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Form 13F-HR COWEN GROUP, INC. For: Sep 30

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November 13, 2015 4:46 PM EST

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: July 31, 2015
Estimated average burden
hours per response: 23.8
Report for the Calendar Year or Quarter Ended: 09-30-2015
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 , NY10022
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 11-13-2015
[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: 262
Form 13F Information Table Value Total: 1,667,884
(thousands)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
028-10674 RAMIUS ADVISORS LLC
028-14361 Ramius Alternative Solutions LLC
028-04125 COWEN & COMPANY, LLC

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

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: July 31, 2015
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 76 90,000 SH DFND 1 90,000 0 0
ABBVIE INC COM 00287Y109 82 1,500 SH DFND 3 1,500 0 0
ABBVIE INC COM 00287Y109 544 10,000 SH Call DFND 3 10,000 0 0
ACACIA RESH CORP ACACIA TCH COM 003881307 245 27,000 SH DFND 1 27,000 0 0
AETNA INC NEW COM 00817Y108 16,937 154,800 SH Call DFND 1 154,800 0 0
AGCO CORP COM 001084102 5,616 120,427 SH DFND 2 120,427 0 0
AIR PRODS & CHEMS INC COM 009158106 5,317 41,677 SH DFND 2 41,677 0 0
AKAMAI TECHNOLOGIES INC COM 00971T101 5,745 83,182 SH DFND 2 83,182 0 0
ALCATEL-LUCENT SPONSORED ADR 013904305 9,073 2,485,882 SH DFND 1 2,485,882 0 0
ALCATEL-LUCENT SPONSORED ADR 013904305 2,057 563,600 SH Call DFND 1 563,600 0 0
ALEXION PHARMACEUTICALS INC COM 015351109 500 3,200 SH DFND 1 3,200 0 0
ALLERGAN PLC SHS G0177J108 4,414 16,240 SH DFND 1 16,240 0 0
ALLERGAN PLC SHS G0177J108 5,093 18,738 SH DFND 2 18,738 0 0
ALLERGAN PLC SHS G0177J108 245 900 SH DFND 3 900 0 0
ALLERGAN PLC SHS G0177J108 245 900 SH Put DFND 3 900 0 0
ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 100 12,700 SH DFND 1 12,700 0 0
ALNYLAM PHARMACEUTICALS INC COM 02043Q107 317 3,950 SH DFND 3 3,950 0 0
ALNYLAM PHARMACEUTICALS INC COM 02043Q107 362 4,500 SH Put DFND 3 4,500 0 0
ALTERA CORP COM 021441100 33,507 669,065 SH DFND 1 669,065 0 0
ALTERA CORP COM 021441100 501 10,000 SH DFND 3 10,000 0 0
AMAZON COM INC COM 023135106 2,019 3,945 SH DFND 1 3,945 0 0
AMBEV SA SPONSORED ADR 02319V103 318 64,965 SH DFND 1 64,965 0 0
AMERICAN CAP LTD COM 02503Y103 1,980 162,839 SH DFND 1 162,839 0 0
AMGEN INC COM 031162100 3,697 26,731 SH DFND 1 26,731 0 0
AMGEN INC COM 031162100 1,383 10,000 SH Call DFND 1 10,000 0 0
APPLE INC COM 037833100 3,266 29,610 SH DFND 1 29,610 0 0
ARES CAP CORP COM 04010L103 3,753 259,200 SH Put DFND 1 259,200 0 0
ARRAY BIOPHARMA INC COM 04269X105 244 53,500 SH DFND 3 53,500 0 0
