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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
+5.03%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$613M
AUM Growth
+$11.1M
Cap. Flow
+$98.2M
Cap. Flow %
16.02%
Top 10 Hldgs %
52.71%
Holding
630
New
243
Increased
56
Reduced
99
Closed
199

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$60.6M
2
ALBO
Albireo Pharma Inc
ALBO
+$17.5M
3
AVPT icon
AvePoint
AVPT
+$14.1M
4
SST icon
System1
SST
+$10.2M
5
MCD icon
McDonald's
MCD
+$10M

Top Sells

Rank Stock Value
1
CCL icon
Carnival Corporation Ltd
CCL
+$24.2M
2
BLU
BELLUS Health Inc.
BLU
+$16.7M
3
ABUS icon
Arbutus Biopharma
ABUS
+$11.7M
4
NKLAW
Nikola Corporation Warrant expiring 6/3/2025
NKLAW
+$11M
5
LGVW.U
Longview Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-thir
LGVW.U
+$5.79M

Sector Composition

Rank Sector Weight
1 Healthcare 14.03%
2 Consumer Discretionary 13.24%
3 Financials 8.37%
4 Technology 6.29%
5 Industrials 3.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LOTZ
226
DELISTED
CarLotz, Inc. Class A Common Stock
LOTZ
$171K 0.03%
16,685
-20,473
-55% -$210K
SPY icon
227
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$807B
$163K 0.03%
151,000
-595,700
-80% -$197M
JFKKW
228
DELISTED
8i Enterprises Acquisition Corp Warrant
JFKKW
$163K 0.03%
122,000
– –
M icon
229
PUT
Macy's
M
$6.49B
$162K 0.03%
2,342,200
+2,231,100
+2,008% +$14.9M
FAST icon
230
Fastenal
FAST
$60.3B
$156K 0.03%
+6,898
New +$159K
MCD icon
231
CALL
McDonald's
MCD
$193B
$149K 0.02%
+75,100
New +$15.4M
MYOK
232
CALL
DELISTED
MyoKardia, Inc. Common Stock
MYOK
$149K 0.02%
+5,600
New +$595K
CERE
233
DELISTED
Cerevel Therapeutics Holdings, Inc. Common Stock
CERE
$146K 0.02%
+14,000
New +$148K
GNW icon
234
PUT
Genworth Financial
GNW
$3.71B
$141K 0.02%
193,200
-807,400
-81% -$2.15M
DOW icon
235
PUT
Dow Inc
DOW
$22.4B
$140K 0.02%
+320,000
New +$14.4M
APPHW
236
DELISTED
AppHarvest, Inc. Warrants
APPHW
$135K 0.02%
+48,363
New +$49.3K
THBRW
237
DELISTED
Thunder Bridge Acquisition II, Ltd. Warrants
THBRW
$135K 0.02%
100,015
-165,599
-62% -$233K
HPX.U
238
DELISTED
HPX Corp. Units, each consisting of one Class A ordinary share and one-half of one redeemable warrant
HPX.U
$133K 0.02%
+13,087
New +$132K
TREB.WS
239
DELISTED
Trebia Acquisition Corp. Warrants, each whole warrant exercisable for one Class A Ordinary Share at
TREB.WS
$133K 0.02%
+88,530
New +$134K
ANIK icon
240
CALL
Anika Therapeutics
ANIK
$285M
$131K 0.02%
56,800
– –
MJ icon
241
PUT
Amplify Alternative Harvest ETF
MJ
$108M
$129K 0.02%
6,508
+4,008
+160% +$597K
BOWXU
242
DELISTED
BowX Acquisition Corp. Unit
BOWXU
$129K 0.02%
+12,542
New +$128K
DRNA
243
DELISTED
Dicerna Pharmaceuticals, Inc.
DRNA
$128K 0.02%
+7,133
New +$148K
CRBP icon
244
PUT
Corbus Pharmaceuticals
CRBP
$184M
$121K 0.02%
+643
New +$116K
CHPMW
245
DELISTED
CHP Merger Corp. Warrant
CHPMW
$120K 0.02%
+100,000
New +$112K
KLR.WS
246
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
$119K 0.02%
83,889
-35,267
-30% -$31K
CLF icon
247
CALL
Cleveland-Cliffs
CLF
$7.05B
$117K 0.02%
390,600
+299,900
+331% +$1.8M
CRBP icon
248
Corbus Pharmaceuticals
CRBP
$184M
$117K 0.02%
2,170
+1,275
+142% +$231K
IONS icon
249
PUT
Ionis Pharmaceuticals
IONS
$9.3B
$116K 0.02%
16,500
-5,300
-24% -$294K
ANGI icon
250
Angi Inc
ANGI
$185M
$115K 0.02%
1,040
+463
+80% +$63.8K
8 9
10
11 12

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CIP
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PWLP
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FPCG
Fort Pitt Capital Group Pittsburgh, Pennsylvania $3.55B AUM 34.86% 1-Year Est. Return
SI
Scout Investments Kansas City, Missouri $3.8B AUM 45.91% 1-Year Est. Return
BC
Boxer Capital San Diego, California $2.04B AUM 108.39% 1-Year Est. Return
FTDI
First Trust Direct Indexing Boston, Massachusetts $1.87B AUM 43.63% 1-Year Est. Return
CIM
Contrarius Investment Management St. Helier, Jersey $1.76B AUM 35.87% 1-Year Est. Return
PRO
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Cowen and Company's Q3 2020 Portfolio in Review

As of Q3 2020, Cowen and Company held 630 positions worth $613M, up 1.8% from $601M the previous quarter. Its ten largest holdings account for 53% of the portfolio.

Cowen and Company deployed $98.2M of net new capital in Q3 2020, opening 243 new positions and adding to 56 existing holdings. Its largest new stake was Albireo Pharma Inc: 600,000 shares worth $20M.

By sector, the portfolio is most concentrated in Healthcare at 14% of assets, down from 14% a quarter earlier, followed by Consumer Discretionary and Financials.

On the sell side, the largest reduction was Arbutus Biopharma, an estimated $11.7M trimmed.

  • Cowen and Company's largest Q3 2020 buy was Albireo Pharma Inc: 600,000 shares worth $20M.
  • Cowen and Company added most to Invesco QQQ Trust in Q3 2020, an estimated $60.6M increase.
  • Cowen and Company's biggest Q3 2020 reduction was Arbutus Biopharma, cutting an estimated $11.7M.
  • Cowen and Company fully exited Carnival Corporation Ltd in Q3 2020, selling an estimated $24.2M.
  • Cowen and Company's ten largest holdings make up 53% of its $613M portfolio in Q3 2020.
  • Cowen and Company opened 243 new positions and closed 199 in Q3 2020.
  • Cowen and Company's portfolio value rose 1.8% quarter-over-quarter to $613M.

Based on Cowen and Company's 13F filing for Q3 2020, filed 3 Nov 2020.