0001085146-13-000368.txt : 20130212 0001085146-13-000368.hdr.sgml : 20130212 20130211214802 ACCESSION NUMBER: 0001085146-13-000368 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130212 DATE AS OF CHANGE: 20130211 EFFECTIVENESS DATE: 20130212 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: 13594182 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 cowen4q2012r.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: December 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 February 11, 2013 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: 494 Form 13F Information Table Value Total: $876,603 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 28 300 SH PUT DEFINED 05 300 0 0 3M CO COM 88579Y101 371 4000 SH CALL DEFINED 05 4000 0 0 ABBOTT LABS COM 002824100 347 11100 SH CALL DEFINED 05 11100 0 0 ACTIVISION BLIZZARD INC COM 00507V109 323 30400 SH DEFINED 05 30400 0 0 ACTIVISION BLIZZARD INC COM 00507V109 319 30000 SH PUT DEFINED 05 30000 0 0 ADOBE SYS INC COM 00724F101 400 10600 SH CALL DEFINED 05 10600 0 0 ADOBE SYS INC COM 00724F101 38 1000 SH PUT DEFINED 05 1000 0 0 AK STL HLDG CORP COM 001547108 59 12600 SH CALL DEFINED 05 12600 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 200 4900 SH PUT DEFINED 05 4900 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 109 11100 SH CALL DEFINED 05 11100 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 112 11300 SH PUT DEFINED 05 11300 0 0 ALTRIA GROUP INC COM 02209S103 348 11100 SH PUT DEFINED 05 11100 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 281 34700 SH CALL DEFINED 05 34700 0 0 AMERICAN EXPRESS CO COM 025816109 431 7500 SH CALL DEFINED 05 7500 0 0 AMERICAN EXPRESS CO COM 025816109 8702 151400 SH PUT DEFINED 05 151400 0 0 AMERICAN EXPRESS CO COM 025816109 6863 119400 SH DEFINED 05 119400 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 1771 50100 SH CALL DEFINED 05 50100 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 669 18900 SH PUT DEFINED 05 18900 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 505 14306 SH DEFINED 05 14306 0 0 AMERIGROUP CORP COM 03073T102 11544 125478 SH DEFINED 02 125478 0 0 AMERIGROUP CORP COM 03073T102 26183 284600 SH CALL DEFINED 02 284600 0 0 AMERIGROUP CORP COM 03073T102 690 7500 SH PUT DEFINED 02 7500 0 0 AMPIO PHARMACEUTICALS INC COM 03209T109 180 50000 SH DEFINED 02 50000 0 0 ANACOR PHARMACEUTICALS INC COM 032420101 459 88333 SH DEFINED 02 88333 0 0 ANACOR PHARMACEUTICALS INC COM 032420101 0 1 SH DEFINED 05 1 0 0 ANADARKO PETE CORP COM 032511107 259 3491 SH DEFINED 05 3491 0 0 ANADARKO PETE CORP COM 032511107 371 5000 SH CALL DEFINED 05 5000 0 0 ANADARKO PETE CORP COM 032511107 387 5200 SH PUT DEFINED 05 5200 0 0 ANCESTRY COM INC COM 032803108 880 27500 SH CALL DEFINED 02 27500 0 0 AOL INC COM 00184X105 888 30000 SH CALL DEFINED 05 30000 0 0 ARCELORMITTAL SA LUXEMBOURG NOTE 5.000% 5/1 03938LAK0 5770 5622000 PRN DEFINED 02 5622000 0 0 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 212 12100 SH CALL DEFINED 05 12100 0 0 ARCH COAL INC COM 039380100 96 13200 SH CALL DEFINED 05 13200 0 0 ARIAD PHARMACEUTICALS INC COM 04033A100 863 45000 SH DEFINED 02 45000 0 0 ASCENT SOLAR TECHNOLOGIES IN COM 043635101 192 310000 SH DEFINED 02 310000 0 0 AT&T INC COM 00206R102 5578 165484 SH DEFINED 02 165484 0 0 AT&T INC COM 00206R102 148 4400 SH DEFINED 05 4400 0 0 AT&T INC COM 00206R102 5057 150000 SH CALL DEFINED 02 150000 0 0 AT&T INC COM 00206R102 236 7000 SH CALL DEFINED 05 7000 0 0 AT&T INC COM 00206R102 6742 200000 SH PUT DEFINED 02 200000 0 0 AT&T INC COM 00206R102 310 9200 SH PUT DEFINED 05 9200 0 0 ATHERSYS INC COM 04744L106 69 65000 SH DEFINED 02 65000 0 0 ATLAS ENERGY LP COM UNITS LP 04930A104 2584 74400 SH CALL DEFINED 05 74400 0 0 AURICO