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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
-16.31%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$435M
AUM Growth
-$716M
Cap. Flow
-$763M
Cap. Flow %
-175.1%
Top 10 Hldgs %
44.16%
Holding
647
New
200
Increased
86
Reduced
96
Closed
246

Top Buys

Rank Stock Value
1
XOM icon
ExxonMobil
XOM
+$28M
2
MTCH icon
Match Group
MTCH
+$22.1M
3
DFNS.U
LGL Systems Acquisition Corp. Units
DFNS.U
+$13.2M
4
AVDL
Avadel Pharmaceuticals
AVDL
+$11.7M
5
ABUS icon
Arbutus Biopharma
ABUS
+$9.21M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$238M
2
AAPL icon
Apple
AAPL
+$158M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$77M
4
FRC
First Republic Bank
FRC
+$42.3M
5
XLY icon
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
+$37.6M

Sector Composition

Rank Sector Weight
1 Healthcare 16.59%
2 Financials 12.01%
3 Communication Services 5.9%
4 Energy 5.73%
5 Consumer Discretionary 4.77%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GOEV
226
DELISTED
Canoo Inc. Class A Common Stock
GOEV
$140K 0.03%
+30
New +$141K
NKLA
227
DELISTED
Nikola Corporation Common Stock
NKLA
$138K 0.03%
39,133
+416
+1% +$134K
FAST icon
228
CALL
Fastenal
FAST
$60.1B
$136K 0.03%
84,200
+4,200
+5% +$73.9K
SNDL icon
229
Sundial Growers
SNDL
$323M
$135K 0.03%
21,137
-1,971
-9% -$33.6K
THWWW
230
DELISTED
Target Hospitality Corp. Warrant expiring 3/15/2024
THWWW
$135K 0.03%
693,409
+284,292
+69% +$153K
LOTZW
231
DELISTED
CarLotz, Inc. Warrant
LOTZW
$132K 0.03%
275,467
-148,736
-35% -$112K
CELUW
232
DELISTED
Celularity Inc
CELUW
$127K 0.03%
230,500
-2,400
-1% -$2.06K
LCII icon
233
PUT
LCI Industries
LCII
$2.61B
$126K 0.03%
+6,500
New +$634K
CZR
234
CALL
DELISTED
Caesars Entertainment Corporation
CZR
$126K 0.03%
+767,400
New +$9.02M
AEVA
235
Aeva Technologies
AEVA
$1.68B
$125K 0.03%
+2,674
New +$129K
LVOXW
236
DELISTED
LiveVox Holding, Inc. Warrant
LVOXW
$124K 0.03%
146,202
+26,512
+22% +$21.7K
TIVO
237
DELISTED
Tivo Inc
TIVO
$120K 0.03%
+16,996
New +$125K
PRTH icon
238
Priority Technology Holdings
PRTH
$430M
$118K 0.03%
60,811
-11,526
-16% -$28.2K
NEM icon
239
CALL
Newmont
NEM
$124B
$116K 0.03%
+38,500
New +$1.74M
ZLAB icon
240
PUT
Zai Lab
ZLAB
$2.92B
$114K 0.03%
+17,500
New +$912K
LGC.WS
241
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
$110K 0.03%
441,658
+235,942
+115% +$115K
GNRSU
242
DELISTED
Greenrose Acquisition Corp. Unit
GNRSU
$109K 0.03%
+11,250
New +$111K
GMED icon
243
CALL
Globus Medical
GMED
$11.4B
$105K 0.02%
+56,500
New +$2.79M
CIICW
244
DELISTED
CIIG Merger Corp. Warrants
CIICW
$105K 0.02%
+149,876
New +$130K
GMED icon
245
Globus Medical
GMED
$11.4B
$103K 0.02%
+2,420
New +$120K
FSCT
246
DELISTED
ForeScout Technologies, Inc. Common Stock
FSCT
$99K 0.02%
3,135
-3,744
-54% -$117K
GILD icon
247
CALL
Gilead Sciences
GILD
$168B
$98K 0.02%
+14,000
New +$967K
KLR.WS
248
DELISTED
Kaleyra, Inc. Warrants, each whole Warrant exercisable for one share of Common Stock at an exercise price of $40.25 per share
KLR.WS
$98K 0.02%
115,356
+47,412
+70% +$49.6K
CMA
249
CALL
DELISTED
Comerica
CMA
$97K 0.02%
310,000
+250,000
+417% +$13.6M
JIH.WS
250
DELISTED
Juniper Industrial Holdings, Inc. Redeemable warrants included as part of the units
JIH.WS
$97K 0.02%
+173,211
New +$141K
8 9
10
11 12

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PWLP
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FPCG
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SI
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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 Q1 2020 Portfolio in Review

As of Q1 2020, Cowen and Company held 647 positions worth $435M, down 62% from $1.15B the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Cowen and Company withdrew a net $763M in Q1 2020, closing 246 positions and reducing 96 holdings. Its most notable exit was Apple, an estimated $158M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 17% of assets, up from 4.9% a quarter earlier, followed by Financials and Communication Services.

Against the trend, Cowen and Company opened a new position in Match Group worth $19.8M.

  • Cowen and Company's largest Q1 2020 buy was Match Group: 300,000 shares worth $19.8M.
  • Cowen and Company added most to ExxonMobil in Q1 2020, an estimated $28M increase.
  • Cowen and Company's biggest Q1 2020 reduction was Invesco QQQ Trust, cutting an estimated $238M.
  • Cowen and Company fully exited Apple in Q1 2020, selling an estimated $158M.
  • Cowen and Company's ten largest holdings make up 44% of its $435M portfolio in Q1 2020.
  • Cowen and Company opened 200 new positions and closed 246 in Q1 2020.
  • Cowen and Company's portfolio value fell 62% quarter-over-quarter to $435M.

Based on Cowen and Company's 13F filing for Q1 2020, filed 11 May 2020.