0001085146-12-000754.txt : 20120515 0001085146-12-000754.hdr.sgml : 20120515 20120515075920 ACCESSION NUMBER: 0001085146-12-000754 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120515 DATE AS OF CHANGE: 20120515 EFFECTIVENESS DATE: 20120515 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: 12841050 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 cowen1q2012.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: March 31, 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 May 11, 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: 306 Form 13F Information Table Value Total: $944,300 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABOVENET INC COM 00374N107 290 3500 SH DEFINED 05 3500 0 0 ADA ES INC COM 005208103 1196 49197 SH DEFINED 02 49197 0 0 ADOBE SYS INC COM 00724F101 422 12300 SH CALL DEFINED 02 12300 0 0 ADVANCE AMER CASH ADVANCE CT COM 00739W107 2008 191452 SH DEFINED 02 191452 0 0 ALLERGAN INC COM 018490102 487 5100 SH DEFINED 05 5100 0 0 ALLERGAN INC COM 018490102 2992 34100 SH PUT DEFINED 05 34100 0 0 AMGEN INC COM 031162100 2337 36400 SH CALL DEFINED 05 36400 0 0 AMGEN INC COM 031162100 2337 36400 SH PUT DEFINED 05 36400 0 0 AMYLIN PHARMACEUTICALS INC COM 032346108 374 15000 SH DEFINED 05 15000 0 0 AMYLIN PHARMACEUTICALS INC COM 032346108 674 59200 SH CALL DEFINED 05 59200 0 0 AMYLIN PHARMACEUTICALS INC COM 032346108 149 13100 SH PUT DEFINED 05 13100 0 0 AOL INC COM 00184X105 1433 75540 SH DEFINED 05 75540 0 0 AOL INC COM 00184X105 1737 115000 SH PUT DEFINED 05 115000 0 0 APPLE INC COM 037833100 1796 2996 SH DEFINED 02 2996 0 0 APRICUS BIOSCIENCES INC COM 03832V109 353 125000 SH DEFINED 02 125000 0 0 ARIAD PHARMACEUTICALS INC COM 04033A100 1119 70000 SH DEFINED 02 70000 0 0 ARIAD PHARMACEUTICALS INC COM 04033A100 490 40000 SH CALL DEFINED 05 40000 0 0 ATLAS ENERGY LP COM UNITS LP 04930A104 3405 153200 SH CALL DEFINED 05 153200 0 0 ATLAS PIPELINE PARTNERS LP UNIT L P INT 049392103 333 9000 SH CALL DEFINED 05 9000 0 0 BAKER HUGHES INC COM 057224107 510 10500 SH CALL DEFINED 05 10500 0 0 BAKER HUGHES INC COM 057224107 253 5200 SH PUT DEFINED 05 5200 0 0 BALL CORP COM 058498106 3850 107800 SH CALL DEFINED 05 107800 0 0 BANK OF AMERICA CORPORATION COM 060505104 115 12000 SH DEFINED 05 12000 0 0 BANK OF AMERICA CORPORATION COM 060505104 67 12100 SH CALL DEFINED 05 12100 0 0 BANK OF AMERICA CORPORATION COM 060505104 45 7900 SH PUT DEFINED 05 7900 0 0 BARCLAYS BK PLC IPATH DYNM VIX 06741L609 1250 21600 SH DEFINED 03 21600 0 0 BARCLAYS BK PLC IPATH S&P MT ETN 06740C519 697 15069 SH DEFINED 03 15069 0 0 BARRICK GOLD CORP COM 067901108 1167 25800 SH CALL DEFINED 05 25800 0 0 BARRICK GOLD CORP COM 067901108 46 1000 SH PUT DEFINED 05 1000 0 0 BAXTER INTL INC COM 071813109 1321 26700 SH CALL DEFINED 05 26700 0 0 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 438 3500 SH DEFINED 02 3500 0 0 BROADCOM CORP CL