GOLD INC COM 05155C105 1564 191220 SH DEFINED 02 191220 0 0 AUTODESK INC COM 052769106 240 6800 SH PUT DEFINED 05 6800 0 0 AVIS BUDGET GROUP COM 053774105 793 40000 SH CALL DEFINED 05 40000 0 0 BAKER HUGHES INC COM 057224107 221 5400 SH CALL DEFINED 05 5400 0 0 BALL CORP COM 058498106 1539 34400 SH CALL DEFINED 05 34400 0 0 BANK OF AMERICA CORPORATION COM 060505104 116 10000 SH DEFINED 02 10000 0 0 BANK OF AMERICA CORPORATION COM 060505104 17 1500 SH DEFINED 05 1500 0 0 BANK OF AMERICA CORPORATION COM 060505104 80 7000 SH CALL DEFINED 05 7000 0 0 BANK OF AMERICA CORPORATION COM 060505104 83 7200 SH PUT DEFINED 05 7200 0 0 BARCLAYS BK PLC IPATH DYNM VIX 06741L609 360 7829 SH DEFINED 03 7829 0 0 BARCLAYS BK PLC IPATH S&P MT ETN 06740C519 245 8772 SH DEFINED 03 8772 0 0 BARCLAYS BK PLC IPATH S&P500 VIX 06740C188 0 1 SH DEFINED 03 1 0 0 BARRICK GOLD CORP COM 067901108 753 21502 SH DEFINED 05 21502 0 0 BARRICK GOLD CORP COM 067901108 8280 236500 SH CALL DEFINED 02 236500 0 0 BARRICK GOLD CORP COM 067901108 556 15800 SH CALL DEFINED 05 15800 0 0 BARRICK GOLD CORP COM 067901108 1099 31300 SH PUT DEFINED 05 31300 0 0 BAXTER INTL INC COM 071813109 427 6400 SH PUT DEFINED 05 6400 0 0 BAXTER INTL INC COM 071813109 154 2300 SH CALL DEFINED 05 2300 0 0 BAXTER INTL INC COM 071813109 240 3606 SH DEFINED 05 3606 0 0 BEST BUY INC COM 086516101 826 69700 SH CALL DEFINED 02 69700 0 0 BEST BUY INC COM 086516101 2543 214600 SH CALL DEFINED 05 214600 0 0 BEST BUY INC COM 086516101 231 19600 SH PUT DEFINED 05 19600 0 0 BEST BUY INC COM 086516101 76 6370 SH DEFINED 05 6370 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 497 10100 SH CALL DEFINED 05 10100 0 0 BP PLC SPONSORED ADR 055622104 326 7800 SH CALL DEFINED 05 7800 0 0 BP PLC SPONSORED ADR 055622104 1027 24600 SH PUT DEFINED 05 24600 0 0 BP PLC SPONSORED ADR 055622104 1153 27700 SH DEFINED 05 27700 0 0 BP PRUDHOE BAY RTY TR UNIT BEN INT 055630107 206 3000 SH DEFINED 02 3000 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 414 12698 SH DEFINED 05 12698 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 71 2200 SH CALL DEFINED 05 2200 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 672 20600 SH PUT DEFINED 05 20600 0 0 BROADCOM CORP CL A 111320107 398 12000 SH PUT DEFINED 05 12000 0 0 BROADCOM CORP CL A 111320107 4 108 SH DEFINED 05 108 0 0 BROADCOM CORP CL A 111320107 937 28200 SH CALL DEFINED 05 28200 0 0 BUCKEYE PARTNERS L P UNIT LTD PARTN 118230101 397 8750 SH DEFINED 02 8750 0 0 CAPITAL ONE FINL CORP COM 14040H105 293 5050 SH DEFINED 02 5050 0 0 CATERPILLAR INC DEL COM 149123101 486 5400 SH CALL DEFINED 05 5400 0 0 CATERPILLAR INC DEL COM 149123101 736 8200 SH PUT DEFINED 05 8200 0 0 CEMEX SAB DE CV SPON ADR NEW 151290889 142 14400 SH CALL DEFINED 05 14400 0 0 CENTRAL FD CDA LTD CL A 153501101 946 45000 SH DEFINED 02 45000 0 0 CHENIERE ENERGY PARTNERS LP COM UNIT 16411Q101 813 38220 SH DEFINED 02 38220 0 0 CHESAPEAKE ENERGY CORP COM 165167107 446 26823 SH DEFINED 05 26823 0 0 CHESAPEAKE ENERGY CORP COM 165167107 120 7100 SH CALL DEFINED 05 7100 0 0 CHESAPEAKE ENERGY CORP COM 165167107 439 26300 SH PUT DEFINED 05 26300 0 0 CHEVRON CORP NEW COM 166764100 628 5800 SH CALL DEFINED 05 5800 0 0 CHEVRON CORP NEW COM 166764100 1016 9400 SH PUT DEFINED 05 9400 0 0 CISCO SYS INC COM 17275R102 3016 153500 SH PUT DEFINED 05 153500 0 0 CISCO SYS INC COM 17275R102 2981 151725 SH DEFINED 05 151725 0 0 CISCO SYS INC COM 17275R102 113 5700 SH CALL DEFINED 05 5700 0 0 CITIGROUP INC COM NEW 172967424 1166 29400 SH PUT DEFINED 05 29400 0 0 CITIGROUP INC COM NEW 172967424 600 15100 SH CALL DEFINED 05 15100 0 0 CITIGROUP INC COM NEW 172967424 475 12000 SH DEFINED 05 12000 0 0 CITRIX SYS INC COM 177376100 318 4839 SH DEFINED 05 4839 0 0 CLEARWIRE