0001085146-13-001576.txt : 20130815 0001085146-13-001576.hdr.sgml : 20130815 20130815163627 ACCESSION NUMBER: 0001085146-13-001576 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130630 FILED AS OF DATE: 20130815 DATE AS OF CHANGE: 20130815 EFFECTIVENESS DATE: 20130815 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: 131042590 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 primary_doc.xml 13F-HR LIVE false true false 0001466538 XXXXXXXX 06-30-2013 06-30-2013 COWEN GROUP, INC.
599 LEXINGTON AVENUE, 20TH FLOOR NEW YORK NY 10022
13F HOLDINGS REPORT 028-14571 N
Owen Littman General Counsel 212-201-4841 /s/ Owen Littman New York NY 08-14-2013 5 281 988215 false 01 0001475770 028-13626 Ramius LLC 02 0001275893 028-10674 RAMIUS ADVISORS LLC 03 0001512349 028-14361 Ramius Alternative Solutions LLC 04 0001259333 028-10501 COWEN CAPITAL LLC 05 0001066036 028-04125 COWEN & COMPANY, LLC
INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ACTAVIS INCCOM00507K103636150400SHDFND25040000ACTAVIS INCCOM00507K103255020200SHCallDFND52020000AEGERION PHARMACEUTICALS INCCOM00767E102162825700SHCallDFND52570000AGENUS INCCOM NEW00847G7059926200SHDFND22620000AMERICAN DG ENERGY INCCOM0253981082619500SHDFND21950000APPLE INCCOM037833100396610000SHDFND21000000ARBITRON INCCOM03875Q1086408137965SHDFND213796500ARENA PHARMACEUTICALS INCCOM04004710211615000SHDFND21500000ARIAD PHARMACEUTICALS INCCOM04033A10078745000SHDFND24500000ASTA FDG INCCOM04622010913816000SHDFND21600000AT&T INCCOM00206R102159345000SHDFND24500000ATHENAHEALTH INCCOM04685W1037038300SHCallDFND5830000AWARE INC MASSCOM05453N10021942200SHDFND24220000AXT INCCOM00246W10317163400SHDFND26340000BANK OF AMERICA CORPORATIONCOM0605051049002700000SHDFND270000000BAXTER INTL INCCOM071813109138520000SHPutDFND52000000BAXTER INTL INCCOM0718131094226100SHCallDFND5610000BAXTER INTL INCCOM071813109118517100SHDFND51710000BELO CORPCOM SER A0805551052020144800SHDFND214480000BERRY PETE COCL A08578910519050450140SHDFND245014000BG MEDICINE INCCOM08861T1079168400SHDFND26840000BIOGEN IDEC INCCOM09062X1037533500SHCallDFND5350000BMC SOFTWARE INCCOM05592110019591434111SHDFND243411100BMC SOFTWARE INCCOM0559211003167000SHDFND5700000BOARDWALK PIPELINE PARTNERSUT LTD PARTNER09662710462220600SHDFND22060000BRISTOL MYERS SQUIBB COCOM110122108370382838SHDFND28283800BSB BANCORP INC MDCOM05573H10815812000SHDFND21200000BUCKEYE PARTNERS L PUNIT LTD PARTN118230101131618750SHDFND21875000CADIZ INCCOM NEW12753720711024000SHDFND22400000CAFEPRESS INCCOM12769A1038513600SHDFND21360000CAPE BANCORP INCCOM13920910014415200SHDFND21520000CAPITAL ONE FINL CORPCOM14040H1053175050SHDFND2505000CENOVUS ENERGY INCCOM15135U10971325000SHDFND52500000CHEROKEE INC DEL NEWCOM16444H10218914800SHDFND21480000CHEVRON