DOCSLIB.ORG

The Securities and Exchange Commission Has Not Necessarily Reviewed the Information in This Filing and Has Not Determined If It Is Accurate and Complete

Total Page：16

File Type：pdf, Size：1020Kb

Download full-text PDF Read full-text
The Securities and Exchange Commission Has Not Necessarily Reviewed the Information in This Filing and Has Not Determined If It Is Accurate and Complete The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. OMB APPROVAL 3235- UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB Number: Washington, D.C. 20549 0006 FORM 13F Oct 31, Expires: 2018 FORM 13F COVER PAGE Estimated average burden hours per 23.8 response: Report for the Calendar Year or Quarter Ended: 06-30-2014 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, 20TH FLOOR NEW YORK, NY 10022 Form 13F File 028-14571 Number: 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 08-11-2014 [Signature] [City, State] [Date] Report Type (Check only one.): X 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F Summary Page Report Summary: Number of Other Included Managers: 3 Form 13F Information Table Entry Total: 267 Form 13F Information Table Value Total: 890,682 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state “NONE” and omit the column headings and list entries.] Form 13F File No. Name Number 1 028-10674 RAMIUS ADVISORS LLC 2 028-14361 Ramius Alternative Solutions LLC 3 028-04125 COWEN & COMPANY, LLC The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. The reader should not assume that the information is accurate and complete. OMB APPROVAL 3235- UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB Number: Washington, D.C. 20549 0006 FORM 13F Oct 31, Expires: 2018 FORM 13F INFORMATION TABLE Estimated average burden hours per 23.8 response: COLUMN COLUMN COLUMN COLUMN 1 COLUMN 2 COLUMN 5 COLUMN 6 COLUMN 8 3 4 7 SHRS VALUE SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY OR TITLE OF PRN NAME OF ISSUER CUSIP (x$1000) PRN CALL DISCRETION MANAGER SOLE SHARED NONE CLASS AMT 22ND CENTY GROUP COM 90137F103 154 50,000 SH DFND 1 50,000 0 0 INC ABBVIE INC COM 00287Y109 5,080 90,000 SH Call DFND 1 90,000 0 0 ACACIA TCH ACACIA RESH CORP 003881307 313 17,660 SH DFND 1 17,660 0 0 COM ACI WORLDWIDE COM 004498101 3,982 71,320 SH DFND 2 71,320 0 0 INC ACUITY BRANDS COM 00508Y102 249 1,800 SH DFND 1 1,800 0 0 INC ADOBE SYS INC COM 00724F101 4,316 59,650 SH DFND 2 59,650 0 0 AIR LEASE CORP CL A 00912X302 249 6,450 SH DFND 1 6,450 0 0 AIR PRODS & COM 009158106 4,215 32,773 SH DFND 2 32,773 0 0 CHEMS INC AKAMAI COM 00971T101 4,346 71,179 SH DFND 2 71,179 0 0 TECHNOLOGIES INC ALKERMES PLC SHS G01767105 302 6,000 SH DFND 1 6,000 0 0 ALLERGAN INC COM 018490102 16,905 99,900 SH Put DFND 1 99,900 0 0 ALLIANT COM 018804104 3,442 25,703 SH DFND 1 25,703 0 0 TECHSYSTEMS INC ALLIANT COM 018804104 10,714 80,000 SH Call DFND 1 80,000 0 0 TECHSYSTEMS INC AMAZON COM INC COM 023135106 559 1,720 SH DFND 1 1,720 0 0 AMERICAN AIRLS COM 02376R102 215 5,000 SH Call DFND 3 5,000 0 0 GROUP INC AMERICAN COM 02916P103 857 12,650 SH DFND 1 12,650 0 0 RAILCAR INDS INC AMERICAN RLTY COM 02917T104 3,925 313,224 SH DFND 2 313,224 0 0 CAP PPTYS INC AMGEN INC COM 031162100 592 5,000 SH DFND 1 5,000 0 0 ANTARES PHARMA COM 036642106 40 15,000 SH DFND 1 15,000 0 0 INC APOLLO INVT CORP COM 03761U106 115 13,300 SH DFND 1 13,300 0 0 APPLE INC COM 037833100 