CORP NEW CL A 18538Q105 462 160000 SH DEFINED 02 160000 0 0 CLEARWIRE CORP NEW CL A 18538Q105 22 7500 SH DEFINED 05 7500 0 0 CLEARWIRE CORP NEW CL A 18538Q105 1516 524500 SH CALL DEFINED 02 524500 0 0 CLEARWIRE CORP NEW CL A 18538Q105 2457 850000 SH CALL DEFINED 05 850000 0 0 COCA COLA CO COM 191216100 324 8900 SH CALL DEFINED 05 8900 0 0 COCA COLA CO COM 191216100 473 13000 SH PUT DEFINED 05 13000 0 0 COINSTAR INC COM 19259P300 10083 193869 SH DEFINED 02 193869 0 0 COINSTAR INC COM 19259P300 9752 187500 SH PUT DEFINED 02 187500 0 0 CORRECTIONS CORP AMER NEW COM NEW 22025Y407 7974 224823 SH DEFINED 02 224823 0 0 COSTCO WHSL CORP NEW COM 22160K105 217 2200 SH CALL DEFINED 05 2200 0 0 COVENTRY HEALTH CARE INC COM 222862104 560 12482 SH DEFINED 05 12482 0 0 COVENTRY HEALTH CARE INC COM 222862104 13068 291494 SH DEFINED 02 291494 0 0 COVIDIEN PLC SHS G2554F113 992 17178 SH DEFINED 05 17178 0 0 COWEN GROUP INC NEW CL A 223622101 3500 1428620 SH DEFINED 02 1428620 0 0 CREDIT SUISSE NASSAU BRH ETN IDX-LKD 20 22542D845 380 19320 SH DEFINED 03 19320 0 0 CREXUS INVT CORP COM 226553105 3157 257706 SH DEFINED 02 257706 0 0 CREXUS INVT CORP COM 226553105 1264 103200 SH PUT DEFINED 02 103200 0 0 CROWN HOLDINGS INC COM 228368106 2359 64100 SH CALL DEFINED 05 64100 0 0 CVS CAREMARK CORPORATION COM 126650100 242 5000 SH DEFINED 05 5000 0 0 CVS CAREMARK CORPORATION COM 126650100 369 7600 SH CALL DEFINED 05 7600 0 0 CVS CAREMARK CORPORATION COM 126650100 1262 26100 SH PUT DEFINED 05 26100 0 0 CYMER INC COM 232572107 3204 35430 SH DEFINED 02 35430 0 0 CYMER INC COM 232572107 362 4000 SH DEFINED 05 4000 0 0 CYTOKINETICS INC COM 23282W100 103 155800 SH DEFINED 02 155800 0 0 D R HORTON INC COM 23331A109 228 11500 SH PUT DEFINED 05 11500 0 0 DEAN FOODS CO NEW COM 242370104 1692 102462 SH DEFINED 02 102462 0 0 DEERE & CO COM 244199105 208 2400 SH CALL DEFINED 05 2400 0 0 DEERE & CO COM 244199105 484 5600 SH PUT DEFINED 05 5600 0 0 DELCATH SYS INC COM 24661P104 25 20600 SH DEFINED 02 20600 0 0 DEUTSCHE BANK AG NAMEN AKT D18190898 279 6300 SH CALL DEFINED 05 6300 0 0 DISNEY WALT CO COM DISNEY 254687106 2144 43062 SH DEFINED 02 43062 0 0 DISNEY WALT CO COM DISNEY 254687106 2490 50000 SH CALL DEFINED 02 50000 0 0 DISNEY WALT CO COM DISNEY 254687106 831 16700 SH CALL DEFINED 05 16700 0 0 DISNEY WALT CO COM DISNEY 254687106 2490 50000 SH PUT DEFINED 02 50000 0 0 DISNEY WALT CO COM DISNEY 254687106 240 4800 SH PUT DEFINED 05 4800 0 0 DOLE FOOD CO INC NEW COM 256603101 781 68071 SH DEFINED 02 68071 0 0 DOW CHEM CO COM 260543103 501 15500 SH CALL DEFINED 05 15500 0 0 DRESSER-RAND GROUP INC COM 261608103 1718 30600 SH CALL DEFINED 05 30600 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 148 3300 SH DEFINED 05 3300 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 807 18000 SH CALL DEFINED 05 18000 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 187 4200 SH PUT DEFINED 05 4200 0 0 E M C CORP MASS COM 268648102 440 17400 SH CALL DEFINED 05 17400 0 0 EASTMAN CHEM CO COM 277432100 1817 26700 SH CALL DEFINED 05 26700 0 0 EBAY INC COM 278642103 630 12400 SH CALL DEFINED 05 12400 0 0 EBAY INC COM 278642103 351 6900 SH PUT DEFINED 05 6900 0 0 ENDO HEALTH SOLUTIONS INC COM 29264F205 774 29500 SH DEFINED 05 29500 0 0 ENDO HEALTH SOLUTIONS INC COM 29264F205 918 35000 SH PUT DEFINED 05 35000 0 0 ENERGY TRANSFER EQUITY L P COM UT LTD PTN 29273V100 819 18000 SH DEFINED 02 18000 0 0 ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 1691 52573 SH DEFINED 02 52573 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 1421 28375 SH DEFINED 02 28375 0 0 EPOCH HOLDING CORP COM 29428R103 4777 171228 SH DEFINED 02 171228 0 0 EXELIXIS INC COM 30161Q104 91 20000 SH DEFINED 02 20000 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 