A 111320107 927 23594 SH DEFINED 02 23594 0 0 BROADCOM CORP CL A 111320107 2501 85200 SH CALL DEFINED 05 85200 0 0 BROADWIND ENERGY INC COM 11161T108 164 348300 SH DEFINED 02 348300 0 0 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 382 6250 SH DEFINED 02 6250 0 0 CAESARS ENTMT CORP COM 127686103 594 40284 SH DEFINED 02 40284 0 0 CAPITAL ONE FINL CORP COM 14040H105 315 5650 SH DEFINED 02 5650 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 75 14400 SH CALL DEFINED 05 14400 0 0 CENTURYLINK INC COM 156700106 2423 62696 SH DEFINED 02 62696 0 0 CENTURYLINK INC COM 156700106 920 23800 SH CALL DEFINED 02 23800 0 0 CENTURYLINK INC COM 156700106 4260 110200 SH PUT DEFINED 02 110200 0 0 CHESAPEAKE ENERGY CORP COM 165167107 249 11200 SH CALL DEFINED 05 11200 0 0 CHILDRENS PL RETAIL STORES I COM 168905107 982 19000 SH DEFINED 05 19000 0 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 418 1000 SH DEFINED 02 1000 0 0 CISCO SYS INC COM 17275R102 2390 132100 SH CALL DEFINED 05 132100 0 0 CISCO SYS INC COM 17275R102 7829 433000 SH PUT DEFINED 05 433000 0 0 CISCO SYS INC COM 17275R102 4336 205000 SH DEFINED 05 205000 0 0 CITIGROUP INC COM NEW 172967424 1462 40000 SH CALL DEFINED 02 40000 0 0 CITIGROUP INC COM NEW 172967424 5709 156200 SH PUT DEFINED 02 156200 0 0 CITIGROUP INC COM NEW 172967424 1063 29071 SH DEFINED 02 29071 0 0 CLEVELAND BIOLABS INC COM 185860103 328 133500 SH DEFINED 02 133500 0 0 COBALT INTL ENERGY INC COM 19075F106 258 8600 SH DEFINED 05 8600 0 0 COBALT INTL ENERGY INC COM 19075F106 310 20000 SH PUT DEFINED 05 20000 0 0 COMPUTER PROGRAMS & SYS INC COM 205306103 7374 130471 SH DEFINED 02 130471 0 0 COMPUTER SCIENCES CORP COM 205363104 237 10000 SH CALL DEFINED 05 10000 0 0 CORNING INC COM 219350105 130 10000 SH CALL DEFINED 05 10000 0 0 COWEN GROUP INC NEW CL A 223622101 1646 607525 SH DEFINED 02 607525 0 0 CREDIT SUISSE NASSAU BRH ETN IDX-LKD 20 22542D845 2037 100048 SH DEFINED 03 100048 0 0 CREDIT SUISSE NASSAU BRH VIX SHT TRM FT 22542D761 361 50000 SH DEFINED 02 50000 0 0 CROWN HOLDINGS INC COM 228368106 5897 175600 SH CALL DEFINED 05 175600 0 0 CROWN HOLDINGS INC COM 228368106 34 1000 SH PUT DEFINED 05 1000 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 469 30000 SH DEFINED 05 30000 0 0 DELPHI FINL GROUP INC CL A 247131105 3777 84362 SH DEFINED 02 84362 0 0 DEPOMED INC COM 249908104 222 42900 SH PUT DEFINED 05 42900 0 0 DEPOMED INC COM 249908104 14 2200 SH DEFINED 05 2200 0 0 DISCOVERY LABORATORIES INC N COM NEW 254668403 188 70000 SH DEFINED 02 70000 0 0 DISCOVERY LABORATORIES INC N COM NEW 254668403 78 29000 SH PUT DEFINED 02 29000 0 0 DRESSER-RAND GROUP INC COM 261608103 509 10200 SH CALL DEFINED 05 10200 0 0 E M C CORP MASS COM 268648102 246 11400 SH CALL DEFINED 05 11400 0 0 EASTMAN CHEM CO COM 277432100 744 14399 SH DEFINED 05 14399 0 0 EASTMAN CHEM CO COM 277432100 2387 61100 SH CALL DEFINED 05 61100 