0001085146-11-001266.txt : 20111114 0001085146-11-001266.hdr.sgml : 20111111 20111114162952 ACCESSION NUMBER: 0001085146-11-001266 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 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 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14571 FILM NUMBER: 111203099 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 13F-HR 1 cowen3q2011.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: September 30, 2011 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 November 14, 2011 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: 304 Form 13F Information Table Value Total: $768,433 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ADVANCED ANALOGIC TECHNOLOGI COM 00752J108 420 96994 SH DEFINED 02 96994 0 0 ADVISORSHARES TR CAMBRIA GL TAC 00768Y800 223 9318 SH DEFINED 05 9318 0 0 AGL RES INC COM 001204106 3972 97499 SH DEFINED 02 97499 0 0 ALCOA INC COM 013817101 2660 278000 SH CALL DEFINED 02 278000 0 0 AMAZON COM INC COM 023135106 4 19 SH DEFINED 05 19 0 0 AMAZON COM INC COM 023135106 10076 46600 SH PUT DEFINED 02 46600 0 0 AMERON INTL INC COM 030710107 1426 16784 SH DEFINED 02 16784 0 0 AMERON INTL INC COM 030710107 1699 20000 SH CALL DEFINED 02 20000 0 0 AMGEN INC COM 031162100 7 122 SH DEFINED 05 122 0 0 AMGEN INC COM 031162100 835 15200 SH CALL DEFINED 05 15200 0 0 APAC CUSTOMER SERVICES INC COM 00185E106 3082 361793 SH DEFINED 02 361793 0 0 API TECHNOLOGIES CORP COM NEW 00187E203 99 25179 SH DEFINED 02 25179 0 0 ARIAD PHARMACEUTICALS INC COM 04033A100 1099 125000 SH DEFINED 02 125000 0 0 ATLAS ENERGY LP COM UNITS LP 04930A104 2024 109000 SH CALL DEFINED 05 109000 0 0 AUTOZONE INC COM 053332102 6073 19026 SH DEFINED 05 19026 0 0 AUTOZONE INC COM 053332102 5362 16800 SH PUT DEFINED 05 16800 0 0 AVANIR PHARMACEUTICALS INC CL A NEW 05348P401 53 18600 SH PUT DEFINED 05 18600 0 0 AVANIR PHARMACEUTICALS INC CL A NEW 05348P401 95 33059 SH DEFINED 05 33059 0 0 AVANIR PHARMACEUTICALS INC CL A NEW 05348P401 399 139900 SH CALL DEFINED 05 139900 0 0 BARCLAYS BK PLC IPATH S&P MT ETN 06740C519 2733 37330 SH DEFINED 03 37330 0 0 BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 534 10000 SH DEFINED 02 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05 1 0 0 SIGA TECHNOLOGIES INC COM 826917106 1058 323600 SH DEFINED 02 323600 0 0 SIGA TECHNOLOGIES INC COM 826917106 0 39 SH DEFINED 05 39 0 0 SIGA TECHNOLOGIES INC COM 826917106 262 80000 SH CALL DEFINED 02 80000 0 0 SILVER BULL RES INC COM 827458100 22 37263 SH DEFINED 02 37263 0 0 SMITHFIELD FOODS INC NOTE 4.000% 6/3 832248AR9 1108 1000000 PRN DEFINED 05 1000000 0 0 SOUTHERN UN CO NEW COM 844030106 406 10000 SH DEFINED 02 10000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 3741 23670 SH DEFINED 02 23670 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 3934 24892 SH DEFINED 05 24892 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 2782 17600 SH CALL DEFINED 05 17600 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 7903 50000 SH PUT DEFINED 05 50000 0 0 SPDR INDEX SHS FDS S&P BRIC 40ETF 78463X798 741 36300 SH DEFINED 05 36300 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 11587 102400 SH CALL DEFINED 02 102400 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 14711 130000 SH CALL DEFINED 05 130000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 2987 26400 SH DEFINED 05 26400 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 105799 935000 SH