2,220 23,887 SH DFND 1 23,887 0 0 APPLIED MATLS INC COM 038222105 4,511 200,000 SH Call DFND 1 200,000 0 0 ARROWHEAD RESH COM NEW 042797209 143 10,000 SH DFND 1 10,000 0 0 CORP ASPEN INSURANCE SHS G05384105 4,515 99,411 SH DFND 1 99,411 0 0 HOLDINGS LTD AT&T INC COM 00206R102 2,747 77,700 SH Put DFND 1 77,700 0 0 AT&T INC COM 00206R102 212 6,000 SH DFND 1 6,000 0 0 AT&T INC COM 00206R102 35 1,000 SH Call DFND 3 1,000 0 0 B/E AEROSPACE INC COM 073302101 10,045 108,603 SH DFND 1 108,603 0 0 B/E AEROSPACE INC COM 073302101 8,934 96,600 SH Call DFND 1 96,600 0 0 BABCOCK & COM 05615F102 3,865 119,055 SH DFND 2 119,055 0 0 WILCOX CO NEW BAKER HUGHES INC COM 057224107 4,145 55,679 SH DFND 2 55,679 0 0 BANCO SANTANDER ADS REP 1 05967A107 1,510 218,154 SH DFND 1 218,154 0 0 BRASIL S A UNIT BARNES & NOBLE COM 067774109 2,189 96,000 SH Call DFND 3 96,000 0 0 INC BIOGEN IDEC INC COM 09062X103 347 1,100 SH DFND 1 1,100 0 0 BLUEBIRD BIO INC COM 09609G100 3,564 92,408 SH DFND 1 92,408 0 0 BOARDWALK UT LTD 096627104 316 17,100 SH DFND 1 17,100 0 0 PIPELINE PARTNERS PARTNER BOB EVANS FARMS COM 096761101 2,294 45,828 SH DFND 1 45,828 0 0 INC BUCKEYE UNIT LTD 118230101 1,184 14,250 SH DFND 1 14,250 0 0 PARTNERS L P PARTN BURGER KING COM 121220107 4,157 152,718 SH DFND 2 152,718 0 0 WORLDWIDE INC CACI INTL INC CL A 127190304 3,805 54,198 SH DFND 2 54,198 0 0 CANADIAN PAC RY COM 13645T100 4,230 23,350 SH DFND 2 23,350 0 0 LTD CAPITAL ONE FINL COM 14040H105 413 5,000 SH DFND 1 5,000 0 0 CORP CATAMARAN CORP COM 148887102 2,473 56,000 SH Call DFND 3 56,000 0 0 CATAMARAN CORP COM 148887102 110 2,500 SH DFND 3 2,500 0 0 CBS OUTDOOR COM 14987J106 1,766 54,025 SH DFND 1 54,025 0 0 AMERS INC CEMPRA INC COM 15130J109 248 23,100 SH DFND 1 23,100 0 0 CHENIERE ENERGY COM NEW 16411R208 359 5,000 SH DFND 1 5,000 0 0 INC CHICOS FAS INC COM 168615102 1,870 110,274 SH DFND 1 110,274 0 0 CHIPMOS TECH SHS G2110R114 302 12,500 SH DFND 1 12,500 0 0 BERMUDA LTD CHIPMOS TECH SHS G2110R114 569 23,584 SH DFND 3 23,584 0 0 BERMUDA LTD CITRIX SYS INC COM 177376100 422 6,750 SH DFND 1 6,750 0 0 CIVEO CORP COM 178787107 1,858 74,243 SH DFND 2 74,243 0 0 CLECO CORP NEW COM 12561W105 651 11,042 SH DFND 1 11,042 0 0 COMCAST CORP CL A 20030N101 10,994 204,800 SH Call DFND 1 204,800 0 0 NEW COMMONWEALTH COM SH BEN 203233101 2,456 93,324 SH DFND 1 93,324 0 0 REIT INT COMMUNITY RIGHT HEALTH SYS INC 203668116 2 25,000 SH DFND 3 25,000 0 0 01/27/2016 NEW CONSTANT COM 210313102 417 13,000 SH DFND 1 13,000 0 0 CONTACT INC COVIDIEN PLC SHS G2554F113 19,674 218,160 SH DFND 1 218,160 0 0 COVIDIEN PLC SHS G2554F113 631 7,000 SH DFND 3 7,000 0 0 COWEN GROUP INC CL A 223622101 18,954 4,491,496 SH DFND 1 4,491,496 0 0 NEW CRESTWOOD UNIT LTD EQUITY PARTNERS 226344109 445 29,934 SH DFND 1 29,934 0 0 PARTNER LP CRESTWOOD UNIT LTD MIDSTREAM 226378107 863 39,124 SH DFND 1 39,124 0 0 PARTNER PARTNERS CROWN CASTLE COM 228227104 3,787 50,997 SH DFND 2 50,997 0 0 INTL CORP CTI BIOPHARMA COM 12648L106 57 20,200 SH DFND 1 20,200 0 0 CORP CUBIST PHARMACEUTICALS COM 229678107 567 8,125 SH DFND 1 8,125 0 0 INC DELCATH SYS INC COM NEW 24661P401 197 75,000 SH DFND 1 75,000 0 0 DIRECTV COM 25490A309 595 7,000 SH DFND 3 7,000 0 0 DIRECTV COM 25490A309 31,524 370,824 SH DFND 1 370,824 0 0 DISH NETWORK CL A 25470M109 6,742 103,600 SH Call DFND 1 103,600 0 0 CORP DOMINION RES INC COM 25746U109 536 7,500 SH DFND 1 