16 300 SH DEFINED 05 300 0 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 2257 41800 SH CALL DEFINED 05 41800 0 0 EXXON MOBIL CORP COM 30231G102 2708 31300 SH PUT DEFINED 05 31300 0 0 EXXON MOBIL CORP COM 30231G102 300 3471 SH DEFINED 02 3471 0 0 EXXON MOBIL CORP COM 30231G102 470 5425 SH DEFINED 05 5425 0 0 EXXON MOBIL CORP COM 30231G102 2840 32800 SH CALL DEFINED 05 32800 0 0 F M C CORP COM NEW 302491303 7742 132300 SH CALL DEFINED 05 132300 0 0 FACEBOOK INC CL A 30303M102 386 14400 SH CALL DEFINED 05 14400 0 0 FACEBOOK INC CL A 30303M102 578 21700 SH PUT DEFINED 05 21700 0 0 FACEBOOK INC CL A 30303M102 583 21900 SH DEFINED 05 21900 0 0 FEDEX CORP COM 31428X106 220 2400 SH CALL DEFINED 05 2400 0 0 FEDEX CORP COM 31428X106 275 3000 SH PUT DEFINED 05 3000 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 133 10300 SH CALL DEFINED 05 10300 0 0 FRANCO NEVADA CORP COM 351858105 8433 147500 SH CALL DEFINED 02 147500 0 0 FRANCO NEVADA CORP COM 351858105 8433 147500 SH PUT DEFINED 02 147500 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 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DEFINED 05 291 0 0 HOME DEPOT INC COM 437076102 12543 202800 SH CALL DEFINED 02 202800 0 0 HOME DEPOT INC COM 437076102 891 14400 SH CALL DEFINED 05 14400 0 0 HOME DEPOT INC COM 437076102 1368 22100 SH PUT DEFINED 05 22100 0 0 HORIZON PHARMA INC COM 44047T109 500 214606 SH DEFINED 02 214606 0 0 HORSEHEAD HLDG CORP COM 440694305 2138 209406 SH DEFINED 02 209406 0 0 HOUSTON AMERN ENERGY CORP COM 44183U100 8 38000 SH DEFINED 02 38000 0 0 HUDSON CITY BANCORP COM 443683107 426 52352 SH DEFINED 05 52352 0 0 IMMUNOGEN INC COM 45253H101 255 20000 SH DEFINED 02 20000 0 0 INERGY L P UNIT LTD PTNR 456615103 468 25750 SH DEFINED 02 25750 0 0 INTEL CORP COM 458140100 49 2399 SH DEFINED 05 2399 0 0 INTEL CORP COM 458140100 12 600 SH CALL DEFINED 05 600 0 0 INTEL CORP COM 458140100 2693 130600 SH PUT DEFINED 05 130600 0 0 INTERMEC INC COM 458786100 2121 215114 SH DEFINED 02 215114 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 136 708 SH DEFINED 05 708 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 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CORP COM 580135101 57 649 SH DEFINED 05 649 0 0 MCDONALDS CORP COM 580135101 1129 12800 SH CALL DEFINED 05 12800 0 0 MCDONALDS CORP COM 580135101 529 6000 SH PUT DEFINED 05 6000 0 0 MCMORAN EXPLORATION CO COM 582411104 1124 70000 SH DEFINED 02 70000 0 0 MCMORAN EXPLORATION CO COM 582411104 229 14300 SH PUT DEFINED 05 14300 0 0 MEDTRONIC INC COM 585055106 295 7200 SH CALL DEFINED 05 7200 0 0 MERCK & CO INC NEW COM 58933Y105 360 8800 SH PUT DEFINED 05 8800 0 0 MERCK & CO INC NEW COM 58933Y105 2047 50000 SH PUT DEFINED 02 50000 0 0 MERCK & CO INC NEW COM 58933Y105 131 3200 SH CALL DEFINED 05 3200 0 0 MERCK & CO INC NEW COM 58933Y105 2845 69500 SH CALL DEFINED 02 69500 0 0 MERCK & CO INC NEW COM 58933Y105 1892 46225 SH DEFINED 02 46225 0 0 MERCK & CO INC NEW COM 58933Y105 172 4200 SH DEFINED 05 4200 0 0 MERGE HEALTHCARE INC COM 589499102 137 55463 SH DEFINED 02 55463 0 0 METLIFE INC COM 59156R108 345 10475 SH DEFINED 05 10475 0 0 METLIFE INC COM 59156R108 266 8100 SH PUT DEFINED 05 8100 0 0 METLIFE INC COM 59156R108 33 1000 SH CALL DEFINED 05 1000 0 0 METROPCS COMMUNICATIONS INC COM 591708102 50 5000 SH DEFINED 05 5000 0 0 METROPCS COMMUNICATIONS INC COM 591708102 6639 667900 SH CALL DEFINED 05 667900 0 0 MGM RESORTS INTERNATIONAL COM 552953101 163 14100 SH CALL DEFINED 05 14100 0 0 MICROSOFT CORP COM 594918104 185 6900 SH PUT DEFINED 05 6900 0 0 MICROSOFT CORP COM 594918104 249 9300 SH DEFINED 05 9300 0 0 MICROSOFT CORP COM 594918104 131 4900 SH CALL DEFINED 05 4900 0 0 MONSANTO CO NEW COM 61166W101 57 600 SH PUT DEFINED 05 600 