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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
+16.41%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$1.15B
AUM Growth
+$757M
Cap. Flow
+$1.77B
Cap. Flow %
153.77%
Top 10 Hldgs %
71.98%
Holding
716
New
268
Increased
91
Reduced
64
Closed
268

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$285M
2
AAPL icon
Apple
AAPL
+$138M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$98.2M
4
FRC
First Republic Bank
FRC
+$38.9M
5
XLY icon
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
+$36.5M

Top Sells

Rank Stock Value
1
ZM icon
Zoom
ZM
+$32.9M
2
CRWD icon
CrowdStrike
CRWD
+$17.6M
3
BYND icon
Beyond Meat
BYND
+$17.1M
4
SEGG
Sports Entertainment Gaming Global Corp
SEGG
+$12M
5
BFI
BurgerFi International, Inc. Common Stock
BFI
+$10.1M

Sector Composition

Rank Sector Weight
1 Technology 17.86%
2 Financials 13.13%
3 Healthcare 4.9%
4 Consumer Discretionary 2.63%
5 Communication Services 1.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SAGE
251
CALL
DELISTED
Sage Therapeutics
SAGE
$120K 0.01%
+18,000
New +$2.21M
HYLN icon
252
Hyliion Holdings
HYLN
$690M
$118K 0.01%
+11,767
New +$116K
SMH icon
253
PUT
VanEck Semiconductor ETF
SMH
$71.8B
$117K 0.01%
+270,000
New +$17.7M
FOSL icon
254
CALL
Fossil Group
FOSL
$318M
$114K 0.01%
+157,600
New +$1.45M
ANDAR
255
DELISTED
Andina Acquisition Corp. III Right
ANDAR
$114K 0.01%
408,382
-1,900
-0.5% -$569
LGC.WS
256
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
$111K 0.01%
205,716
-25,634
-11% -$11.4K
CFFAU
257
DELISTED
CF Finance Acquisition Corp. Unit
CFFAU
$109K 0.01%
+10,000
New +$107K
FSRVU
258
DELISTED
FinServ Acquisition Corp. Unit, 1 Com, 1/2 Wt.
FSRVU
$106K 0.01%
+10,358
New +$105K
HYG icon
259
PUT
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$17.9B
$104K 0.01%
757,400
+706,000
+1,374% +$61.4M
CCC.WS
260
DELISTED
Clarivate Analytics Plc Warrants, each to purchase one Ordinary Share
CCC.WS
$104K 0.01%
16,700
-907,778
-98% -$5.34M
AR icon
261
Antero Resources
AR
$10.7B
$101K 0.01%
+35,475
New +$90.5K
NFINW
262
DELISTED
Netfin Acquisition Corp. Warrants
NFINW
$101K 0.01%
+336,327
New +$98.4K
ACB
263
PUT
Aurora Cannabis
ACB
$185M
$99K 0.01%
417
+392
+1,568% +$146K
HHH icon
264
CALL
Howard Hughes
HHH
$4.03B
$99K 0.01%
+58,115
New +$6.45M
AVYA
265
DELISTED
Avaya Holdings Corp. Common Stock
AVYA
$98K 0.01%
7,251
-18,113
-71% -$222K
ASAP
266
DELISTED
Waitr Holdings Inc. Common Stock
ASAP
$97K 0.01%
15,033
+2,838
+23% +$31.4K
SWCH
267
PUT
DELISTED
Switch, Inc. Class A Common Stock
SWCH
$97K 0.01%
+90,000
New +$1.36M
LVOXW
268
DELISTED
LiveVox Holding, Inc. Warrant
LVOXW
$96K 0.01%
119,690
+44,056
+58% +$32.6K
BMY.RT
269
DELISTED
Bristol-Myers Squibb Company Contingent Value Rights
BMY.RT
$94K 0.01%
+31,205
New +$81.1K
SWCH
270
CALL
DELISTED
Switch, Inc. Class A Common Stock
SWCH
$92K 0.01%
+90,000
New +$1.36M
IMMU
271
CALL
DELISTED
Immunomedics Inc
IMMU
$92K 0.01%
36,000
-174,000
-83% -$3.07M
BWMCW
272
DELISTED
Boxwood Merger Corp. Warrant
BWMCW
$92K 0.01%
+148,747
New +$111K
MRTX
273
PUT
DELISTED
Mirati Therapeutics, Inc. Common Stock
MRTX
$88K 0.01%
+14,700
New +$1.42M
OAC.WS
274
DELISTED
Oaktree Acquisition Corp. Warrants, each whole warrant exercisable for one Class A Ordinary Share at
OAC.WS
$88K 0.01%
+92,383
New +$86.8K
A icon
275
Agilent Technologies
A
$41.2B
$86K 0.01%
+1,006
New +$79.2K
9 10
11
12 13

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CIP
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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 Q4 2019 Portfolio in Review

As of Q4 2019, Cowen and Company held 716 positions worth $1.15B, up 192% from $394M the previous quarter. Its ten largest holdings account for 72% of the portfolio.

Cowen and Company deployed $1.77B of net new capital in Q4 2019, opening 268 new positions and adding to 91 existing holdings. Its largest new stake was Apple: 2,148,000 shares worth $158M.

By sector, the portfolio is most concentrated in Technology at 18% of assets, down from 20% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was Sports Entertainment Gaming Global Corp, an estimated $12M trimmed.

  • Cowen and Company's largest Q4 2019 buy was Apple: 2,148,000 shares worth $158M.
  • Cowen and Company added most to Invesco QQQ Trust in Q4 2019, an estimated $285M increase.
  • Cowen and Company's biggest Q4 2019 reduction was Sports Entertainment Gaming Global Corp, cutting an estimated $12M.
  • Cowen and Company fully exited Zoom in Q4 2019, selling an estimated $32.9M.
  • Cowen and Company's ten largest holdings make up 72% of its $1.15B portfolio in Q4 2019.
  • Cowen and Company opened 268 new positions and closed 268 in Q4 2019.
  • Cowen and Company's portfolio value rose 192% quarter-over-quarter to $1.15B.

Based on Cowen and Company's 13F filing for Q4 2019, filed 11 Feb 2020.