0001085146-12-001079.txt : 20120814
0001085146-12-001079.hdr.sgml : 20120814
20120814111821
ACCESSION NUMBER: 0001085146-12-001079
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120630
FILED AS OF DATE: 20120814
DATE AS OF CHANGE: 20120814
EFFECTIVENESS DATE: 20120814
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: COWEN GROUP, INC.
CENTRAL INDEX KEY: 0001466538
STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211]
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14571
FILM NUMBER: 121030540
BUSINESS ADDRESS:
STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-845-7900
MAIL ADDRESS:
STREET 1: 599 LEXINGTON AVENUE, 20TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: LexingtonPark Parent Corp
DATE OF NAME CHANGE: 20090617
13F-HR
1
cowen2q2012.txt
COWEN GROUP, INC.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: June 30, 2012
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, 2Oth Flr.
New York, NY 10022
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 August 10, 2012
Report Type (Check only one.):
[ X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 5
Form 13F Information Table Entry Total: 335
Form 13F Information Table Value Total: $982,016 (thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional managers with respect to which this report is filed, other
than the manager filing this report.
No. 13F File Number Name
01 028-06309 Ramius LLC
02 028-10674 Ramius Advisors, LLC
03 028-14361 Ramius Alternative Solutions LLC
04 028-10501 Cowen Capital LLC
05 028-04125 Cowen and Company LLC
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
ABBOTT LABS COM 002824100 9671 150000 SH PUT DEFINED 02 150000 0 0
ABBOTT LABS COM 002824100 9671 150000 SH CALL DEFINED 02 150000 0 0
AK STL HLDG CORP COM 001547108 72 12200 SH CALL DEFINED 05 12200 0 0
ALCOA INC COM 013817101 105 12000 SH CALL DEFINED 05 12000 0 0
ALPHA NATURAL RESOURCES INC COM 02076X102 175 20000 SH CALL DEFINED 05 20000 0 0
ALTRIA GROUP INC COM 02209S103 9501 275000 SH CALL DEFINED 02 275000 0 0
ALTRIA GROUP INC COM 02209S103 9684 280300 SH PUT DEFINED 02 280300 0 0
AMAZON COM INC COM 023135106 11418 50000 SH PUT DEFINED 02 50000 0 0
AMERICAN INTL GROUP INC COM NEW 026874784 491 15300 SH CALL DEFINED 05 15300 0 0
AMYLIN PHARMACEUTICALS INC COM 032346108 1327 47052 SH DEFINED 02 47052 0 0
AMYLIN PHARMACEUTICALS INC COM 032346108 2236 79300 SH PUT DEFINED 05 79300 0 0
AMYLIN PHARMACEUTICALS INC COM 032346108 5919 209900 SH CALL DEFINED 05 209900 0 0
AMYLIN PHARMACEUTICALS INC COM 032346108 71 2500 SH DEFINED 05 2500 0 0
AMYLIN PHARMACEUTICALS INC COM 032346108 1613 57200 SH CALL DEFINED 02 57200 0 0
AOL INC COM 00184X105 2359 84000 SH DEFINED 05 84000 0 0
AOL INC COM 00184X105 1036 36900 SH CALL DEFINED 05 36900 0 0
AOL INC COM 00184X105 2527 90000 SH PUT DEFINED 05 90000 0 0
