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: | 12-31-2014 |
| 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 | 02-17-2015 |
| [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: | 278 |
| Form 13F Information Table Value Total: | 1,268,644 |
| (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 | 149 | 90,000 | SH | | DFND | 1 | 90,000 | 0 | 0 |
| ACACIA RESH CORP | ACACIA TCH COM | 003881307 | 356 | 21,000 | SH | | DFND | 1 | 21,000 | 0 | 0 |
| ACI WORLDWIDE INC | COM | 004498101 | 5,868 | 290,949 | SH | | DFND | 2 | 290,949 | 0 | 0 |
| ACTAVIS PLC | SHS | G0083B108 | 1,686 | 6,550 | SH | | DFND | 1 | 6,550 | 0 | 0 |
| ADOBE SYS INC | COM | 00724F101 | 5,889 | 80,998 | SH | | DFND | 2 | 80,998 | 0 | 0 |
| AGILENT TECHNOLOGIES INC | COM | 00846U101 | 796 | 19,440 | SH | | DFND | 1 | 19,440 | 0 | 0 |
| AGIOS PHARMACEUTICALS INC | COM | 00847X104 | 1,603 | 14,305 | SH | | DFND | 1 | 14,305 | 0 | 0 |
| AIR PRODS & CHEMS INC | COM | 009158106 | 5,563 | 38,572 | SH | | DFND | 2 | 38,572 | 0 | 0 |
| AKAMAI TECHNOLOGIES INC | COM | 00971T101 | 5,663 | 89,942 | SH | | DFND | 2 | 89,942 | 0 | 0 |
| ALKERMES PLC | SHS | G01767105 | 898 | 15,340 | SH | | DFND | 1 | 15,340 | 0 | 0 |
| ALLERGAN INC | COM | 018490102 | 72,506 | 341,059 | SH | | DFND | 1 | 341,059 | 0 | 0 |
| ALLERGAN INC | COM | 018490102 | 1 | 2,500 | SH | | DFND | 3 | 2,500 | 0 | 0 |
| ALLERGAN INC | COM | 018490102 | 1 | 3,700 | SH | Call | DFND | 3 | 3,700 | 0 | 0 |
| ALLERGAN INC | COM | 018490102 | 22,407 | 105,400 | SH | Put | DFND | 1 | 105,400 | 0 | 0 |
| ALLERGAN INC | COM | 018490102 | 1 | 3,700 | SH | Put | DFND | 3 | 3,700 | 0 | 0 |
| ALLIANT TECHSYSTEMS INC | COM | 018804104 | 2,105 | 18,108 | SH | | DFND | 1 | 18,108 | 0 | 0 |
| ALLISON TRANSMISSION HLDGS I | COM | 01973R101 | 823 | 24,268 | SH | | DFND | 1 | 24,268 | 0 | 0 |
| AMERICAN RLTY CAP PPTYS INC | COM | 02917T104 | 5,499 | 607,673 | SH | | DFND | 2 | 607,673 | 0 | 0 |
| AMERICAN SUPERCONDUCTOR CORP | COM | 030111108 | 22 | 30,000 | SH | | DFND | 1 | 30,000 | 0 | 0 |
| AMGEN INC | COM | 031162100 | 637 | 4,000 | SH | | DFND | 1 | 4,000 | 0 | 0 |
| ANADARKO PETE CORP | COM | 032511107 | 5,827 | 70,626 | SH | | DFND | 2 | 70,626 | 0 | 0 |
| ANADARKO PETE CORP | COM | 032511107 | 9 | 105,018 | SH | | DFND | 3 | 105,018 | 0 | 0 |
| ANADARKO PETE CORP | COM | 032511107 | 9 | 105,000 | SH | Put | DFND | 3 | 105,000 | 0 | 0 |
| APPLE INC | COM | 037833100 | 2,477 | 22,437 | SH | | DFND | 1 | 22,437 | 0 | 0 |
| APPLIED MATLS INC | COM | 038222105 | 782 | 31,400 | SH | Call | DFND | 1 | 31,400 | 0 | 0 |
| ASTRAZENECA PLC | SPONSORED ADR | 046353108 | 0 | 6,300 | SH | | DFND | 3 | 6,300 | 0 | 0 |
| ASTRAZENECA PLC | SPONSORED ADR | 046353108 | 1 | 10,000 | SH | Put | DFND | 3 | 10,000 | 0 | 0 |
| AT&T INC | COM | 00206R102 | 0 | 10 | SH | | DFND | 3 | 10 | 0 | 0 |
| AT&T INC | COM | 00206R102 | 15,824 | 471,100 | SH | Call | DFND | 1 | 471,100 | 0 | 0 |
| AT&T INC | COM | 00206R102 | 0 | 5,100 | SH | Call | DFND | 3 | 5,100 | 0 | 0 |
| AT&T INC | COM | 00206R102 | 10,071 | 299,800 | SH | Put | DFND | 1 | 299,800 | 0 | 0 |
| AUXILIUM PHARMACEUTICALS INC | COM | 05334D107 | 6,627 | 192,741 | SH | | DFND | 1 | 192,741 | 0 | 0 |
| AVALANCHE BIOTECHNOLOGIES IN | COM | 05337G107 | 13,428 | 248,674 | SH | | DFND | 1 | 248,674 | 0 | 0 |