0 0 EL PASO CORP COM 28336L109 26004 879987 SH DEFINED 02 879987 0 0 EL PASO CORP COM 28336L109 222 7500 SH DEFINED 05 7500 0 0 EL PASO CORP COM 28336L109 7956 269200 SH PUT DEFINED 02 269200 0 0 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 432 10700 SH DEFINED 05 10700 0 0 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 2217 55000 SH CALL DEFINED 02 55000 0 0 ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 5994 165986 SH DEFINED 02 165986 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 978 19375 SH DEFINED 02 19375 0 0 EXELON CORP COM 30161N101 2169 50000 SH CALL DEFINED 05 50000 0 0 EXXON MOBIL CORP COM 30231G102 301 3471 SH DEFINED 02 3471 0 0 EXXON MOBIL CORP COM 30231G102 11795 136000 SH CALL DEFINED 02 136000 0 0 F M C CORP COM NEW 302491303 3898 45300 SH CALL DEFINED 05 45300 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 1945 155900 SH CALL DEFINED 02 155900 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 49 4600 SH PUT DEFINED 05 4600 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 115 10800 SH CALL DEFINED 05 10800 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 443 35475 SH DEFINED 02 35475 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 2495 200000 SH PUT DEFINED 02 200000 0 0 FOREST LABS INC COM 345838106 260 7500 SH DEFINED 05 7500 0 0 FOREST LABS INC COM 345838106 333 11000 SH PUT DEFINED 05 11000 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 302 8200 SH PUT DEFINED 05 8200 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 2564 67391 SH DEFINED 02 67391 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 213 5600 SH CALL DEFINED 02 5600 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 615 16700 SH CALL DEFINED 05 16700 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 3804 100000 SH PUT DEFINED 02 100000 0 0 GENERAL DYNAMICS CORP COM 369550108 2324 35000 SH CALL DEFINED 05 35000 0 0 GENWORTH FINL INC COM CL A 37247D106 229 35000 SH CALL DEFINED 05 35000 0 0 GEORGIA GULF CORP COM PAR$0.01 NEW 373200302 1267 65000 SH CALL DEFINED 05 65000 0 0 GILEAD SCIENCES INC COM 375558103 13439 328300 SH CALL DEFINED 05 328300 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 485 3900 SH CALL DEFINED 02 3900 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 485 3900 SH PUT DEFINED 02 3900 0 0 GOODRICH CORP COM 382388106 15463 125000 SH CALL DEFINED 05 125000 0 0 GOODRICH CORP COM 382388106 4390 35000 SH PUT DEFINED 02 35000 0 0 GOODRICH CORP COM 382388106 82953 661300 SH CALL DEFINED 02 661300 0 0 GOODRICH CORP COM 382388106 7625 60789 SH DEFINED 05 60789 0 0 GOOGLE INC CL A 38259P508 3331 5195 SH DEFINED 02 5195 0 0 GRACE W R & CO DEL NEW COM 38388F108 1253 27300 SH CALL DEFINED 05 27300 0 0 HALLIBURTON CO COM 406216101 899 27100 SH CALL DEFINED 02 27100 0 0 HALLIBURTON CO COM 406216101 213 6200 SH CALL DEFINED 05 6200 0 0 HALLIBURTON CO COM 406216101 