0 0 MONSANTO CO NEW COM 61166W101 331 3500 SH DEFINED 05 3500 0 0 MONSANTO CO NEW COM 61166W101 190 2000 SH CALL DEFINED 05 2000 0 0 MORGAN STANLEY COM NEW 617446448 11 600 SH DEFINED 05 600 0 0 MORGAN STANLEY COM NEW 617446448 606 31700 SH CALL DEFINED 05 31700 0 0 MORGAN STANLEY COM NEW 617446448 234 12200 SH PUT DEFINED 05 12200 0 0 MOSAIC CO NEW COM 61945C103 521 9200 SH PUT DEFINED 05 9200 0 0 MOSAIC CO NEW COM 61945C103 374 6600 SH CALL DEFINED 05 6600 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 278 5000 SH PUT DEFINED 05 5000 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 178 3200 SH DEFINED 05 3200 0 0 MYLAN INC COM 628530107 412 15000 SH DEFINED 05 15000 0 0 MYLAN INC COM 628530107 1922 70000 SH PUT DEFINED 05 70000 0 0 NETAPP INC COM 64110D104 207 6200 SH CALL DEFINED 05 6200 0 0 NETAPP INC COM 64110D104 302 9000 SH PUT DEFINED 05 9000 0 0 NEWMONT MINING CORP COM 651639106 227 4900 SH CALL DEFINED 05 4900 0 0 NEWMONT MINING CORP COM 651639106 456 9800 SH PUT DEFINED 05 9800 0 0 NEWMONT MINING CORP COM 651639106 303 6530 SH DEFINED 05 6530 0 0 NEXEN INC COM 65334H102 269 10000 SH DEFINED 05 10000 0 0 NEXEN INC COM 65334H102 943 35000 SH CALL DEFINED 05 35000 0 0 NEXEN INC COM 65334H102 6156 228500 SH PUT DEFINED 02 228500 0 0 NEXEN INC COM 65334H102 442 16400 SH PUT DEFINED 05 16400 0 0 NEXEN INC COM 65334H102 9455 350978 SH DEFINED 02 350978 0 0 NORTHWEST PIPE CO COM 667746101 733 30701 SH DEFINED 02 30701 0 0 NVIDIA CORP COM 67066G104 140 11500 SH PUT DEFINED 05 11500 0 0 NVIDIA CORP COM 67066G104 83 6900 SH CALL DEFINED 05 6900 0 0 NVIDIA CORP COM 67066G104 18 1500 SH DEFINED 05 1500 0 0 NYSE EURONEXT COM 629491101 997 31600 SH DEFINED 02 31600 0 0 NYSE EURONEXT COM 629491101 158 5000 SH DEFINED 05 5000 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 324 4200 SH CALL DEFINED 05 4200 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 353 4600 SH PUT DEFINED 05 4600 0 0 ONEOK PARTNERS LP UNIT LTD PARTN 68268N103 379 7015 SH DEFINED 02 7015 0 0 ORACLE CORP COM 68389X105 206 6200 SH CALL DEFINED 05 6200 0 0 PACKAGING CORP AMER COM 695156109 2732 71000 SH CALL DEFINED 05 71000 0 0 PANASONIC CORP ADR 69832A205 186 30700 SH CALL DEFINED 05 30700 0 0 PARKER HANNIFIN CORP COM 701094104 255 3000 SH CALL DEFINED 05 3000 0 0 PEABODY ENERGY CORP COM 704549104 211 7900 SH CALL DEFINED 05 7900 0 0 PEABODY ENERGY CORP COM 704549104 242 9100 SH PUT DEFINED 05 9100 0 0 PEPSICO INC COM 713448108 485 7100 SH CALL DEFINED 05 7100 0 0 PEPSICO INC COM 713448108 384 5600 SH PUT DEFINED 05 5600 0 0 PEPSICO INC COM 713448108 383 5600 SH DEFINED 05 5600 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 14 704 SH DEFINED 05 704 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 2336 120000 SH CALL DEFINED 02 120000 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 430 22100 SH CALL DEFINED 05 22100 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 3018 155000 SH PUT DEFINED 02 155000 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 38 2000 SH PUT DEFINED 05 2000 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 2090 107320 SH DEFINED 02 107320 0 0 PHILIP MORRIS INTL INC COM 718172109 86 1028 SH DEFINED 05 1028 0 0 PHILIP MORRIS INTL INC COM 718172109 6022 72000 SH CALL DEFINED 02 72000 0 0 PHILIP MORRIS INTL INC COM 718172109 435 5200 SH CALL DEFINED 05 5200 0 0 PHILIP MORRIS INTL INC COM 718172109 652 7800 SH PUT DEFINED 05 7800 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 1112 24570 SH DEFINED 02 24570 0 0 PLAINS EXPL& PRODTN CO COM 726505100 2460 52400 SH CALL DEFINED 02 52400 0 0 PLAINS EXPL& PRODTN CO COM 726505100 1832 39024 SH DEFINED 02 39024 0 0 PLAINS EXPL& PRODTN CO COM 726505100 117 2500 SH DEFINED 05 2500 0 0 PNC FINL SVCS