| AVIV REIT INC MD | COM | 05381L101 | 5,559 | 161,224 | SH | | DFND | 1 | 161,224 | 0 | 0 |
| B/E AEROSPACE INC | COM | 073302101 | 1,941 | 33,447 | SH | | DFND | 1 | 33,447 | 0 | 0 |
| BABCOCK & WILCOX CO NEW | COM | 05615F102 | 1,214 | 40,074 | SH | | DFND | 1 | 40,074 | 0 | 0 |
| BABCOCK & WILCOX CO NEW | COM | 05615F102 | 5,932 | 195,777 | SH | | DFND | 2 | 195,777 | 0 | 0 |
| BANK NEW YORK MELLON CORP | COM | 064058100 | 5,523 | 136,134 | SH | | DFND | 2 | 136,134 | 0 | 0 |
| BARNES & NOBLE INC | COM | 067774109 | 0 | 1,000 | SH | | DFND | 3 | 1,000 | 0 | 0 |
| BARNES & NOBLE INC | COM | 067774109 | 1 | 30,000 | SH | Put | DFND | 3 | 30,000 | 0 | 0 |
| BERKSHIRE HATHAWAY INC DEL | CL A | 084670108 | 226 | 1 | SH | | DFND | 1 | 1 | 0 | 0 |
| BIOGEN IDEC INC | COM | 09062X103 | 339 | 1,000 | SH | | DFND | 1 | 1,000 | 0 | 0 |
| BLACKHAWK NETWORK HLDGS INC | CL B | 09238E203 | 5,885 | 156,145 | SH | | DFND | 2 | 156,145 | 0 | 0 |
| BLOUNT INTL INC NEW | COM | 095180105 | 5,624 | 320,117 | SH | | DFND | 2 | 320,117 | 0 | 0 |
| BLUEBIRD BIO INC | COM | 09609G100 | 8,918 | 97,226 | SH | | DFND | 1 | 97,226 | 0 | 0 |
| BOB EVANS FARMS INC | COM | 096761101 | 2,075 | 40,549 | SH | | DFND | 1 | 40,549 | 0 | 0 |
| BUCKEYE PARTNERS L P | UNIT LTD PARTN | 118230101 | 1,078 | 14,250 | SH | | DFND | 1 | 14,250 | 0 | 0 |
| CAMERON INTERNATIONAL CORP | COM | 13342B105 | 5,711 | 114,331 | SH | | DFND | 2 | 114,331 | 0 | 0 |
| CANADIAN PAC RY LTD | COM | 13645T100 | 5,682 | 29,490 | SH | | DFND | 2 | 29,490 | 0 | 0 |
| CAPITAL ONE FINL CORP | COM | 14040H105 | 413 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
| CAREFUSION CORP | COM | 14170T101 | 74,146 | 1,249,505 | SH | | DFND | 1 | 1,249,505 | 0 | 0 |
| CAREFUSION CORP | COM | 14170T101 | 1 | 11,457 | SH | | DFND | 3 | 11,457 | 0 | 0 |
| CATALYST PHARM PARTNERS INC | COM | 14888U101 | 0 | 106,250 | SH | | DFND | 3 | 106,250 | 0 | 0 |
| CBRE GROUP INC | CL A | 12504L109 | 5,714 | 166,845 | SH | | DFND | 2 | 166,845 | 0 | 0 |
| CBS CORP NEW | CL B | 124857202 | 360 | 6,500 | SH | | DFND | 1 | 6,500 | 0 | 0 |
| CDK GLOBAL INC | COM | 12508E101 | 5,726 | 140,469 | SH | | DFND | 2 | 140,469 | 0 | 0 |
| CEMPRA INC | COM | 15130J109 | 423 | 18,000 | SH | | DFND | 1 | 18,000 | 0 | 0 |
| CHENIERE ENERGY INC | COM NEW | 16411R208 | 352 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
| CHESAPEAKE ENERGY CORP | COM | 165167107 | 788 | 40,281 | SH | | DFND | 1 | 40,281 | 0 | 0 |
| CHICAGO BRIDGE & IRON CO N V | COM | 167250109 | 1,027 | 24,454 | SH | | DFND | 1 | 24,454 | 0 | 0 |
| CHIPMOS TECH BERMUDA LTD | SHS | G2110R114 | 583 | 25,000 | SH | | DFND | 1 | 25,000 | 0 | 0 |
| CHIPMOS TECH BERMUDA LTD | SHS | G2110R114 | 1 | 53,598 | SH | | DFND | 3 | 53,598 | 0 | 0 |
| CHRISTOPHER & BANKS CORP | COM | 171046105 | 67 | 11,800 | SH | | DFND | 1 | 11,800 | 0 | 0 |
| CIVEO CORP | COM | 178787107 | 0 | 12,400 | SH | Call | DFND | 3 | 12,400 | 0 | 0 |
| CLOUD PEAK ENERGY INC | COM | 18911Q102 | 1 | 50,000 | SH | Call | DFND | 3 | 50,000 | 0 | 0 |
| COMCAST CORP NEW | CL A | 20030N101 | 5,296 | 91,300 | SH | Call | DFND | 1 | 91,300 | 0 | 0 |
| CONSTANT CONTACT INC | COM | 210313102 | 587 | 16,000 | SH | | DFND | 1 | 16,000 | 0 | 0 |
| CORNERSTONE ONDEMAND INC | COM | 21925Y103 | 0 | 10,000 | SH | Put | DFND | 3 | 10,000 | 0 | 0 |