7,500 0 0 VA NEW DYAX CORP COM 26746E103 144 15,000 SH DFND 1 15,000 0 0 DYNAVAX TECHNOLOGIES COM 268158102 32 20,000 SH DFND 1 20,000 0 0 CORP DYNAVAX TECHNOLOGIES COM 268158102 48 30,000 SH DFND 3 30,000 0 0 CORP EBAY INC COM 278642103 1,399 27,950 SH DFND 1 27,950 0 0 ENCANA CORP COM 292505104 1,079 45,500 SH DFND 3 45,500 0 0 ENCANA CORP COM 292505104 1,276 53,800 SH Call DFND 3 53,800 0 0 ENDURANCE INTL COM 29272B105 191 12,500 SH DFND 1 12,500 0 0 GROUP HLDGS I ENERGY TRANSFER COM UT LTD 29273V100 2,585 43,850 SH DFND 1 43,850 0 0 EQUITY L P PTN ENTERPRISE PRODS COM 293792107 1,673 21,375 SH DFND 1 21,375 0 0 PARTNERS L ENTRAVISION COMMUNICATIONS CL A 29382R107 67 10,800 SH DFND 1 10,800 0 0 C EOG RES INC COM 26875P101 263 2,250 SH DFND 1 2,250 0 0 EXXON MOBIL COM 30231G102 299 2,971 SH DFND 1 2,971 0 0 CORP FACEBOOK INC CL A 30303M102 787 11,700 SH DFND 1 11,700 0 0 FEDERAL SIGNAL COM 313855108 670 45,708 SH DFND 1 45,708 0 0 CORP FIFTH STREET COM 31678A103 110 11,200 SH DFND 1 11,200 0 0 FINANCE CORP FOREST LABS INC COM 345838106 70,016 707,232 SH DFND 1 707,232 0 0 FOREST LABS INC COM 345838106 2,762 27,898 SH DFND 3 27,898 0 0 COM PAR FOREST OIL CORP 346091705 2,856 1,252,200 SH Put DFND 1 1,252,200 0 0 $0.01 FOSTER WHEELER COM H27178104 56,337 1,653,570 SH DFND 1 1,653,570 0 0 AG FUSION-IO INC COM 36112J107 509 45,001 SH DFND 3 45,001 0 0 GENESIS ENERGY L UNIT LTD 371927104 504 9,000 SH DFND 1 9,000 0 0 P PARTN GENTIVA HEALTH COM 37247A102 870 57,800 SH Put DFND 1 57,800 0 0 SERVICES INC GILEAD SCIENCES COM 375558103 2,515 30,330 SH DFND 1 30,330 0 0 INC GLOBE SPECIALTY COM 37954N206 4,038 194,341 SH DFND 2 194,341 0 0 METALS INC GLU MOBILE INC COM
Load more

Recommended publications
  • U.S. Corporate Scores 2018
    01 DISCLOSURE INSIGHT ACTION U.S. CORPORATE SCORES 2018 02 CORPORATE DISCLOSURE TO INVESTORS IN NORTH AMERICA 124 9 28 510 63 192 CONTENTS 03 04 CDP scoring methodology 2018 06 The A-List: North America 08 Corporate scores 34 Appendix I: CDP Activity classification system (cdp-acs) 40 Appendix II: Investor Members and Signatories 46 Appendix III: CDP Supply Chain Members Important Notice The contents of this report may be used by anyone providing acknowledgment is given to CDP. This does not represent a license to repackage or resell any of the data reported to CDP or the contributing authors and presented in this report. If you intend to repackage or resell any of the contents of this report, you need to obtain express permission from CDP before doing so. CDP has prepared the data and analysis in this report based on responses to the CDP 2018 information request. No representation or warranty (express or implied) is given by CDP as to the accuracy or completeness of the information and opinions contained in this report. You should not act upon the information contained in this publication without obtaining specific professional advice. To the extent permitted by law, CDP does not accept or assume any liability, responsibility or duty of care for any consequences of you or anyone else acting, or refraining to act, in reliance on the information contained in this report or for any decision based on it. All information and views expressed herein by CDP are based on their judgment at the time of this report and are subject to change without notice due to economic, political, industry and firm-specific factors.