GROUP INC COM 693475105 262 4500 SH PUT DEFINED 05 4500 0 0 PNC FINL SVCS GROUP INC COM 693475105 140 2400 SH DEFINED 05 2400 0 0 POTASH CORP SASK INC COM 73755L107 301 7406 SH DEFINED 05 7406 0 0 POTASH CORP SASK INC COM 73755L107 45 1100 SH CALL DEFINED 05 1100 0 0 POTASH CORP SASK INC COM 73755L107 382 9400 SH PUT DEFINED 05 9400 0 0 PROCERA NETWORKS INC COM NEW 74269U203 186 10000 SH DEFINED 02 10000 0 0 PROCTER & GAMBLE CO COM 742718109 109 1600 SH DEFINED 05 1600 0 0 PROCTER & GAMBLE CO COM 742718109 218 3200 SH CALL DEFINED 05 3200 0 0 PROCTER & GAMBLE CO COM 742718109 516 7600 SH PUT DEFINED 05 7600 0 0 PROSHARES TR PSHS ULSHT SP500 74347B300 406 7500 SH DEFINED 02 7500 0 0 PSS WORLD MED INC COM 69366A100 9587 331962 SH DEFINED 02 331962 0 0 PSS WORLD MED INC COM 69366A100 1444 50000 SH CALL DEFINED 02 50000 0 0 PULTE GROUP INC COM 745867101 283 15600 SH CALL DEFINED 05 15600 0 0 PVH CORP COM 693656100 7582 68300 SH CALL DEFINED 05 68300 0 0 QUALCOMM INC COM 747525103 176 2839 SH DEFINED 05 2839 0 0 QUALCOMM INC COM 747525103 391 6300 SH PUT DEFINED 05 6300 0 0 QUALCOMM INC COM 747525103 1022 16500 SH CALL DEFINED 05 16500 0 0 QUANTUM FUEL SYS TECH WORLDW COM NEW 74765E208 94 138230 SH DEFINED 02 138230 0 0 QUESTCOR PHARMACEUTICALS INC COM 74835Y101 668 25000 SH CALL DEFINED 05 25000 0 0 RALCORP HLDGS INC NEW COM 751028101 13143 146601 SH DEFINED 02 146601 0 0 RALCORP HLDGS INC NEW COM 751028101 143 1590 SH DEFINED 05 1590 0 0 RED HAT INC COM 756577102 80 1500 SH CALL DEFINED 05 1500 0 0 RED HAT INC COM 756577102 37 700 SH PUT DEFINED 05 700 0 0 RED HAT INC COM 756577102 212 4000 SH DEFINED 05 4000 0 0 REGIONS FINL CORP NEW COM 7591EP100 75 10500 SH CALL DEFINED 05 10500 0 0 REMARK MEDIA INC COM 75954W107 269 154559 SH DEFINED 02 154559 0 0 RESEARCH IN MOTION LTD COM 760975102 45 3800 SH PUT DEFINED 05 3800 0 0 RESEARCH IN MOTION LTD COM 760975102 153 12898 SH DEFINED 02 12898 0 0 RESEARCH IN MOTION LTD COM 760975102 96 8100 SH DEFINED 05 8100 0 0 RESEARCH IN MOTION LTD COM 760975102 359 30300 SH CALL DEFINED 05 30300 0 0 RIVERBED TECHNOLOGY INC COM 768573107 1775 90000 SH PUT DEFINED 05 90000 0 0 RIVERBED TECHNOLOGY INC COM 768573107 39 2000 SH CALL DEFINED 05 2000 0 0 RIVERBED TECHNOLOGY INC COM 768573107 1460 74000 SH DEFINED 05 74000 0 0 RLJ ENTMT INC COM 74965F104 68 13503 SH DEFINED 02 13503 0 0 ROBBINS & MYERS INC COM 770196103 2378 40000 SH DEFINED 02 40000 0 0 ROBBINS & MYERS INC COM 770196103 119 2000 SH DEFINED 05 2000 0 0 ROCKWOOD HLDGS INC COM 774415103 1251 25300 SH CALL DEFINED 05 25300 0 0 SANCHEZ ENERGY CORP COM 79970Y105 14837 824260 SH DEFINED 01 824260 0 0 SANCHEZ ENERGY CORP COM 79970Y105 3247 180388 SH DEFINED 02 180388 0 0 SANDISK CORP COM 80004C101 484 11100 SH CALL DEFINED 05 11100 0 0 SANDISK CORP COM 80004C101 357 8200 SH PUT DEFINED 05 8200 0 0 SANDRIDGE ENERGY INC COM 80007P307 146 23000 SH CALL DEFINED 02 23000 0 0 SANDRIDGE ENERGY INC COM 80007P307 1211 190635 SH DEFINED 02 190635 0 0 SAUER-DANFOSS INC COM 804137107 817 15300 SH DEFINED 02 15300 0 0 SCHLUMBERGER LTD COM 806857108 347 5000 SH PUT DEFINED 05 5000 0 0 SCHLUMBERGER LTD COM 806857108 42 600 SH DEFINED 05 600 0 0 SCHLUMBERGER LTD COM 806857108 742 10700 SH CALL DEFINED 05 10700 0 0 SCHWAB CHARLES CORP NEW COM 808513105 34 2400 SH PUT DEFINED 05 2400 0 0 SCHWAB CHARLES CORP NEW COM 808513105 41 2900 SH CALL DEFINED 05 2900 0 0 SCHWAB CHARLES CORP NEW COM 808513105 144 10000 SH DEFINED 02 10000 0 0 SCHWAB CHARLES CORP NEW COM 808513105 7 500 SH DEFINED 05 500 0 0 SCIENTIFIC GAMES CORP CL A 80874P109 2573 296828 SH DEFINED 02 296828 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 313 10300 SH CALL DEFINED 05 10300 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 434 14300 SH