CORP NEWCOM16676410016935143112SHDFND214311200CISCO SYS INCCOM17275R102110545400SHPutDFND54540000CISCO SYS INCCOM17275R102110545400SHDFND54540000CISCO SYS INCCOM17275R1026332260200SHDFND226020000CITIGROUP INCCOM NEW1729674245693118675SHDFND211867500CLEARWIRE CORP NEWCL A18538Q1051141228500SHCallDFND522850000CLEARWIRE CORP NEWCL A18538Q10569331387900SHDFND2138790000CLEARWIRE CORP NEWCL A18538Q1057515000SHDFND51500000CODEXIS INCCOM19200510620090500SHDFND29050000COLLECTORS UNIVERSE INCCOM NEW19421R20019915000SHDFND21500000COMPUWARE CORPCOM2056381092403232404SHDFND223240400COOPER TIRE & RUBR COCOM2168311077434224100SHDFND222410000COOPER TIRE & RUBR COCOM2168311071996000SHDFND5600000COOPER TIRE & RUBR COCOM21683110750415200SHPutDFND51520000COVIDIEN PLCSHSG2554F113402264000SHDFND26400000COWEN GROUP INC NEWCL A22362210144501539945SHDFND2153994500CPI AEROSTRUCTURES INCCOM NEW12591930820018400SHDFND21840000CPI AEROSTRUCTURES INCCOM NEW12591930807SHDFND5700CROWN HOLDINGS INCCOM22836810685620800SHCallDFND52080000CUMBERLAND PHARMACEUTICALS ICOM23077010910119800SHDFND21980000DELL INCCOM24702R10110417781696SHDFND278169600DELL INCCOM24702R10165349000SHDFND54900000DELL INCCOM24702R10119714800SHCallDFND51480000DELL INCCOM24702R10198874100SHPutDFND57410000DELTA APPAREL INCCOM24736810318313000SHDFND21300000DISCOVERY LABORATORIES INC NCOM NEW25466840310166200SHDFND26620000DOLAN COCOM25659P402184112600SHDFND211260000DRESSER-RAND GROUP INCCOM261608103151225200SHCallDFND52520000DYNAVAX TECHNOLOGIES CORPCOM2681581021715400SHDFND21540000EBIX INCCOM NEW27871520646350000SHDFND25000000ECHELON CORPCOM27874N10519693000SHDFND29300000ELAN PLCADR2841312083936278300SHDFND227830000ELAN PLCADR284131208352500SHDFND5250000ELAN PLCADR28413120890564000SHCallDFND56400000EMULEX CORPCOM NEW2924752099815000SHDFND51500000ENTERPRISE PRODS PARTNERS LCOM293792107123519875SHDFND21987500EQUINIX INCCOM NEW29444U502277115000SHDFND21500000EXA CORPCOM30061450015314900SHDFND21490000EXPEDIA INC DELCOM NEW30212P303174429000SHDFND52900000EXPEDIA INC DELCOM NEW30212P303301450100SHCallDFND55010000EXPEDIA INC DELCOM NEW30212P303301450100SHPutDFND55010000EXXON MOBIL CORPCOM30231G1022682971SHDFND2297100FACEBOOK INCCL A30303M1020122600SHCallDFND512260000FALCONSTOR SOFTWARE INCCOM306137100152111300SHDFND211130000FARMERS NATL BANC CORPCOM3096271078513500SHDFND21350000FIDELITY NATIONAL FINANCIALCL A31620R1058479356100SHDFND235610000FORBES ENERGY SVCS LTDCOM34514310110325500SHDFND22550000FORD MTR CO DELCOM PAR $0.013453708602345151600SHDFND215160000FORTINET INCCOM34959E1093000171400SHCallDFND517140000FORTRESS PAPER LTD-CL ACS34958R1012357409698SHDFND240969800FRANCO NEVADA CORPCOM351858105316188364SHDFND28836400FREEPORT-MCMORAN COPPER & GOCOM35671D8579539345500SHDFND234550000GARDNER DENVER INCCOM3655581059244122956SHDFND212295600GARDNER DENVER INCCOM365558105285638000SHDFND53800000GARDNER DENVER INCCOM36555810515066200400SHCallDFND520040000GARDNER DENVER INCCOM3655581056478600SHPutDFND5860000GENERAL MTRS COCOM37045V100080000SHCallDFND58000000GENESIS ENERGY L PUNIT LTD PARTN37192710451810000SHDFND21000000GEO GROUP INCCOM36159R1032477280SHDFND2728000GEVO INCCOM37439610918390000SHDFND29000000GOLDEN MINERALS COCOM381119106180132100SHDFND213210000GOLDEN STAR RES LTD CDACOM38119T104168400100SHDFND240010000GOOGLE INCCL A38259P50810561200SHDFND2120000GROUPON INCCOM CL A39947310756065500SHCallDFND56550000HALLIBURTON COCOM4062161011042500SHDFND5250000HALLIBURTON COCOM40621610113768330000SHCallDFND533000000HANSEN MEDICAL INCCOM4113071019667100SHDFND26710000HARRIS & HARRIS GROUP INCCOM41383310419463900SHDFND26390000HARRIS TEETER SUPERMARKETS ICOM414585109108023053SHDFND22305300HARVEST NATURAL RESOURCES INCOM41754V10319763700SHDFND26370000HERBALIFE LTDCOM USD SHSG4412G101171538000SHDFND23800000HERBALIFE LTDCOM USD SHSG4412G1012485500SHDFND5550000HERBALIFE LTDCOM USD SHSG4412G101166937000SHPutDFND53700000HILL INTERNATIONAL INCCOM43146610111742600SHDFND24260000HOME DEPOT INCCOM437076102636882200SHDFND28220000HORSEHEAD HLDG CORPCOM44069430570154723SHDFND25472300HOUSTON AMERN ENERGY CORPCOM44183U1001038000SHDFND23800000HUDSON GLOBAL INCCOM44378710614658800SHDFND25880000IAMGOLD CORPCOM4509131081277295000SHDFND529500000IAMGOLD CORPCOM4509131081277295000SHPutDFND529500000IMMUNOCELLULAR THERAPEUTICSCOM4525361059749800SHDFND24980000INERGY L PUNIT LTD PTNR45661510341325750SHDFND22575000INFORMATICA CORPCOM45666Q1023419750SHDFND5975000INFORMATICA CORPCOM45666Q10299328400SHPutDFND52840000INNODATA INCCOM NEW4576422057924700SHDFND22470000INTERNATIONAL BUSINESS MACHSCOM4592001018604500SHDFND2450000INTERPUBLIC GROUP COS INCCOM460690100140496500SHCallDFND59650000INTEVAC INCCOM46114810814024700SHDFND22470000IPASS INCCOM46261V10816084900SHDFND28490000IRON MTN INCCOM462846106241090554SHDFND29055400ISHARES INCMSCI BRAZIL CAPP46428640010664243128SHDFND224312800ISHARES INCMSCI CDA INDEX46428650926210000SHDFND21000000ISHARES TRFTSE CHINA25 IDX4642871843786116400SHDFND211640000ISHARES TRMSCI EAFE INDEX4642874652294000SHDFND2400000ISHARES TRMSCI EMERG MKT4642872348480220269SHDFND222026900ISHARES TRRUSSELL 20004642876552402474SHDFND2247400ISHARES TRRUSSELL1000VAL46428759846320552808SHDFND355280800JOHNSON & JOHNSONCOM478160104300535000SHPutDFND53500000JOHNSON & JOHNSONCOM478160104684579707SHDFND27970700JOHNSON & JOHNSONCOM478160104300535000SHDFND53500000JOS A BANK CLOTHIERS INCCOM4808381013107500SHDFND5750000JOS A BANK CLOTHIERS INCCOM480838101119428900SHCallDFND52890000JOS