ARENA PHARMACEUTICALS INC COM 040047102 2261 226700 SH CALL DEFINED 05 226700 0 0
ARENA PHARMACEUTICALS INC COM 040047102 874 87600 SH PUT DEFINED 05 87600 0 0
ARIAD PHARMACEUTICALS INC COM 04033A100 1290 75000 SH PUT DEFINED 05 75000 0 0
ARIAD PHARMACEUTICALS INC COM 04033A100 138 8000 SH DEFINED 05 8000 0 0
ARIAD PHARMACEUTICALS INC COM 04033A100 774 45000 SH DEFINED 02 45000 0 0
ARIBA INC COM NEW 04033V203 2591 57880 SH DEFINED 05 57880 0 0
ARIBA INC COM NEW 04033V203 1101 24600 SH CALL DEFINED 02 24600 0 0
ARIBA INC COM NEW 04033V203 2014 45000 SH CALL DEFINED 05 45000 0 0
ARIBA INC COM NEW 04033V203 2014 45000 SH PUT DEFINED 05 45000 0 0
ARIBA INC COM NEW 04033V203 15327 342434 SH DEFINED 02 342434 0 0
AT&T INC COM 00206R102 514 14400 SH PUT DEFINED 05 14400 0 0
AT&T INC COM 00206R102 960 26910 SH DEFINED 02 26910 0 0
AT&T INC COM 00206R102 7132 200000 SH CALL DEFINED 02 200000 0 0
AT&T INC COM 00206R102 279 7800 SH CALL DEFINED 05 7800 0 0
AT&T INC COM 00206R102 5349 150000 SH PUT DEFINED 02 150000 0 0
ATHENAHEALTH INC COM 04685W103 2779 35100 SH CALL DEFINED 05 35100 0 0
ATHENAHEALTH INC COM 04685W103 586 7400 SH PUT DEFINED 05 7400 0 0
ATLAS ENERGY LP COM UNITS LP 04930A104 7 238 SH DEFINED 05 238 0 0
ATLAS ENERGY LP COM UNITS LP 04930A104 4337 142200 SH CALL DEFINED 05 142200 0 0
BAKER HUGHES INC COM 057224107 358 8700 SH CALL DEFINED 05 8700 0 0
BAKER HUGHES INC COM 057224107 103 2500 SH PUT DEFINED 05 2500 0 0
BALL CORP COM 058498106 3900 95000 SH CALL DEFINED 05 95000 0 0
BANK OF AMERICA CORPORATION COM 060505104 182 22300 SH CALL DEFINED 05 22300 0 0
BARCLAYS BK PLC IPATH DYNM VIX 06741L609 1215 21349 SH DEFINED 03 21349 0 0
BARCLAYS BK PLC IPATH S&P MT ETN 06740C519 1156 25814 SH DEFINED 03 25814 0 0
BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 228 15000 SH DEFINED 02 15000 0 0
BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 3042 200000 SH PUT DEFINED 02 200000 0 0
BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 3042 200000 SH CALL DEFINED 02 200000 0 0
BARRICK GOLD CORP COM 067901108 715 19000 SH CALL DEFINED 05 19000 0 0
BAXTER INTL INC COM 071813109 53 1000 SH DEFINED 05 1000 0 0
BAXTER INTL INC COM 071813109 1722 32400 SH PUT DEFINED 05 32400 0 0
BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 408 3500 SH DEFINED 02 3500 0 0
BRISTOL MYERS SQUIBB CO COM 110122108 2725 75800 SH CALL DEFINED 02 75800 0 0
BRISTOL MYERS SQUIBB CO COM 110122108 899 25000 SH PUT DEFINED 02 25000 0 0
BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 326 6250 SH DEFINED 02 6250 0 0
CABOT OIL & GAS CORP COM 127097103 1651 41900 SH DEFINED 05 41900 0 0
CABOT OIL & GAS CORP COM 127097103 3940 100000 SH PUT DEFINED 05 100000 0 0
CAESARS ENTMT CORP COM 127686103 459 40284 SH DEFINED 02 40284 0 0