PUT DEFINED 05 14300 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 316 6668 SH PUT DEFINED 03 6668 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1812 47800 SH DEFINED 05 47800 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 6562 187900 SH PUT DEFINED 02 187900 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 2992 85667 SH DEFINED 02 85667 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 8353 239200 SH CALL DEFINED 02 239200 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 162 5624 SH CALL DEFINED 03 5624 0 0 SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 4322 149800 SH PUT DEFINED 05 149800 0 0 SHAW GROUP INC COM 820280105 382 8200 SH PUT DEFINED 05 8200 0 0 SHAW GROUP INC COM 820280105 117 2500 SH CALL DEFINED 05 2500 0 0 SHAW GROUP INC COM 820280105 937 20112 SH DEFINED 05 20112 0 0 SHAW GROUP INC COM 820280105 4586 98400 SH DEFINED 02 98400 0 0 SHIRE PLC SPONSORED ADR 82481R106 5161 56000 SH CALL DEFINED 05 56000 0 0 SIGA TECHNOLOGIES INC COM 826917106 1811 691112 SH DEFINED 02 691112 0 0 SILICON GRAPHICS INTL CORP COM 82706L108 51 5000 SH DEFINED 05 5000 0 0 SILICON GRAPHICS INTL CORP COM 82706L108 602 58800 SH PUT DEFINED 05 58800 0 0 SILVER WHEATON CORP COM 828336107 396 11000 SH CALL DEFINED 05 11000 0 0 SIRIUS XM RADIO INC COM 82967N108 289 100000 SH DEFINED 02 100000 0 0 SMITH & WESSON HLDG CORP COM 831756101 100 11800 SH PUT DEFINED 05 11800 0 0 SOLARWINDS INC COM 83416B109 1049 20000 SH PUT DEFINED 05 20000 0 0 SOUTHERN CO COM 842587107 278 6500 SH CALL DEFINED 05 6500 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 841 5190 SH DEFINED 02 5190 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 121 850 SH DEFINED 05 850 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 28339 199000 SH CALL DEFINED 02 199000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 313 2201 SH DEFINED 02 2201 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 24066 169000 SH PUT DEFINED 02 169000 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 49395 265980 SH DEFINED 03 265980 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 1657 40700 SH DEFINED 02 40700 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 39 718 SH DEFINED 05 718 0 0 SPRINT NEXTEL CORP COM SER 1 852061100 6006 1059235 SH DEFINED 02 1059235 0 0 SPRINT NEXTEL CORP COM SER 1 852061100 3629 640000 SH CALL DEFINED 02 640000 0 0 SPRINT NEXTEL CORP COM SER 1 852061100 7613 1342800 SH PUT DEFINED 02 1342800 0 0 SPROTT PHYSICAL GOLD TRUST UNIT 85207H104 426 30000 SH DEFINED 02 30000 0 0 STARBUCKS CORP COM 855244109 435 8100 SH CALL DEFINED 05 8100 0 0 STARBUCKS CORP COM 855244109 311 5800 SH PUT DEFINED 05 5800 0 0 STERLING BANCORP COM 859158107 375 41157 SH DEFINED 02 41157 0 0 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 258 6647 SH DEFINED 02 6647 0 0 SUNCOR ENERGY INC NEW COM 867224107 349 10600 SH CALL DEFINED 05 10600 0 0 SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 1803 36259 SH DEFINED 02 36259 0 0 SUNRISE SENIOR LIVING INC COM 86768K106 216 15000 SH DEFINED 05 15000 0 0 SUNRISE SENIOR LIVING INC COM 86768K106 4347 302300 SH CALL DEFINED 02 302300 0 0 SYMANTEC CORP COM 871503108 303 16100 SH CALL DEFINED 05 16100 0 0 SYNERGY PHARMACEUTICALS DEL *W EXP 12/06/201 871639118 308 128336 SH DEFINED 02 128336 0 0 TARGET CORP COM 87612E106 379 6400 SH PUT DEFINED 05 6400 0 0 TEAVANA HLDGS INC COM 87819P102 2093 135000 SH PUT DEFINED 02 135000 0 0 TELEPHONE & DATA SYS INC COM NEW 879433829 1616 72970 SH DEFINED 02 72970 0 0 THE ADT CORPORATION COM 00101J106 1348 29000 SH CALL DEFINED 05 29000 0 0 THRESHOLD PHARMACEUTICAL INC COM NEW 885807206 84 20000 SH DEFINED 02 20000 0 0 TOLL BROTHERS INC COM 889478103 3825 118300 SH CALL DEFINED 05 118300 