 | 313,224 | 0 | 0 |
| AMGEN INC | COM | 031162100 | 592 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
| ANTARES PHARMA INC | COM | 036642106 | 40 | 15,000 | SH | | DFND | 1 | 15,000 | 0 | 0 |
| APOLLO INVT CORP | COM | 03761U106 | 115 | 13,300 | SH | | DFND | 1 | 13,300 | 0 | 0 |
| APPLE INC | COM | 037833100 | 2,220 | 23,887 | SH | | DFND | 1 | 23,887 | 0 | 0 |
| APPLIED MATLS INC | COM | 038222105 | 4,511 | 200,000 | SH | Call | DFND | 1 | 200,000 | 0 | 0 |
| ARROWHEAD RESH CORP | COM NEW | 042797209 | 143 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
| ASPEN INSURANCE HOLDINGS LTD | SHS | G05384105 | 4,515 | 99,411 | SH | | DFND | 1 | 99,411 | 0 | 0 |
| AT&T INC | COM | 00206R102 | 2,747 | 77,700 | SH | Put | DFND | 1 | 77,700 | 0 | 0 |
| AT&T INC | COM | 00206R102 | 212 | 6,000 | SH | | DFND | 1 | 6,000 | 0 | 0 |
| AT&T INC | COM | 00206R102 | 35 | 1,000 | SH | Call | DFND | 3 | 1,000 | 0 | 0 |
| B/E AEROSPACE INC | COM | 073302101 | 10,045 | 108,603 | SH | | DFND | 1 | 108,603 | 0 | 0 |
| B/E AEROSPACE INC | COM | 073302101 | 8,934 | 96,600 | SH | Call | DFND | 1 | 96,600 | 0 | 0 |
| BABCOCK & WILCOX CO NEW | COM | 05615F102 | 3,865 | 119,055 | SH | | DFND | 2 | 119,055 | 0 | 0 |
| BAKER HUGHES INC | COM | 057224107 | 4,145 | 55,679 | SH | | DFND | 2 | 55,679 | 0 | 0 |
| BANCO SANTANDER BRASIL S A | ADS REP 1 UNIT | 05967A107 | 1,510 | 218,154 | SH | | DFND | 1 | 218,154 | 0 | 0 |
| BARNES & NOBLE INC | COM | 067774109 | 2,189 | 96,000 | SH | Call | DFND | 3 | 96,000 | 0 | 0 |
| BIOGEN IDEC INC | COM | 09062X103 | 347 | 1,100 | SH | | DFND | 1 | 1,100 | 0 | 0 |
| BLUEBIRD BIO INC | COM | 09609G100 | 3,564 | 92,408 | SH | | DFND | 1 | 92,408 | 0 | 0 |
| BOARDWALK PIPELINE PARTNERS | UT LTD PARTNER | 096627104 | 316 | 17,100 | SH | | DFND | 1 | 17,100 | 0 | 0 |
| BOB EVANS FARMS INC | COM | 096761101 | 2,294 | 45,828 | SH | | DFND | 1 | 45,828 | 0 | 0 |
| BUCKEYE PARTNERS L P | UNIT LTD PARTN | 118230101 | 1,184 | 14,250 | SH | | DFND | 1 | 14,250 | 0 | 0 |
| BURGER KING WORLDWIDE INC | COM | 121220107 | 4,157 | 152,718 | SH | | DFND | 2 | 152,718 | 0 | 0 |
| CACI INTL INC | CL A | 127190304 | 3,805 | 54,198 | SH | | DFND | 2 | 54,198 | 0 | 0 |
| CANADIAN PAC RY LTD | COM | 13645T100 | 4,230 | 23,350 | SH | | DFND | 2 | 23,350 | 0 | 0 |
| CAPITAL ONE FINL CORP | COM | 14040H105 | 413 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
| CATAMARAN CORP | COM | 148887102 | 2,473 | 56,000 | SH | Call | DFND | 3 | 56,000 | 0 | 0 |
| CATAMARAN CORP | COM | 148887102 | 110 | 2,500 | SH | | DFND | 3 | 2,500 | 0 | 0 |
| CBS OUTDOOR AMERS INC | COM | 14987J106 | 1,766 | 54,025 | SH | | DFND | 1 | 54,025 | 0 | 0 |
| CEMPRA INC | COM | 15130J109 | 248 | 23,100 | SH | | DFND | 1 | 23,100 | 0 | 0 |
| CHENIERE ENERGY INC | COM NEW | 16411R208 | 359 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
| CHICOS FAS INC | COM | 168615102 | 1,870 | 110,274 | SH | | DFND | 1 | 110,274 | 0 | 0 |