    [Show full text]
  • S P O T L I G H T Pa R T I C I Pa N
    SPOTLIGHT PARTICIPANTS 12 Copyright © 2019 Mercer (US) Inc. All rights reserved. ORGANIZATION LISTING 3M (Minnesota Mining & Manufacturing) Atlas Energy Group LLC City of Overland Park, KS Cleveland Indians Baseball Co. A&E Television Networks Auburn University City of Winston-Salem, NC CliftonLarsonAllen, LLP A.O. Smith Corporation Automatic Data Processing California Health Care Foundation CMA CGM (America) LLC American Automobile Association, Inc., The Automobile Club of Southern California Cabot Oil & Gas Corporation CNH Industrial America LLC Accenture LLP AXA XL Cactus Feeders, Inc. CNO Financial Group Accudyne Industries, LLC Badger Meter, Inc. Cadmus Holding Company CNOOC Petroleum U.S.A. Inc. Advance Auto Parts Baltimore Orioles California Endowment, The CNX Resources ADVICS North America, Inc. Bank of the Ozarks, Inc. California ISO Colorado Rockies Baseball Club AECOM Building & Construction Bank of New York Mellon California Wellness Foundation Cobb Electric Membership Corporation AECOM Enterprise Baptist Health - FL Cambia Health Solutions (Regence Group) Coca-Cola Company, Inc., The AECOM Management Services Crestline Hotels & Resorts, LLC Canadian Imperial Bank of Commerce COG Operating, LLC Aera Energy Services Company Barnes & Noble, Inc. Canadian National Cognizant Technology Solutions Corporation Affinity Federal Credit Union BASF Corporation Canadian Pacific Railway CohnReznick LLP AgReserves Inc. Basin Electric Power Co-op Canadian Solar, Inc. Colby College Agri Beef Company Bates College Capital Group Companies, Inc., The Colonial Group, Inc. American International Group, Inc. (AIG) Battelle Memorial Institute Capital One Financial Corporation Columbia Sportswear Company Aimbridge Hospitality Baylor College of Medicine CarMax Auto Superstores, Inc. Columbia University American Institutes for Research BB&T Corporation Carilion Clinic Columbus McKinnon Corporation Air Liquide USA Blue Cross Blue Shield of Kansas Carrix, Inc.
    [Show full text]
  • Pinnacle Foods Inc. 2016 Annual Report
    PINNACLE FOODS INC. FOODS PINNACLE 2016 ANNUAL REPORT ANNUAL 2016 399 Jefferson Road • Parsippany, NJ 07054 PINNACLE FOODS INC. 2016 ANNUAL REPORT pinnaclefoods.com 98199_Pinnacle_Cover.indd 1 4/5/17 3:36 PM 2016 HIGHLIGHTS CORPORATE & INVESTOR INFORMATION (in millions except per share) 2015 2016 Change Net Sales $2,656 $3,128 +17.8% Headquarters Dividends Pinnacle Foods Inc. Dividends are paid quarterly in January, Adjusted Gross Profit $750 $921 +22.8% 399 Jefferson Road April, July and October. % Net Sales 28.2% 29.4% +120 bps Parsippany, NJ 07054 (973) 541-8620 Adjusted EBIT $443 $539 +21.6% www.pinnaclefoods.com Independent Registered Public Accounting Firm % Net Sales 16.7% 17.2% +50 bps Deloitte & Touche LLP Adjusted Net Earnings $225 $254 +12.8% Stock Exchange Listing Parsippany, NJ New York Adjusted Diluted EPS $1.92 $2.15 +12.0% Ticker Symbol: PF Diluted Shares Outstanding 117.3 118.2 +0.8% Corporate News and Reports A wide range of information about the Free Cash Flow1 $265 $387 +$122 Investor Relations Company, including news releases, Maria Sceppaguercio financial reports, investor information, Senior Vice President, Investor Relations corporate governance and career email: [email protected] opportunities are available on our website: website: http://investors.pinnaclefoods.com www.pinnaclefoods.com 2016 was another good year (973) 434-2924 for Pinnacle, demonstrating the Printed materials such as the Annual Report enduring nature of our business on SEC Form 10-K and quarterly reports on model and value creation strategy. Virtual Annual Meeting of Stockholders SEC Form 10-Q may be requested via our The annual meeting of stockholders website or by calling (973) 434-2924.