0 0 UNITED PARCEL SERVICE INC CL B 911312106 804 10900 SH CALL DEFINED 05 10900 0 0 UNITED PARCEL SERVICE INC CL B 911312106 170 2300 SH PUT DEFINED 05 2300 0 0 UNITED STATES STL CORP NEW COM 912909108 696 29200 SH CALL DEFINED 05 29200 0 0 UNITED TECHNOLOGIES CORP COM 913017109 343 4200 SH CALL DEFINED 05 4200 0 0 UNITED TECHNOLOGIES CORP COM 913017109 377 4600 SH PUT DEFINED 05 4600 0 0 UNITEDHEALTH GROUP INC COM 91324P102 182 3348 SH DEFINED 05 3348 0 0 UNITEDHEALTH GROUP INC COM 91324P102 173 3200 SH PUT DEFINED 05 3200 0 0 UNITEDHEALTH GROUP INC COM 91324P102 434 8000 SH CALL DEFINED 05 8000 0 0 USA TECHNOLOGIES INC *W EXP 12/31/201 90328S195 258 306958 SH DEFINED 02 306958 0 0 VALE S A ADR 91912E105 389 18600 SH CALL DEFINED 05 18600 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 2857 47800 SH CALL DEFINED 05 47800 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 42750 960031 SH DEFINED 03 960031 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 5261 121600 SH CALL DEFINED 05 121600 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 1042 24100 SH PUT DEFINED 05 24100 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 62 1444 SH DEFINED 05 1444 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 193 4600 SH CALL DEFINED 05 4600 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 1781 42500 SH PUT DEFINED 05 42500 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 649 15500 SH DEFINED 05 15500 0 0 VIRNETX HLDG CORP COM 92823T108 3815 130296 SH DEFINED 02 130296 0 0 WALGREEN CO COM 931422109 621 16800 SH CALL DEFINED 05 16800 0 0 WAL-MART STORES INC COM 931142103 709 10390 SH DEFINED 02 10390 0 0 WAL-MART STORES INC COM 931142103 587 8600 SH PUT DEFINED 05 8600 0 0 WAL-MART STORES INC COM 931142103 450 6600 SH PUT DEFINED 02 6600 0 0 WAL-MART STORES INC COM 931142103 7 100 SH DEFINED 05 100 0 0 WAL-MART STORES INC COM 931142103 8700 127500 SH CALL DEFINED 02 127500 0 0 WAL-MART STORES INC COM 931142103 1420 20800 SH CALL DEFINED 05 20800 0 0 WALTER ENERGY INC COM 93317Q105 205 5700 SH DEFINED 05 5700 0 0 WALTER ENERGY INC COM 93317Q105 151 4200 SH CALL DEFINED 05 4200 0 0 WALTER ENERGY INC COM 93317Q105 140 3900 SH PUT DEFINED 05 3900 0 0 WALTER INVT MGMT CORP COM 93317W102 488 11335 SH DEFINED 02 11335 0 0 WARNACO GROUP INC COM NEW 934390402 1434 20036 SH DEFINED 05 20036 0 0 WEATHERFORD INTERNATIONAL LT REG SHS H27013103 122 11000 SH CALL DEFINED 05 11000 0 0 WELLPOINT INC COM 94973V107 237 3900 SH CALL DEFINED 05 3900 0 0 WELLPOINT INC COM 94973V107 279 4600 SH PUT DEFINED 05 4600 0 0 WELLS FARGO & CO NEW COM 949746101 645 18900 SH CALL DEFINED 05 18900 0 0 WELLS FARGO & CO NEW COM 949746101 245 7200 SH PUT DEFINED 05 7200 0 0 WHOLE FOODS MKT INC COM 966837106 205 2245 SH DEFINED 05 2245 0 0 WHOLE FOODS MKT INC COM 966837106 300 3300 SH PUT DEFINED 05 3300 0 0 WISDOMTREE TRUST DRYFS CURR ETF 97717W133 379 17974 SH PUT DEFINED 03 17974 0 0 WYNN RESORTS LTD COM 983134107 269 2400 SH CALL DEFINED 05 2400 0 0 XILINX INC COM 983919101 226 6300 SH PUT DEFINED 05 6300 0 0 YAHOO INC COM 984332106 1520 76379 SH DEFINED 02 76379 0 0 YAHOO INC COM 984332106 155 7800 SH DEFINED 05 7800 0 0 YAHOO INC COM 984332106 676 33900 SH CALL DEFINED 05 33900 0 0 YAMANA GOLD INC COM 98462Y100 275 16000 SH DEFINED 05 16000 0 0 YAMANA GOLD INC COM 98462Y100 84 4900 SH CALL DEFINED 05 4900 0 0 YAMANA GOLD INC COM 98462Y100 244 14200 SH PUT DEFINED 05 14200 0 0 YM BIOSCIENCES INC COM 984238105 216 75360 SH DEFINED 02 75360 0 0 YM BIOSCIENCES INC COM 984238105 14 5001 SH DEFINED 05 5001 0 0 YUM BRANDS INC COM 988498101 557 8400 SH PUT DEFINED 05 8400 0 0 YUM BRANDS INC COM 988498101 466 7015 SH DEFINED 05 7015 0 0 YUM BRANDS INC COM 988498101 27 400 SH CALL DEFINED 05 400 0 0