ARRAY BIOPHARMA INC COM 04269X105 277 60,600 SH Put DFND 3 60,600 0 0
ARRIS GROUP INC NEW COM 04270V106 4,223 162,600 SH Call DFND 1 162,600 0 0
AT&T INC COM 00206R102 1,473 45,200 SH Call DFND 1 45,200 0 0
ATMEL CORP COM 049513104 5,709 707,473 SH DFND 1 707,473 0 0
ATMEL CORP COM 049513104 9,966 1,235,000 SH Call DFND 1 1,235,000 0 0
AVAGO TECHNOLOGIES LTD SHS Y0486S104 45,829 366,600 SH Call DFND 1 366,600 0 0
AVIS BUDGET GROUP COM 053774105 1,395 31,931 SH DFND 1 31,931 0 0
BAKER HUGHES INC COM 057224107 5,670 108,952 SH DFND 2 108,952 0 0
BANK NEW YORK MELLON CORP COM 064058100 3,044 77,756 SH DFND 1 77,756 0 0
BANK NEW YORK MELLON CORP COM 064058100 5,628 143,759 SH DFND 2 143,759 0 0
BAXALTA INC COM 07177M103 13,547 429,900 SH Call DFND 1 429,900 0 0
BLACKBERRY LTD COM 09228F103 90 14,700 SH Put DFND 3 14,700 0 0
BLACKBERRY LTD COM 09228F103 70 11,500 SH DFND 3 11,500 0 0
BLACKROCK CORPOR HI YLD FD I COM 09255P107 793 80,375 SH DFND 1 80,375 0 0
BONANZA CREEK ENERGY INC COM 097793103 197 48,500 SH Call DFND 3 48,500 0 0
BROADCOM CORP CL A 111320107 97,461 1,895,019 SH DFND 1 1,895,019 0 0
BROADSOFT INC COM 11133B409 389 13,000 SH DFND 1 13,000 0 0
BROOKDALE SR LIVING INC COM 112463104 3,649 158,948 SH DFND 1 158,948 0 0
BROOKDALE SR LIVING INC COM 112463104 1,949 84,900 SH Call DFND 1 84,900 0 0
BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 1,067 18,000 SH DFND 1 18,000 0 0
BWX TECHNOLOGIES INC COM 05605H100 5,930 224,951 SH DFND 2 224,951 0 0
BWX TECHNOLOGIES INC COM 05605H100 1,670 63,346 SH DFND 1 63,346 0 0
CAMERON INTERNATIONAL CORP COM 13342B105 6,824 111,287 SH DFND 1 111,287 0 0
CANADIAN PAC RY LTD COM 13645T100 2,101 14,631 SH DFND 1 14,631 0 0
CANADIAN PAC RY LTD COM 13645T100 5,845 40,713 SH DFND 2 40,713 0 0
CAPITAL ONE FINL CORP COM 14040H105 363 5,000 SH DFND 1 5,000 0 0
CDK GLOBAL INC COM 12508E101 5,727 119,858 SH DFND 2 119,858 0 0
CELGENE CORP COM 151020104 433 4,000 SH DFND 1 4,000 0 0
CELGENE CORP COM 151020104 1,623 15,000 SH Call DFND 1 15,000 0 0
CEMPRA INC COM 15130J109 730 26,235 SH DFND 1 26,235 0 0
CHECK POINT SOFTWARE TECH LT ORD M22465104 793 10,000 SH DFND 1 10,000 0 0
CHENIERE ENERGY INC COM NEW 16411R208 242 5,000 SH DFND 1 5,000 0 0
CHIPMOS TECH BERMUDA LTD SHS G2110R114 411 25,000 SH DFND 1 25,000 0 0
CHIPMOS TECH BERMUDA LTD SHS G2110R114 247 15,035 SH DFND 3 15,035 0 0
CHUBB CORP COM 171232101 76,115 620,590 SH DFND 1 620,590 0 0
CIGNA CORPORATION COM 125509109 97,209 719,963 SH DFND 1 719,963 0 0
CITRIX SYS INC COM 177376100 3,360 48,500 SH DFND 1 48,500 0 0
CITRIX SYS INC COM 177376100 2,078 30,000 SH Call DFND 1 30,000 0 0
CITY NATL CORP COM 178566105 21,061 239,164 SH DFND 1 239,164 0 0
CLECO CORP NEW COM 12561W105 2,824 53,051 SH DFND 1 53,051 0 0
