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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
+18.18%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$1.12B
AUM Growth
+$507M
Cap. Flow
+$424M
Cap. Flow %
37.86%
Top 10 Hldgs %
69.37%
Holding
669
New
238
Increased
59
Reduced
66
Closed
278

Top Buys

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$112M
2
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$111M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$69.2M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$68.6M
5
IWM icon
iShares Russell 2000 ETF
IWM
+$49.8M

Top Sells

Rank Stock Value
1
NKLA
Nikola Corporation Common Stock
NKLA
+$40M
2
ALBO
Albireo Pharma Inc
ALBO
+$20M
3
AVPT icon
AvePoint
AVPT
+$14.5M
4
MCD icon
McDonald's
MCD
+$10.2M
5
CMRC
Commerce.com Inc Series 1
CMRC
+$5.84M

Sector Composition

Rank Sector Weight
1 Financials 8.86%
2 Healthcare 4.92%
3 Technology 4.04%
4 Communication Services 3.4%
5 Industrials 2.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
RF icon
226
CALL
Regions Financial
RF
$26.8B
$93K 0.01%
30,000
– –
AUPH icon
227
CALL
Aurinia Pharmaceuticals
AUPH
$2.06B
$90K 0.01%
+34,800
New +$506K
META icon
228
PUT
Meta Platforms (Facebook)
META
$1.55T
$89K 0.01%
+15,000
New +$4.11M
SGMO
229
CALL
DELISTED
SANGAMO THERAPEUTICS INC
SGMO
$89K 0.01%
+20,000
New +$234K
NMMCW
230
DELISTED
North Mountain Merger Corp. Warrant
NMMCW
$88K 0.01%
+65,000
New +$92.8K
YSAC.WS
231
DELISTED
Yellowstone Acquisition Company Warrants, each whole warrant exercisable for one share of Class A co
YSAC.WS
$88K 0.01%
+70,600
New +$83.8K
BURU.WS
232
DELISTED
Nuburu, Inc. Redeemable Warrants, each whole warrant exercisable for one share of Common Stock at an exercise price of $11.50
BURU.WS
$87K 0.01%
+62,257
New +$65K
MKTWW
233
DELISTED
MarketWise, Inc. Warrant
MKTWW
$86K 0.01%
+50,200
New +$64.7K
VFF icon
234
CALL
Village Farms International
VFF
$295M
$85K 0.01%
+42,500
New +$320K
ZYME icon
235
CALL
Zymeworks
ZYME
$1.74B
$85K 0.01%
+35,000
New +$1.63M
TWCTW
236
DELISTED
TWC Tech Holdings II Corp. Warrant
TWCTW
$83K 0.01%
+50,000
New +$69K
CHPMW
237
DELISTED
CHP Merger Corp. Warrant
CHPMW
$82K 0.01%
63,400
-36,600
-37% -$43.3K
ACIA
238
PUT
DELISTED
Acacia Communications Inc
ACIA
$82K 0.01%
+80,000
New +$5.53M
SFTW.WS
239
DELISTED
Osprey Technology Acquisition Corp. Redeemable Warrants, each whole Warrant exercisable for one shar
SFTW.WS
$81K 0.01%
55,000
-80,311
-59% -$104K
SAIIW
240
DELISTED
Software Acquisition Group Inc. II Warrant
SAIIW
$81K 0.01%
+59,920
New +$46.2K
GWPH
241
CALL
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
$81K 0.01%
37,500
+30,000
+400% +$3.36M
RARE icon
242
PUT
Ultragenyx Pharmaceutical
RARE
$2.66B
$80K 0.01%
+12,400
New +$1.47M
DEH.WS
243
DELISTED
D8 Holdings Corp. Warrants, each whole warrant exercisable for one Class A ordinary share at an exer
DEH.WS
$79K 0.01%
+75,000
New +$57.1K
AAL icon
244
American Airlines Group
AAL
$10.2B
$76K 0.01%
4,820
-22,813
-83% -$316K
SLV icon
245
iShares Silver Trust
SLV
$31.6B
$72K 0.01%
+2,943
New +$66.9K
FGNA.WS
246
DELISTED
FG New America Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A c
FGNA.WS
$72K 0.01%
+50,000
New +$49.8K
XOSWW
247
Xos Inc Warrants
XOSWW
$10.5K
$67K 0.01%
+45,000
New +$68.8K
YAC.WS
248
DELISTED
Yucaipa Acquisition Corporation Redeemable Warrants, each whole warrant exercisable for one Class A
YAC.WS
$64K 0.01%
+45,000
New +$51.5K
AGIO icon
249
CALL
Agios Pharmaceuticals
AGIO
$1.98B
$63K 0.01%
+10,000
New +$395K
CRHC.WS
250
DELISTED
Cohn Robbins Holdings Corp. Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
CRHC.WS
$63K 0.01%
+35,000
New +$43K
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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Cowen and Company's Q4 2020 Portfolio in Review

As of Q4 2020, Cowen and Company held 669 positions worth $1.12B, up 83% from $613M the previous quarter. Its ten largest holdings account for 69% of the portfolio.

Cowen and Company deployed $424M of net new capital in Q4 2020, opening 238 new positions and adding to 59 existing holdings. Its largest new stake was iShares iBoxx $ Investment Grade Corporate Bond ETF: 825,000 shares worth $114M.

By sector, the portfolio is most concentrated in Financials at 8.9% of assets, up from 8.4% a quarter earlier, followed by Healthcare and Technology.

On the sell side, the largest reduction was McDonald's, an estimated $10.2M trimmed.

  • Cowen and Company's largest Q4 2020 buy was iShares iBoxx $ Investment Grade Corporate Bond ETF: 825,000 shares worth $114M.
  • Cowen and Company added most to Invesco QQQ Trust in Q4 2020, an estimated $68.6M increase.
  • Cowen and Company's biggest Q4 2020 reduction was McDonald's, cutting an estimated $10.2M.
  • Cowen and Company fully exited Nikola Corporation Common Stock in Q4 2020, selling an estimated $40M.
  • Cowen and Company's ten largest holdings make up 69% of its $1.12B portfolio in Q4 2020.
  • Cowen and Company opened 238 new positions and closed 278 in Q4 2020.
  • Cowen and Company's portfolio value rose 83% quarter-over-quarter to $1.12B.

Based on Cowen and Company's 13F filing for Q4 2020, filed 8 Feb 2021.