A BANK CLOTHIERS INCCOM48083810176918600SHPutDFND51860000JPMORGAN CHASE & COCOM46625H1006841129600SHDFND212960000JPMORGAN CHASE & COCOM46625H1001352900SHCallDFND5290000KEY TRONICS CORPCOM49314410919318600SHDFND21860000LAMAR ADVERTISING COCL A512815101186643000SHDFND24300000LENDER PROCESSING SVCS INCCOM52602E102314997339SHDFND29733900LEVEL 3 COMMUNICATIONS INCCOM NEW52729N30882239000SHDFND23900000LIFE TECHNOLOGIES CORPCOM53217V10925254341274SHDFND234127400LIFE TECHNOLOGIES CORPCOM53217V109155120954SHDFND52095400LIFE TECHNOLOGIES CORPCOM53217V1098791118800SHCallDFND511880000LIFE TECHNOLOGIES CORPCOM53217V1098155110200SHPutDFND511020000LILLY ELI & COCOM532457108277056400SHDFND25640000LINN ENERGY LLCUNIT LTD LIAB53602010043113000SHDFND51300000LINN ENERGY LLCUNIT LTD LIAB536020100165950000SHPutDFND55000000LINNCO LLCCOMSHS LTD INT5357821068878238200SHDFND223820000LIPOSCIENCE INCCOM53630M10810615100SHDFND21510000LYONDELLBASELL INDUSTRIES NSHS - A -N53745100183527700SHCallDFND52770000MAGELLAN MIDSTREAM PRTNRS LPCOM UNIT RP LP559080106178832810SHDFND23281000MANNKIND CORPCOM56400P20158590000SHCallDFND59000000MARKET LEADER INCCOM57056R10365060781SHDFND26078100MATTERSIGHT CORPCOM5770971084816700SHDFND21670000MATTSON TECHNOLOGY INCCOM57722310020392600SHDFND29260000MAXYGEN INCCOM57777610710040500SHDFND24050000MCEWEN MNG INCCOM58039P107199118300SHDFND211830000MEETME INCCOM58514110410262700SHDFND26270000MERCK & CO INC NEWCOM58933Y105447896400SHDFND29640000MET PRO CORPCOM5908763064116306269SHDFND230626900MICROFINANCIAL INCCOM5950721098510800SHDFND21080000MTR GAMING GROUP INCCOM55376910015245400SHDFND24540000MYERS INDS INCCOM62846410920113400SHDFND21340000MYLAN INCCOM628530107217270000SHPutDFND57000000MYRIAD GENETICS INCCOM62855J10457521400SHCallDFND52140000MYRIAD GENETICS INCCOM62855J1041345000SHPutDFND5500000NATIONAL AMERN UNIV HLDGS INCOM63245Q10512032200SHDFND23220000NATIONAL FINL PARTNERS CORPCOM63607P20818953748845SHDFND274884500NII HLDGS INCCL B NEW62913F2011215182500SHDFND218250000NOBLE ENERGY INCCOM655044105360260000SHCallDFND56000000NOKIA CORPSPONSORED ADR654902204935250000SHDFND225000000NORANDA ALUM HLDG CORPCOM65542W1075416700SHDFND21670000NORTHWEST PIPE COCOM667746101129346345SHDFND24634500NUANCE COMMUNICATIONS INCCOM67020Y1006764367600SHDFND236760000NUANCE COMMUNICATIONS INCCOM67020Y10059832500SHDFND53250000NUANCE COMMUNICATIONS INCCOM67020Y10093851000SHCallDFND55100000NUANCE COMMUNICATIONS INCCOM67020Y100744000SHPutDFND5400000NV ENERGY INCCOM67073Y10616754714150SHDFND271415000NYSE EURONEXTCOM6294911015108123386SHDFND212338600OCCIDENTAL PETE CORP DELCOM674599105267730000SHCallDFND53000000OCCIDENTAL PETE CORP DELCOM674599105102211450SHDFND51145000OCLARO INCCOM