52 1500 SH PUT DEFINED 05 1500 0 0 HEALTH NET INC COM 42222G108 3325 109300 SH CALL DEFINED 05 109300 0 0 HEALTH NET INC COM 42222G108 1171 38500 SH PUT DEFINED 05 38500 0 0 HEWLETT PACKARD CO COM 428236103 4766 200000 SH CALL DEFINED 02 200000 0 0 HEWLETT PACKARD CO COM 428236103 270 10500 SH PUT DEFINED 05 10500 0 0 HEWLETT PACKARD CO COM 428236103 744 31201 SH DEFINED 02 31201 0 0 HEWLETT PACKARD CO COM 428236103 142 5500 SH CALL DEFINED 05 5500 0 0 HEWLETT PACKARD CO COM 428236103 4766 200000 SH PUT DEFINED 02 200000 0 0 HOME DEPOT INC COM 437076102 624 12390 SH DEFINED 05 12390 0 0 HOME DEPOT INC COM 437076102 247 5900 SH CALL DEFINED 05 5900 0 0 HOME DEPOT INC COM 437076102 487 11600 SH PUT DEFINED 05 11600 0 0 HORIZON PHARMA INC COM 44047T109 309 82844 SH DEFINED 02 82844 0 0 HORIZON PHARMA INC COM 44047T109 1 292 SH DEFINED 05 292 0 0 HORSEHEAD HLDG CORP COM 440694305 2644 232127 SH DEFINED 02 232127 0 0 HOUSTON AMERN ENERGY CORP COM 44183U100 809 155000 SH DEFINED 02 155000 0 0 HSBC HLDGS PLC SPON ADR NEW 404280406 357 9400 SH CALL DEFINED 05 9400 0 0 HUMAN GENOME SCIENCES INC COM 444903108 92 12500 SH PUT DEFINED 05 12500 0 0 HUMAN GENOME SCIENCES INC COM 444903108 3380 457300 SH CALL DEFINED 05 457300 0 0 IDENIX PHARMACEUTICALS INC COM 45166R204 1714 230200 SH CALL DEFINED 05 230200 0 0 IDENIX PHARMACEUTICALS INC COM 45166R204 74 10000 SH PUT DEFINED 05 10000 0 0 ILLUMINA INC COM 452327109 432 8210 SH DEFINED 05 8210 0 0 ILLUMINA INC COM 452327109 329 10800 SH PUT DEFINED 05 10800 0 0 INGERSOLL-RAND PLC SHS G47791101 3801 91900 SH PUT DEFINED 02 91900 0 0 INGERSOLL-RAND PLC SHS G47791101 3945 95400 SH CALL DEFINED 02 95400 0 0 INTEL CORP COM 458140100 14801 610400 SH PUT DEFINED 05 610400 0 0 INTEL CORP COM 458140100 331 13600 SH CALL DEFINED 05 13600 0 0 INTEL CORP COM 458140100 8493 302064 SH DEFINED 05 302064 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1043 5000 SH DEFINED 02 5000 0 0 ISHARES GOLD TRUST ISHARES 464285105 509 31280 SH DEFINED 02 31280 0 0 ISHARES INC MSCI AUSTRALIA 464286103 1126 47900 SH DEFINED 02 47900 0 0 ISHARES INC MSCI AUSTRALIA 464286103 114 4852 SH DEFINED 05 4852 0 0 ISHARES INC MSCI BRAZIL 464286400 1940 30000 SH CALL DEFINED 02 30000 0 0 ISHARES INC MSCI BRAZIL 464286400 1940 30000 SH PUT DEFINED 02 30000 0 0 ISHARES INC MSCI CDA INDEX 464286509 283 10000 SH DEFINED 02 10000 0 0 ISHARES INC MSCI HONG KONG 464286871 719 41193 SH DEFINED 02 41193 0 0 ISHARES INC MSCI S KOREA 464286772 99 1656 SH DEFINED 05 1656 0 0 ISHARES TR DJ US FINL SEC 464287788 96 1636 SH DEFINED 05 1636 0 0 ISHARES TR FTSE CHINA25 IDX 464287184 3163 86279 SH DEFINED 02 86279 0 0 ISHARES TR FTSE CHINA25 IDX 464287184 41 1112 SH DEFINED 05 1112 0 0 ISHARES TR FTSE CHINA25 IDX 464287184 7333 200000 SH CALL DEFINED 02 200000 0 0 ISHARES TR FTSE CHINA25 IDX 464287184 6233 170000 SH PUT DEFINED 02 170000 0 0 ISHARES TR HIGH