    [Show full text]
  • Corporate Ghg Inventorying and Target Setting Self-Assessment: V1.0
    APPENDIX Corporate GHG Inventorying and Target Setting Self - Assessment : V1.0 Development and Methodology April 2020 APPENDIX: CORPORATE GHG INVENTORYING AND TARGET SETTING SELF-ASSESSMENT: V1.0 Purpose of this Self-Assessment and How it Can Lead to Action Companies are often in a stronger position to improve their greenhouse gas (GHG) management efforts once they understand their relative performance compared to their peers. In response to stakeholder interest, this self-assessment is designed to help companies estimate, at a high level, how their GHG inventorying and target-setting approaches compare to large peer companies representing different industry sectors. Once companies estimate how their key GHG measurement and target-setting efforts compare to their peers, they can evaluate, in greater detail, how other companies approach GHG inventorying and target setting. Helping companies locate their GHG management efforts within the broader market may spur competition, garner internal support for widening the scope of their GHG inventories or setting more aggressive GHG reduction targets, and prioritize resources to implement GHG reduction activities. • Entry-level: For companies beginning to address their GHG emissions, this resource aims to help them identify which inventorying and target-setting actions reflect common business practices today and provide them with a roadmap for developing their own inventories and setting targets. • Intermediate: For companies further along their sustainability journey, this self- assessment can validate more advanced inventorying and target-setting behaviors that position them to deepen GHG emission reductions. • Advanced: For leading companies, this resource can also validate their efforts and encourage them to explore implementing more cutting edge GHG management efforts, eventually pushing such innovations into the mainstream and sharing practices with others.
    [Show full text]
  • Annual Report Annual Report
    ANNUAL REPORT ANNUAL REPORT ANNUAL 9/17/20 6:24 PM Shareholder Information World Headquarters Campbell Soup Company NET 1 Campbell Place, Camden, NJ 08103-1799 SALES Chair’s(856) 342-4800 • Message (856) 342-3878 (Fax) Fiscal 2020 was a year unlike any other for Campbell Soup On behalf of Campbell’s Board, I would like to thank Company.Stock Exchange We delivered List extraordinary results amid the President and Chief Executive Officer Mark Clouse for his New York Stock Exchange T $8.69 challenges caused by the global COVID-19 pandemic. leadership in a time of crisis, and for the Campbell BILLION OnTransfer behalf Agent of andthe Registrarentire Board of Directors, I want Leadership Team’s agility and resourcefulness in toComputershar extend my gratitude for the enormous effort and simplifying the mission. The company’s performance this P.O. Box 505000 dedication demonstrated by all our employees, especially year represents a total team effort from all our employees Louisville, KY 40233-5000 the1-800-780-3203 front-line and supply chain teams who displayed an who worked tirelessly to provide our country with food unwavering commitment to the task at hand in an during a time of great need. I would also like to thank our NET SALES unprecedentedIndependent Accountants operating environment. The total shareholders for their continued support and belief in our PricewaterhouseCoopers LLP companyTwo Commer response to the pandemic only gives us more ability to return this iconic company to profitable, confidenceSuite 1700 in our current leadership and their teams’ sustainable growth. +7% ability2001 Marketto execute Str our focused strategic plan.
