General Counsel

0001085146-19-001510.txt : 20190514 0001085146-19-001510.hdr.sgml : 20190514 20190514133103 ACCESSION NUMBER: 0001085146-19-001510 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190514 DATE AS OF CHANGE: 20190514 EFFECTIVENESS DATE: 20190514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COWEN 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: 19821833 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: COWEN GROUP, INC. DATE OF NAME CHANGE: 20091102 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 03-31-2019 03-31-2019 false COWEN 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 05-13-2019 4 418 930743 1 0001066036 028-04125 COWEN & COMPANY, LLC 2 0000917380 028-18771 COWEN EXECUTION SERVICES LLC 3 0001475770 028-13626 Cowen Investment Management LLC 4 0001275893 028-10674 RAMIUS ADVISORS LLC INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ABBVIE INC COM 00287Y109 68 50000 SH Put DFND 1 50000 0 0 ABBVIE INC COM 00287Y109 866 10750 SH DFND 1 10750 0 0 ACAMAR PARTNERS ACQSITION CO UNIT 12/30/2025 004285201 250 25000 SH DFND 1 25000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 459 18000 SH DFND 1 18000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 35 40000 SH Put DFND 1 40000 0 0 AGIOS PHARMACEUTICALS INC COM 00847X104 114 30000 SH Call DFND 1 30000 0 0 ALBERTON ACQUISITION CORP *W EXP 04/26/202 G35006124 60 661905 SH DFND 1 661905 0 0 ALBERTON ACQUISITION CORP RIGHT 10/04/2020 G35006132 21 121650 SH DFND 1 121650 0 0 ALLEGRO MERGER CORP *W EXP 01/06/202 01749N111 6 24778 SH DFND 1 24778 0 0 ALLEGRO MERGER CORP RIGHT 12/31/2023 01749N129 20 74778 SH DFND 1 74778 0 0 ALLIANCE DATA SYSTEMS CORP COM 018581108 32 15100 SH Call DFND 1 15100 0 0 ALLIANCE DATA SYSTEMS CORP COM 018581108 465 33200 SH Put DFND 1 33200 0 0 ALPHABET INC CAP STK CL A 02079K305 222 189 SH DFND 3 189 0 0 ALPHABET INC CAP STK CL C 02079K107 290 247 SH DFND 3 247 0 0 ALTA MESA RES INC *W EXP 03/28/202 02133L117 1 16434 SH DFND 1 16434 0 0 ALTABA INC COM 021346101 4692 63300 SH DFND 3 63300 0 0 AMAZON COM INC COM 023135106 4650 2611 SH DFND 3 2611 0 0 AMCI ACQUISITION CORP *W EXP 05/20/202 00165R119 4 14000 SH DFND 1 14000 0 0 AMCI ACQUISITION CORP CLASS A 00165R101 2302 233931 SH DFND 1 233931 0 0 AMCI ACQUISITION CORP UNIT 01/07/2019 00165R200 432 42700 SH DFND 1 42700 0 0 AMICUS THERAPEUTICS INC COM 03152W109 43 52500 SH Call DFND 1 52500 0 0 AMICUS THERAPEUTICS INC COM 03152W109 4 35000 SH Put DFND 1 35000 0 0 ANDINA ACQUISITION CORP III *W 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COM CLASS A 624745105 2520 250000 SH DFND 3 250000 0 0 MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 172 16290 SH DFND 1 16290 0 0 MUDRICK CAP ACQUISITION CORP UNIT 02/01/2023 624745204 1058 100000 SH DFND 3 100000 0 0 MYOKARDIA INC COM 62857M105 2806 53965 SH DFND 3 53965 0 0 NATIONAL ENERGY SERVICES REU *W EXP 05/05/202 G6375R115 127 111363 SH DFND 1 111363 0 0 NEBULA ACQUISITION CORP COM CLASS A 629076100 1578 158415 SH