| CHIPMOS TECH BERMUDA LTD | SHS | G2110R114 | 302 | 12,500 | SH | | DFND | 1 | 12,500 | 0 | 0 |
| CHIPMOS TECH BERMUDA LTD | SHS | G2110R114 | 569 | 23,584 | SH | | DFND | 3 | 23,584 | 0 | 0 |
| CITRIX SYS INC | COM | 177376100 | 422 | 6,750 | SH | | DFND | 1 | 6,750 | 0 | 0 |
| CIVEO CORP | COM | 178787107 | 1,858 | 74,243 | SH | | DFND | 2 | 74,243 | 0 | 0 |
| CLECO CORP NEW | COM | 12561W105 | 651 | 11,042 | SH | | DFND | 1 | 11,042 | 0 | 0 |
| COMCAST CORP NEW | CL A | 20030N101 | 10,994 | 204,800 | SH | Call | DFND | 1 | 204,800 | 0 | 0 |
| COMMONWEALTH REIT | COM SH BEN INT | 203233101 | 2,456 | 93,324 | SH | | DFND | 1 | 93,324 | 0 | 0 |
| COMMUNITY HEALTH SYS INC NEW | RIGHT 01/27/2016 | 203668116 | 2 | 25,000 | SH | | DFND | 3 | 25,000 | 0 | 0 |
| CONSTANT CONTACT INC | COM | 210313102 | 417 | 13,000 | SH | | DFND | 1 | 13,000 | 0 | 0 |
| COVIDIEN PLC | SHS | G2554F113 | 19,674 | 218,160 | SH | | DFND | 1 | 218,160 | 0 | 0 |
| COVIDIEN PLC | SHS | G2554F113 | 631 | 7,000 | SH | | DFND | 3 | 7,000 | 0 | 0 |
| COWEN GROUP INC NEW | CL A | 223622101 | 18,954 | 4,491,496 | SH | | DFND | 1 | 4,491,496 | 0 | 0 |
| CRESTWOOD EQUITY PARTNERS LP | UNIT LTD PARTNER | 226344109 | 445 | 29,934 | SH | | DFND | 1 | 29,934 | 0 | 0 |
| CRESTWOOD MIDSTREAM PARTNERS | UNIT LTD PARTNER | 226378107 | 863 | 39,124 | SH | | DFND | 1 | 39,124 | 0 | 0 |
| CROWN CASTLE INTL CORP | COM | 228227104 | 3,787 | 50,997 | SH | | DFND | 2 | 50,997 | 0 | 0 |
| CTI BIOPHARMA CORP | COM | 12648L106 | 57 | 20,200 | SH | | DFND | 1 | 20,200 | 0 | 0 |
| CUBIST PHARMACEUTICALS INC | COM | 229678107 | 567 | 8,125 | SH | | DFND | 1 | 8,125 | 0 | 0 |
| DELCATH SYS INC | COM NEW | 24661P401 | 197 | 75,000 | SH | | DFND | 1 | 75,000 | 0 | 0 |
| DIRECTV | COM | 25490A309 | 595 | 7,000 | SH | | DFND | 3 | 7,000 | 0 | 0 |
| DIRECTV | COM | 25490A309 | 31,524 | 370,824 | SH | | DFND | 1 | 370,824 | 0 | 0 |
| DISH NETWORK CORP | CL A | 25470M109 | 6,742 | 103,600 | SH | Call | DFND | 1 | 103,600 | 0 | 0 |
| DOMINION RES INC VA NEW | COM | 25746U109 | 536 | 7,500 | SH | | DFND | 1 | 7,500 | 0 | 0 |
| DYAX CORP | COM | 26746E103 | 144 | 15,000 | SH | | DFND | 1 | 15,000 | 0 | 0 |
| DYNAVAX TECHNOLOGIES CORP | COM | 268158102 | 32 | 20,000 | SH | | DFND | 1 | 20,000 | 0 | 0 |
| DYNAVAX TECHNOLOGIES CORP | COM | 268158102 | 48 | 30,000 | SH | | DFND | 3 | 30,000 | 0 | 0 |
| EBAY INC | COM | 278642103 | 1,399 | 27,950 | SH | | DFND | 1 | 27,950 | 0 | 0 |
| ENCANA CORP | COM | 292505104 | 1,079 | 45,500 | SH | | DFND | 3 | 45,500 | 0 | 0 |
| ENCANA CORP | COM | 292505104 | 1,276 | 53,800 | SH | Call | DFND | 3 | 53,800 | 0 | 0 |
| ENDURANCE INTL GROUP HLDGS I | COM | 29272B105 | 191 | 12,500 | SH | | DFND | 1 | 12,500 | 0 | 0 |
| ENERGY TRANSFER EQUITY L P | COM UT LTD PTN | 29273V100 | 2,585 | 43,850 | SH | | DFND | 1 | 43,850 | 0 | 0 |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 1,673 | 21,375 | SH | | DFND | 1 | 21,375 | 0 | 0 |
| ENTRAVISION COMMUNICATIONS C | CL A | 29382R107 | 67 | 10,800 | SH | | DFND | 1 | 10,800 | 0 | 0 |
