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
VACQU
276
DELISTED
Vector Acquisition Corporation Unit
VACQU
– –
-23,588
Closed -$239K
SCPE.WS
277
DELISTED
SC Health Corporation Warrants, each whole warrant exercisable for one Class A ordinary share at an
SCPE.WS
– –
-50,000
Closed -$58K
BPY
278
DELISTED
Brookfield Property Partners L.P. Limited Partnership Units
BPY
– –
0
– –
CCIV.U
279
DELISTED
Churchill Capital Corp IV Units, each consisting of one share of Class A common stock and one-fifth
CCIV.U
– –
-41,260
Closed -$413K
ANDAR
280
DELISTED
Andina Acquisition Corp. III Right
ANDAR
– –
-49,995
Closed -$18K
NHICW
281
DELISTED
NewHold Investment Corp. Warrant
NHICW
– –
-25,000
Closed -$17K
SBG.U
282
DELISTED
Sandbridge Acquisition Corporation Units, each consisting of one share of Class A Common Stock and o
SBG.U
– –
-500,000
Closed -$4.99M
ALUS
283
DELISTED
Alussa Energy Acquisition Corp.
ALUS
– –
-147,353
Closed -$1.46M
WPF.U
284
DELISTED
Foley Trasimene Acquisition Corp.
WPF.U
– –
-29,108
Closed -$329K
WPF.WS
285
DELISTED
Foley Trasimene Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A
WPF.WS
– –
-15,300
Closed -$35K
APXTU
286
DELISTED
Apex Technology Acquisition Corporation Unit
APXTU
– –
-23,900
Closed -$282K
NAV
287
DELISTED
Navistar International
NAV
– –
0
– –
HOLUU
288
DELISTED
Holicity Inc. Unit
HOLUU
– –
-70,200
Closed -$727K
FIIIU
289
DELISTED
Forum Merger III Corporation Units
FIIIU
– –
-50,000
Closed -$522K
CCX.WS
290
DELISTED
Churchill Capital Corp II Warrants, each exercisable for one share of Class A common stock at an exe
CCX.WS
– –
-78,885
Closed -$172K
THBRW
291
DELISTED
Thunder Bridge Acquisition II, Ltd. Warrants
THBRW
– –
-100,015
Closed -$135K
THBR
292
DELISTED
Thunder Bridge Acquisition II, Ltd. Class A Ordinary Shares
THBR
– –
-63,058
Closed -$643K
GIX.RT
293
DELISTED
GigCapital2, Inc. Rights, each exchangeable into one-twentieth of a share of Common Stock
GIX.RT
– –
-17,400
Closed -$6K
GIX.WS
294
DELISTED
GigCapital2, Inc. Warrants exercisable for one share of Common Stock at an exercise price of $11.50
GIX.WS
– –
-11,902
Closed -$11K
JIH
295
DELISTED
Juniper Industrial Holdings, Inc.
JIH
– –
-238,294
Closed -$2.49M
JIH.WS
296
DELISTED
Juniper Industrial Holdings, Inc. Redeemable warrants included as part of the units
JIH.WS
– –
-283,716
Closed -$491K
CLGX
297
DELISTED
Corelogic, Inc.
CLGX
– –
0
– –
LACQW
298
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
– –
-25,060
Closed -$12K
CUB
299
DELISTED
Cubic Corporation
CUB
– –
-90,000
Closed -$5.24M
GIK.WS
300
DELISTED
GigCapital3, Inc. Redeemable Warrants, each exercisable for one share of Common Stock at an exercise
GIK.WS
– –
-24,273
Closed -$16K
10 11
12
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