DFND 1 158415 0 0 NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 147 14359 SH DFND 1 14359 0 0 NEBULA ACQUISITION CORP UNIT 03/12/2025 629076209 1025 100000 SH DFND 3 100000 0 0 NEW FRONTIER CORP *W EXP 99/99/999 G6485P124 302 430820 SH DFND 1 430820 0 0 NEW FRONTIER CORP COM CL A G6485P108 4607 465335 SH DFND 1 465335 0 0 NEW FRONTIER CORP UNIT 99/99/9999 G6485P116 886 87735 SH DFND 1 87735 0 0 NEXSTAR MEDIA GROUP INC CL A 65336K103 488 52500 SH Call DFND 1 52500 0 0 NEXSTAR MEDIA GROUP INC CL A 65336K103 30 120000 SH Put DFND 4 120000 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 5885 248611 SH DFND 4 248611 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 26 26300 SH Call DFND 1 26300 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 154 125200 SH Call DFND 4 125200 0 0 NIELSEN HLDGS PLC SHS EUR G6518L108 349 175000 SH Put DFND 4 175000 0 0 NIO INC SPON ADS 62914V106 15 300000 SH Call DFND 2 300000 0 0 NIO INC SPON ADS 62914V106 1 50000 SH Call DFND 3 50000 0 0 NOMURA HLDGS INC SPONSORED ADR 65535H208 844 235000 SH DFND 2 235000 0 0 NOVAVAX INC COM 670002104 54 66000 SH Put DFND 1 66000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 1167 13205 SH DFND 1 13205 0 0 NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 371 120500 PRN Call DFND 1 120500 0 0 NXP SEMICONDUCTORS N V NOTE 1.000%12/0 62952QAB6 226 8000 PRN Put DFND 1 8000 0 0 OAKTREE CAP GROUP LLC UNIT CL A 674001201 1774 35731 SH DFND 4 35731 0 0 ONE MADISON CORP *W EXP 99/99/999 G6772P126 33 29485 SH DFND 1 29485 0 0 ONE MADISON CORP COM CL A G6772P100 112 10960 SH DFND 1 10960 0 0 ONESPAWORLD HOLDINGS LIMITED COM P73684113 343 25098 SH DFND 1 25098 0 0 OPES ACQUISITION CORP *W EXP 03/13/202 68373P118 142 590773 SH DFND 1 590773 0 0 OPES ACQUISITION CORP COM 68373P100 1421 139975 SH DFND 1 139975 0 0 OPES ACQUISITION CORP UNIT 03/07/2023 68373P209 200 19300 SH DFND 1 19300 0 0 ORCHARD THERAPEUTICS PLC ADS 68570P101 51989 2907627 SH DFND 3 2907627 0 0 OVID THERAPEUTICS INC COM 690469101 1950 1101414 SH DFND 3 1101414 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 869 120200 SH DFND 1 120200 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 54 144900 SH Put DFND 1 144900 0 0 PENN NATL GAMING INC COM 707569109 287 14300 SH DFND 3 14300 0 0 PENSARE ACQUISITION CORP *W EXP 07/27/202 70957E113 10 52000 SH DFND 1 52000 0 0 PENSARE ACQUISITION CORP COM 70957E105 1046 102000 SH DFND 3 102000 0 0 PENSARE ACQUISITION CORP COM 70957E105 673 65636 SH DFND 1 65636 0 0 PIONEER NAT RES CO COM 723787107 891 5850 SH DFND 1 5850 0 0 PIONEER NAT RES CO COM 723787107 11 15000 SH Put DFND 1 15000 0 0 PIVOTAL ACQUISITION CORP UNIT 12/01/2025 72583A200 278 27300 SH DFND 1 27300 0 0 PRECISION BIOSCIENCES INC COM 74019P108 18104 1008565 SH DFND 3 1008565 0 0 PURE ACQUISITION CORP *W EXP 04/17/202 74621Q114 1 146129 SH DFND 1 146129 0 0 PURE ACQUISITION CORP CL A 74621Q106 6837 682321 SH DFND 1 682321 0 0 PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 47 4443 SH DFND 