CONSTANT CONTACT INC COM 210313102 727 30,000 SH DFND 1 30,000 0 0
COSTAR GROUP INC COM 22160N109 398 2,300 SH DFND 1 2,300 0 0
COVENANT TRANSN GROUP INC CL A 22284P105 243 13,500 SH DFND 1 13,500 0 0
CREDIT ACCEP CORP MICH COM 225310101 217 1,100 SH DFND 1 1,100 0 0
CREDIT SUISSE NASSAU BRH INVRS VIX STERM 22542D795 40,377 1,658,200 SH DFND 2 1,658,200 0 0
CYTEC INDS INC COM 232820100 28,757 389,397 SH DFND 1 389,397 0 0
DBX ETF TR DBXTR HAR CS 300 233051879 1,261 39,000 SH Put DFND 1 39,000 0 0
DEALERTRACK TECHNOLOGIES INC COM 242309102 31,910 505,227 SH DFND 1 505,227 0 0
DEALERTRACK TECHNOLOGIES INC COM 242309102 632 10,000 SH DFND 3 10,000 0 0
DELCATH SYS INC COM NEW 24661P401 219 486,300 SH DFND 1 486,300 0 0
DEPOMED INC COM 249908104 1,885 100,000 SH Put DFND 1 100,000 0 0
DEPOMED INC COM 249908104 1,885 100,000 SH Call DFND 1 100,000 0 0
DEPOMED INC COM 249908104 1,855 98,410 SH DFND 1 98,410 0 0
DNP SELECT INCOME FD COM 23325P104 99 11,000 SH DFND 1 11,000 0 0
DOMINION RES INC VA NEW COM 25746U109 352 5,000 SH DFND 1 5,000 0 0
DOW CHEM CO COM 260543103 1,305 30,788 SH DFND 1 30,788 0 0
DU PONT E I DE NEMOURS & CO COM 263534109 5,433 112,714 SH DFND 2 112,714 0 0
DUN & BRADSTREET CORP DEL NE COM 26483E100 273 2,600 SH DFND 1 2,600 0 0
E M C CORP MASS COM 268648102 3,722 154,060 SH DFND 1 154,060 0 0
ECLIPSE RES CORP COM 27890G100 137 70,000 SH Call DFND 3 70,000 0 0
ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 14,852 713,700 SH Call DFND 1 713,700 0 0
ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 745 35,800 SH DFND 1 35,800 0 0
ENERGY TRANSFER PRTNRS L P UNIT LTD PARTN 29273R109 513 12,500 SH DFND 1 12,500 0 0
ENTERPRISE PRODS PARTNERS L COM 293792107 278 11,172 SH DFND 1 11,172 0 0
EXXON MOBIL CORP COM 30231G102 228 3,071 SH DFND 1 3,071 0 0
F M C CORP COM NEW 302491303 4,691 138,331 SH DFND 2 138,331 0 0
FACEBOOK INC CL A 30303M102 494 5,500 SH DFND 1 5,500 0 0
FERRO CORP COM 315405100 117 10,700 SH DFND 1 10,700 0 0
FIDELITY NATIONAL FINANCIAL FNF GROUP COM 31620R303 5,629 158,694 SH DFND 2 158,694 0 0
FRANCO NEVADA CORP COM 351858105 770 17,500 SH Call DFND 3 17,500 0 0
GENERAL ELECTRIC CO COM 369604103 1,220 41,900 SH Call DFND 3 41,900 0 0
GENERAL ELECTRIC CO COM 369604103 593 23,500 SH DFND 3 23,500 0 0
GENERAL ELECTRIC CO COM 369604103 1,513 60,000 SH Put DFND 3 60,000 0 0
GILEAD SCIENCES INC COM 375558103 2,108 21,467 SH DFND 1 21,467 0 0
GILEAD SCIENCES INC COM 375558103 491 5,000 SH Call DFND 1 5,000 0 0
GNC HLDGS INC COM CL A 36191G107 3,048 75,400 SH Call DFND 1 75,400 0 0
GNC HLDGS INC COM CL A 36191G107 2,721 67,312 SH DFND 1 67,312 0 0
GOODYEAR TIRE & RUBR CO COM 382550101 5,932 202,253 SH DFND 2 202,253 0 0
HALLIBURTON CO COM 406216101 827 23,400 SH DFND 1 23,400 0 0