| EOG RES INC | COM | 26875P101 | 263 | 2,250 | SH | | DFND | 1 | 2,250 | 0 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 | 299 | 2,971 | SH | | DFND | 1 | 2,971 | 0 | 0 |
| FACEBOOK INC | CL A | 30303M102 | 787 | 11,700 | SH | | DFND | 1 | 11,700 | 0 | 0 |
| FEDERAL SIGNAL CORP | COM | 313855108 | 670 | 45,708 | SH | | DFND | 1 | 45,708 | 0 | 0 |
| FIFTH STREET FINANCE CORP | COM | 31678A103 | 110 | 11,200 | SH | | DFND | 1 | 11,200 | 0 | 0 |
| FOREST LABS INC | COM | 345838106 | 70,016 | 707,232 | SH | | DFND | 1 | 707,232 | 0 | 0 |
| FOREST LABS INC | COM | 345838106 | 2,762 | 27,898 | SH | | DFND | 3 | 27,898 | 0 | 0 |
| FOREST OIL CORP | COM PAR $0.01 | 346091705 | 2,856 | 1,252,200 | SH | Put | DFND | 1 | 1,252,200 | 0 | 0 |
| FOSTER WHEELER AG | COM | H27178104 | 56,337 | 1,653,570 | SH | | DFND | 1 | 1,653,570 | 0 | 0 |
| FUSION-IO INC | COM | 36112J107 | 509 | 45,001 | SH | | DFND | 3 | 45,001 | 0 | 0 |
| GENESIS ENERGY L P | UNIT LTD PARTN | 371927104 | 504 | 9,000 | SH | | DFND | 1 | 9,000 | 0 | 0 |
| GENTIVA HEALTH SERVICES INC | COM | 37247A102 | 870 | 57,800 | SH | Put | DFND | 1 | 57,800 | 0 | 0 |
| GILEAD SCIENCES INC | COM | 375558103 | 2,515 | 30,330 | SH | | DFND | 1 | 30,330 | 0 | 0 |
| GLOBE SPECIALTY METALS INC | COM | 37954N206 | 4,038 | 194,341 | SH | | DFND | 2 | 194,341 | 0 | 0 |
| GLU MOBILE INC | COM | 379890106 | 125 | 25,000 | SH | | DFND | 3 | 25,000 | 0 | 0 |
| GNC HLDGS INC | COM CL A | 36191G107 | 3,410 | 100,000 | SH | | DFND | 1 | 100,000 | 0 | 0 |
| GOODYEAR TIRE & RUBR CO | COM | 382550101 | 4,111 | 147,986 | SH | | DFND | 2 | 147,986 | 0 | 0 |
| GOOGLE INC | CL A | 38259P508 | 1,374 | 2,350 | SH | | DFND | 1 | 2,350 | 0 | 0 |
| GOOGLE INC | CL C | 38259P706 | 978 | 1,700 | SH | | DFND | 1 | 1,700 | 0 | 0 |
| GRAY TELEVISION INC | COM | 389375106 | 788 | 60,000 | SH | | DFND | 1 | 60,000 | 0 | 0 |
| GREENBRIER COS INC | COM | 393657101 | 495 | 8,600 | SH | | DFND | 1 | 8,600 | 0 | 0 |
| HALLIBURTON CO | COM | 406216101 | 1,420 | 20,000 | SH | Call | DFND | 3 | 20,000 | 0 | 0 |
| HALOZYME THERAPEUTICS INC | COM | 40637H109 | 156 | 15,800 | SH | | DFND | 1 | 15,800 | 0 | 0 |
| HARMAN INTL INDS INC | COM | 413086109 | 3,881 | 36,129 | SH | | DFND | 2 | 36,129 | 0 | 0 |
| HEICO CORP NEW | COM | 422806109 | 208 | 4,000 | SH | | DFND | 1 | 4,000 | 0 | 0 |
| HERTZ GLOBAL HOLDINGS INC | COM | 42805T105 | 1,407 | 50,185 | SH | | DFND | 1 | 50,185 | 0 | 0 |
| HEWLETT PACKARD CO | COM | 428236103 | 3,959 | 117,555 | SH | | DFND | 2 | 117,555 | 0 | 0 |
| HILLSHIRE BRANDS CO | COM | 432589109 | 1,870 | 30,000 | SH | Call | DFND | 3 | 30,000 | 0 | 0 |
| HILLSHIRE BRANDS CO | COM | 432589109 | 9,887 | 158,700 | SH | Call | DFND | 1 | 158,700 | 0 | 0 |
| HILLSHIRE BRANDS CO | COM | 432589109 | 5,837 | 93,689 | SH | | DFND | 1 | 93,689 | 0 | 0 |
| HILLSHIRE BRANDS CO | COM | 432589109 | 218 | 3,500 | SH | | DFND | 3 | 3,500 | 0 | 0 |
| HOLOGIC INC | COM | 436440101 | 4,120 | 162,516 | SH | | DFND | 2 | 162,516 | 0 | 0 |