| CORNERSTONE ONDEMAND INC | COM | 21925Y103 | 0 | 7,000 | SH | | DFND | 3 | 7,000 | 0 | 0 |
| COVANCE INC | COM | 222816100 | 24,438 | 235,347 | SH | | DFND | 1 | 235,347 | 0 | 0 |
| COVIDIEN PLC | SHS | G2554F113 | 54,784 | 535,632 | SH | | DFND | 1 | 535,632 | 0 | 0 |
| COWEN GROUP INC NEW | CL A | 223622101 | 18,310 | 3,814,624 | SH | | DFND | 1 | 3,814,624 | 0 | 0 |
| CUBIST PHARMACEUTICALS INC | COM | 229678107 | 21,927 | 217,858 | SH | | DFND | 1 | 217,858 | 0 | 0 |
| CUBIST PHARMACEUTICALS INC | COM | 229678107 | 12,833 | 127,500 | SH | Put | DFND | 1 | 127,500 | 0 | 0 |
| CYTEC INDS INC | COM | 232820100 | 397 | 8,600 | SH | | DFND | 1 | 8,600 | 0 | 0 |
| DELCATH SYS INC | COM NEW | 24661P401 | 91 | 75,000 | SH | | DFND | 1 | 75,000 | 0 | 0 |
| DENISON MINES CORP | COM | 248356107 | 15 | 16,500 | SH | | DFND | 1 | 16,500 | 0 | 0 |
| DIRECTV | COM | 25490A309 | 0 | 1,500 | SH | Put | DFND | 3 | 1,500 | 0 | 0 |
| DIRECTV | COM | 25490A309 | 45,911 | 529,540 | SH | | DFND | 1 | 529,540 | 0 | 0 |
| DIRECTV | COM | 25490A309 | 0 | 1,500 | SH | | DFND | 3 | 1,500 | 0 | 0 |
| DOMINION RES INC VA NEW | COM | 25746U109 | 385 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
| DREAMWORKS ANIMATION SKG INC | CL A | 26153C103 | 1 | 50,000 | SH | Call | DFND | 3 | 50,000 | 0 | 0 |
| DRESSER-RAND GROUP INC | COM | 261608103 | 4,090 | 50,000 | SH | Put | DFND | 1 | 50,000 | 0 | 0 |
| ENCANA CORP | COM | 292505104 | 0 | 3,800 | SH | Put | DFND | 3 | 3,800 | 0 | 0 |
| ENCANA CORP | COM | 292505104 | 0 | 3,400 | SH | | DFND | 3 | 3,400 | 0 | 0 |
| ENCANA CORP | COM | 292505104 | 1,139 | 82,100 | SH | Call | DFND | 1 | 82,100 | 0 | 0 |
| ENERGY TRANSFER EQUITY L P | COM UT LTD PTN | 29273V100 | 2,591 | 45,150 | SH | | DFND | 1 | 45,150 | 0 | 0 |
| ENERGY TRANSFER PRTNRS L P | UNIT LTD PARTN | 29273R109 | 829 | 12,750 | SH | | DFND | 1 | 12,750 | 0 | 0 |
| ENTERPRISE PRODS PARTNERS L | COM | 293792107 | 1,544 | 42,750 | SH | | DFND | 1 | 42,750 | 0 | 0 |
| EOG RES INC | COM | 26875P101 | 691 | 7,500 | SH | | DFND | 1 | 7,500 | 0 | 0 |
| EQUITY COMWLTH | COM SH BEN INT | 294628102 | 582 | 22,669 | SH | | DFND | 1 | 22,669 | 0 | 0 |
| EXXON MOBIL CORP | COM | 30231G102 | 265 | 2,871 | SH | | DFND | 1 | 2,871 | 0 | 0 |
| FACEBOOK INC | CL A | 30303M102 | 312 | 4,000 | SH | | DFND | 1 | 4,000 | 0 | 0 |
| FAMILY DLR STORES INC | COM | 307000109 | 15,479 | 195,423 | SH | | DFND | 1 | 195,423 | 0 | 0 |
| FIDELITY NATIONAL FINANCIAL | FNF GROUP COM | 31620R303 | 5,892 | 171,020 | SH | | DFND | 2 | 171,020 | 0 | 0 |
| GILEAD SCIENCES INC | COM | 375558103 | 4,066 | 43,140 | SH | | DFND | 1 | 43,140 | 0 | 0 |
| GNC HLDGS INC | COM CL A | 36191G107 | 941 | 20,028 | SH | | DFND | 1 | 20,028 | 0 | 0 |
| GOODYEAR TIRE & RUBR CO | COM | 382550101 | 5,884 | 205,949 | SH | | DFND | 2 | 205,949 | 0 | 0 |
| GOOGLE INC | CL A | 38259P508 | 743 | 1,400 | SH | | DFND | 1 | 1,400 | 0 | 0 |
| GOOGLE INC | CL C | 38259P706 | 703 | 1,335 | SH | | DFND | 1 | 1,335 | 0 | 0 |
| GRACE W R & CO DEL NEW | COM | 38388F108 | 391 | 4,100 | SH | | DFND | 1 | 4,100 | 0 | 0 |
| HALLIBURTON CO | COM | 406216101 | 1,762 | 44,800 | SH | Put | DFND | 1 | 44,800 | 0 | 0 |
| HALLIBURTON CO | COM | 406216101 | 4,246 | 107,954 | SH | | DFND | 1 | 107,954 | 0 | 0 |
| HALLIBURTON CO | COM | 406216101 | 4,122 | 104,800 | SH | Call | DFND | 1 | 104,800 | 0 | 0 |