    [Show full text]
  • Richard A. Fenyes Partner
    Richard A. Fenyes Partner 425 Lexington Avenue New York, NY 10017 [email protected] Phone: +1-212-455-2812 Fax: +1-212-455-2502 Richard Fenyes is a Partner who has advised clients for more PRACTICE FOCUS than twenty years on equity and debt capital markets transactions as well as general corporate and securities law Capital Markets matters. He regularly advises the Firm’s clients, including Initial Public Offerings private equity sponsors such as KKR, Blackstone and Goldman High Yield Sachs Capital Partners, and their portfolio companies, in Debt connection with IPOs, acquisition financing, refinancings, debt Corporate Private Capital and Special Situations restructuring and other registered and private offerings of equity Environmental, Social and Governance and debt securities. (ESG) and Sustainability Richard’s representation of clients in equity offerings includes Leveraged Finance advising on the: Private Equity Lifecycle IPO of Bentley Systems, Inc. INDUSTRIES IPO of ZoomInfo Technologies Inc. Technology IPO of Shift4 Payments, Inc. Healthcare IPO and secondary offerings of Gardner Denver Holdings, FinTech Inc. IPO and secondary offerings of First Data Corporation IPO and secondary offerings of TransUnion IPO and secondary offerings of PRA Health Sciences, Inc. IPO and secondary offerings of Pinnacle Foods Inc. IPO of Graham Packaging Company, Inc. IPO of Education Management Corporation IPO and secondary offerings of Nalco Holding Company secondary offerings of common stock of Gartner, Inc. www.simpsonthacher.com 1 IPO of Pinnacle Airlines, Inc. IPO Peabody Energy Corporation Richard has represented issuers in high yield offerings and bridge financings in connection with acquisitions and refinancings, including many of the largest LBOs ever completed.
    [Show full text]
  • Upcoming Industry Events April 2016 Executive Edge & Monthly
    Consumer Goods & Services Edition “A” Player Human Capital LeaderShift Upcoming Industry Events April 2016 NACDS Annual Meeting The NACDS Annual Meeting unites industry leaders in a unique opportunity to forge strategies and relationships. This year’s event includes John Boehner, Tony Bennett, Jack Bailey, Richard Ashworth, and more. April 16-19, 2016 – The Breakers Palm Beach, FL LUXE PACK New York The only showcase in America dedicated to creative packaging welcomes its 14th edition! Discover a swirl of packaging innovation merging in unexpected ways to create the ultimate luxury experience. May 11-12, 2016 – Pier 92, New York To arrange a meeting with Joe Hunt at these events please contact Cyndi Johnson [email protected] Executive Edge & Monthly Mentor Articles Four Promises of Effective LeaderShift Everyone expects great things from leaders—probably more than is humanly possible. But leaders need only to deliver on four interdependent promises to drive business results. Failure to follow through on any one of these promises however, will likely lead to disappointing outcomes. What are these four promises? Learn more >>> Improve Your Thinking Skills Are you using your brain to its optimum capacity? What thinking skills should you develop? A recent article in the Harvard Business Review proclaims successful organizations of the future will place a premium on our thinking skills. Understanding your own preferred thinking style and those of your co- workers helps teams collaborate more effectively. Learn more >>> People on the Move _______________________________________ _______________________________________ Revlon named Fabian Garcia President & Marc Dolce has officially joined Adidas as Vice CEO. Fabian has previously served with Colgate- President and Creative Director.
    [Show full text]
  • M&A and Contested Solicitation Assignments
    M&A and Contested Solicitation Assignments © 2016 D.F. King & Co., Inc. | Confidential – Not For Distribution Mergers • Team, Inc. / Furmanite Corporation • Kinder Morgan, Inc. / El Paso Pipeline Partners, L.P. • Marriott International, Inc. / Starwood Hotels & Resorts Worldwide, Inc. • Medtronic, Inc. / Covidien plc • Canadian Pacific Railway Ltd. / Norfolk Southern Corporation • Orbital Sciences Corporation / Alliant Techsystems Inc. • KeyCorp / First Niagara Financial Group • Mallinckrodt plc / Questcor Pharmaceuticals, Inc. • New York Community Bancorp, Inc. / Astoria Financial Corporation • Signet Jewelers Limited / Zale Corporation • Vistana Signature Experiences Inc. / Starwood Hotels / Interval Leisure Group • UnitedHealth Group Inc. / Catamaran Corp. • Targa Resources Corp. / Targa Resources Partners LP • Comcast Corporation / Time Warner Cable • Lam Research Corporation / KLA-Tencor Corporation • Center Bancorp, Inc. / ConnectOne Bancorp, Inc. • Duke Energy Corporation / Piedmont Natural Gas Co. Inc. • Suntory Holdings Limited / Beam Inc. • Silver Lake and Thomas Bravo / SolarWinds, Inc. • XPO Logistics, Inc. / Pacer International, Inc. • Teva Pharmaceutical Industries Ltd. / Mylan N.V. • Sycamore Partners / The Jones Group, Inc. • QLT Inc. / InSite Vision Inc. • Fortis, Inc. / UNS Energy Corporation • Catterton / Steiner Leisure Limited • American Realty Capital Properties / UNS Energy Corporation • CVS Health Corporation / Omnicare, Inc. • R. R. Donnelley & Sons Company / Consolidated Graphics, Inc. • Ascena Retail Group, Inc.