YLD CORP 464288513 73283 807628 SH DEFINED 03 807628 0 0 ISHARES TR JPMORGAN USD 464288281 10707 95000 SH DEFINED 03 95000 0 0 ISHARES TR RUSSELL MCP VL 464287473 8 160 SH DEFINED 05 160 0 0 ISHARES TR RUSSELL1000GRW 464287614 14324 216774 SH DEFINED 03 216774 0 0 ISHARES TR S&P SMLCAP 600 464287804 245 3211 SH DEFINED 05 3211 0 0 ISTA PHARMACEUTICALS INC COM NEW 45031X204 353 50000 SH CALL DEFINED 05 50000 0 0 ISTA PHARMACEUTICALS INC COM NEW 45031X204 205 22700 SH DEFINED 05 22700 0 0 JAGUAR MNG INC COM 47009M103 58 12326 SH DEFINED 05 12326 0 0 JAGUAR MNG INC COM 47009M103 2979 467000 SH CALL DEFINED 05 467000 0 0 JOHNSON & JOHNSON COM 478160104 578 8800 SH CALL DEFINED 05 8800 0 0 JOHNSON & JOHNSON COM 478160104 204 3100 SH PUT DEFINED 05 3100 0 0 JOHNSON & JOHNSON COM 478160104 239 3630 SH DEFINED 02 3630 0 0 JPMORGAN CHASE & CO COM 46625H100 1333 29000 SH CALL DEFINED 02 29000 0 0 JPMORGAN CHASE & CO COM 46625H100 346 10400 SH CALL DEFINED 05 10400 0 0 JPMORGAN CHASE & CO COM 46625H100 422 12700 SH PUT DEFINED 05 12700 0 0 JPMORGAN CHASE & CO COM 46625H100 260 5660 SH DEFINED 05 5660 0 0 KINDER MORGAN INC DEL COM 49456B101 6157 159300 SH CALL DEFINED 02 159300 0 0 KINDER MORGAN INC DEL COM 49456B101 10721 277400 SH PUT DEFINED 02 277400 0 0 KINDER MORGAN INC DEL COM 49456B101 100 3100 SH PUT DEFINED 05 3100 0 0 KROGER CO COM 501044101 849 35037 SH DEFINED 02 35037 0 0 LAM RESEARCH CORP COM 512807108 859 23200 SH CALL DEFINED 05 23200 0 0 LAS VEGAS SANDS CORP COM 517834107 81 1900 SH PUT DEFINED 05 1900 0 0 LAS VEGAS SANDS CORP COM 517834107 479 11200 SH CALL DEFINED 05 11200 0 0 LEAP WIRELESS INTL INC COM NEW 521863308 13 1510 SH DEFINED 05 1510 0 0 LEAP WIRELESS INTL INC COM NEW 521863308 139 15000 SH CALL DEFINED 05 15000 0 0 LEAP WIRELESS INTL INC COM NEW 521863308 279 30000 SH PUT DEFINED 05 30000 0 0 LIGHTBRIDGE CORP COM 53224K104 403 126000 SH DEFINED 02 126000 0 0 LILLY ELI & CO COM 532457108 943 22700 SH PUT DEFINED 05 22700 0 0 LILLY ELI & CO COM 532457108 539 13400 SH DEFINED 05 13400 0 0 LILLY ELI & CO COM 532457108 42 1000 SH CALL DEFINED 05 1000 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 1096 15155 SH DEFINED 02 15155 0 0 MANNKIND CORP COM 56400P201 586 234100 SH CALL DEFINED 05 234100 0 0 MANNKIND CORP COM 56400P201 2 732 SH DEFINED 05 732 0 0 MCKESSON CORP COM 58155Q103 200 2280 SH DEFINED 02 2280 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 9108 129554 SH DEFINED 02 129554 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 886 12600 SH DEFINED 05 12600 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 1677 30000 SH CALL DEFINED 05 30000 0 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 12661 180100 SH PUT DEFINED 02 180100 0 0 MEDTRONIC INC COM 585055106 765 20000 SH CALL DEFINED 05 20000 0 0 MEDTRONIC INC COM 585055106 137 3500 SH DEFINED 05 3500 0 0 MIDAS GROUP INC COM 595626102 672 