| HANWHA SOLARONE CO LTD | SPONSORED ADR | 41135V103 | 27 | 24,200 | SH | | DFND | 1 | 24,200 | 0 | 0 |
| HARMAN INTL INDS INC | COM | 413086109 | 5,356 | 50,190 | SH | | DFND | 2 | 50,190 | 0 | 0 |
| HERTZ GLOBAL HOLDINGS INC | COM | 42805T105 | 1,156 | 46,345 | SH | | DFND | 1 | 46,345 | 0 | 0 |
| HORIZON PHARMA PLC | SHS | G4617B105 | 5,019 | 389,366 | SH | | DFND | 1 | 389,366 | 0 | 0 |
| HORIZON PHARMA PLC | SHS | G4617B105 | 0 | 700 | SH | | DFND | 3 | 700 | 0 | 0 |
| HOUSTON AMERN ENERGY CORP | COM | 44183U100 | 6 | 38,000 | SH | | DFND | 1 | 38,000 | 0 | 0 |
| HUNTSMAN CORP | COM | 447011107 | 1 | 33,800 | SH | Call | DFND | 3 | 33,800 | 0 | 0 |
| HUNTSMAN CORP | COM | 447011107 | 0 | 30,000 | SH | Put | DFND | 3 | 30,000 | 0 | 0 |
| HUNTSMAN CORP | COM | 447011107 | 1 | 26,500 | SH | | DFND | 3 | 26,500 | 0 | 0 |
| IAC INTERACTIVECORP | COM PAR $.001 | 44919P508 | 2,533 | 41,670 | SH | | DFND | 1 | 41,670 | 0 | 0 |
| IGI LABS INC | COM | 449575109 | 116 | 13,200 | SH | | DFND | 1 | 13,200 | 0 | 0 |
| INGERSOLL-RAND PLC | SHS | G47791101 | 5,637 | 88,930 | SH | | DFND | 2 | 88,930 | 0 | 0 |
| INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 722 | 4,500 | SH | | DFND | 1 | 4,500 | 0 | 0 |
| INTERNATIONAL GAME TECHNOLOG | COM | 459902102 | 9,564 | 554,416 | SH | | DFND | 1 | 554,416 | 0 | 0 |
| INVESTORS BANCORP INC NEW | COM | 46146L101 | 5,603 | 499,180 | SH | | DFND | 2 | 499,180 | 0 | 0 |
| ISHARES | MSCI CDA ETF | 464286509 | 289 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
| ISHARES | MSCI GERMANY ETF | 464286806 | 1,233 | 45,000 | SH | Put | DFND | 1 | 45,000 | 0 | 0 |
| ISHARES | MSCI MEX CAP ETF | 464286822 | 2,970 | 50,000 | SH | Call | DFND | 1 | 50,000 | 0 | 0 |
| ISHARES TR | RUSSELL 2000 ETF | 464287655 | 50,827 | 424,900 | SH | Put | DFND | 1 | 424,900 | 0 | 0 |
| JAZZ PHARMACEUTICALS PLC | SHS USD | G50871105 | 458 | 2,800 | SH | | DFND | 1 | 2,800 | 0 | 0 |
| KIRBY CORP | COM | 497266106 | 396 | 4,900 | SH | | DFND | 1 | 4,900 | 0 | 0 |
| KITE PHARMA INC | COM | 49803L109 | 990 | 17,160 | SH | | DFND | 1 | 17,160 | 0 | 0 |
| KLX INC | COM | 482539103 | 1,817 | 44,049 | SH | | DFND | 1 | 44,049 | 0 | 0 |
| KRAFT FOODS GROUP INC | COM | 50076Q106 | 0 | 1,300 | SH | | DFND | 3 | 1,300 | 0 | 0 |
| KRAFT FOODS GROUP INC | COM | 50076Q106 | 2 | 25,000 | SH | Put | DFND | 3 | 25,000 | 0 | 0 |
| LADENBURG THALMAN FIN SVCS I | COM | 50575Q102 | 52 | 13,200 | SH | | DFND | 1 | 13,200 | 0 | 0 |
| LAMAR ADVERTISING CO NEW | CL A | 512816109 | 782 | 14,583 | SH | | DFND | 1 | 14,583 | 0 | 0 |
| LEAR CORP | COM NEW | 521865204 | 5,678 | 57,895 | SH | | DFND | 2 | 57,895 | 0 | 0 |
| LEGG MASON INC | COM | 524901105 | 5,458 | 102,271 | SH | | DFND | 2 | 102,271 | 0 | 0 |
| LEVEL 3 COMMUNICATIONS INC | COM NEW | 52729N308 | 4 | 80,000 | SH | Call | DFND | 3 | 80,000 | 0 | 0 |
| LIBERTY INTERACTIVE CORP | INT COM SER A | 53071M104 | 400 | 13,600 | SH | | DFND | 1 | 13,600 | 0 | 0 |
| LILLY ELI & CO | COM | 532457108 | 0 | 5,300 | SH | | DFND | 3 | 5,300 | 0 | 0 |
| LILLY ELI & CO | COM | 532457108 | 1 | 12,500 | SH | Put | DFND | 3 | 12,500 | 0 | 0 |
| LOCKHEED MARTIN CORP | COM | 539830109 | 7 | 36,000 | SH | Call | DFND | 3 | 36,000 | 0 | 0 |
| MAGELLAN MIDSTREAM PRTNRS LP | COM UNIT RP LP | 559080106 | 2,507 | 30,326 | SH | | DFND | 1 | 30,326 | 0 | 0 |
| MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 1,185 | 11,965 | SH | | DFND | 1 | 11,965 | 0 | 0 |
| MANITOWOC INC | COM | 563571108 | 862 | 39,012 | SH | | DFND | 1 | 39,012 | 0 | 0 |
| MATTSON TECHNOLOGY INC | COM | 577223100 | 340 | 100,000 | SH | | DFND | 1 | 100,000 | 0 | 0 |
| MCDONALDS CORP | COM | 580135101 | 2,180 | 23,266 | SH | | DFND | 1 | 23,266 | 0 | 0 |
| MCDONALDS CORP | COM | 580135101 | 0 | 3,000 | SH | | DFND | 3 | 3,000 | 0 | 0 |
| MCDONALDS CORP | COM | 580135101 | 1 | 10,000 | SH | Put | DFND | 3 | 10,000 | 0 | 0 |
| MENS WEARHOUSE INC | COM | 587118100 | 1,797 | 40,692 | SH | | DFND | 1 | 40,692 | 0 | 0 |
| MERCK & CO INC NEW | COM | 58933Y105 | 3 | 56,600 | SH | Call | DFND | 3 | 56,600 | 0 | 0 |
| METHANEX CORP | COM | 59151K108 | 298 | 6,500 | SH | | DFND | 1 | 6,500 | 0 | 0 |
| MICHAEL KORS HLDGS LTD | SHS | G60754101 | 563 | 7,500 | SH | | DFND | 1 | 7,500 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 232 | 5,000 | SH | | DFND | 1 | 5,000 | 0 | 0 |
| MICROSOFT CORP | COM | 594918104 | 5,433 | 116,974 | SH | | DFND | 2 | 116,974 | 0 | 0 |
| MOLSON COORS BREWING CO | CL B | 60871R209 | 1,729 | 23,206 | SH | | DFND | 1 | 23,206 | 0 | 0 |
| MONDELEZ INTL INC | CL A | 609207105 | 5,263 | 144,881 | SH | | DFND | 2 | 144,881 | 0 | 0 |
| MONMOUTH REAL ESTATE INVT CO | CL A | 609720107 | 221 | 20,000 | SH | | DFND | 1 | 20,000 | 0 | 0 |
| MONSANTO CO NEW | COM | 61166W101 | 5,518 | 46,186 | SH | | DFND | 2 | 46,186 | 0 | 0 |
| MOTOROLA SOLUTIONS INC | COM NEW | 620076307 | 5,756 | 85,815 | SH | | DFND | 2 | 85,815 | 0 | 0 |
| MYLAN INC | COM | 628530107 | 5,515 | 97,843 | SH | | DFND | 2 | 97,843 | 0 | 0 |
| NCR CORP NEW | COM | 62886E108 | 5,761 | 197,711 | SH | | DFND | 2 | 197,711 | 0 | 0 |
| NOBLE CORP PLC | SHS USD | G65431101 | 1 | 37,500 | SH | Call | DFND | 3 | 37,500 | 0 | 0 |
| NOODLES & CO | CL A | 65540B105 | 0 | 29,600 | SH | Call | DFND | 3 | 29,600 | 0 | 0 |
| NORTHWEST PIPE CO | COM | 667746101 | 219 | 7,270 | SH | | DFND | 1 | 7,270 | 0 | 0 |
| NOVO-NORDISK A S | ADR | 670100205 | 1 | 20,000 | SH | Call | DFND | 3 | 20,000 | 0 | 0 |
| NRG ENERGY INC | COM NEW | 629377508 | 1 | 27,500 | SH | Call | DFND | 3 | 27,500 | 0 | 0 |
| NRG ENERGY INC | COM NEW | 629377508 | 0 | 2,300 | SH | Put | DFND | 3 | 2,300 | 0 | 0 |
| NRG ENERGY INC | COM NEW | 629377508 | 0 | 4,000 | SH | | DFND | 3 | 4,000 | 0 | 0 |
| NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 2,011 | 140,923 | SH | | DFND | 1 | 140,923 | 0 | 0 |
| NUVERRA ENVIRONMENTAL SOLUTI | COM NEW | 67091K203 | 0 | 15,000 | SH | Call | DFND | 3 | 15,000 | 0 | 0 |
| ONCOTHYREON INC | COM | 682324108 | 190 | 100,000 | SH | | DFND | 1 | 100,000 | 0 | 0 |
| ORBITZ WORLDWIDE INC | COM | 68557K109 | 108 | 13,100 | SH | | DFND | 1 | 13,100 | 0 | 0 |
| OUTERWALL INC | COM | 690070107 | 3 | 45,000 | SH | Call | DFND | 3 | 45,000 | 0 | 0 |
| OUTERWALL INC | COM | 690070107 | 1 | 12,700 | SH | Put | DFND | 3 | 12,700 | 0 | 0 |
| OWENS ILL INC | COM NEW | 690768403 | 5,862 | 217,179 | SH | | DFND | 2 | 217,179 | 0 | 0 |
| PANTRY INC | COM | 698657103 | 1,853 | 50,000 | SH | Call | DFND | 1 | 50,000 | 0 | 0 |
| PENSKE AUTOMOTIVE GRP INC | COM | 70959W103 | 393 | 8,000 | SH | | DFND | 1 | 8,000 | 0 | 0 |
