CAC

Cowen and Company Portfolio holdings

AUM $2.9B
1-Year Return 104.28%
This Quarter Return
+17.91%
1 Year Return
+104.28%
3 Year Return
+119.87%
5 Year Return
+632.2%
10 Year Return
–
AUM
$1.08B
AUM Growth
+$512M
Cap. Flow
+$444M
Cap. Flow %
41.26%
Top 10 Hldgs %
72.09%
Holding
482
New
145
Increased
28
Reduced
41
Closed
183

Top Buys

1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
$114M
2
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$113M
3
QQQ icon
Invesco QQQ Trust
QQQ
$73.3M
4
SPY icon
SPDR S&P 500 ETF Trust
SPY
$72.9M
5
IWM icon
iShares Russell 2000 ETF
IWM
$55.7M

Top Sells

1
NKLA
Nikola Corporation Common Stock
NKLA
$40M
2
ALBO
Albireo Pharma, Inc. Common Stock
ALBO
$20M
3
AVPT icon
AvePoint
AVPT
$14.5M
4
MCD icon
McDonald's
MCD
$10.1M
5
CMRC
Commerce.com, Inc. Series 1 Common Stock
CMRC
$5.84M

Sector Composition

1 Financials 9.21%
2 Healthcare 5.11%
3 Technology 4.2%
4 Communication Services 3.53%
5 Industrials 2.43%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
RMO
251
DELISTED
Romeo Power, Inc.
RMO
– –
-465,632
Closed -$4.98M
ETACU
252
DELISTED
E.Merge Technology Acquisition Corp. Unit
ETACU
– –
-208,411
Closed -$2.1M
GOAC.U
253
DELISTED
GO Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-third of on
GOAC.U
– –
-411,339
Closed -$4.2M
RBAC.U
254
DELISTED
RedBall Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one
RBAC.U
– –
-75,000
Closed -$793K
RDUS
255
DELISTED
Radius Health, Inc.
RDUS
– –
0
– –
PRPB.U
256
DELISTED
CC Neuberger Principal Holdings II
PRPB.U
– –
-75,000
Closed -$775K
ALACW
257
DELISTED
Alberton Acquisition Corporation Warrant
ALACW
– –
-125,757
Closed -$26K
CHPM
258
DELISTED
CHP Merger Corp. Class A Common Stock
CHPM
– –
-99,171
Closed -$1.01M
TLMD
259
DELISTED
SOC Telemed, Inc. Class A Common Stock
TLMD
– –
-100,000
Closed -$1.02M
ARNA
260
DELISTED
Arena Pharmaceuticals Inc
ARNA
– –
0
– –
SCVX.U
261
DELISTED
SCVX Corp. Units, each consisting of one Class A ordinary share, $0.0001 par value per share, and on
SCVX.U
– –
-30,802
Closed -$331K
BTAQU
262
DELISTED
Burgundy Technology Acquisition Corporation Unit
BTAQU
– –
-19,760
Closed -$197K
PAEWW
263
DELISTED
PAE Incorporated Warrants
PAEWW
– –
-568,470
Closed -$1.25M
VMACU
264
DELISTED
Vistas Media Acquisition Company Inc. Unit
VMACU
– –
-320,296
Closed -$3.24M
CPSR.WS
265
DELISTED
Capstar Special Purpose Acquisition Corp. Warrants, each whole warrant exercisable for one share of
CPSR.WS
– –
-52,752
Closed -$42K
DRNA
266
DELISTED
Dicerna Pharmaceuticals, Inc.
DRNA
– –
-7,133
Closed -$128K
XLRN
267
DELISTED
Acceleron Pharma Inc.
XLRN
– –
0
– –
BOWXU
268
DELISTED
BowX Acquisition Corp. Unit
BOWXU
– –
-12,542
Closed -$129K
HZAC.U
269
DELISTED
Horizon Acquisition Corporation Units, each consisting of one Class A ordinary share and one-third o
HZAC.U
– –
-75,000
Closed -$780K
PTK.U
270
DELISTED
PTK Acquisition Corp. Units, each consisting of one share of Common Stock, and one Warrant to acquir
PTK.U
– –
-47,332
Closed -$482K
GLEO.U
271
DELISTED
Galileo Acquisition Corp. Units, each consisting of one Ordinary Share and one Redeemable Warrant
GLEO.U
– –
-24,000
Closed -$253K
FUSE.WS
272
DELISTED
Fusion Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common st
FUSE.WS
– –
-206,401
Closed -$225K
SOAC.U
273
DELISTED
Sustainable Opportunities Acquisition Corp. Units, each consisting of one Class A ordinary share and
SOAC.U
– –
-100,000
Closed -$1.11M
KSMTU
274
DELISTED
Kismet Acquisition One Corp Unit
KSMTU
– –
-277,796
Closed -$2.78M
SNPR.U
275
DELISTED
Tortoise Acquisition Corp. II Units, each consisting of one Class A ordinary share and one-fourth of
SNPR.U
– –
-50,000
Closed -$544K
9 10
11
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