    [Show full text]
  • Food and Beverage
    FOOD AND BEVERAGE INDUSTRY UPDATE │ FEBRUARY 2017 www.harriswilliams.de Harris Williams & Co. Ltd is a private limited company authorised and regulated by the Financial Conduct Authority, incorporated under English law with its registered office at 5th Floor, 6 St. Andrew Street, London EC4A 3AE, UK, registered with the Registrar of Companies for England and Wales under company number 7078852. Directors: Mr. Ned Valentine, Mr. Paul Poggi, Mr. Thierry Monjauze and Mr. Aadil Khan. Harris Williams & Co. Ltd Niederlassung Frankfurt (German branch) is registered in the Commercial Register (Handelsregister) of the Local Court (Amtsgericht) of Frankfurt am Main, Germany, under registration number HRB 96687, having its business address at Bockenheimer Landstrasse 33-35, 60325 Frankfurt am Main, Germany. Permanent Representative (Ständiger Vertreter) of the Branch Niederlassung: Mr. Jeffery H. Perkins. 0 FOOD AND BEVERAGE INDUSTRY UPDATE │ FEBRUARY 2017 WHAT WE’RE SEEING CONTENTS MARKET UPDATE . INDUSTRY VITAL SIGNS . EQUITY MARKET OVERVIEW . M&A MARKET OVERVIEW The first two months of 2016 have shown significant momentum with over 100 . DEBT MARKET OVERVIEW . RECENT M&A ACTIVITY announced food & beverage transactions. Recent transactions of note include . EARNINGS CALENDAR Sovos Brands’ acquisition of Michael Angelo’s Gourmet Foods, Golden Gate GROUP OVERVIEW Harris Williams & Co. is a leading Capital’s acquisition of Bob Evan’s Restaurants, and RLJ Equity Partners and SJ advisor to the food and beverage market. Our significant Partners’ combined acquisition of Native Maine Produce and Specialty Foods, a experience covers a broad range of end markets, industries, and business models. This particular wholesale distributor of fresh produce, dairy, and specialty foods.
    [Show full text]
  • Conagra Brands Annual Report 2019
    Conagra Brands Annual Report 2019 Conagra Brands, Inc., Annual Report 2019 Inc., Brands, Conagra 222 Merchandise Mart Plaza Suite 1300 Chicago, IL 60654 ©Conagra Brands, Inc. All rights reserved. 66397_AR2019_Cover.indd 1 7/23/19 11:31 AM DEARDEAR FELLOWFELLOW SHARSHAREHOEHOLDERSLDERS BOARDBOARD OFOF DIRECTORSDIRECTORS LEADERSHIPLEADERSHIP InIn eacheach ofof thethe lastlast fourfour years,years, mymy letterletter toto youyou hashas focusedfocused ofof netnet salessales growth.growth. OurOur fiscalfiscal 20192019 grossgross profitprofit increasedincreased AnilAnil AroraArora RichardRichard H.H. LennyLenny SeanSean ConnollyConnolly onon aa commoncommon theme:theme: thethe incredibleincredible transformationtransformation 12.8%,12.8%, againagain drivendriven byby thethe PinnaclePinnacle acquisition.acquisition. AdjustedAdjusted DirectorDirector andand FormerFormer ViceVice ChairmanChairman ofof FormerFormer ChairmanChairman andand ChiefChief ExecutiveExecutive ChiefChief ExecutiveExecutive OfficerOfficer underunder wayway herehere atat ConagraConagra Brands.Brands. ThisThis year’syear’s letterletter grossgross profitprofit increasedincreased 15.5%.15.5%.22 TheThe impactimpact ofof ourour financingfinancing Envestnet,Envestnet, Inc.;Inc.; FormerFormer ChiefChief ExecutiveExecutive OfficerOfficer ofof TheThe HersheyHershey CompanyCompany andand PresidentPresident willwill notnot breakbreak fromfrom thatthat tradition.tradition. DuringDuring fiscalfiscal 2019,2019, wewe forfor thethe PinnaclePinnacle acquisitionacquisition ledled toto aa 21.5%21.5%
    [Show full text]
