General Counsel

0001085146-17-001196.txt : 20170512 0001085146-17-001196.hdr.sgml : 20170512 20170511192407 ACCESSION NUMBER: 0001085146-17-001196 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170331 FILED AS OF DATE: 20170512 DATE AS OF CHANGE: 20170511 EFFECTIVENESS DATE: 20170512 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: 17835945 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 03-31-2017 03-31-2017 false 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 05-11-2017 3 243 2072061 1 0001275893 028-10674 RAMIUS ADVISORS LLC 2 0001066036 028-04125 COWEN & COMPANY, LLC 3 0001697722 028-17713 Quadratic Capital Management LLC INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBVIE INC COM 00287Y109 326 50 SH Put DFND 2 50 0 0 ABBVIE INC COM 00287Y109 130 2000 SH DFND 2 2000 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 454 100 SH Call DFND 2 100 0 0 AIR METHODS CORP COM PAR $.06 009128307 13629 316961 SH DFND 1 316961 0 0 ALERE INC COM 01449J105 4059 102161 SH DFND 1 102161 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 17695 164100 SH Put DFND 1 164100 0 0 ALLERGAN PLC SHS G0177J108 3524 14750 SH DFND 1 14750 0 0 ALLIED WRLD ASSUR COM HLDG A SHS H01531104 61490 1158012 SH DFND 1 1158012 0 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 292 57 SH Call DFND 2 57 0 0 ALPHABET INC CAP STK CL A 02079K305 441 520 SH DFND 1 520 0 0 ALPHABET INC CAP STK CL C 02079K107 1224 1476 SH DFND 1 1476 0 0 AMAZON COM INC COM 023135106 6661 7513 SH DFND 1 7513 0 0 AMICUS THERAPEUTICS INC COM 03152W109 150 21000 SH DFND 2 21000 0 0 AMICUS THERAPEUTICS INC COM 03152W109 250 350 SH Put DFND 2 350 0 0 ANDINA ACQUISITION CORP II SHS G0441P104 1411 139853 SH DFND 2 139853 0 0 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 811 7385 SH DFND 1 7385 0 0 ARRAY BIOPHARMA INC COM 04269X105 679 760 SH Call DFND 2 760 0 0 ARRAY BIOPHARMA INC COM 04269X105 679 760 SH Put DFND 2 760 0 0 ARRAY BIOPHARMA INC COM 04269X105 381 42600 SH DFND 2 42600 0 0 ASHFORD HOSPITALITY TR INC COM SHS 044103109 2175 341380 SH DFND 1 341380 0 0 AT&T INC COM 00206R102 1928 464 SH Call DFND 2 464 0 0 AT&T INC COM 00206R102 3066 738 SH Put DFND 2 738 0 0 AVISTA HEALTHCARE PUB ACQ CO *W EXP 99/99/999 G0726L117 17 33400 SH DFND 2 33400 0 0 AVISTA HEALTHCARE PUB ACQ CO CL A G0726L125 575 58160 SH DFND 2 58160 0 0 BARINGTON HILCO ACQUISITION COM 06759V101 2332 227485 SH DFND 2 227485 0 0 BIOVERATIV INC COM 09075E100 971 17836 SH DFND 1 17836 0 0 BLACKROCK CORPOR HI YLD FD I COM 09255P107 509 46634 SH DFND 1 46634 0 0 BOARDWALK PIPELINE PARTNERS UT LTD PARTNER 096627104 570 31140 SH DFND 1 31140 0 0 BOULEVARD ACQUISITION CL A 10157Q102 2002 199848 SH DFND 2 199848 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 9174 1687 SH Call DFND 2 1687 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 2719 500 SH Put DFND 2 500 0 0 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 3979 60000 SH DFND 1 60000 0 0 BRITISH AMERN TOB PLC SPONSORED ADR 110448107 3316 50000 SH Call DFND 1 50000 0 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 81870 6560136 SH DFND 1 6560136 0 0 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 373 5440 SH DFND 1 5440 0 0 CABELAS INC COM 126804301 2484 46774 SH DFND 1 46774 0 0 CABELAS INC COM 126804301 106 2000 SH DFND 2 2000 0 0 CABELAS INC COM 126804301 48 9 SH Call DFND 2 9 0 0 CABELAS INC COM 126804301 9687 182400 SH Put DFND 1 182400 0 0 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EAFE ETF 464287465 2367 38000 SH Call DFND 3 38000 0 0 ISHARES TR MSCI UK ETF NEW 46435G334 6155 189100 SH Put DFND 3 189100 0 0 ISHARES TR NASDQ BIOTEC ETF 464287556 609 2075 SH DFND 1 2075 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 158584 1153500 SH Put DFND 1 1153500 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 481 35 SH Put DFND 2 35 0 0 JOHNSON CTLS INTL PLC SHS G51502105 1145 27180 SH DFND 1 27180 0 0 JUNO THERAPEUTICS INC COM 48205A109 224 101 SH Call DFND 2 101 0 0 KATE SPADE & CO COM 485865109 980 422 SH Put DFND 2 422 0 0 KATE SPADE & CO COM 485865109 2439 105005 SH DFND 1 105005 0 0 KATE SPADE & CO COM 485865109 348 15000 SH DFND 2 15000 0 0 KATE SPADE & CO COM 485865109 4051 1745 SH Call DFND 2 1745 0 0 KAYNE ANDERSON ACQUISITION UNIT 06/30/2022 48661U201 2714 270826 SH DFND 1 270826 0 0 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 2 881814 SH DFND 2 881814 0 0 LA JOLLA PHARMACEUTICAL CO COM PAR $.0001 2 503459604 299 100 SH Call DFND 2 100 0 0 LENNAR CORP CL B 526057302 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