| HORIZON PHARMA INC | COM | 44047T109 | 1,266 | 80,000 | SH | | DFND | 1 | 80,000 | 0 | 0 |
| HORIZON PHARMA INC | COM | 44047T109 | 92 | 5,800 | SH | | DFND | 3 | 5,800 | 0 | 0 |
| HOUSTON AMERN ENERGY CORP | COM | 44183U100 | 17 | 38,000 | SH | | DFND | 1 | 38,000 | 0 | 0 |
| HUDSON CITY BANCORP | COM | 443683107 | 355 | 36,156 | SH | | DFND | 3 | 36,156 | 0 | 0 |
| IAC INTERACTIVECORP | COM PAR $.001 | 44919P508 | 2,189 | 31,619 | SH | | DFND | 1 | 31,619 | 0 | 0 |
| IDENIX PHARMACEUTICALS INC | COM | 45166R204 | 1,224 | 50,785 | SH | | DFND | 1 | 50,785 | 0 | 0 |
| IDENIX PHARMACEUTICALS INC | COM | 45166R204 | 1 | 30 | SH | | DFND | 3 | 30 | 0 | 0 |
| IDENIX PHARMACEUTICALS INC | COM | 45166R204 | 5,302 | 220,000 | SH | Put | DFND | 1 | 220,000 | 0 | 0 |
| IDERA PHARMACEUTICALS INC | COM NEW | 45168K306 | 29 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
| ILLUMINA INC | COM | 452327109 | 268 | 1,500 | SH | | DFND | 1 | 1,500 | 0 | 0 |
| INGERSOLL-RAND PLC | SHS | G47791101 | 849 | 73,400 | SH | Call | DFND | 1 | 73,400 | 0 | 0 |
| INGERSOLL-RAND PLC | SHS | G47791101 | 4,153 | 66,437 | SH | | DFND | 2 | 66,437 | 0 | 0 |
| INTERMUNE INC | COM | 45884X103 | 450 | 10,200 | SH | | DFND | 3 | 10,200 | 0 | 0 |
| INTERMUNE INC | COM | 45884X103 | 715 | 16,200 | SH | Call | DFND | 3 | 16,200 | 0 | 0 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 816 | 4,500 | SH | | DFND | 1 | 4,500 | 0 | 0 |
| IRON MTN INC | COM | 462846106 | 709 | 20,000 | SH | | DFND | 1 | 20,000 | 0 | 0 |
| ISHARES | MSCI CDA ETF | 464286509 | 322 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
| ISHARES | RUSSELL 2000 ETF | 464287655 | 5,941 | 50,000 | SH | Put | DFND | 1 | 50,000 | 0 | 0 |
| JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 595 | 4,050 | SH | | DFND | 1 | 4,050 | 0 | 0 |
| JUNIPER NETWORKS INC | COM | 48203R104 | 436 | 17,772 | SH | | DFND | 1 | 17,772 | 0 | 0 |
| LAMAR ADVERTISING CO | CL A | 512815101 | 3,437 | 64,841 | SH | | DFND | 1 | 64,841 | 0 | 0 |
| LEGG MASON INC | COM | 524901105 | 4,076 | 79,440 | SH | | DFND | 2 | 79,440 | 0 | 0 |
| LIFE TIME FITNESS INC | COM | 53217R207 | 861 | 17,656 | SH | | DFND | 1 | 17,656 | 0 | 0 |
| LORAL SPACE & COMMUNICATNS I | COM | 543881106 | 4,162 | 57,250 | SH | | DFND | 3 | 57,250 | 0 | 0 |
| LORAL SPACE & COMMUNICATNS I | COM | 543881106 | 2,333 | 32,100 | SH | Call | DFND | 3 | 32,100 | 0 | 0 |
| MACQUARIE INFRASTR CO LLC | MEMBERSHIP INT | 55608B105 | 4,009 | 64,275 | SH | | DFND | 2 | 64,275 | 0 | 0 |
| MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 2,549 | 30,326 | SH | | DFND | 1 | 30,326 | 0 | 0 |
| MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 5,505 | 68,800 | SH | Call | DFND | 1 | 68,800 | 0 | 0 |
| MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 2,113 | 26,400 | SH | | DFND | 1 | 26,400 | 0 | 0 |
| MATTSON TECHNOLOGY INC | COM | 577223100 | 175 | 80,000 | SH | | DFND | 1 | 80,000 | 0 | 0 |