HALLIBURTON CO COM 406216101 5,436 153,766 SH DFND 2 153,766 0 0
HALLIBURTON CO COM 406216101 8,693 245,900 SH Call DFND 1 245,900 0 0
HCC INS HLDGS INC COM 404132102 16,014 206,714 SH DFND 1 206,714 0 0
HERON THERAPEUTICS INC COM 427746102 1,258 60,000 SH Call DFND 3 60,000 0 0
HESS CORP COM 42809H107 1,164 23,251 SH DFND 1 23,251 0 0
HOME PROPERTIES INC COM 437306103 15,582 208,450 SH DFND 1 208,450 0 0
HORIZON PHARMA PLC SHS G4617B105 662 33,400 SH Put DFND 3 33,400 0 0
HORIZON PHARMA PLC SHS G4617B105 694 35,000 SH DFND 3 35,000 0 0
HORIZON PHARMA PLC SHS G4617B105 2,045 103,195 SH DFND 1 103,195 0 0
HOUSTON AMERN ENERGY CORP COM 44183U100 7 38,000 SH DFND 1 38,000 0 0
HUMANA INC COM 444859102 14,606 81,600 SH Put DFND 1 81,600 0 0
HUMANA INC COM 444859102 69,393 387,669 SH DFND 1 387,669 0 0
HUMANA INC COM 444859102 1 8 SH DFND 3 8 0 0
IAC INTERACTIVECORP COM PAR $.001 44919P508 4,071 62,377 SH DFND 1 62,377 0 0
INTEGRATED SILICON SOLUTION COM 45812P107 1,287 59,895 SH DFND 1 59,895 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 652 4,500 SH DFND 1 4,500 0 0
INVESTORS BANCORP INC NEW COM 46146L101 6,157 498,984 SH DFND 2 498,984 0 0
IPC HEALTHCARE INC COM 44984A105 1,709 22,000 SH DFND 1 22,000 0 0
IPG PHOTONICS CORP COM 44980X109 380 5,000 SH DFND 1 5,000 0 0
ISHARES MSCI JAPAN ETF 464286848 9,654 844,600 SH Call DFND 1 844,600 0 0
ISHARES MSCI MEX CAP ETF 464286822 4,614 89,500 SH Call DFND 1 89,500 0 0
ISHARES TR MSCI EMG MKT ETF 464287234 8,500 259,300 SH Call DFND 1 259,300 0 0
ISHARES TR RUSSELL 2000 ETF 464287655 166,519 1,524,900 SH Put DFND 1 1,524,900 0 0
JUNO THERAPEUTICS INC COM 48205A109 1,119 27,500 SH Call DFND 3 27,500 0 0
LENDINGTREE INC NEW COM 52603B107 316 3,400 SH DFND 1 3,400 0 0
LIONS GATE ENTMNT CORP COM NEW 535919203 383 10,400 SH DFND 1 10,400 0 0
MACQUARIE INFRASTRUCTURE COR COM 55608B105 5,655 75,737 SH DFND 2 75,737 0 0
MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 1,583 26,327 SH DFND 1 26,327 0 0
MAIN STREET CAPITAL CORP COM 56035L104 1,520 57,000 SH Put DFND 1 57,000 0 0
MANITOWOC INC COM 563571108 1,209 80,617 SH DFND 1 80,617 0 0
MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 1,072 78,000 SH Put DFND 1 78,000 0 0
MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 5,309 149,700 SH Call DFND 1 149,700 0 0
MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 781 86,300 SH Put DFND 1 86,300 0 0
MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 1,324 146,300 SH Call DFND 1 146,300 0 0
MEDIA GEN INC NEW COM 58441K100 1,224 87,500 SH Call DFND 1 87,500 0 0
MENS WEARHOUSE INC COM 587118100 1,328 31,241 SH DFND 1 31,241 0 0
MICRON TECHNOLOGY INC COM 595112103 225 15,000 SH DFND 1 15,000 0 0
MICRON TECHNOLOGY INC COM 595112103 8,070 538,700 SH Call DFND 1 538,700 0 0