58507 SH DEFINED 02 58507 0 0 MINEFINDERS CORP LTD COM 602900102 3295 235300 SH DEFINED 02 235300 0 0 MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 401 80560 SH DEFINED 02 80560 0 0 MORGAN STANLEY COM NEW 617446448 262 13335 SH DEFINED 02 13335 0 0 MORGAN STANLEY COM NEW 617446448 163 10700 SH CALL DEFINED 05 10700 0 0 MORGAN STANLEY COM NEW 617446448 648 33000 SH PUT DEFINED 02 33000 0 0 MORGAN STANLEY COM NEW 617446448 358 23600 SH PUT DEFINED 05 23600 0 0 MOTOROLA MOBILITY HLDGS INC COM 620097105 981 25000 SH DEFINED 05 25000 0 0 MOTOROLA MOBILITY HLDGS INC COM 620097105 322 8200 SH CALL DEFINED 02 8200 0 0 MOTOROLA MOBILITY HLDGS INC COM 620097105 16724 426201 SH DEFINED 02 426201 0 0 MOTOROLA MOBILITY HLDGS INC COM 620097105 726 18500 SH PUT DEFINED 02 18500 0 0 MYLAN INC COM 628530107 727 31000 SH DEFINED 05 31000 0 0 MYLAN INC COM 628530107 1502 70000 SH PUT DEFINED 05 70000 0 0 NEOPHOTONICS CORP COM 64051T100 690 145852 SH DEFINED 02 145852 0 0 NEUROCRINE BIOSCIENCES INC COM 64125C109 2376 279500 SH CALL DEFINED 05 279500 0 0 NORTHWEST PIPE CO COM 667746101 238 11200 SH DEFINED 02 11200 0 0 NOVELLUS SYS INC COM 670008101 10344 207244 SH DEFINED 02 207244 0 0 NOVELLUS SYS INC COM 670008101 1128 22602 SH DEFINED 05 22602 0 0 NUCOR CORP COM 670346105 3036 70700 SH CALL DEFINED 02 70700 0 0 NUCOR CORP COM 670346105 1091 25400 SH PUT DEFINED 02 25400 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 38 400 SH DEFINED 05 400 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 638 6700 SH CALL DEFINED 02 6700 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 6859 73200 SH CALL DEFINED 05 73200 0 0 ONCOTHYREON INC COM 682324108 1090 250000 SH DEFINED 02 250000 0 0 ONCOTHYREON INC COM 682324108 218 50000 SH DEFINED 05 50000 0 0 ONCOTHYREON INC COM 682324108 379 50000 SH CALL DEFINED 05 50000 0 0 OPTIMER PHARMACEUTICALS INC COM 68401H104 26 1900 SH DEFINED 05 1900 0 0 OPTIMER PHARMACEUTICALS INC COM 68401H104 184 15000 SH PUT DEFINED 05 15000 0 0 ORACLE CORP COM 68389X105 302 11700 SH CALL DEFINED 05 11700 0 0 OWENS CORNING NEW COM 690742101 488 17000 SH CALL DEFINED 05 17000 0 0 P F CHANGS CHINA BISTRO INC COM 69333Y108 2460 79600 SH CALL DEFINED 05 79600 0 0 PACKAGING CORP AMER COM 695156109 2686 106400 SH CALL DEFINED 05 106400 0 0 PENNEY J C INC COM 708160106 395 11150 SH DEFINED 05 11150 0 0 PENNEY J C INC COM 708160106 2823 80300 SH PUT DEFINED 05 80300 0 0 PERRIGO CO COM 714290103 5083 49200 SH DEFINED 05 49200 0 0 PERRIGO CO COM 714290103 3591 36900 SH CALL DEFINED 05 36900 0 0 PERRIGO CO COM 714290103 3649 37500 SH PUT DEFINED 05 37500 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 10507 395600 SH CALL DEFINED 02 395600 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 25 1000 SH PUT DEFINED 05 1000 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 3500 131778 SH DEFINED 02 131778 