| MATTSON TECHNOLOGY INC | COM | 577223100 | 5 | 2,500 | SH | | DFND | 3 | 2,500 | 0 | 0 |
| MCKESSON CORP | COM | 58155Q103 | 279 | 1,500 | SH | | DFND | 1 | 1,500 | 0 | 0 |
| MEDASSETS INC | COM | 584045108 | 3,719 | 162,818 | SH | | DFND | 2 | 162,818 | 0 | 0 |
| MEDTRONIC INC | COM | 585055106 | 27,213 | 426,800 | SH | Call | DFND | 1 | 426,800 | 0 | 0 |
| MENS WEARHOUSE INC | COM | 587118100 | 3,537 | 63,400 | SH | Call | DFND | 1 | 63,400 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 4,038 | 96,839 | SH | | DFND | 2 | 96,839 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 209 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
| MONDELEZ INTL INC | CL A | 609207105 | 3,913 | 104,053 | SH | | DFND | 2 | 104,053 | 0 | 0 |
| MOTOROLA SOLUTIONS INC | COM NEW | 620076307 | 3,868 | 58,108 | SH | | DFND | 2 | 58,108 | 0 | 0 |
| MYLAN INC | COM | 628530107 | 3,228 | 62,600 | SH | Call | DFND | 1 | 62,600 | 0 | 0 |
| NABORS INDUSTRIES LTD | SHS | G6359F103 | 526 | 17,913 | SH | | DFND | 1 | 17,913 | 0 | 0 |
| NATIONAL OILWELL VARCO INC | COM | 637071101 | 659 | 8,000 | SH | | DFND | 1 | 8,000 | 0 | 0 |
| NCR CORP NEW | COM | 62886E108 | 4,176 | 119,022 | SH | | DFND | 2 | 119,022 | 0 | 0 |
| NII HLDGS INC | CL B NEW | 62913F201 | 54 | 97,466 | SH | | DFND | 1 | 97,466 | 0 | 0 |
| NOBLE CORP PLC | SHS USD | G65431101 | 6,813 | 203,000 | SH | Call | DFND | 3 | 203,000 | 0 | 0 |
| NORDION INC | COM | 65563C105 | 2,329 | 185,399 | SH | | DFND | 1 | 185,399 | 0 | 0 |
| NORTHWEST PIPE CO | COM | 667746101 | 1,003 | 24,860 | SH | | DFND | 1 | 24,860 | 0 | 0 |
| NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 1,884 | 100,387 | SH | | DFND | 1 | 100,387 | 0 | 0 |
| NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 939 | 50,000 | SH | Call | DFND | 1 | 50,000 | 0 | 0 |
| OIL STS INTL INC | COM | 678026105 | 2,371 | 36,992 | SH | | DFND | 2 | 36,992 | 0 | 0 |
| OILTANKING PARTNERS L P | UNIT LTD | 678049107 | 449 | 4,750 | SH | | DFND | 1 | 4,750 | 0 | 0 |
| ONEOK PARTNERS LP | UNIT LTD PARTN | 68268N103 | 868 | 14,815 | SH | | DFND | 1 | 14,815 | 0 | 0 |
| OPENTABLE INC | COM | 68372A104 | 549 | 5,300 | SH | Call | DFND | 3 | 5,300 | 0 | 0 |
| OPENTABLE INC | COM | 68372A104 | 4,403 | 42,500 | SH | Call | DFND | 1 | 42,500 | 0 | 0 |
| OUTERWALL INC | COM | 690070107 | 1,335 | 22,500 | SH | | DFND | 1 | 22,500 | 0 | 0 |
| OWENS ILL INC | COM NEW | 690768403 | 4,085 | 117,928 | SH | | DFND | 2 | 117,928 | 0 | 0 |
| PARKERVISION INC | COM | 701354102 | 44 | 30,000 | SH | | DFND | 1 | 30,000 | 0 | 0 |
| PARKERVISION INC | COM | 701354102 | 38 | 25,500 | SH | Call | DFND | 3 | 25,500 | 0 | 0 |
| PENN VA CORP | COM | 707882106 | 1,017 | 60,000 | SH | | DFND | 1 | 60,000 | 0 | 0 |
| PEPSICO INC | COM | 713448108 | 4,020 | 44,997 | SH | | DFND | 2 | 44,997 | 0 | 0 |
| PETROLOGISTICS LP | UNIT LTD PTH INT | 71672U101 | 2,205 | 153,530 | SH | | DFND | 1 | 153,530 | 0 | 0 |
| PFIZER INC | COM | 717081103 | 7,503 | 252,800 | SH | Call | DFND | 1 | 252,800 | 0 | 0 |
