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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
+5.03%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$613M
AUM Growth
+$11.1M
Cap. Flow
+$98.2M
Cap. Flow %
16.02%
Top 10 Hldgs %
52.71%
Holding
630
New
243
Increased
56
Reduced
99
Closed
199

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$60.6M
2
ALBO
Albireo Pharma Inc
ALBO
+$17.5M
3
AVPT icon
AvePoint
AVPT
+$14.1M
4
SST icon
System1
SST
+$10.2M
5
MCD icon
McDonald's
MCD
+$10M

Top Sells

Rank Stock Value
1
CCL icon
Carnival Corporation Ltd
CCL
+$24.2M
2
BLU
BELLUS Health Inc.
BLU
+$16.7M
3
ABUS icon
Arbutus Biopharma
ABUS
+$11.7M
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
+$5.79M

Sector Composition

Rank Sector Weight
1 Healthcare 14.03%
2 Consumer Discretionary 13.24%
3 Financials 8.37%
4 Technology 6.29%
5 Industrials 3.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
WPX
301
DELISTED
WPX Energy, Inc.
WPX
$50K 0.01%
+10,115
New +$56K
SNDL icon
302
Sundial Growers
SNDL
$313M
$49K 0.01%
20,310
– –
AMC icon
303
AMC Entertainment Holdings
AMC
$2.2B
$48K 0.01%
+1,029
New +$51.5K
NBACR
304
DELISTED
Newborn Acquisition Corp. Right
NBACR
$48K 0.01%
184,000
– –
MIST icon
305
PUT
Milestone Pharmaceuticals
MIST
$142M
$47K 0.01%
+27,600
New +$198K
SAND
306
CALL
DELISTED
Sandstorm Gold
SAND
$47K 0.01%
28,300
– –
CIICW
307
DELISTED
CIIG Merger Corp. Warrants
CIICW
$47K 0.01%
54,389
-37,391
-41% -$36.7K
PBR icon
308
Petrobras
PBR
$116B
$43K 0.01%
+6,056
New +$51.5K
EIDX
309
PUT
DELISTED
Eidos Therapeutics, Inc. Common Stock
EIDX
$43K 0.01%
+31,200
New +$1.4M
CCAC.WS
310
DELISTED
CITIC Capital Acquisition Corp. Warrants, each whole warrant exercisable for one Class A ordinary sh
CCAC.WS
$42K 0.01%
+33,510
New +$27.9K
CPSR.WS
311
DELISTED
Capstar Special Purpose Acquisition Corp. Warrants, each whole warrant exercisable for one share of
CPSR.WS
$42K 0.01%
+52,752
New +$41.6K
BMRN icon
312
PUT
BioMarin Pharmaceuticals
BMRN
$13.7B
$40K 0.01%
+9,300
New +$941K
ETACW
313
DELISTED
E.Merge Technology Acquisition Corp. Warrant
ETACW
$40K 0.01%
+42,401
New +$47.2K
TALKW
314
DELISTED
Talkspace Inc Warrant
TALKW
$39K 0.01%
+32,988
New +$31.2K
LOTZW
315
DELISTED
CarLotz, Inc. Warrant
LOTZW
$39K 0.01%
35,869
-150,010
-81% -$158K
CNK icon
316
CALL
Cinemark Holdings
CNK
$4.27B
$38K 0.01%
+94,300
New +$1.18M
PFNX
317
PUT
DELISTED
Pfenex Inc.
PFNX
$37K 0.01%
+70,000
New +$741K
TRNE.WS
318
DELISTED
Trine Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A
TRNE.WS
$36K 0.01%
13,826
-301,882
-96% -$569K
ANGI icon
319
PUT
Angi Inc
ANGI
$176M
$35K 0.01%
2,150
-17,850
-89% -$2.46M
MNTSW icon
320
Momentus Inc Warrant
MNTSW
$9
$35K 0.01%
30,060
-44,749
-60% -$31.8K
SWCH
321
DELISTED
Switch, Inc. Class A Common Stock
SWCH
$35K 0.01%
+2,272
New +$38.7K
WPF.WS
322
DELISTED
Foley Trasimene Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A
WPF.WS
$35K 0.01%
+15,300
New +$32.4K
GMHIW
323
DELISTED
Gores Metropoulos, Inc. Warrant
GMHIW
$34K 0.01%
10,938
-53,786
-83% -$138K
ACAD icon
324
CALL
Acadia Pharmaceuticals
ACAD
$5.08B
$33K 0.01%
+20,500
New +$885K
KMI icon
325
Kinder Morgan
KMI
$70.7B
$32K 0.01%
+2,587
New +$36K
11 12
13
14 15

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CIP
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PWLP
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FPCG
Fort Pitt Capital Group Pittsburgh, Pennsylvania $3.55B AUM 34.86% 1-Year Est. Return
SI
Scout Investments Kansas City, Missouri $3.8B AUM 45.91% 1-Year Est. Return
BC
Boxer Capital San Diego, California $2.04B AUM 108.39% 1-Year Est. Return
FTDI
First Trust Direct Indexing Boston, Massachusetts $1.87B AUM 43.63% 1-Year Est. Return
CIM
Contrarius Investment Management St. Helier, Jersey $1.76B AUM 35.87% 1-Year Est. Return
PRO
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Cowen and Company's Q3 2020 Portfolio in Review

As of Q3 2020, Cowen and Company held 630 positions worth $613M, up 1.8% from $601M the previous quarter. Its ten largest holdings account for 53% of the portfolio.

Cowen and Company deployed $98.2M of net new capital in Q3 2020, opening 243 new positions and adding to 56 existing holdings. Its largest new stake was Albireo Pharma Inc: 600,000 shares worth $20M.

By sector, the portfolio is most concentrated in Healthcare at 14% of assets, down from 14% a quarter earlier, followed by Consumer Discretionary and Financials.

On the sell side, the largest reduction was Arbutus Biopharma, an estimated $11.7M trimmed.

  • Cowen and Company's largest Q3 2020 buy was Albireo Pharma Inc: 600,000 shares worth $20M.
  • Cowen and Company added most to Invesco QQQ Trust in Q3 2020, an estimated $60.6M increase.
  • Cowen and Company's biggest Q3 2020 reduction was Arbutus Biopharma, cutting an estimated $11.7M.
  • Cowen and Company fully exited Carnival Corporation Ltd in Q3 2020, selling an estimated $24.2M.
  • Cowen and Company's ten largest holdings make up 53% of its $613M portfolio in Q3 2020.
  • Cowen and Company opened 243 new positions and closed 199 in Q3 2020.
  • Cowen and Company's portfolio value rose 1.8% quarter-over-quarter to $613M.

Based on Cowen and Company's 13F filing for Q3 2020, filed 3 Nov 2020.