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 10571 398000 SH PUT DEFINED 02 398000 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 5 200 SH CALL DEFINED 05 200 0 0 PHARMERICA CORP COM 71714F104 139 11170 SH DEFINED 05 11170 0 0 PHARMERICA CORP COM 71714F104 366 24100 SH PUT DEFINED 05 24100 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 670 8535 SH DEFINED 02 8535 0 0 PNC FINL SVCS GROUP INC COM 693475105 646 11200 SH CALL DEFINED 05 11200 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 3815 56471 SH DEFINED 02 56471 0 0 PRESTIGE BRANDS HLDGS INC COM 74112D101 444 25391 SH DEFINED 02 25391 0 0 PROCERA NETWORKS INC COM NEW 74269U203 2761 123463 SH DEFINED 02 123463 0 0 PROGRESS ENERGY INC COM 743263105 212 4000 SH DEFINED 05 4000 0 0 PROGRESS ENERGY INC COM 743263105 20015 376851 SH DEFINED 02 376851 0 0 PROVIDENT ENERGY LTD NEW COM 74386V100 2138 176700 SH DEFINED 02 176700 0 0 QUALCOMM INC COM 747525103 4103 75000 SH CALL DEFINED 05 75000 0 0 QUANTUM FUEL SYS TECH WORLDW COM NEW 74765E208 218 316130 SH DEFINED 02 316130 0 0 REMARK MEDIA INC COM 75954W107 428 88889 SH DEFINED 02 88889 0 0 RESEARCH IN MOTION LTD COM 760975102 166 11400 SH CALL DEFINED 05 11400 0 0 RITE AID CORP COM 767754104 87 50000 SH DEFINED 02 50000 0 0 ROCKWOOD HLDGS INC COM 774415103 5272 133900 SH CALL DEFINED 05 133900 0 0 RSC HOLDINGS INC COM 74972L102 212 9388 SH DEFINED 05 9388 0 0 SANDISK CORP COM 80004C101 50 1000 SH DEFINED 05 1000 0 0 SANDISK CORP COM 80004C101 2471 50200 SH PUT DEFINED 05 50200 0 0 SAVIENT PHARMACEUTICALS INC COM 80517Q100 67 30000 SH CALL DEFINED 05 30000 0 0 SCHWAB CHARLES CORP NEW COM 808513105 145 10110 SH DEFINED 02 10110 0 0 SCIENTIFIC GAMES CORP CL A 80874P109 3461 296828 SH DEFINED 02 296828 0 0 SCIENTIFIC GAMES CORP CL A 80874P109 5 453 SH DEFINED 05 453 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 6644 147348 SH DEFINED 03 147348 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1580 100000 SH PUT DEFINED 02 100000 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1580 100000 SH CALL DEFINED 02 100000 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1505 40225 SH DEFINED 03 40225 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 125 3330 SH DEFINED 05 3330 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 3578 118633 SH DEFINED 03 118633 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 570 18900 SH DEFINED 05 18900 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 15125 594300 SH PUT DEFINED 05 594300 0 0 SEQUENOM INC COM NEW 817337405 356 87500 SH DEFINED 05 87500 0 0 SEQUENOM INC COM NEW 817337405 938 210700 SH PUT DEFINED 05 210700 0 0 SIGA TECHNOLOGIES INC COM 826917106 2902 863721 SH DEFINED 02 863721 0 0 SOLUTIA INC COM NEW 834376501 397 14200 SH DEFINED 05 14200 0 0 SOLUTIA INC COM NEW 834376501 11916 426481 SH DEFINED 02 426481 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1490 