NEW67555N2063025000SHDFND52500000OFS CAP CORPCOM67103B10020217000SHDFND21700000OMTHERA PHARMACEUTICALS INCCOM68217A1032566192935SHDFND219293500ONCOTHYREON INCCOM682324108259165000SHDFND216500000ONEOK INC NEWCOM6826801032195310SHDFND2531000ONEOK PARTNERS LPUNIT LTD PARTN68268N1032244515SHDFND2451500OPTIMER PHARMACEUTICALS INCCOM68401H1042136147648SHDFND214764800PACIFIC MERCANTILE BANCORPCOM69455210010217700SHDFND21770000PACKAGING CORP AMERCOM695156109155731800SHCallDFND53180000PDI INCCOM69329V10016334600SHDFND23460000PFIZER INCCOM7170811034202150000SHDFND215000000PFIZER INCCOM717081103421517SHDFND5151700PFIZER INCCOM71708110349317600SHCallDFND51760000PLAINS ALL AMERN PIPELINE LUNIT LTD PARTN726503105117621070SHDFND22107000POWER ONE INC NEWCOM73930R1021885298400SHDFND229840000POWERSHARES ETF TRUST IISENIOR LN PORT73936Q769255571032600SHDFND3103260000PREMIER EXIBITIONS INCCOM74051E10214382000SHDFND28200000PROCTER & GAMBLE COCOM7427181093544600SHDFND2460000PROLOR BIOTECH INCCOM74344F106991157479SHDFND215747900PROSHARES TR IIULTRASHORT YEN N74347W56980012490SHDFND21249000PRUDENTIAL FINL INCCOM744320102155621300SHDFND22130000PUT SPDR SER TROP78464A730232740000SHPutDFND54000000QLIK TECHNOLOGIES INCCOM74733T10528310000SHDFND51000000QLIK TECHNOLOGIES INCCOM74733T10542415000SHPutDFND51500000QUICKLOGIC CORPCOM74837P10819086000SHDFND28600000RAND LOGISTICS INCCOM7521821059718400SHDFND21840000RED LION HOTELS CORPCOM75676410618630400SHDFND23040000REPLIGEN CORPCOM75991610957770000SHCallDFND57000000REPUBLIC AWYS HLDGS INCCOM76027610570261997SHDFND26199700REVETT MINERALS INCCOM NEW7615052056397500SHDFND29750000RF MICRODEVICES INCCOM74994110013425000SHDFND52500000RLJ ENTMT INCCOM74965F1046513503SHDFND21350300ROCKWOOD HLDGS INCCOM774415103128120000SHCallDFND52000000SANCHEZ ENERGY CORPCOM79970Y1052397104382SHDFND210438200SARATOGA RES INC TEXCOM8035211036643100SHDFND24310000SCHWAB CHARLES CORP NEWCOM80851310558427500SHDFND22750000SCIENTIFIC GAMES CORPCL A80874P1093299293201SHDFND229320100SEATTLE GENETICS INCCOM81257810287527800SHPutDFND52780000SEATTLE GENETICS INCCOM8125781021575000SHDFND5500000SELECT SECTOR SPDR TRSBI INT-FINL81369Y605217551118700SHDFND2111870000SI FINL GROUP INC MDCOM78425V10416014500SHDFND21450000SIGA TECHNOLOGIES INCCOM826917106603212432SHDFND221243200SLM CORPCOM78442P10694941500SHPutDFND54150000SLM CORPCOM78442P1062636115300SHCallDFND511530000SMITHFIELD FOODS INCCOM8322481089000274800SHCallDFND527480000SMITHFIELD FOODS INCCOM832248108116635600SHPutDFND53560000SMITHFIELD FOODS INCCOM8322481085457166609SHDFND516660900SMITHFIELD FOODS INCCOM832248108472131441549SHDFND2144154900SPDR GOLD TRUSTGOLD SHS78463V1072161815SHDFND2181500SPDR S&P 500 ETF TRTR UNIT78462F103128578801517SHDFND280151700SPDR