| PEPSICO INC | COM | 713448108 | 5,427 | 57,397 | SH | | DFND | 2 | 57,397 | 0 | 0 |
| PETSMART INC | COM | 716768106 | 12,715 | 156,400 | SH | Call | DFND | 1 | 156,400 | 0 | 0 |
| PETSMART INC | COM | 716768106 | 4,268 | 52,500 | SH | Put | DFND | 1 | 52,500 | 0 | 0 |
| PFIZER INC | COM | 717081103 | 6 | 200,000 | SH | Call | DFND | 3 | 200,000 | 0 | 0 |
| PHILLIPS 66 PARTNERS LP | COM UNIT REP INT | 718549207 | 931 | 13,500 | SH | | DFND | 1 | 13,500 | 0 | 0 |
| PINNACLE ENTMT INC | COM | 723456109 | 793 | 35,649 | SH | | DFND | 1 | 35,649 | 0 | 0 |
| PLAINS ALL AMERN PIPELINE L | UNIT LTD PARTN | 726503105 | 825 | 16,070 | SH | | DFND | 1 | 16,070 | 0 | 0 |
| PLAINS GP HLDGS L P | SHS A REP LTPN | 72651A108 | 539 | 21,000 | SH | | DFND | 1 | 21,000 | 0 | 0 |
| PLATFORM SPECIALTY PRODS COR | COM | 72766Q105 | 5,376 | 231,531 | SH | | DFND | 2 | 231,531 | 0 | 0 |
| PLATINUM UNDERWRITER HLDGS L | COM | G7127P100 | 6,273 | 85,440 | SH | | DFND | 1 | 85,440 | 0 | 0 |
| POLYPORE INTL INC | COM | 73179V103 | 343 | 7,300 | SH | | DFND | 1 | 7,300 | 0 | 0 |
| POWERSHS DB US DOLLAR INDEX | DOLL INDX BULL | 73936D107 | 4,795 | 200,000 | SH | Call | DFND | 1 | 200,000 | 0 | 0 |
| PRECISION CASTPARTS CORP | COM | 740189105 | 602 | 2,500 | SH | | DFND | 1 | 2,500 | 0 | 0 |
| PROSHARES TR II | ULTRASHORT YEN N | 74347W569 | 708 | 7,928 | SH | | DFND | 1 | 7,928 | 0 | 0 |
| PROSHARES TR II | ULTRASHRT EURO | 74347W882 | 890 | 41,205 | SH | | DFND | 1 | 41,205 | 0 | 0 |
| PROTECTIVE LIFE CORP | COM | 743674103 | 13,210 | 189,656 | SH | | DFND | 1 | 189,656 | 0 | 0 |
| QEP RES INC | COM | 74733V100 | 746 | 36,898 | SH | | DFND | 1 | 36,898 | 0 | 0 |
| QLIK TECHNOLOGIES INC | COM | 74733T105 | 1 | 18,400 | SH | | DFND | 3 | 18,400 | 0 | 0 |
| QLIK TECHNOLOGIES INC | COM | 74733T105 | 1 | 22,000 | SH | Put | DFND | 3 | 22,000 | 0 | 0 |
| RACKSPACE HOSTING INC | COM | 750086100 | 5,566 | 118,898 | SH | | DFND | 2 | 118,898 | 0 | 0 |
| REAL GOODS SOLAR INC | CL A | 75601N104 | 9 | 19,200 | SH | | DFND | 1 | 19,200 | 0 | 0 |
| REGULUS THERAPEUTICS INC | COM | 75915K101 | 0 | 5,700 | SH | | DFND | 3 | 5,700 | 0 | 0 |
| REGULUS THERAPEUTICS INC | COM | 75915K101 | 0 | 12,600 | SH | Put | DFND | 3 | 12,600 | 0 | 0 |
| RENESOLA LTD | SPONS ADS | 75971T103 | 44 | 31,200 | SH | | DFND | 1 | 31,200 | 0 | 0 |
| RENTECH INC | COM | 760112102 | 19 | 15,000 | SH | | DFND | 1 | 15,000 | 0 | 0 |
| REPLIGEN CORP | COM | 759916109 | 4 | 160,500 | SH | Call | DFND | 3 | 160,500 | 0 | 0 |
| REPROS THERAPEUTICS INC | COM NEW | 76028H209 | 0 | 40,300 | SH | Call | DFND | 3 | 40,300 | 0 | 0 |
| RESTORATION HARDWARE HLDGS I | COM | 761283100 | 2 | 20,000 | SH | Put | DFND | 3 | 20,000 | 0 | 0 |
| RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 0 | 150,000 | SH | | DFND | 3 | 150,000 | 0 | 0 |
| RITE AID CORP | COM | 767754104 | 0 | 25,000 | SH | | DFND | 3 | 25,000 | 0 | 0 |
| RITE AID CORP | COM | 767754104 | 0 | 25,000 | SH | Put | DFND | 3 | 25,000 | 0 | 0 |
| RIVERBED TECHNOLOGY INC | COM | 768573107 | 21,856 | 1,070,827 | SH | | DFND | 1 | 1,070,827 | 0 | 0 |
| RLJ ENTMT INC | COM | 74965F104 | 27 | 13,503 | SH | | DFND | 1 | 13,503 | 0 | 0 |
| ROWAN COMPANIES PLC | SHS CL A | G7665A101 | 6,249 | 267,953 | SH | | DFND | 2 | 267,953 | 0 | 0 |
| SALIX PHARMACEUTICALS INC | COM | 795435106 | 2,371 | 20,624 | SH | | DFND | 1 | 20,624 | 0 | 0 |