CAPITAL ONE FINL CORP COM 14040H105 289 5280 SH DEFINED 02 5280 0 0
CATALYST HEALTH SOLUTIONS IN COM 14888B103 17130 183321 SH DEFINED 02 183321 0 0
CENTRAL FD CDA LTD CL A 153501101 692 35000 SH DEFINED 02 35000 0 0
CENTURYLINK INC COM 156700106 1758 44518 SH DEFINED 02 44518 0 0
CENTURYLINK INC COM 156700106 940 23800 SH CALL DEFINED 02 23800 0 0
CENTURYLINK INC COM 156700106 4352 110200 SH PUT DEFINED 02 110200 0 0
CHESAPEAKE ENERGY CORP COM 165167107 232 12500 SH PUT DEFINED 05 12500 0 0
CHESAPEAKE ENERGY CORP COM 165167107 301 16100 SH CALL DEFINED 05 16100 0 0
CHIPOTLE MEXICAN GRILL INC COM 169656105 285 750 SH DEFINED 02 750 0 0
CISCO SYS INC COM 17275R102 2576 150000 SH DEFINED 05 150000 0 0
CISCO SYS INC COM 17275R102 374 21800 SH CALL DEFINED 05 21800 0 0
CISCO SYS INC COM 17275R102 2650 154300 SH PUT DEFINED 05 154300 0 0
CITIGROUP INC COM NEW 172967424 2289 83507 SH DEFINED 02 83507 0 0
CITIGROUP INC COM NEW 172967424 630 23000 SH CALL DEFINED 02 23000 0 0
CITIGROUP INC COM NEW 172967424 3243 118300 SH PUT DEFINED 02 118300 0 0
COBALT INTL ENERGY INC COM 19075F106 404 17180 SH DEFINED 05 17180 0 0
COBALT INTL ENERGY INC COM 19075F106 470 20000 SH PUT DEFINED 05 20000 0 0
COLLECTIVE BRANDS INC COM 19421W100 3959 184833 SH DEFINED 02 184833 0 0
COLLECTIVE BRANDS INC COM 19421W100 296 13838 SH DEFINED 05 13838 0 0
COMPUTER PROGRAMS & SYS INC COM 205306103 4450 77773 SH DEFINED 02 77773 0 0
COMPUTER SCIENCES CORP COM 205363104 248 10000 SH CALL DEFINED 05 10000 0 0
CONCEPTUS INC COM 206016107 218 11000 SH DEFINED 05 11000 0 0
CONCEPTUS INC COM 206016107 941 47500 SH PUT DEFINED 05 47500 0 0
COOPER INDUSTRIES PLC SHS G24140108 800 11733 SH DEFINED 05 11733 0 0
COST PLUS INC CALIF COM 221485105 5500 250000 SH CALL DEFINED 02 250000 0 0
COWEN GROUP INC NEW CL A 223622101 2029 762667 SH DEFINED 02 762667 0 0
CREDIT SUISSE NASSAU BRH ETN IDX-LKD 20 22542D845 1602 81113 SH DEFINED 03 81113 0 0
CREDIT SUISSE NASSAU BRH VIX SHT TRM FT 22542D761 331 67500 SH DEFINED 02 67500 0 0
CROWN HOLDINGS INC COM 228368106 586 17000 SH CALL DEFINED 05 17000 0 0
CVR ENERGY INC COM 12662P108 247 9300 SH DEFINED 05 9300 0 0
CVR ENERGY INC COM 12662P108 319 12000 SH PUT DEFINED 05 12000 0 0
CYTOKINETICS INC COM 23282W100 67 104800 SH DEFINED 02 104800 0 0
CYTOKINETICS INC COM 23282W100 89 139540 SH DEFINED 05 139540 0 0
DELCATH SYS INC COM 24661P104 344 208600 SH DEFINED 02 208600 0 0
DELL INC COM 24702R101 195 15500 SH CALL DEFINED 05 15500 0 0
DISNEY WALT CO COM DISNEY 254687106 664 13700 SH CALL DEFINED 05 13700 0 0
DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 3271 40400 SH CALL DEFINED 05 40400 0 0
DRESSER-RAND GROUP INC COM 261608103 1203 27000 SH CALL DEFINED 05 27000 0 0
DYNAVAX TECHNOLOGIES CORP COM 268158102 17 3900 SH PUT DEFINED 05 3900 0 0