MICROSOFT CORP COM 594918104 443 10,000 SH Call DFND 3 10,000 0 0
MICROSOFT CORP COM 594918104 169 3,800 SH Put DFND 3 3,800 0 0
MICROSOFT CORP COM 594918104 5,911 133,560 SH DFND 2 133,560 0 0
MONDELEZ INTL INC CL A 609207105 5,742 137,130 SH DFND 2 137,130 0 0
MSG NETWORK INC CL A 553573106 3,852 53,396 SH DFND 1 53,396 0 0
MUELLER WTR PRODS INC COM SER A 624758108 170 22,200 SH DFND 1 22,200 0 0
MYLAN N V SHS EURO N59465109 3,639 90,393 SH DFND 1 90,393 0 0
MYLAN N V SHS EURO N59465109 17,421 432,700 SH Call DFND 1 432,700 0 0
MYLAN N V SHS EURO N59465109 769 19,100 SH Call DFND 3 19,100 0 0
MYLAN N V SHS EURO N59465109 105 2,600 SH Put DFND 3 2,600 0 0
NATIONAL PENN BANCSHARES INC COM 637138108 2,529 215,239 SH DFND 1 215,239 0 0
NCR CORP NEW COM 62886E108 5,332 234,380 SH DFND 2 234,380 0 0
NEURODERM LTD ORD SHS M74231107 209 10,100 SH DFND 1 10,100 0 0
NEXSTAR BROADCASTING GROUP I CL A 65336K103 289 6,100 SH DFND 1 6,100 0 0
NEXVET BIOPHARMA PUB LTD CO ORD SHS G6503X109 100 27,485 SH DFND 1 27,485 0 0
NOBLE ENERGY INC COM 655044105 1,621 54,000 SH Call DFND 3 54,000 0 0
NOBLE ENERGY INC COM 655044105 3 100 SH Put DFND 3 100 0 0
NORTHSTAR ASSET MGMT GROUP I COM 66705Y104 1,479 103,000 SH Call DFND 1 103,000 0 0
NUVEEN QUALITY PFD INCOME FD COM 67072C105 98 11,200 SH DFND 1 11,200 0 0
NVIDIA CORP COM 67066G104 751 30,475 SH DFND 1 30,475 0 0
NXP SEMICONDUCTORS N V COM N6596X109 8,675 99,633 SH DFND 1 99,633 0 0
NXP SEMICONDUCTORS N V COM N6596X109 28,298 325,000 SH Call DFND 1 325,000 0 0
OFFICE DEPOT INC COM 676220106 128 20,000 SH DFND 3 20,000 0 0
OFFICE DEPOT INC COM 676220106 193 30,000 SH Put DFND 3 30,000 0 0
ONCOTHYREON INC COM 682324108 94 34,200 SH DFND 1 34,200 0 0
ORGANOVO HLDGS INC COM 68620A104 161 60,000 SH DFND 1 60,000 0 0
OVASCIENCE INC COM 69014Q101 21 2,500 SH Put DFND 3 2,500 0 0
OVASCIENCE INC COM 69014Q101 30 3,500 SH DFND 3 3,500 0 0
OVASCIENCE INC COM 69014Q101 233 27,500 SH Call DFND 3 27,500 0 0
OWENS ILL INC COM NEW 690768403 5,826 281,189 SH DFND 2 281,189 0 0
PANDORA MEDIA INC COM 698354107 1,067 50,000 SH Call DFND 1 50,000 0 0
PAYPAL HLDGS INC COM 70450Y103 1,867 60,133 SH DFND 1 60,133 0 0
PEABODY ENERGY CORP COM 704549104 1,553 75,000 SH Call DFND 3 75,000 0 0
PENTAIR PLC SHS G7S00T104 5,360 105,016 SH DFND 2 105,016 0 0
PEPSICO INC COM 713448108 5,908 62,647 SH DFND 2 62,647 0 0
PERRIGO CO PLC SHS G97822103 3,724 23,679 SH DFND 1 23,679 0 0
PINNACLE ENTMT INC COM 723456109 3,448 101,894 SH DFND 1 101,894 0 0
PINNACLE ENTMT INC COM 723456109 338 10,000 SH Call DFND 3 10,000 0 0
PLAINS GP HLDGS L P SHS A REP LTPN 72651A108 376 21,500 SH DFND 1 21,500 0 0
PLURISTEM THERAPEUTICS INC COM 72940R102 168 92,501 SH DFND 1 92,501 0 0
POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 12,760 553,800 SH Put DFND 1 553,800 0 0
POWERSHS DB MULTI SECT COMM PS DB AGRICUL FD 73936B408 12,415 594,600 SH Call DFND 1 594,600 0 0
PRECISION CASTPARTS CORP COM 740189105 106,378 463,096 SH DFND 1 463,096 0 0
PRECISION CASTPARTS CORP COM 740189105 23,545 102,500 SH Put DFND 1 102,500 0 0
PTC INC COM 69370C100 5,418 170,701 SH DFND 2 170,701 0 0
PTC THERAPEUTICS INC COM 69366J200 240 9,000 SH DFND 1 9,000 0 0
PTC THERAPEUTICS INC COM 69366J200 80 3,000 SH DFND 3 3,000 0 0
QUALCOMM INC COM 747525103 4,701 87,496 SH DFND 1 87,496 0 0
RACKSPACE HOSTING INC COM 750086100 4,647 188,305 SH DFND 2 188,305 0 0
RACKSPACE HOSTING INC COM 750086100 86 3,500 SH DFND 3 3,500 0 0
RAPTOR PHARMACEUTICAL CORP COM 75382F106 118 19,500 SH DFND 3 19,500 0 0
REPLIGEN CORP COM 759916109 696 25,000 SH Call DFND 3 25,000 0 0
RLJ ENTMT INC COM 74965F104 7 13,503 SH DFND 1 13,503 0 0
ROYAL DUTCH SHELL PLC SPON ADR B 780259107 17,582 370,300 SH Call DFND 1 370,300 0 0
SALLY BEAUTY HLDGS INC COM 79546E104 855 36,000 SH DFND 1 36,000 0 0
SANCHEZ ENERGY CORP COM 79970Y105 3,410 554,457 SH DFND 1 554,457 0 0
SCHLUMBERGER LTD COM 806857108 1,552 22,500 SH Call DFND 1 22,500 0 0
SCHWAB CHARLES CORP NEW COM 808513105 1,021 35,750 SH DFND 1 35,750 0 0
SCIENTIFIC GAMES CORP CL A 80874P109 3,138 300,334 SH DFND 1 300,334 0 0
SHIRE PLC SPONSORED ADR 82481R106 693 3,375 SH DFND 1 3,375 0 0
SIGMA ALDRICH CORP COM 826552101 17,393 125,199 SH DFND 1 125,199 0 0
SIGNATURE BK NEW YORK N Y COM 82669G104 399 2,900 SH DFND 1 2,900 0 0
SIGNET JEWELERS LIMITED SHS G81276100 5,747 42,216 SH DFND 2 42,216 0 0
SILVER STD RES INC COM 82823L106 196 30,000 SH DFND 1 30,000 0 0
SOLERA HOLDINGS INC COM 83421A104 5,400 100,000 SH Put DFND 1 100,000 0 0
SOLERA HOLDINGS INC COM 83421A104 20,874 386,558 SH DFND 1 386,558 0 0
SOLERA HOLDINGS INC COM 83421A104 23,106 427,900 SH Call DFND 1 427,900 0 0
SOTHEBYS COM 835898107 5,331 166,708 SH DFND 2 166,708 0 0
SPDR GOLD TRUST GOLD SHS 78463V107 675 6,315 SH DFND 1 6,315 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 1,916 10,000 SH Put DFND 1 10,000 0 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 5,432 131,900 SH Put DFND 3 131,900 0 0
SPDR SERIES TRUST S&P HOMEBUILD 78464A888 6,113 178,600 SH Call DFND 1 178,600 0 0
STANCORP FINL GROUP INC COM 852891100 29,117 254,965 SH DFND 1 254,965 0 0
STARZ COM SER A 85571Q102 224 6,000 SH DFND 1 6,000 0 0
STERLING BANCORP DEL COM 85917A100 773 51,960 SH DFND 1 51,960 0 0
SUNESIS PHARMACEUTICALS INC COM NEW 867328601 33 40,800 SH Call DFND 3 40,800 0 0
SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 1,125 39,262 SH DFND 1 39,262 0 0
SUPERNUS PHARMACEUTICALS INC COM 868459108 140 10,000 SH DFND 1 10,000 0 0