| PFIZER INC | COM | 717081103 | 297 | 10,000 | SH | Call | DFND | 3 | 10,000 | 0 | 0 |
| PHILLIPS 66 PARTNERS LP | COM UNIT REP INT | 718549207 | 1,020 | 13,500 | SH | | DFND | 1 | 13,500 | 0 | 0 |
| PINNACLE FOODS INC DEL | COM | 72348P104 | 3,323 | 101,000 | SH | Call | DFND | 1 | 101,000 | 0 | 0 |
| PINNACLE FOODS INC DEL | COM | 72348P104 | 82 | 2,500 | SH | Call | DFND | 3 | 2,500 | 0 | 0 |
| PLAINS ALL AMERN PIPELINE L | UNIT LTD PARTN | 726503105 | 1,235 | 20,570 | SH | | DFND | 1 | 20,570 | 0 | 0 |
| PLAINS GP HLDGS L P | SHS A REP LTPN | 72651A108 | 1,072 | 33,500 | SH | | DFND | 1 | 33,500 | 0 | 0 |
| PLATFORM SPECIALTY PRODS COR | COM | 72766Q105 | 4,108 | 146,549 | SH | | DFND | 2 | 146,549 | 0 | 0 |
| POWERSHARES ETF TRUST II | SENIOR LN PORT | 73936Q769 | 13,201 | 493,503 | SH | | DFND | 2 | 493,503 | 0 | 0 |
| PRECISION CASTPARTS CORP | COM | 740189105 | 303 | 1,200 | SH | | DFND | 1 | 1,200 | 0 | 0 |
| PROGRESSIVE WASTE SOLUTIONS | COM | 74339G101 | 3,840 | 149,577 | SH | | DFND | 2 | 149,577 | 0 | 0 |
| PROSHARES TR | PSHS ULSHT SP500 | 74347B300 | 1,145 | 45,000 | SH | | DFND | 1 | 45,000 | 0 | 0 |
| PROSHARES TR II | ULTRASHORT YEN N | 74347W569 | 389 | 6,000 | SH | | DFND | 1 | 6,000 | 0 | 0 |
| PROSHARES TR II | ULTRASHRT EURO | 74347W882 | 341 | 20,000 | SH | | DFND | 1 | 20,000 | 0 | 0 |
| PROSPECT CAPITAL CORPORATION | COM | 74348T102 | 117 | 11,000 | SH | | DFND | 1 | 11,000 | 0 | 0 |
| PTC INC | COM | 69370C100 | 4,050 | 104,380 | SH | | DFND | 2 | 104,380 | 0 | 0 |
| QEP RES INC | COM | 74733V100 | 1,558 | 45,171 | SH | | DFND | 1 | 45,171 | 0 | 0 |
| QUALCOMM INC | COM | 747525103 | 802 | 10,130 | SH | | DFND | 1 | 10,130 | 0 | 0 |
| QUESTCOR PHARMACEUTICALS INC | COM | 74835Y101 | 5,031 | 54,400 | SH | Put | DFND | 1 | 54,400 | 0 | 0 |
| QUESTCOR PHARMACEUTICALS INC | COM | 74835Y101 | 1,517 | 16,400 | SH | Call | DFND | 3 | 16,400 | 0 | 0 |
| QUESTCOR PHARMACEUTICALS INC | COM | 74835Y101 | 4,463 | 48,259 | SH | | DFND | 1 | 48,259 | 0 | 0 |
| QUESTCOR PHARMACEUTICALS INC | COM | 74835Y101 | 14,992 | 162,100 | SH | Call | DFND | 1 | 162,100 | 0 | 0 |
| RACKSPACE HOSTING INC | COM | 750086100 | 1,010 | 30,000 | SH | | DFND | 1 | 30,000 | 0 | 0 |
| REGENCY ENERGY PARTNERS L P | COM UNITS L P | 75885Y107 | 451 | 14,000 | SH | | DFND | 1 | 14,000 | 0 | 0 |
| RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 309 | 85,000 | SH | | DFND | 3 | 85,000 | 0 | 0 |
| RITE AID CORP | COM | 767754104 | 179 | 25,000 | SH | Call | DFND | 3 | 25,000 | 0 | 0 |
| RITE AID CORP | COM | 767754104 | 147 | 20,500 | SH | | DFND | 3 | 20,500 | 0 | 0 |
| RLJ ENTMT INC | COM | 74965F104 | 52 | 13,503 | SH | | DFND | 1 | 13,503 | 0 | 0 |
| ROCKWELL COLLINS INC | COM | 774341101 | 3,938 | 50,394 | SH | | DFND | 2 | 50,394 | 0 | 0 |
| SAFEWAY INC | COM NEW | 786514208 | 10,487 | 305,401 | SH | | DFND | 1 | 305,401 | 0 | 0 |
| SAFEWAY INC | COM NEW | 786514208 | 296 | 8,633 | SH | | DFND | 3 | 8,633 | 0 | 0 |
