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Cowen and Company Portfolio holdings

AUM $2.97B
1-Year Est. Return 105.26%
This Fund
S&P 500
This Quarter Est. Return
-2.91%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$394M
AUM Growth
–
Cap. Flow
+$923M
Cap. Flow %
234.23%
Top 10 Hldgs %
47.92%
Holding
448
New
446
Increased
–
Reduced
–
Closed
–

Top Buys

Rank Stock Value
1
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$70M
2
ZM icon
Zoom
ZM
+$38.9M
3
CRWD icon
CrowdStrike
CRWD
+$24M
4
BYND icon
Beyond Meat
BYND
+$18.9M
5
NKLA
Nikola Corporation Common Stock
NKLA
+$12.1M

Top Sells

No sells this quarter

Sector Composition

Rank Sector Weight
1 Financials 28.08%
2 Technology 20%
3 Consumer Discretionary 7.92%
4 Consumer Staples 6.17%
5 Healthcare 5.2%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BTRSW
226
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
$228K 0.06%
+268,251
New +$225K
RWGE.WS
227
DELISTED
Regalwood Global Energy Ltd. Warrants, each whole warrant exercisable for one Class A ordinary share
RWGE.WS
$222K 0.06%
+369,489
New +$274K
AGNC icon
228
PUT
AGNC Investment
AGNC
$12.9B
$221K 0.06%
+387,300
New +$6.36M
AMRN
229
Amarin Corp
AMRN
$303M
$215K 0.05%
+710
New +$248K
GMHIU
230
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
$215K 0.05%
+20,308
New +$214K
ALTG icon
231
Alta Equipment Group
ALTG
$245M
$213K 0.05%
+21,467
New +$211K
DKNG icon
232
DraftKings
DKNG
$11.9B
$208K 0.05%
+21,090
New +$207K
KKR icon
233
KKR & Co
KKR
$92.3B
$208K 0.05%
+7,737
New +$204K
DFBHW
234
DELISTED
DFB Healthcare Acquisitions Corp. Warrant
DFBHW
$207K 0.05%
+143,922
New +$205K
XRT icon
235
PUT
State Street SPDR S&P Retail ETF
XRT
$654M
$205K 0.05%
+55,500
New +$2.3M
GRAF.WS
236
DELISTED
Graf Industrial Corp. Warrants (each exercisable for three-quarters of one share of common stock, ea
GRAF.WS
$204K 0.05%
+524,172
New +$204K
AUY
237
CALL
DELISTED
Yamana Gold, Inc.
AUY
$195K 0.05%
+160,100
New +$511K
SAMAW
238
DELISTED
Schultze Special Purpose Acquisition Corp. Warrant
SAMAW
$194K 0.05%
+555,031
New +$179K
NFC.WS
239
DELISTED
New Frontier Corporation Warrants, each whole warrant exercisable for one Class A ordinary share at
NFC.WS
$181K 0.05%
+180,690
New +$190K
ARMK icon
240
CALL
Aramark
ARMK
$14.7B
$180K 0.05%
+69,250
New +$1.95M
PRDO icon
241
PUT
Perdoceo Education
PRDO
$2.12B
$179K 0.05%
+61,300
New +$1.2M
THWWW
242
DELISTED
Target Hospitality Corp. Warrant expiring 3/15/2024
THWWW
$178K 0.05%
+169,138
New +$226K
ASLEW
243
DELISTED
AerSale Corp Warrants
ASLEW
$177K 0.04%
+392,863
New +$153K
HHHHU
244
DELISTED
Wealthbridge Acquisition Limited Units
HHHHU
$177K 0.04%
+17,050
New +$175K
VTIQW
245
DELISTED
VectoIQ Acquisition Corp. Warrant
VTIQW
$175K 0.04%
+349,014
New +$162K
BFYT
246
PUT
DELISTED
Benefytt Technologies, Inc. Class A Common Stock
BFYT
$174K 0.04%
+50,000
New +$1.05M
PEI
247
DELISTED
Pennsylvania Real Estate Investment Trust
PEI
$172K 0.04%
+2,000
New +$170K
SIRI icon
248
SiriusXM
SIRI
$10.1B
$166K 0.04%
+2,650
New +$163K
HOME
249
DELISTED
At Home Group Inc.
HOME
$165K 0.04%
+17,100
New +$117K
LVOX
250
DELISTED
LiveVox Holding, Inc. Class A Common Stock
LVOX
$162K 0.04%
+16,372
New +$161K
8 9
10
11 12

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PWLP
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FPCG
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BC
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FTDI
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CIM
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PRO
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Cowen and Company's Q3 2019 Portfolio in Review

Q3 2019 is the first quarter with a 13F filing on record for Cowen and Company, which disclosed 448 positions worth $394M. Its ten largest holdings account for 48% of the portfolio.

Its largest position is Sumitomo Mitsui Financial: 10,251,605 shares worth $70.1M.

By sector, the portfolio is most concentrated in Financials at 28% of assets, followed by Technology and Consumer Discretionary.

  • Cowen and Company's largest Q3 2019 buy was Sumitomo Mitsui Financial: 10,251,605 shares worth $70.1M.
  • Cowen and Company's ten largest holdings make up 48% of its $394M portfolio in Q3 2019.
  • Cowen and Company disclosed 448 positions in Q3 2019, its first 13F filing on record.

Based on Cowen and Company's 13F filing for Q3 2019, filed 12 Nov 2019.