S&P 500 ETF TRTR UNIT78462F103160410000SHPutDFND51000000SPDR S&P MIDCAP 400 ETF TRUTSER1 S&PDCRP78467Y107106371506256SHDFND350625600SPDR SERIES TRUSTBRC HGH YLD BD78464A417116529500SHDFND22950000SPDR SERIES TRUSTS&P OILGAS EXP78464A73071612300SHDFND51230000SPRINT NEXTEL CORPCOM SER 18520611005393768290SHDFND276829000STERLING BANCORPCOM85915810747841157SHDFND24115700STR HLDGS INCCOM78478V10018481000SHDFND28100000SUBURBAN PROPANE PARTNERS LUNIT LTD PARTN8644821044329297SHDFND2929700SUNOCO LOGISTICS PRTNRS L PCOM UNITS86764L108167926259SHDFND22625900SYPRIS SOLUTIONS INCCOM8716551066821300SHDFND22130000TAKE-TWO INTERACTIVE SOFTWARCOM87405410915010034SHDFND51003400TELEPHONE & DATA SYS INCCOM NEW8794338293081125000SHDFND212500000TELULAR CORPCOM NEW87970T2081264100200SHDFND210020000TESORO CORPCOM8816091013146000SHDFND2600000THE ADT CORPORATIONCOM00101J106154238700SHDFND23870000THERAVANCE INCCOM88338T104210454600SHCallDFND55460000THERMO FISHER SCIENTIFIC INCCOM88355610212695150000SHDFND215000000THRESHOLD PHARMACEUTICAL INCCOM NEW88580720610520000SHDFND22000000TIVO INCCOM8887061081356122700SHDFND212270000T-MOBILE US INCCOM87259010445918500SHCallDFND51850000TOOTSIE ROLL INDS INCCOM8905161072036400SHDFND2640000TRANSCEPT PHARMACEUTICALS INCOM89354M10610033100SHDFND23310000TRANSITION THERAPEUTICS INCCOM NEW89371620911936600SHDFND53660000TRINITY INDS INCCOM89652210996125000SHDFND52500000TRINITY INDS INCCOM896522109278772500SHCallDFND57250000TURQUOISE HILL RES LTDCOM90043510810117000SHDFND51700000U.S. AUTO PARTS NETWORK INCCOM90343C1007363300SHDFND26330000UNITED STATES ANTIMONY CORPCOM9115491036457300SHDFND25730000URANERZ ENERGY CORPCOM91688T104196178600SHDFND217860000VALSPAR CORPCOM92035510486713400SHCallDFND51340000VANGUARD HEALTH SYS INCCOM92203620725912500SHDFND51250000VANGUARD INTL EQUITY INDEX FFTSE EMR MKT ETF92204285816509425553SHDFND342555300VENTRUS BIOSCIENCES INCCOM92282210111547800SHDFND24780000VERTEX PHARMACEUTICALS INCCOM92532F100160120000SHDFND52000000VERTEX PHARMACEUTICALS INCCOM92532F100344343000SHPutDFND54300000VIRNETX HLDG CORPCOM92823T108223281116951SHDFND2111695100VISTA GOLD CORPCOM NEW927926303200206200SHDFND220620000VIVUS INCCOM9285511004892388887SHDFND238888700VIVUS INCCOM92855110071757000SHCallDFND55700000VODAFONE GROUP PLC NEWSPONS ADR NEW92857W209191766700SHCallDFND56670000VODAFONE GROUP PLC NEWSPONS ADR NEW92857W209108237638SHDFND23763800WAL-MART STORES INCCOM93114210379110625SHDFND21062500WALTER INVT MGMT CORPCOM93317W10238311335SHDFND21133500WARNER CHILCOTT PLC IRELANDSHS AG9436810039820000SHDFND52000000WELLS FARGO & CO NEWCOM949746101157638200SHDFND23820000WILLIAMS COS INC DELCOM96945710048715000SHDFND21500000WYNDHAM WORLDWIDE CORPCOM98310W108183132000SHCallDFND53200000