| SALIX PHARMACEUTICALS INC | COM | 795435106 | 1,542 | 12,500 | SH | | DFND | 1 | 12,500 | 0 | 0 |
| SALIX PHARMACEUTICALS INC | COM | 795435106 | 1,419 | 11,500 | SH | Put | DFND | 1 | 11,500 | 0 | 0 |
| SANCHEZ ENERGY CORP | COM | 79970Y105 | 3,227 | 85,857 | SH | | DFND | 1 | 85,857 | 0 | 0 |
| SCHLUMBERGER LTD | COM | 806857108 | 236 | 2,000 | SH | | DFND | 1 | 2,000 | 0 | 0 |
| SCHWAB CHARLES CORP NEW | COM | 808513105 | 1,143 | 42,450 | SH | | DFND | 1 | 42,450 | 0 | 0 |
| SCIENTIFIC GAMES CORP | CL A | 80874P109 | 3,175 | 285,550 | SH | | DFND | 1 | 285,550 | 0 | 0 |
| SEATTLE GENETICS INC | COM | 812578102 | 363 | 9,500 | SH | | DFND | 1 | 9,500 | 0 | 0 |
| SELECT INCOME REIT | COM SH BEN INT | 81618T100 | 519 | 17,500 | SH | | DFND | 1 | 17,500 | 0 | 0 |
| SHIRE PLC | SPONSORED ADR | 82481R106 | 1,311 | 5,565 | SH | | DFND | 1 | 5,565 | 0 | 0 |
| SIGA TECHNOLOGIES INC | COM | 826917106 | 584 | 207,254 | SH | | DFND | 1 | 207,254 | 0 | 0 |
| SIGNET JEWELERS LIMITED | SHS | G81276100 | 4,123 | 37,283 | SH | | DFND | 2 | 37,283 | 0 | 0 |
| SLM CORP | COM | 78442P106 | 5,106 | 614,300 | SH | Call | DFND | 3 | 614,300 | 0 | 0 |
| SOTHEBYS | COM | 835898107 | 4,144 | 98,693 | SH | | DFND | 2 | 98,693 | 0 | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 861 | 4,400 | SH | | DFND | 1 | 4,400 | 0 | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 98 | 500 | SH | | DFND | 3 | 500 | 0 | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 3,425 | 17,500 | SH | Call | DFND | 3 | 17,500 | 0 | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 35,504 | 181,400 | SH | Put | DFND | 1 | 181,400 | 0 | 0 |
| SPDR SERIES TRUST | BRC HGH YLD BD | 78464A417 | 1,024 | 24,550 | SH | | DFND | 1 | 24,550 | 0 | 0 |
| SPRINT CORP | COM SER 1 | 85207U105 | 1,706 | 200,000 | SH | Call | DFND | 1 | 200,000 | 0 | 0 |
| SPX CORP | COM | 784635104 | 4,001 | 36,970 | SH | | DFND | 2 | 36,970 | 0 | 0 |
| STARZ | COM SER A | 85571Q102 | 203 | 6,800 | SH | | DFND | 1 | 6,800 | 0 | 0 |
| STERLING BANCORP DEL | COM | 85917A100 | 624 | 51,960 | SH | | DFND | 1 | 51,960 | 0 | 0 |
| SUBURBAN PROPANE PARTNERS L | UNIT LTD PARTN | 864482104 | 577 | 12,547 | SH | | DFND | 1 | 12,547 | 0 | 0 |
| SUNEDISON INC | COM | 86732Y109 | 2,011 | 89,000 | SH | | DFND | 3 | 89,000 | 0 | 0 |
| SUNEDISON INC | COM | 86732Y109 | 2,890 | 127,900 | SH | Call | DFND | 3 | 127,900 | 0 | 0 |
| SUNESIS PHARMACEUTICALS INC | COM NEW | 867328601 | 282 | 43,277 | SH | | DFND | 3 | 43,277 | 0 | 0 |
| SUNOCO LOGISTICS PRTNRS L P | COM UNITS | 86764L108 | 1,471 | 31,228 | SH | | DFND | 1 | 31,228 | 0 | 0 |
| SUSSER HLDGS CORP | COM | 869233106 | 16,790 | 208,006 | SH | | DFND | 1 | 208,006 | 0 | 0 |
| SWS GROUP INC | COM | 78503N107 | 910 | 124,970 | SH | | DFND | 1 | 124,970 | 0 | 0 |
| SYSCO CORP | COM | 871829107 | 1,936 | 51,700 | SH | Put | DFND | 1 | 51,700 | 0 | 0 |
| TEAM HEALTH HOLDINGS INC | COM | 87817A107 | 100 | 2,000 | SH | | DFND | 3 | 2,000 | 0 | 0 |
| TEAM HEALTH HOLDINGS INC | COM | 87817A107 | 250 | 5,000 | SH | Call | DFND | 3 | 5,000 | 0 | 0 |