9190 SH DEFINED 02 9190 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 35203 250000 SH PUT DEFINED 02 250000 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 26003 143900 SH DEFINED 03 143900 0 0 SPDR SERIES TRUST BRCLYS CAP CONV 78464A359 11210 281229 SH DEFINED 03 281229 0 0 SPDR SERIES TRUST S&P INS ETF 78464A789 242 5781 SH DEFINED 05 5781 0 0 STERLING BANCORP COM 859158107 395 41157 SH DEFINED 02 41157 0 0 SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 1382 36540 SH DEFINED 02 36540 0 0 SUREWEST COMMUNICATIONS COM 868733106 3073 136254 SH DEFINED 02 136254 0 0 SYNERGY PHARMACEUTICALS DEL *W EXP 12/06/201 871639118 148 98441 SH DEFINED 02 98441 0 0 TALBOTS INC COM 874161102 189 62477 SH DEFINED 02 62477 0 0 TALBOTS INC COM 874161102 405 133500 SH CALL DEFINED 02 133500 0 0 THERAVANCE INC COM 88338T104 530 24000 SH CALL DEFINED 05 24000 0 0 THOMAS & BETTS CORP COM 884315102 30173 419600 SH CALL DEFINED 02 419600 0 0 THRESHOLD PHARMACEUTICAL INC COM NEW 885807206 752 85500 SH DEFINED 02 85500 0 0 THRESHOLD PHARMACEUTICAL INC COM NEW 885807206 220 25000 SH DEFINED 05 25000 0 0 TIBCO SOFTWARE INC COM 88632Q103 359 15000 SH PUT DEFINED 05 15000 0 0 TRANSOCEAN LTD REG SHS H8817H100 1554 28400 SH PUT DEFINED 02 28400 0 0 TRANSOCEAN LTD REG SHS H8817H100 2188 40000 SH DEFINED 02 40000 0 0 TRANSOCEAN LTD REG SHS H8817H100 12669 231600 SH CALL DEFINED 02 231600 0 0 TYCO INTERNATIONAL LTD SHS H89128104 6773 145000 SH PUT DEFINED 05 145000 0 0 TYCO INTERNATIONAL LTD SHS H89128104 7163 127500 SH DEFINED 05 127500 0 0 TYSON FOODS INC CL A 902494103 1649 79900 SH CALL DEFINED 05 79900 0 0 UNITEDHEALTH GROUP INC COM 91324P102 3548 70000 SH CALL DEFINED 05 70000 0 0 US BANCORP DEL COM NEW 902973304 676 25000 SH CALL DEFINED 05 25000 0 0 US BANCORP DEL COM NEW 902973304 676 25000 SH PUT DEFINED 05 25000 0 0 USA TECHNOLOGIES INC *W EXP 12/31/201 90328S195 139 253269 SH DEFINED 02 253269 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 711 16350 SH DEFINED 02 16350 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 27199 625690 SH DEFINED 03 625690 0 0 VANGUARD INTL EQUITY INDEX F MSCI EUROPE ETF 922042874 12563 272571 SH DEFINED 03 272571 0 0 VIRNETX HLDG CORP COM 92823T108 1077 45000 SH CALL DEFINED 02 45000 0 0 VIRNETX HLDG CORP COM 92823T108 1077 45000 SH PUT DEFINED 02 45000 0 0 WAL MART STORES INC COM 931142103 558 9125 SH DEFINED 02 9125 0 0 WALGREEN CO COM 931422109 248 7415 SH DEFINED 02 7415 0 0 WALTER INVT MGMT CORP COM 93317W102 256 11335 SH DEFINED 02 11335 0 0 WISDOMTREE TRUST DRYFS CURR ETF 97717W133 1241 59278 SH DEFINED 03 59278 0 0 WYNDHAM WORLDWIDE CORP COM 98310W108 2258 59700 SH CALL DEFINED 05 59700 0 0 WYNDHAM WORLDWIDE CORP COM 98310W108 567 15000 SH PUT DEFINED 05 15000 0 0 ZOLL MED CORP COM 989922109 4242 45800 SH CALL DEFINED 02 45800 0 0 ZOLL MED CORP COM 989922109 2779 30000 SH DEFINED 02 30000 0 0