CAC

Cowen and Company Portfolio holdings

AUM $2.9B
1-Year Return 104.28%
This Quarter Return
+4.71%
1 Year Return
+104.28%
3 Year Return
+119.87%
5 Year Return
+632.2%
10 Year Return
–
AUM
$565M
AUM Growth
+$18.8M
Cap. Flow
+$91.8M
Cap. Flow %
16.25%
Top 10 Hldgs %
57.13%
Holding
464
New
143
Increased
36
Reduced
68
Closed
118

Top Buys

1
QQQ icon
Invesco QQQ Trust
QQQ
$62.1M
2
ALBO
Albireo Pharma, Inc. Common Stock
ALBO
$20M
3
AVPT icon
AvePoint
AVPT
$14.3M
4
STLA icon
Stellantis
STLA
$10.8M
5
MCD icon
McDonald's
MCD
$10.7M

Top Sells

1
CCL icon
Carnival Corp
CCL
$24.2M
2
BLU
BELLUS Health Inc.
BLU
$16.7M
3
ABUS icon
Arbutus Biopharma
ABUS
$12.1M
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
$5.75M

Sector Composition

1 Healthcare 15.16%
2 Consumer Discretionary 14.36%
3 Financials 9.07%
4 Technology 6.82%
5 Industrials 3.57%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
CFFAW
301
DELISTED
CF Finance Acquisition Corp. Warrant
CFFAW
– –
-38,850
Closed -$52K
CFFAU
302
DELISTED
CF Finance Acquisition Corp. Unit
CFFAU
– –
-25,000
Closed -$293K
NFINW
303
DELISTED
Netfin Acquisition Corp. Warrants
NFINW
– –
-170,895
Closed -$283K
HCCOW
304
DELISTED
Healthcare Merger Corp. Warrants
HCCOW
– –
-66,220
Closed -$76K
SPAQ.WS
305
DELISTED
Spartan Energy Acquisition Corp. Warrants, each whole warrant exercisable for one Class A common sto
SPAQ.WS
– –
-26,470
Closed -$48K
HTZ
306
DELISTED
Hertz Global Holdings, Inc.
HTZ
– –
0
– –
ARYBU
307
DELISTED
ARYA Sciences Acquisition Corp II Unit
ARYBU
– –
-44,389
Closed -$515K
CPAAW
308
DELISTED
Conyers Park II Acquisition Corp. Warrant
CPAAW
– –
-135,759
Closed -$299K
IMMU
309
DELISTED
Immunomedics Inc
IMMU
– –
0
– –
FTACU
310
DELISTED
FinTech Acquisition Corp. III Unit
FTACU
– –
-80,143
Closed -$1.01M
FTACW
311
DELISTED
FinTech Acquisition Corp. III Warrant
FTACW
– –
-98,647
Closed -$227K
SAQNW
312
DELISTED
Software Acquisition Group Inc. Warrant
SAQNW
– –
-27,047
Closed -$24K
AIMT
313
DELISTED
Aimmune Therapeutics, Inc.
AIMT
– –
0
– –
MNTA
314
DELISTED
Momenta Pharmaceuticals, Inc.
MNTA
– –
0
– –
SHLL.U
315
DELISTED
Tortoise Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
SHLL.U
– –
-155,000
Closed -$5.09M
CCH.WS
316
DELISTED
Collier Creek Holdings Warrants, each whole warrant exercisable for one Class A ordinary share at an
CCH.WS
– –
-220,820
Closed -$718K
FPAC.WS
317
DELISTED
Far Point Acquisition Corporation Warrants, exercisable for one share of Class A Common Stock for $1
FPAC.WS
– –
-62,297
Closed -$31K
NKLAW
318
DELISTED
Nikola Corporation Warrant expiring 6/3/2025
NKLAW
– –
-332,158
Closed -$11M
FSCT
319
DELISTED
ForeScout Technologies, Inc. Common Stock
FSCT
– –
0
– –
TMUSR
320
DELISTED
T-Mobile US, Inc. Subscription Rights Expiring 7/27/2020
TMUSR
– –
-1,250,000
Closed -$210K
ACEL.WS
321
DELISTED
Accel Entertainment, Inc. Warrant, to purchase one Class A-1 Common Stock at an exercise price of $1
ACEL.WS
– –
-222,466
Closed -$521K
LHC.WS
322
DELISTED
Leo Holdings Corp. Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exe
LHC.WS
– –
-60,889
Closed -$76K
TECD
323
DELISTED
Tech Data Corp
TECD
– –
-12,000
Closed -$1.74M
ZGNX
324
DELISTED
Zogenix, Inc.
ZGNX
– –
0
– –
REV
325
DELISTED
Revlon, Inc.
REV
– –
-10,690
Closed -$106K
11 12
13
14 15