1 4443 0 0 PURE ACQUISITION CORP UNIT 04/13/2023 74621Q205 2645 250000 SH DFND 3 250000 0 0 PVH CORP COM 693656100 2893 23720 SH DFND 1 23720 0 0 PVH CORP COM 693656100 23 17000 SH Put DFND 1 17000 0 0 QUAD / GRAPHICS INC COM CL A 747301109 1338 112401 SH DFND 4 112401 0 0 QUALCOMM INC COM 747525103 757 13274 SH DFND 1 13274 0 0 QUALCOMM INC COM 747525103 14 15900 SH Put DFND 1 15900 0 0 QUEST DIAGNOSTICS INC COM 74834L100 4 25000 SH Put DFND 1 25000 0 0 QUEST DIAGNOSTICS INC COM 74834L100 4 25000 SH Call DFND 1 25000 0 0 QUTOUTIAO INC ADS REP SHS A 74915J107 8 55000 SH Call DFND 2 55000 0 0 REALOGY HLDGS CORP COM 75605Y106 125 11000 SH DFND 1 11000 0 0 RED HAT INC COM 756577102 67561 369790 SH DFND 4 369790 0 0 RED HAT INC COM 756577102 144 37500 SH Call DFND 1 37500 0 0 RED HAT INC COM 756577102 181 74600 SH Put DFND 1 74600 0 0 RED HAT INC COM 756577102 303 155000 SH Put DFND 4 155000 0 0 REGALWOOD GLOBAL ENERGY LTD *W EXP 12/05/202 G74760128 56 62300 SH DFND 1 62300 0 0 RIMINI STR INC DEL COM 76674Q107 1188 237500 SH DFND 1 237500 0 0 RMG ACQUISITION CORP UNIT 99/99/9999 749641205 1255 125173 SH DFND 1 125173 0 0 SABAN CAP ACQUISITION CORP COM CL A 78516C106 6367 619361 SH DFND 1 619361 0 0 SABAN CAP ACQUISITION CORP COM CL A 78516C106 6682 650000 SH DFND 3 650000 0 0 SCHULTZE SPL PURP ACQUSTN CO *W EXP 12/31/202 80821R117 104 334390 SH DFND 1 334390 0 0 SEATTLE GENETICS INC COM 812578102 58 40000 SH Put DFND 1 40000 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 274 217500 SH Put DFND 4 217500 0 0 SIERRA ONCOLOGY INC COM 82640U107 128 75000 SH DFND 1 75000 0 0 SOCIAL CAP HEDOSOPHIA HLDGS *W EXP 09/14/202 G8250R129 14 16889 SH DFND 1 16889 0 0 SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 12 1200 SH DFND 1 1200 0 0 SOCIAL CAP HEDOSOPHIA HLDGS CL A G8250R103 10190 1000000 SH DFND 3 1000000 0 0 SPARK THERAPEUTICS INC COM 84652J103 56680 497720 SH DFND 4 497720 0 0 SPARK THERAPEUTICS INC COM 84652J103 3848 91000 SH Call DFND 1 91000 0 0 SPARK THERAPEUTICS INC COM 84652J103 1 27500 SH Call DFND 4 27500 0 0 SPARK THERAPEUTICS INC COM 84652J103 205 2887200 SH Put DFND 4 2887200 0 0 SPARTAN ENERGY ACQUISITON CO *W EXP 08/27/202 846784122 158 143651 SH DFND 1 143651 0 0 SPARTAN ENERGY ACQUISITON CO UNIT 99/99/9999 846784114 5075 500000 SH DFND 3 500000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 340 354500 SH Put DFND 1 354500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 271 566500 SH Call DFND 4 566500 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 326 3600 SH DFND 1 3600 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 13 10000 SH Put DFND 1 10000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 36 30000 SH Put DFND 3 30000 0 0 SPRINT CORPORATION COM 85207U105 57 10000 SH DFND 1 10000 0 0 SPRINT CORPORATION COM 85207U105 42 64500 SH Call DFND 1 64500 0 0 SPRINT CORPORATION COM 85207U105 1 1000 SH Put DFND 1 1000 0 0 SPROTT PHYSICAL GOLD & SILVE TR UNIT 85208R101 8033 647800 SH DFND 3 647800 0 0 STERLING