PUT DEFINED 02 935000 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 3654 25706 SH DEFINED 03 25706 0 0 SPDR SERIES TRUST BRCLYS CAP CONV 78464A359 3299 92595 SH DEFINED 03 92595 0 0 SPDR SERIES TRUST DJ REIT ETF 78464A607 480 8500 SH DEFINED 05 8500 0 0 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 133 10000 SH DEFINED 05 10000 0 0 STERLING BANCORP COM 859158107 299 41157 SH DEFINED 02 41157 0 0 SUBURBAN PROPANE PARTNERS L UNIT LTD PARTN 864482104 269 5800 SH DEFINED 02 5800 0 0 SUNOCO LOGISTICS PRTNRS L P COM UNITS 86764L108 841 9500 SH DEFINED 02 9500 0 0 T3 MOTION INC COM NEW 89853X306 211 215000 SH DEFINED 02 215000 0 0 TE CONNECTIVITY LTD REG SHS H84989104 577 20500 SH CALL DEFINED 05 20500 0 0 TEMPLE INLAND INC COM 879868107 1534 48909 SH DEFINED 02 48909 0 0 TEMPLE INLAND INC COM 879868107 8877 283000 SH CALL DEFINED 02 283000 0 0 THRESHOLD PHARMACEUTICAL INC COM NEW 885807206 247 175000 SH DEFINED 05 175000 0 0 TRANSATLANTIC HLDGS INC COM 893521104 349 7200 SH DEFINED 02 7200 0 0 TYCO INTERNATIONAL LTD SHS H89128104 1631 40000 SH CALL DEFINED 05 40000 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 4878 160000 SH PUT DEFINED 02 160000 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 412 11000 SH CALL DEFINED 05 11000 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 937 25000 SH PUT DEFINED 05 25000 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 525 14000 SH DEFINED 05 14000 0 0 USA TECHNOLOGIES INC *W EXP 12/31/201 90328S195 15 23200 SH DEFINED 02 23200 0 0 VALE S A ADR 91912E105 2067 90636 SH DEFINED 02 90636 0 0 VALE S A ADR 91912E105 2472 108400 SH PUT DEFINED 02 108400 0 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 1113 30000 SH CALL DEFINED 05 30000 0 0 VANGUARD INTL EQUITY INDEX F FTSE SMCAP ETF 922042718 329 4196 SH DEFINED 05 4196 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 2781 77608 SH DEFINED 02 77608 0 0 VANGUARD INTL EQUITY INDEX F MSCI EMR MKT ETF 922042858 13328 371805 SH DEFINED 03 371805 0 0 VARIAN SEMICONDUCTOR EQUIPMN COM 922207105 1 14 SH DEFINED 05 14 0 0 VARIAN SEMICONDUCTOR EQUIPMN COM 922207105 19385 317000 SH CALL DEFINED 02 317000 0 0 VARIAN SEMICONDUCTOR EQUIPMN COM 922207105 12206 199600 SH PUT DEFINED 02 199600 0 0 VARIAN SEMICONDUCTOR EQUIPMN COM 922207105 8521 139352 SH DEFINED 02 139352 0 0 VERISIGN INC COM 92343E102 1333 46600 SH CALL DEFINED 02 46600 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 333 7500 SH PUT DEFINED 05 7500 0 0 VERTEX PHARMACEUTICALS INC NOTE 3.350%10/0 92532FAN0 2340 2000000 PRN DEFINED 05 2000000 0 0 VIRNETX HLDG CORP COM 92823T108 153 10200 SH DEFINED 02 10200 0 0 VIRNETX HLDG CORP COM 92823T108 0 3 SH DEFINED 05 3 0 0 VIVUS INC COM 928551100 1 100 SH CALL DEFINED 05 100 0 0 VIVUS INC COM 928551100 264 32700 SH PUT DEFINED 05 32700 0 0 VIVUS INC COM 928551100 234 29010 SH DEFINED 05 29010 0 0 WAL MART STORES INC COM 931142103 22 409 SH DEFINED 05 409 0 0 WAL MART STORES INC COM 931142103 359 6925 SH DEFINED 02 6925 0 0 WALTER INVT MGMT CORP COM 93317W102 258 11258 SH DEFINED 02 11258 0 0 WEBMD HEALTH CORP COM 94770V102 2166 71850 SH DEFINED 02 71850 0 0 WEBMD HEALTH CORP COM 94770V102 603 20000 SH CALL DEFINED 02 20000 0 0 XILINX INC COM 983919101 206 7500 SH DEFINED 05 7500 0 0 YAHOO INC COM 984332106 586 44500 SH PUT DEFINED 02 44500 0 0 YAHOO INC COM 984332106 766 58135 SH DEFINED 02 58135 0 0 YAHOO INC COM 984332106 6585 500000 SH CALL DEFINED 02 500000 0 0