DYNAVAX TECHNOLOGIES CORP COM 268158102 45 10451 SH DEFINED 05 10451 0 0
DYNAVAX TECHNOLOGIES CORP COM 268158102 237 54900 SH CALL DEFINED 05 54900 0 0
E M C CORP MASS COM 268648102 640 25000 SH CALL DEFINED 05 25000 0 0
EASTMAN CHEM CO COM 277432100 3999 79400 SH CALL DEFINED 05 79400 0 0
EATON CORP COM 278058102 460 11600 SH CALL DEFINED 05 11600 0 0
EATON CORP COM 278058102 1189 30000 SH PUT DEFINED 05 30000 0 0
EDELMAN FINL GROUP INC COM 27943Q105 1105 127027 SH DEFINED 02 127027 0 0
ELSTER GROUP SE SPONSORED ADR 290348101 2389 117699 SH DEFINED 02 117699 0 0
ELSTER GROUP SE SPONSORED ADR 290348101 305 15000 SH DEFINED 05 15000 0 0
ENDO HEALTH SOLUTIONS INC COM 29264F205 539 17400 SH DEFINED 05 17400 0 0
ENDO HEALTH SOLUTIONS INC COM 29264F205 1534 49500 SH PUT DEFINED 05 49500 0 0
ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 1571 50200 SH DEFINED 02 50200 0 0
ENTERPRISE PRODS PARTNERS L COM 293792107 993 19375 SH DEFINED 02 19375 0 0
ERESEARCHTECHNOLOGY INC COM 29481V108 4650 581631 SH DEFINED 02 581631 0 0
EXELON CORP COM 30161N101 6358 169000 SH CALL DEFINED 05 169000 0 0
EXTORRE GOLD MINES LTD COM 30227B109 310 75000 SH DEFINED 02 75000 0 0
EXXON MOBIL CORP COM 30231G102 297 3471 SH DEFINED 02 3471 0 0
F M C CORP COM NEW 302491303 5840 109200 SH CALL DEFINED 05 109200 0 0
FORD MTR CO DEL COM PAR $0.01 345370860 1495 155900 SH CALL DEFINED 02 155900 0 0
FORD MTR CO DEL COM PAR $0.01 345370860 64 6700 SH PUT DEFINED 05 6700 0 0
FORD MTR CO DEL COM PAR $0.01 345370860 240 25100 SH CALL DEFINED 05 25100 0 0
FORD MTR CO DEL COM PAR $0.01 345370860 1823 190135 SH DEFINED 02 190135 0 0
FORD MTR CO DEL COM PAR $0.01 345370860 1918 200000 SH PUT DEFINED 02 200000 0 0
FREEPORT-MCMORAN COPPER & GO COM 35671D857 3300 96852 SH DEFINED 02 96852 0 0
FREEPORT-MCMORAN COPPER & GO COM 35671D857 272 7974 SH DEFINED 05 7974 0 0
FREEPORT-MCMORAN COPPER & GO COM 35671D857 716 21000 SH CALL DEFINED 05 21000 0 0
FREEPORT-MCMORAN COPPER & GO COM 35671D857 3407 100000 SH PUT DEFINED 02 100000 0 0
FREEPORT-MCMORAN COPPER & GO COM 35671D857 1178 34700 SH PUT DEFINED 05 34700 0 0
GENERAL DYNAMICS CORP COM 369550108 2744 41600 SH CALL DEFINED 05 41600 0 0
GEN-PROBE INC NEW COM 36866T103 838 10195 SH DEFINED 05 10195 0 0
GEN-PROBE INC NEW COM 36866T103 41897 509700 SH CALL DEFINED 02 509700 0 0
GEN-PROBE INC NEW COM 36866T103 8319 101200 SH DEFINED 02 101200 0 0
GENWORTH FINL INC COM CL A 37247D106 198 35000 SH CALL DEFINED 05 35000 0 0
GILEAD SCIENCES INC COM 375558103 590 11500 SH DEFINED 05 11500 0 0
GILEAD SCIENCES INC COM 375558103 1846 36000 SH CALL DEFINED 05 36000 0 0
GILEAD SCIENCES INC COM 375558103 307 6000 SH PUT DEFINED 05 6000 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 353 3683 SH DEFINED 02 3683 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 374 3900 SH CALL DEFINED 02 3900 0 0