| SALIX PHARMACEUTICALS INC | COM | 795435106 | 3,437 | 29,900 | SH | Call | DFND | 1 | 29,900 | 0 | 0 |
| SANCHEZ ENERGY CORP | COM | 79970Y105 | 5,352 | 576,157 | SH | | DFND | 1 | 576,157 | 0 | 0 |
| SCHWAB CHARLES CORP NEW | COM | 808513105 | 1,131 | 37,450 | SH | | DFND | 1 | 37,450 | 0 | 0 |
| SCIENTIFIC GAMES CORP | CL A | 80874P109 | 3,635 | 285,550 | SH | | DFND | 1 | 285,550 | 0 | 0 |
| SEADRILL LIMITED | SHS | G7945E105 | 5 | 430,000 | SH | Call | DFND | 3 | 430,000 | 0 | 0 |
| SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 1,443 | 20,000 | SH | Call | DFND | 1 | 20,000 | 0 | 0 |
| SHIRE PLC | SPONSORED ADR | 82481R106 | 1,169 | 5,500 | SH | | DFND | 1 | 5,500 | 0 | 0 |
| SIGA TECHNOLOGIES INC | COM | 826917106 | 272 | 188,798 | SH | | DFND | 1 | 188,798 | 0 | 0 |
| SIGMA ALDRICH CORP | COM | 826552101 | 38,843 | 282,966 | SH | | DFND | 1 | 282,966 | 0 | 0 |
| SIGNET JEWELERS LIMITED | SHS | G81276100 | 5,754 | 43,734 | SH | | DFND | 2 | 43,734 | 0 | 0 |
| SILVER STD RES INC | COM | 82823L106 | 150 | 30,000 | SH | | DFND | 1 | 30,000 | 0 | 0 |
| SMITH & NEPHEW PLC | SPDN ADR NEW | 83175M205 | 3,803 | 103,500 | SH | | DFND | 1 | 103,500 | 0 | 0 |
| SMITH & NEPHEW PLC | SPDN ADR NEW | 83175M205 | 2,756 | 75,000 | SH | Put | DFND | 1 | 75,000 | 0 | 0 |
| SONUS NETWORKS INC | COM | 835916107 | 44 | 11,000 | SH | | DFND | 1 | 11,000 | 0 | 0 |
| SPANSION INC | COM CL A NEW | 84649R200 | 4,970 | 145,233 | SH | | DFND | 1 | 145,233 | 0 | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 1 | 5,000 | SH | Put | DFND | 3 | 5,000 | 0 | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 152,018 | 739,600 | SH | Put | DFND | 1 | 739,600 | 0 | 0 |
| SPRINT CORP | COM SER 1 | 85207U105 | 1,269 | 305,800 | SH | Call | DFND | 1 | 305,800 | 0 | 0 |
| STERLING BANCORP DEL | COM | 85917A100 | 747 | 51,960 | SH | | DFND | 1 | 51,960 | 0 | 0 |
| SUBURBAN PROPANE PARTNERS L | UNIT LTD PARTN | 864482104 | 553 | 12,797 | SH | | DFND | 1 | 12,797 | 0 | 0 |
| SUNEDISON INC | COM | 86732Y109 | 2 | 93,500 | SH | | DFND | 3 | 93,500 | 0 | 0 |
| SUNEDISON INC | COM | 86732Y109 | 0 | 11,000 | SH | Call | DFND | 3 | 11,000 | 0 | 0 |
| SUNEDISON INC | COM | 86732Y109 | 2 | 103,900 | SH | Put | DFND | 3 | 103,900 | 0 | 0 |
| SUNOCO LOGISTICS PRTNRS L P | COM UNITS | 86764L108 | 1,451 | 34,728 | SH | | DFND | 1 | 34,728 | 0 | 0 |
| SUSQUEHANNA BANCSHARES INC P | COM | 869099101 | 0 | 10,000 | SH | | DFND | 3 | 10,000 | 0 | 0 |
| SUSQUEHANNA BANCSHARES INC P | COM | 869099101 | 3,681 | 274,114 | SH | | DFND | 1 | 274,114 | 0 | 0 |
| SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | 549 | 180,000 | SH | | DFND | 1 | 180,000 | 0 | 0 |
| TALISMAN ENERGY INC | COM | 87425E103 | 0 | 50,250 | SH | | DFND | 3 | 50,250 | 0 | 0 |
| TECK RESOURCES LTD | CL B | 878742204 | 0 | 25,000 | SH | Call | DFND | 3 | 25,000 | 0 | 0 |
| TESORO CORP | COM | 881609101 | 297 | 4,000 | SH | | DFND | 1 | 4,000 | 0 | 0 |
| TETRAPHASE PHARMACEUTICALS I | COM | 88165N105 | 397 | 10,000 | SH | | DFND | 1 | 10,000 | 0 | 0 |
| TEVA PHARMACEUTICAL INDS LTD | ADR | 881624209 | 1,739 | 30,245 | SH | | DFND | 1 | 30,245 | 0 | 0 |
| TEVA PHARMACEUTICAL INDS LTD | ADR | 881624209 | 1,150 | 20,000 | SH | Call | DFND | 1 | 20,000 | 0 | 0 |
| TIME WARNER CABLE INC | COM | 88732J207 | 41,044 | 269,922 | SH | | DFND | 1 | 269,922 | 0 | 0 |