SYMETRA FINL CORP COM 87151Q106 633 20,000 SH DFND 1 20,000 0 0
SYNERGY PHARMACEUTICALS DEL *W EXP 12/06/201 871639118 73 82,959 SH DFND 3 82,959 0 0
SYNERGY PHARMACEUTICALS DEL COM NEW 871639308 1,014 191,400 SH DFND 1 191,400 0 0
SYNERGY PHARMACEUTICALS DEL COM NEW 871639308 795 150,000 SH Call DFND 1 150,000 0 0
SYSCO CORP COM 871829107 5,664 145,351 SH DFND 2 145,351 0 0
TESLA MTRS INC COM 88160R101 863 3,474 SH DFND 1 3,474 0 0
TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1,415 25,054 SH DFND 1 25,054 0 0
TEVA PHARMACEUTICAL INDS LTD ADR 881624209 2,089 37,000 SH Call DFND 1 37,000 0 0
THORATEC CORP COM NEW 885175307 633 10,000 SH DFND 3 10,000 0 0
TIME WARNER CABLE INC COM 88732J207 681 3,800 SH Put DFND 3 3,800 0 0
TIME WARNER CABLE INC COM 88732J207 29,926 166,841 SH DFND 1 166,841 0 0
TIME WARNER CABLE INC COM 88732J207 229 1,278 SH DFND 3 1,278 0 0
TRIUMPH GROUP INC NEW COM 896818101 5,019 119,271 SH DFND 2 119,271 0 0
TWENTY FIRST CENTY FOX INC CL B 90130A200 5,676 209,693 SH DFND 2 209,693 0 0
UNILIFE CORP NEW COM 90478E103 343 350,000 SH DFND 1 350,000 0 0
UNIQURE NV SHS N90064101 205 10,000 SH DFND 1 10,000 0 0
VALEANT PHARMACEUTICALS INTL COM 91911K102 4,445 24,919 SH DFND 2 24,919 0 0
VEREIT INC COM 92339V100 5,445 705,263 SH DFND 2 705,263 0 0
VIPER ENERGY PARTNERS LP COM UNT RP INT 92763M105 1,126 78,782 SH DFND 1 78,782 0 0
VIRNETX HLDG CORP COM 92823T108 535 150,353 SH DFND 1 150,353 0 0
VORNADO RLTY TR SH BEN INT 929042109 3,656 40,432 SH DFND 1 40,432 0 0
WEATHERFORD INTL PLC ORD SHS G48833100 411 48,500 SH DFND 3 48,500 0 0
WEATHERFORD INTL PLC ORD SHS G48833100 509 60,000 SH Put DFND 3 60,000 0 0
WESCO INTL INC COM 95082P105 4,972 106,997 SH DFND 2 106,997 0 0
WESTLAKE CHEM CORP COM 960413102 400 7,700 SH DFND 1 7,700 0 0
WILLIAMS COS INC DEL COM 969457100 461 12,500 SH DFND 1 12,500 0 0
WILLIAMS COS INC DEL COM 969457100 5,952 161,500 SH Call DFND 1 161,500 0 0
WISDOMTREE TR EUROPE HEDGED EQ 97717X701 28,408 519,800 SH Call DFND 1 519,800 0 0
WISDOMTREE TR INDIA ERNGS FD 97717W422 6,249 313,700 SH Call DFND 1 313,700 0 0
WPX ENERGY INC COM 98212B103 66 10,000 SH DFND 3 10,000 0 0
WPX ENERGY INC COM 98212B103 99 15,000 SH Put DFND 3 15,000 0 0
YAHOO INC COM 984332106 3,928 135,867 SH DFND 1 135,867 0 0
YAHOO INC COM 984332106 4,195 145,100 SH Call DFND 1 145,100 0 0
YUM BRANDS INC COM 988498101 1,661 20,779 SH DFND 1 20,779 0 0
YUM BRANDS INC COM 988498101 5,698 71,266 SH DFND 2 71,266 0 0
ZEBRA TECHNOLOGIES CORP CL A 989207105 375 4,900 SH DFND 1 4,900 0 0
ZOETIS INC CL A 98978V103 1,884 45,751 SH DFND 1 45,751 0 0
ZOETIS INC CL A 98978V103 5,254 127,579 SH DFND 2 127,579 0 0
ZS PHARMA INC COM 98979G105 1,140 17,366 SH DFND 1 17,366 0 0

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