GOLDMAN SACHS GROUP INC COM 38141G104 374 3900 SH PUT DEFINED 02 3900 0 0
GOODRICH CORP COM 382388106 29885 235501 SH DEFINED 05 235501 0 0
GOODRICH CORP COM 382388106 38692 304900 SH CALL DEFINED 02 304900 0 0
GOODRICH CORP COM 382388106 14784 116500 SH DEFINED 02 116500 0 0
GRACE W R & CO DEL NEW COM 38388F108 1080 21400 SH CALL DEFINED 05 21400 0 0
GREEN MTN COFFEE ROASTERS IN COM 393122106 1089 50000 SH DEFINED 05 50000 0 0
GREEN MTN COFFEE ROASTERS IN COM 393122106 1089 50000 SH PUT DEFINED 05 50000 0 0
HALCON RES CORP COM NEW 40537Q209 425 45000 SH DEFINED 05 45000 0 0
HALLIBURTON CO COM 406216101 7001 246600 SH CALL DEFINED 02 246600 0 0
HALLIBURTON CO COM 406216101 976 34400 SH CALL DEFINED 05 34400 0 0
HALLIBURTON CO COM 406216101 111 3900 SH PUT DEFINED 05 3900 0 0
HARVEST NATURAL RESOURCES IN COM 41754V103 1841 215277 SH DEFINED 02 215277 0 0
HARVEST NATURAL RESOURCES IN COM 41754V103 381 44600 SH CALL DEFINED 02 44600 0 0
HEALTH NET INC COM 42222G108 1430 58900 SH CALL DEFINED 05 58900 0 0
HERTZ GLOBAL HOLDINGS INC COM 42805T105 348 27190 SH DEFINED 05 27190 0 0
HEWLETT PACKARD CO COM 428236103 2475 123092 SH DEFINED 02 123092 0 0
HEWLETT PACKARD CO COM 428236103 469 23300 SH CALL DEFINED 02 23300 0 0
HEWLETT PACKARD CO COM 428236103 744 37000 SH CALL DEFINED 05 37000 0 0
HEWLETT PACKARD CO COM 428236103 2620 130300 SH PUT DEFINED 02 130300 0 0
HEWLETT PACKARD CO COM 428236103 92 4600 SH PUT DEFINED 05 4600 0 0
HOME DEPOT INC COM 437076102 180 3400 SH PUT DEFINED 05 3400 0 0
HOME DEPOT INC COM 437076102 14880 280800 SH CALL DEFINED 02 280800 0 0
HOME DEPOT INC COM 437076102 768 14500 SH CALL DEFINED 05 14500 0 0
HOME DEPOT INC COM 437076102 1590 30000 SH PUT DEFINED 02 30000 0 0
HORSEHEAD HLDG CORP COM 440694305 1159 116373 SH DEFINED 02 116373 0 0
HOUSTON AMERN ENERGY CORP COM 44183U100 390 348493 SH DEFINED 02 348493 0 0
HUMAN GENOME SCIENCES INC COM 444903108 7716 587644 SH DEFINED 02 587644 0 0
HUMAN GENOME SCIENCES INC COM 444903108 366 27900 SH DEFINED 05 27900 0 0
HUMAN GENOME SCIENCES INC COM 444903108 756 57600 SH CALL DEFINED 05 57600 0 0
HUMAN GENOME SCIENCES INC COM 444903108 4525 344700 SH PUT DEFINED 02 344700 0 0
IDENIX PHARMACEUTICALS INC COM 45166R204 1746 169800 SH CALL DEFINED 05 169800 0 0
IDENIX PHARMACEUTICALS INC COM 45166R204 103 10000 SH PUT DEFINED 05 10000 0 0
ILLUMINA INC COM 452327109 990 24506 SH DEFINED 05 24506 0 0
ILLUMINA INC COM 452327109 404 10000 SH PUT DEFINED 05 10000 0 0
INTEL CORP COM 458140100 3414 128100 SH PUT DEFINED 05 128100 0 0
INTEL CORP COM 458140100 67 2500 SH DEFINED 05 2500 0 0
INTEL CORP COM 458140100 784 29300 SH CALL DEFINED 05 29300 0 0
INTERLINE BRANDS INC COM 458743101 376 15000 SH DEFINED 05 15000 0 0
INTERNATIONAL BUSINESS MACHS COM 459200101 2637 13483 SH DEFINED 02 13483 0 0