| TIVO INC | COM | 888706108 | 0 | 37,700 | SH | Put | DFND | 3 | 37,700 | 0 | 0 |
| TIVO INC | COM | 888706108 | 1 | 99,100 | SH | Call | DFND | 3 | 99,100 | 0 | 0 |
| TIVO INC | COM | 888706108 | 0 | 27,000 | SH | | DFND | 3 | 27,000 | 0 | 0 |
| TORNIER N V | SHS | N87237108 | 6,483 | 254,239 | SH | | DFND | 1 | 254,239 | 0 | 0 |
| TRIANGLE PETE CORP | COM NEW | 89600B201 | 1,419 | 296,841 | SH | | DFND | 1 | 296,841 | 0 | 0 |
| TRIBUNE MEDIA CO | CL A | 896047503 | 5,461 | 91,362 | SH | | DFND | 1 | 91,362 | 0 | 0 |
| TRIQUINT SEMICONDUCTOR INC | COM | 89674K103 | 0 | 10,000 | SH | | DFND | 3 | 10,000 | 0 | 0 |
| TRIQUINT SEMICONDUCTOR INC | COM | 89674K103 | 6,317 | 229,300 | SH | Put | DFND | 1 | 229,300 | 0 | 0 |
| TRIUMPH GROUP INC NEW | COM | 896818101 | 5,638 | 83,869 | SH | | DFND | 2 | 83,869 | 0 | 0 |
| TRW AUTOMOTIVE HLDGS CORP | COM | 87264S106 | 0 | 2,300 | SH | Put | DFND | 3 | 2,300 | 0 | 0 |
| TRW AUTOMOTIVE HLDGS CORP | COM | 87264S106 | 85,687 | 833,123 | SH | | DFND | 1 | 833,123 | 0 | 0 |
| TRW AUTOMOTIVE HLDGS CORP | COM | 87264S106 | 0 | 2,300 | SH | | DFND | 3 | 2,300 | 0 | 0 |
| ULTRAGENYX PHARMACEUTICAL IN | COM | 90400D108 | 6,557 | 149,432 | SH | | DFND | 1 | 149,432 | 0 | 0 |
| UNITED RENTALS INC | COM | 911363109 | 388 | 3,800 | SH | | DFND | 1 | 3,800 | 0 | 0 |
| UNITED STATES STL CORP NEW | COM | 912909108 | 254 | 9,500 | SH | | DFND | 1 | 9,500 | 0 | 0 |
| UTI WORLDWIDE INC | ORD | G87210103 | 5,754 | 476,701 | SH | | DFND | 2 | 476,701 | 0 | 0 |
| VALE S A | ADR | 91912E105 | 4 | 500,000 | SH | Put | DFND | 3 | 500,000 | 0 | 0 |
| VALE S A | ADR | 91912E105 | 4 | 500,000 | SH | | DFND | 3 | 500,000 | 0 | 0 |
| VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 5,655 | 39,514 | SH | | DFND | 2 | 39,514 | 0 | 0 |
| VANDA PHARMACEUTICALS INC | COM | 921659108 | 0 | 7,000 | SH | | DFND | 3 | 7,000 | 0 | 0 |
| VANDA PHARMACEUTICALS INC | COM | 921659108 | 1 | 52,100 | SH | Put | DFND | 3 | 52,100 | 0 | 0 |
| VIPER ENERGY PARTNERS LP | COM UNT RP INT | 92763M105 | 1,099 | 60,600 | SH | | DFND | 1 | 60,600 | 0 | 0 |
| VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 1 | 50,000 | SH | Call | DFND | 3 | 50,000 | 0 | 0 |
| VIRNETX HLDG CORP | COM | 92823T108 | 1,677 | 305,541 | SH | | DFND | 1 | 305,541 | 0 | 0 |
| VOLCANO CORPORATION | COM | 928645100 | 0 | 22,200 | SH | Call | DFND | 3 | 22,200 | 0 | 0 |
| WALGREENS BOOTS ALLIANCE INC | COM | 931427108 | 774 | 10,160 | SH | | DFND | 1 | 10,160 | 0 | 0 |
| WASTE CONNECTIONS INC | COM | 941053100 | 392 | 8,900 | SH | | DFND | 1 | 8,900 | 0 | 0 |
| WESTLAKE CHEM CORP | COM | 960413102 | 397 | 6,500 | SH | | DFND | 1 | 6,500 | 0 | 0 |
| WHITING PETE CORP NEW | COM | 966387102 | 6,993 | 211,900 | SH | Call | DFND | 1 | 211,900 | 0 | 0 |
| WILLIAMS COS INC DEL | COM | 969457100 | 562 | 12,500 | SH | | DFND | 1 | 12,500 | 0 | 0 |
| WILLIAMS COS INC DEL | COM | 969457100 | 5,296 | 117,835 | SH | | DFND | 2 | 117,835 | 0 | 0 |
| WRIGHT MED GROUP INC | COM | 98235T107 | 4,660 | 173,415 | SH | | DFND | 1 | 173,415 | 0 | 0 |
| YAHOO INC | COM | 984332106 | 1,277 | 25,288 | SH | | DFND | 1 | 25,288 | 0 | 0 |
| ZOETIS INC | CL A | 98978V103 | 5,463 | 126,948 | SH | | DFND | 2 | 126,948 | 0 | 0 |
| ZOETIS INC | CL A | 98978V103 | 1,173 | 27,268 | SH | | DFND | 1 | 27,268 | 0 | 0 |