| TESORO CORP | COM | 881609101 | 235 | 4,000 | SH | | DFND | 1 | 4,000 | 0 | 0 |
| TETRAPHASE PHARMACEUTICALS I | COM | 88165N105 | 248 | 18,400 | SH | | DFND | 1 | 18,400 | 0 | 0 |
| TEVA PHARMACEUTICAL INDS LTD | ADR | 881624209 | 393 | 7,500 | SH | | DFND | 1 | 7,500 | 0 | 0 |
| THERMO FISHER SCIENTIFIC INC | COM | 883556102 | 3,980 | 33,733 | SH | | DFND | 2 | 33,733 | 0 | 0 |
| TIME WARNER CABLE INC | COM | 88732J207 | 49,019 | 332,782 | SH | | DFND | 1 | 332,782 | 0 | 0 |
| TIME WARNER CABLE INC | COM | 88732J207 | 498 | 3,383 | SH | | DFND | 3 | 3,383 | 0 | 0 |
| TIMKEN CO | COM | 887389104 | 4,109 | 60,567 | SH | | DFND | 2 | 60,567 | 0 | 0 |
| T-MOBILE US INC | COM | 872590104 | 2,688 | 79,940 | SH | | DFND | 1 | 79,940 | 0 | 0 |
| TOWER GROUP INTL LTD | COM | G8988C105 | 430 | 238,600 | SH | Put | DFND | 1 | 238,600 | 0 | 0 |
| TRIANGLE PETE CORP | COM NEW | 89600B201 | 1,880 | 160,038 | SH | | DFND | 1 | 160,038 | 0 | 0 |
| TRINITY INDS INC | COM | 896522109 | 785 | 17,950 | SH | | DFND | 1 | 17,950 | 0 | 0 |
| TRIUMPH GROUP INC NEW | COM | 896818101 | 3,941 | 56,452 | SH | | DFND | 2 | 56,452 | 0 | 0 |
| ULTRAGENYX PHARMACEUTICAL IN | COM | 90400D108 | 6,300 | 140,337 | SH | | DFND | 1 | 140,337 | 0 | 0 |
| UNION PAC CORP | COM | 907818108 | 299 | 3,000 | SH | | DFND | 1 | 3,000 | 0 | 0 |
| UNS ENERGY CORP | COM | 903119105 | 5,236 | 86,673 | SH | | DFND | 1 | 86,673 | 0 | 0 |
| URS CORP NEW | COM | 903236107 | 2,636 | 57,497 | SH | | DFND | 1 | 57,497 | 0 | 0 |
| UTI WORLDWIDE INC | ORD | G87210103 | 4,172 | 403,497 | SH | | DFND | 2 | 403,497 | 0 | 0 |
| VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 3,785 | 30,012 | SH | | DFND | 2 | 30,012 | 0 | 0 |
| VANDA PHARMACEUTICALS INC | COM | 921659108 | 243 | 15,000 | SH | | DFND | 1 | 15,000 | 0 | 0 |
| VERIZON COMMUNICATIONS INC | COM | 92343V104 | 13,245 | 270,700 | SH | Call | DFND | 1 | 270,700 | 0 | 0 |
| VIRNETX HLDG CORP | COM | 92823T108 | 651 | 37,000 | SH | Call | DFND | 3 | 37,000 | 0 | 0 |
| VIRNETX HLDG CORP | COM | 92823T108 | 857 | 48,657 | SH | | DFND | 1 | 48,657 | 0 | 0 |
| WALGREEN CO | COM | 931422109 | 1,872 | 25,247 | SH | | DFND | 1 | 25,247 | 0 | 0 |
| WAL-MART STORES INC | COM | 931142103 | 305 | 4,063 | SH | | DFND | 1 | 4,063 | 0 | 0 |
| WALTER INVT MGMT CORP | COM | 93317W102 | 338 | 11,335 | SH | | DFND | 1 | 11,335 | 0 | 0 |
| WENDYS CO | COM | 95058W100 | 3,973 | 465,751 | SH | | DFND | 2 | 465,751 | 0 | 0 |
| WILLIAMS COS INC DEL | COM | 969457100 | 3,014 | 51,770 | SH | | DFND | 1 | 51,770 | 0 | 0 |
| WILLIAMS COS INC DEL | COM | 969457100 | 4,823 | 82,856 | SH | | DFND | 2 | 82,856 | 0 | 0 |
| WILLIAMS PARTNERS L P | COM UNIT L P | 96950F104 | 4,817 | 88,731 | SH | | DFND | 1 | 88,731 | 0 | 0 |
| WUXI PHARMATECH CAYMAN INC | SPONS ADR SHS | 929352102 | 2,024 | 61,600 | SH | Call | DFND | 3 | 61,600 | 0 | 0 |
| ZIOPHARM ONCOLOGY INC | COM | 98973P101 | 54 | 13,400 | SH | | DFND | 1 | 13,400 | 0 | 0 |
