0001104659-11-037172.txt : 20110629 0001104659-11-037172.hdr.sgml : 20110629 20110629173431 ACCESSION NUMBER: 0001104659-11-037172 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20110628 FILED AS OF DATE: 20110629 DATE AS OF CHANGE: 20110629 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: COWEN GROUP, INC. CENTRAL INDEX KEY: 0001466538 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 000000000 FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1221 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: (646) 562-1000 MAIL ADDRESS: STREET 1: 1221 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10020 FORMER COMPANY: FORMER CONFORMED NAME: LexingtonPark Parent Corp DATE OF NAME CHANGE: 20090617 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: LABRANCHE & CO INC CENTRAL INDEX KEY: 0001089044 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34516 FILM NUMBER: 11940010 BUSINESS ADDRESS: STREET 1: ONE EXCHANGE PLAZA CITY: NEW YORK STATE: NY ZIP: 10006-3008 BUSINESS PHONE: 2128200400 MAIL ADDRESS: STREET 1: ONE EXCHANGE PLAZA CITY: NEW YORK STATE: NY ZIP: 10006-3008 4 1 a4.xml 4 X0303 4 2011-06-28 1 0001466538 COWEN GROUP, INC. COWN 0001089044 LABRANCHE & CO INC 599 LEXINGTON AVENUE NEW YORK NY 10022 0 0 0 1 See Footnotes (1) and (2) Class A common stock, par value $0.01 per share 2011-06-28 4 J 0 0 D 0 I See footnote Beneficial ownership of shares of Class A common stock, par value $0.01 per share, of Cowen Group, Inc. ("Parent Common Stock") referred to herein was reported in the Initial Statement of Beneficial Ownership of Securities on Form 3 filed with the Securities and Exchange Commission on February 25, 2011 because Cowen Structured Holdings LLC (f/k/a LaBranche & Co Inc. "LaBranche") may have been deemed to have had beneficial ownership of such shares as a result of the granting of an irrevocable proxy by RCG Holdings LLC ("RCG") pursuant to that certain Voting Agreement, dated as of February 16, 2011, by and between LaBranche and RCG (the "Voting Agreement"). On June 28, 2011, the merger of Louisiana Merger Sub, Inc., a direct, wholly-owned subsidiary of Cowen Group, Inc. ("Merger Sub"), with and into LaBranche was completed and the Voting Agreement and the irrevocable proxy contained therein terminated by its terms. Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that LaBranche is or was, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any shares of Parent Common Stock referred to herein, and such beneficial ownership is expressly disclaimed. LaBranche does not have any pecuniary interest in the Parent Common Stock and therefore does not have beneficial ownership of any shares of Parent Common Stock within the meaning of Rule 16a-1(a)(2) of the Exchange Act. See Exhibit 99.1 2011-06-29 EX-99.1 2 ex-99d1.htm EX-99.1 EXHIBIT 99

EXHIBIT 99.1

 

SIGNATURE FOR FORM 4

 

 

COWEN STRUCTURED HOLDINGS LLC, as

 

successor in interest to LaBranche & Co Inc.

 

 

 

By:

/s/ Owen Littman

 

Name: Owen Littman

 

Title:   Authorized Person

 

Date: June 29, 2011

 

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