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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
+18.18%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$1.12B
AUM Growth
+$507M
Cap. Flow
+$424M
Cap. Flow %
37.86%
Top 10 Hldgs %
69.37%
Holding
669
New
238
Increased
59
Reduced
66
Closed
278

Top Buys

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$112M
2
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$111M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$69.2M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$68.6M
5
IWM icon
iShares Russell 2000 ETF
IWM
+$49.8M

Top Sells

Rank Stock Value
1
NKLA
Nikola Corporation Common Stock
NKLA
+$40M
2
ALBO
Albireo Pharma Inc
ALBO
+$20M
3
AVPT icon
AvePoint
AVPT
+$14.5M
4
MCD icon
McDonald's
MCD
+$10.2M
5
CMRC
Commerce.com Inc Series 1
CMRC
+$5.84M

Sector Composition

Rank Sector Weight
1 Financials 8.86%
2 Healthcare 4.92%
3 Technology 4.04%
4 Communication Services 3.4%
5 Industrials 2.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BMRN icon
301
PUT
BioMarin Pharmaceuticals
BMRN
$13.4B
$33K ﹤0.01%
24,200
+14,900
+160% +$1.18M
RIGL icon
302
PUT
Rigel Pharmaceuticals
RIGL
$773M
$32K ﹤0.01%
6,470
+2,720
+73% +$78.7K
HPX.WS
303
DELISTED
HPX Corp. Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
HPX.WS
$32K ﹤0.01%
+30,000
New +$26.4K
DFNS.WS
304
DELISTED
LGL Systems Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for shares of Clas
DFNS.WS
$32K ﹤0.01%
20,000
-33,661
-63% -$40K
NEM icon
305
PUT
Newmont
NEM
$123B
$31K ﹤0.01%
74,400
+28,300
+61% +$1.74M
SIOX
306
PUT
DELISTED
Sio Gene Therapies Inc. Common Stock
SIOX
$31K ﹤0.01%
+19,000
New +$55.3K
PS
307
CALL
DELISTED
Pluralsight, Inc. Class A Common Stock
PS
$28K ﹤0.01%
+71,700
New +$1.28M
XLF icon
308
PUT
State Street Financial Select Sector SPDR ETF
XLF
$59.2B
$27K ﹤0.01%
+540,700
New +$14.5M
KSMTW
309
DELISTED
Kismet Acquisition One Corp Warrant
KSMTW
$27K ﹤0.01%
+25,000
New +$22.1K
AGIO icon
310
PUT
Agios Pharmaceuticals
AGIO
$1.97B
$26K ﹤0.01%
+10,000
New +$395K
SBG.WS
311
DELISTED
Sandbridge Acquisition Corporation Warrants, each whole warrant exercisable for one share of Class A
SBG.WS
$26K ﹤0.01%
+20,000
New +$17.9K
GWPH
312
PUT
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
$26K ﹤0.01%
5,500
-2,000
-27% -$224K
NBA.WS
313
DELISTED
New Beginnings Acquisition Corp. Redeemable Warrants, each warrant exercisable for one share of Comm
NBA.WS
$25K ﹤0.01%
+25,000
New +$17.3K
GNRSW
314
DELISTED
Greenrose Acquisition Corp. Warrant
GNRSW
$25K ﹤0.01%
25,000
-63,059
-72% -$30.5K
MRSN
315
PUT
DELISTED
Mersana Therapeutics
MRSN
$23K ﹤0.01%
+340
New +$189K
EXEL icon
316
PUT
Exelixis
EXEL
$12.8B
$22K ﹤0.01%
+15,000
New +$314K
JSPRW icon
317
Japer Therapeutics Warrants
JSPRW
$216K
$22K ﹤0.01%
15,000
– –
SAND
318
CALL
DELISTED
Sandstorm Gold
SAND
$22K ﹤0.01%
28,300
– –
SLV icon
319
CALL
iShares Silver Trust
SLV
$31.4B
$21K ﹤0.01%
+40,800
New +$928K
XOM icon
320
CALL
ExxonMobil
XOM
$657B
$21K ﹤0.01%
+29,900
New +$1.12M
DIS icon
321
PUT
Walt Disney
DIS
$178B
$20K ﹤0.01%
+126,700
New +$18.2M
STLNW
322
Starling Oncology, Inc. Warrant
STLNW
$4.99M
$20K ﹤0.01%
10,290
-751
-7% -$1.29K
UKOMW
323
DELISTED
Ucommune International Ltd Warrant
UKOMW
$20K ﹤0.01%
80,000
– –
IBB icon
324
iShares Biotechnology ETF
IBB
$9.83B
$19K ﹤0.01%
127
-10,893
-99% -$1.56M
WORK
325
PUT
DELISTED
Slack Technologies, Inc.
WORK
$19K ﹤0.01%
+76,800
New +$2.6M
11 12
13
14 15

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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 2020 Portfolio in Review

As of Q4 2020, Cowen and Company held 669 positions worth $1.12B, up 83% from $613M the previous quarter. Its ten largest holdings account for 69% of the portfolio.

Cowen and Company deployed $424M of net new capital in Q4 2020, opening 238 new positions and adding to 59 existing holdings. Its largest new stake was iShares iBoxx $ Investment Grade Corporate Bond ETF: 825,000 shares worth $114M.

By sector, the portfolio is most concentrated in Financials at 8.9% of assets, up from 8.4% a quarter earlier, followed by Healthcare and Technology.

On the sell side, the largest reduction was McDonald's, an estimated $10.2M trimmed.

  • Cowen and Company's largest Q4 2020 buy was iShares iBoxx $ Investment Grade Corporate Bond ETF: 825,000 shares worth $114M.
  • Cowen and Company added most to Invesco QQQ Trust in Q4 2020, an estimated $68.6M increase.
  • Cowen and Company's biggest Q4 2020 reduction was McDonald's, cutting an estimated $10.2M.
  • Cowen and Company fully exited Nikola Corporation Common Stock in Q4 2020, selling an estimated $40M.
  • Cowen and Company's ten largest holdings make up 69% of its $1.12B portfolio in Q4 2020.
  • Cowen and Company opened 238 new positions and closed 278 in Q4 2020.
  • Cowen and Company's portfolio value rose 83% quarter-over-quarter to $1.12B.

Based on Cowen and Company's 13F filing for Q4 2020, filed 8 Feb 2021.