ISHARES GOLD TRUST ISHARES 464285105 487 31280 SH DEFINED 02 31280 0 0
ISHARES INC MSCI BRAZIL 464286400 6800 131537 SH DEFINED 02 131537 0 0
ISHARES INC MSCI BRAZIL 464286400 4699 90900 SH CALL DEFINED 02 90900 0 0
ISHARES INC MSCI BRAZIL 464286400 9305 180000 SH PUT DEFINED 02 180000 0 0
ISHARES INC MSCI CDA INDEX 464286509 258 10000 SH DEFINED 02 10000 0 0
ISHARES TR DJ REGIONAL BK 464288778 24 998 SH DEFINED 05 998 0 0
ISHARES TR DJ US FINL SVC 464287770 68 1306 SH DEFINED 05 1306 0 0
ISHARES TR DJ US REAL EST 464287739 9590 150000 SH CALL DEFINED 02 150000 0 0
ISHARES TR FTSE CHINA25 IDX 464287184 18161 539460 SH DEFINED 02 539460 0 0
ISHARES TR HIGH YLD CORP 464288513 6045 66215 SH DEFINED 03 66215 0 0
ISHARES TR JPMORGAN USD 464288281 3338 29093 SH DEFINED 03 29093 0 0
ISHARES TR NASDQ BIO INDX 464287556 4548 35000 SH CALL DEFINED 05 35000 0 0
ISHARES TR RUSSELL 2000 464287655 15809 198700 SH PUT DEFINED 02 198700 0 0
ISHARES TR RUSSELL 2000 464287655 3978 50000 SH CALL DEFINED 02 50000 0 0
ISHARES TR RUSSELL1000GRW 464287614 14376 227358 SH DEFINED 03 227358 0 0
JOHNSON & JOHNSON COM 478160104 5919 87600 SH PUT DEFINED 05 87600 0 0
JOHNSON & JOHNSON COM 478160104 878 13000 SH CALL DEFINED 05 13000 0 0
JOHNSON & JOHNSON COM 478160104 750 11100 SH DEFINED 05 11100 0 0
JPMORGAN CHASE & CO COM 46625H100 1896 53000 SH CALL DEFINED 05 53000 0 0
JPMORGAN CHASE & CO COM 46625H100 2116 59200 SH PUT DEFINED 05 59200 0 0
JPMORGAN CHASE & CO COM 46625H100 1036 29000 SH CALL DEFINED 02 29000 0 0
KELLOGG CO COM 487836108 1623 32900 SH CALL DEFINED 05 32900 0 0
KINDER MORGAN INC DEL COM 49456B101 32 1000 SH DEFINED 05 1000 0 0
KINDER MORGAN INC DEL COM 49456B101 322 10000 SH CALL DEFINED 02 10000 0 0
KROGER CO COM 501044101 514 22149 SH DEFINED 02 22149 0 0
LAS VEGAS SANDS CORP COM 517834107 534 12300 SH CALL DEFINED 05 12300 0 0
LIGHTBRIDGE CORP COM 53224K104 255 126000 SH DEFINED 02 126000 0 0
LILLY ELI & CO COM 532457108 1309 30500 SH CALL DEFINED 05 30500 0 0
LILLY ELI & CO COM 532457108 129 3000 SH PUT DEFINED 05 3000 0 0
LOWES COS INC COM 548661107 398 14000 SH CALL DEFINED 02 14000 0 0
MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 1071 15155 SH DEFINED 02 15155 0 0
MAKO SURGICAL CORP COM 560879108 1344 52500 SH CALL DEFINED 05 52500 0 0
MANNKIND CORP COM 56400P201 536 234100 SH CALL DEFINED 05 234100 0 0
MCDONALDS CORP COM 580135101 13280 150000 SH PUT DEFINED 02 150000 0 0
MCDONALDS CORP COM 580135101 1239 14000 SH PUT DEFINED 05 14000 0 0
MEDIVATION INC COM 58501N101 640 7000 SH CALL DEFINED 05 7000 0 0
MEDTRONIC INC COM 585055106 775 20000 SH CALL DEFINED 05 20000 0 0
MEDTRONIC INC COM 585055106 136 3500 SH DEFINED 05 3500 0 0
MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 383 80560 SH DEFINED 02 80560 0 0
MOLSON COORS BREWING CO CL B 60871R209 6050 145400 SH CALL DEFINED 05 145400 0 0