BANCORP DEL COM 85917A100 968 51960 SH DFND 3 51960 0 0 STITCH FIX INC COM CL A 860897107 24 20000 SH Call DFND 1 20000 0 0 STITCH FIX INC COM CL A 860897107 64 2250 SH DFND 1 2250 0 0 SUNCOR ENERGY INC NEW COM 867224107 460 14192 SH DFND 3 14192 0 0 SUNTRUST BKS INC COM 867914103 6003 101317 SH DFND 4 101317 0 0 SYMANTEC CORP COM 871503108 15 112500 SH Put DFND 4 112500 0 0 T MOBILE US INC COM 872590104 216 112800 SH Put DFND 4 112800 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 6007 294914 SH DFND 3 294914 0 0 TAKEDA PHARMACEUTICAL CO LTD SPONSORED ADS 874060205 77 66000 SH Call DFND 1 66000 0 0 TARGA RES CORP COM 87612G101 3457 83200 SH DFND 1 83200 0 0 TARGA RES CORP COM 87612G101 1022 157200 SH Put DFND 1 157200 0 0 TARGET HOSPITALITY CORP *W EXP 03/15/202 87615L115 46 30000 SH DFND 1 30000 0 0 TENZING ACQUISITION CORP *W EXP 02/23/202 G8708A108 6 40351 SH DFND 1 40351 0 0 TENZING ACQUISITION CORP ORD SHS G8708A116 342 34000 SH DFND 1 34000 0 0 THUNDER BRIDGE ACQUISITION L *W EXP 01/01/202 G8857R126 1 2000 SH DFND 1 2000 0 0 THUNDER BRIDGE ACQUISITION L *W EXP 01/01/202 G8857R126 112 155800 SH DFND 3 155800 0 0 THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 408 40024 SH DFND 1 40024 0 0 THUNDER BRIDGE ACQUISITION L SHS CLASS A G8857R100 2099 205800 SH DFND 3 205800 0 0 TILRAY INC COM CL 2 88688T100 3872 59100 SH DFND 2 59100 0 0 TILRAY INC COM CL 2 88688T100 855 59100 SH Put DFND 2 59100 0 0 TKK SYMPHONY ACQUISITION COR *W EXP 02/20/202 G88950129 5 35898 SH DFND 1 35898 0 0 TORTOISE ACQUISITION CORP UNIT 03/04/2024 89154L209 4727 473158 SH DFND 1 473158 0 0 TOTTENHAM ACQUISITION I LTD RIGHT 06/05/2020 G8959N122 54 200271 SH DFND 1 200271 0 0 TOTTENHAM ACQUISITION I LTD SHS G8959N106 1158 115237 SH DFND 1 115237 0 0 TPG PACE HLDGS CORP *W EXP 06/27/202 G89827110 66 49216 SH DFND 1 49216 0 0 TPG PACE HLDGS CORP CL A G89827128 62 6087 SH DFND 1 6087 0 0 TPG PACE HLDGS CORP CL A G89827128 2042 200000 SH DFND 3 200000 0 0 TRANSDIGM GROUP INC COM 893641100 25 13200 SH Put DFND 4 13200 0 0 TRIBUNE MEDIA CO CL A 896047503 41 38800 SH Call DFND 1 38800 0 0 TRIBUNE MEDIA CO CL A 896047503 40 100000 SH Put DFND 4 100000 0 0 TRIDENT ACQUISITIONS CORP *W EXP 05/09/202 89615T114 33 204056 SH DFND 1 204056 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 110 10806 SH DFND 1 10806 0 0 TRIDENT ACQUISITIONS CORP COM 89615T106 1019 100000 SH DFND 3 100000 0 0 TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 116 11300 SH DFND 1 11300 0 0 TRIDENT ACQUISITIONS CORP UNIT 05/09/2023 89615T205 6739 654300 SH DFND 3 654300 0 0 TRINE ACQUISITION CORP UNIT 03/31/2021 89628U207 4152 414331 SH DFND 1 414331 0 0 TRINITY MERGER CORP COM CL A 89653L106 796 77872 SH DFND 1 77872 0 0 TRINITY MERGER CORP UNIT 05/11/2025 89653L205 1315 125240 SH DFND 3 125240 0 0 TURTLE BEACH CORP COM NEW 900450206 635 55900 SH DFND 2 55900 0 0 TURTLE BEACH CORP COM NEW 900450206 224 55900 SH Put DFND 2 55900 0 0 TUSCAN HOLDINGS CORP UNIT 99/99/9999 90069K203 1043 100000 SH