  • Bijlage Overzicht Corporate Governance 4E Kwartaal
    ! ! ! Overzicht Corporate Governance 4e kwartaal 2014 In deze lijst wordt aangegeven van welke landen we staatsobligaties bezitten die direct op naam staan van het Pensioenfonds TNO. Vervolgens worden daarnaast de beleggingsfondsen genoemd waar we op 31-12-2014 in beleggen. Tot slot staat in de PDF een lange lijst van instellingen en bedrijven waarvan de obligaties direct op naam van het Pensioenfonds TNO staan. (Quasi) staatsobligaties Fixed Income Beleggingsfondsen direct op naam van Pensioenfonds TNO (13/12/2014) Duitsland BlackRock Emerging Market debt (hard Frankrijk currency) Nederland Neuberger Berman Emerging Market debt Mexico (local currency) Slovenië Robeco European High Yield fund Roemenië Ijsland Aandelenbeleggingsfondsen (13/12/2014) Italië Vanguard Inst. Index Fund Chili Vanguard SRI European Stock Index Fund Litouwen Vanguard Emerging Markets Equity Fund Spanje BlackRock Japan Equity fund exclusief controversial weapons BlackRock Pacific ex Japan Equity fund exclusief controversial weapons Obligaties direct op naam van AECOM TECHNOLOGY Pensioenfonds TNO AES Corp/VA AAF Holdings LLC Affinion Group Inc ABEST_9 Aguila 3 SA ABN AMRO BANK NV AIA GROUP LTD Access Midstream Partners LP / ACMP Fin AIB MORTGAGE BANK Accuride Corp Air Canada ACE Cash Express Inc AK Steel Corp ACHMEA HYPOTHEEKBANK NV Alcatel-Lucent USA Inc ACOSTA Alere Inc ACTIVISION BLIZZARD Aleris International Inc ADECCO INTERNATIONAL FINANCIAL SER Algeco Scotsman Global Finance Plc ADT CORP ALLEGIANT TRAVEL CO Advanced Micro Devices Inc Allen Systems Group Inc
    [Show full text]
  • Peakstone Food and Beverage Index - Trading Statistics
    www.peakstone.com Food and Beverage Industry M&A Update October 2016 Food and Beverage Industry M&A Update | October 2016 Food and Beverage Industry Update . For year-to-date 2016, total announced transactions of 281 deals are on pace with 2015 record levels. There were 351 transactions during 2015. For announced transactions, Food and Beverage (“F&B”) multiples saw a modest decrease from 13.4x Enterprise Value to EBITDA to 12.1x. Many F&B categories continue to outperform the S&P 500. Notable publicly announced recent M&A transactions: o ConAgra Foods acquired Frontera Foods including the Frontera, Red Fork and Salpica brands from the Frontera Hospitality Group for an undisclosed amount. o B&G Foods North America Inc. acquired ACH Food Companies, Inc., Spices and Seasonings Business for approximately $365 million. o Cott Corporation acquired S&D Coffee, Inc. for approximately $355 million. o UTZ Quality Foods, Inc. acquired Golden Enterprises Inc. for approximately $144 million. o Gores Holdings, Inc. acquired Hostess Brands, LLC for approximately $2.2 billion. o Dean Foods Company acquired Friendly's Ice Cream, LLC, Manufacturing and retail ice cream business for approximately $155 million. o Apollo Global Management, LLC entered into a definitive agreement to acquire The Fresh Market, Inc. for approximately $1.3 billion. o Peakstone advises PepperJax Grill on sale of company to TA Associates for an undisclosed amount. o Peakstone advises Clearbrook Farms on sale of company to Glencoe for an undisclosed amount. 1 Food and Beverage Industry M&A Update | October 2016 PepperJax Grill sold to TA Associates Peakstone served as exclusive M&A advisor to PepperJax Development Company (“PepperJax” or the “Company”) in connection with its sale to TA Associates.
    [Show full text]