MORGAN STANLEY COM NEW 617446448 330 22614 SH DEFINED 02 22614 0 0
MORGAN STANLEY COM NEW 617446448 36 2447 SH DEFINED 05 2447 0 0
MORGAN STANLEY COM NEW 617446448 715 49000 SH CALL DEFINED 05 49000 0 0
MORGAN STANLEY COM NEW 617446448 269 18500 SH PUT DEFINED 05 18500 0 0
MOSAIC CO NEW COM 61945C103 340 6200 SH CALL DEFINED 05 6200 0 0
MYLAN INC COM 628530107 556 26000 SH DEFINED 05 26000 0 0
MYLAN INC COM 628530107 1496 70000 SH PUT DEFINED 05 70000 0 0
NEOPHOTONICS CORP COM 64051T100 697 141115 SH DEFINED 02 141115 0 0
NEUROCRINE BIOSCIENCES INC COM 64125C109 1955 247600 SH CALL DEFINED 05 247600 0 0
NEWMONT MINING CORP COM 651639106 315 6500 SH CALL DEFINED 05 6500 0 0
NORTHWEST PIPE CO COM 667746101 332 13700 SH DEFINED 02 13700 0 0
NUCOR CORP COM 670346105 30 802 SH DEFINED 05 802 0 0
NUCOR CORP COM 670346105 2111 55700 SH CALL DEFINED 02 55700 0 0
NUCOR CORP COM 670346105 8 200 SH CALL DEFINED 05 200 0 0
NUCOR CORP COM 670346105 246 6500 SH PUT DEFINED 02 6500 0 0
NUCOR CORP COM 670346105 34 900 SH PUT DEFINED 05 900 0 0
ONCOTHYREON INC COM 682324108 985 210453 SH DEFINED 02 210453 0 0
ONYX PHARMACEUTICALS INC COM 683399109 964 14500 SH PUT DEFINED 05 14500 0 0
ONYX PHARMACEUTICALS INC COM 683399109 133 2000 SH DEFINED 05 2000 0 0
ORACLE CORP COM 68389X105 30 1000 SH PUT DEFINED 05 1000 0 0
ORACLE CORP COM 68389X105 353 11900 SH CALL DEFINED 05 11900 0 0
ORACLE CORP COM 68389X105 2657 89446 SH DEFINED 02 89446 0 0
P F CHANGS CHINA BISTRO INC COM 69333Y108 3929 76336 SH DEFINED 02 76336 0 0
PACKAGING CORP AMER COM 695156109 250 8871 SH DEFINED 05 8871 0 0
PACKAGING CORP AMER COM 695156109 2601 92100 SH CALL DEFINED 05 92100 0 0
PEP BOYS MANNY MOE & JACK COM 713278109 500 50500 SH CALL DEFINED 02 50500 0 0
PERRIGO CO COM 714290103 1474 12500 SH DEFINED 05 12500 0 0
PERRIGO CO COM 714290103 979 8300 SH PUT DEFINED 05 8300 0 0
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 5412 288300 SH CALL DEFINED 02 288300 0 0
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 34 1800 SH PUT DEFINED 05 1800 0 0
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 412 21900 SH CALL DEFINED 05 21900 0 0
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 9120 485885 SH DEFINED 02 485885 0 0
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 10379 553000 SH PUT DEFINED 02 553000 0 0
PFIZER INC COM 717081103 133 5800 SH DEFINED 05 5800 0 0
PFIZER INC COM 717081103 1003 43600 SH CALL DEFINED 05 43600 0 0
PFIZER INC COM 717081103 112 4900 SH PUT DEFINED 05 4900 0 0
PHARMACYCLICS INC COM 716933106 137 2500 SH DEFINED 05 2500 0 0
PHARMACYCLICS INC COM 716933106 4369 80000 SH PUT DEFINED 05 80000 0 0
PHILIP MORRIS INTL INC COM 718172109 707 8100 SH CALL DEFINED 02 8100 0 0
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