DFND 3 100000 0 0 TUSCAN HOLDINGS CORP UNIT 99/99/9999 90069K203 1005 96399 SH DFND 1 96399 0 0 TWELVE SEAS INVESTMENT COMPA *W EXP 12/22/202 G9145A115 31 120212 SH DFND 1 120212 0 0 TWELVE SEAS INVESTMENT COMPA RIGHT 12/22/2019 G9145A131 192 710579 SH DFND 1 710579 0 0 TWELVE SEAS INVESTMENT COMPA SHS G9145A107 4458 445842 SH DFND 1 445842 0 0 TWILIO INC CL A 90138F102 61 10000 SH Call DFND 1 10000 0 0 U S WELL SVCS INC *W EXP 03/15/202 91274U119 19 19000 SH DFND 1 19000 0 0 ULTIMATE SOFTWARE GROUP INC COM 90385D107 79575 241040 SH DFND 4 241040 0 0 ULTIMATE SOFTWARE GROUP INC COM 90385D107 3 20000 SH Call DFND 1 20000 0 0 ULTRAGENYX PHARMACEUTICAL IN COM 90400D108 2081 30000 SH DFND 3 30000 0 0 UNDER ARMOUR INC CL C 904311206 4010 212494 SH DFND 3 212494 0 0 UNILEVER N V N Y SHS NEW 904784709 5829 100000 SH DFND 3 100000 0 0 UNIQURE NV SHS N90064101 239 4000 SH DFND 1 4000 0 0 UNIQURE NV SHS N90064101 29 23500 SH Call DFND 1 23500 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 1330 106383 SH DFND 3 106383 0 0 UNUM THERAPEUTICS INC COM 903214104 3588 817395 SH DFND 3 817395 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 5717 255000 SH DFND 1 255000 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 475 1713400 SH Call DFND 1 1713400 0 0 VANECK VECTORS ETF TR GOLD MINERS ETF 92189F106 36 400000 SH Put DFND 1 400000 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 4 15000 SH Call DFND 1 15000 0 0 VANECK VECTORS ETF TR JR GOLD MINERS E 92189F791 8 15000 SH Put DFND 1 15000 0 0 VANECK VECTORS ETF TR SEMICONDUCTOR ET 92189F676 128 103400 SH Put DFND 4 103400 0 0 VECTOIQ ACQUISITION CORP *W EXP 05/11/202 92243N111 9 21990 SH DFND 1 21990 0 0 VECTOIQ ACQUISITION CORP COM 92243N103 89 1169890 SH DFND 1 1169890 0 0 VECTOIQ ACQUISITION CORP UNIT 05/11/2023 92243N202 3100 296667 SH DFND 1 296667 0 0 VERRA MOBILITY CORP COM 92511U102 150 12569 SH DFND 1 12569 0 0 VERSUM MATLS INC COM 92532W103 3 11600 SH Put DFND 1 11600 0 0 VERSUM MATLS INC COM 92532W103 9 85000 SH Put DFND 4 85000 0 0 VERSUM MATLS INC COM 92532W103 9 11500 SH Call DFND 1 11500 0 0 WABCO HLDGS INC COM 92927K102 8745 66332 SH DFND 4 66332 0 0 WEALTHBRIDGE ACQUISITION LTD SHS G4887W110 665 67760 SH DFND 1 67760 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 594 2202 SH DFND 1 2202 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 3938 14600 SH DFND 4 14600 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 65 4500 SH Call DFND 1 4500 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 20 4500 SH Put DFND 1 4500 0 0 WORLDPAY INC CL A 981558109 48910 430925 SH DFND 4 430925 0 0 WPX ENERGY INC COM 98212B103 7 45000 SH Put DFND 1 45000 0 0 YOGAWORKS INC COM 986005106 514 558212 SH DFND 1 558212 0 0 ZAYO GROUP HLDGS INC COM 98919V105 5 5700 SH Call DFND 1 5700 0 0 ZAYO GROUP HLDGS INC COM 98919V105 190 110000 SH Call DFND 4 110000 0 0 ZIMMER BIOMET HLDGS INC COM 98956P102 170 56500 SH Call DFND 1 56500 0 0 ZOGENIX INC COM NEW 98978L204 76 20000 SH Call DFND 1 20000 0 0