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
NGA.U
301
DELISTED
Northern Genesis Acquisition Corp. Units, each consisting of one share of common stock and one-half
NGA.U
– –
-67,500
Closed -$674K
GWPH
302
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
– –
-5,823
Closed -$567K
STPK.U
303
DELISTED
Star Peak Energy Transition Corp. Units, each consisting of one share of Class A common stock, and o
STPK.U
– –
-107,457
Closed -$1.1M
DMYD.U
304
DELISTED
dMY Technology Group, Inc. II Units, each consisting of one share of Class A common stock and one-th
DMYD.U
– –
-18,003
Closed -$184K
VAR
305
DELISTED
Varian Medical Systems, Inc.
VAR
– –
0
– –
CGROW
306
DELISTED
Collective Growth Corporation Warrant
CGROW
– –
-28,058
Closed -$17K
RPLA
307
DELISTED
Replay Acquisition Corp. Ordinary Shares
RPLA
– –
-57,768
Closed -$588K
RPLA.WS
308
DELISTED
Replay Acquisition Corp. Warrants
RPLA.WS
– –
-183,249
Closed -$174K
CIICU
309
DELISTED
CIIG Merger Corp. Units
CIICU
– –
-25,590
Closed -$261K
CIICW
310
DELISTED
CIIG Merger Corp. Warrants
CIICW
– –
-54,389
Closed -$47K
CIIC
311
DELISTED
CIIG Merger Corp. - Class A Common Stock
CIIC
– –
-47,243
Closed -$473K
NBACR
312
DELISTED
Newborn Acquisition Corp. Right
NBACR
– –
-184,000
Closed -$48K
ROCHU
313
DELISTED
Roth CH Acquisition I Co. Unit
ROCHU
– –
-10,000
Closed -$107K
ROCH
314
DELISTED
Roth CH Acquisition I Co. Common Stock
ROCH
– –
-20,496
Closed -$204K
IPV.U
315
DELISTED
InterPrivate Acquisition Corp. Units, each consisting of one share of common stock, $.0001 par value
IPV.U
– –
-16,812
Closed -$174K
CLA.U
316
DELISTED
Colonnade Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of one
CLA.U
– –
-58,200
Closed -$580K
LGVW.WS
317
DELISTED
Longview Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Clas
LGVW.WS
– –
-572,848
Closed -$556K
LGVW.U
318
DELISTED
Longview Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-thir
LGVW.U
– –
-31,670
Closed -$321K
PCPL.WS
319
DELISTED
CC Neuberger Principal Holdings I Warrants, each whole warrant exercisable for one Class A ordinary
PCPL.WS
– –
-30,949
Closed -$56K
EIDX
320
DELISTED
Eidos Therapeutics, Inc. Common Stock
EIDX
– –
-6,427
Closed -$325K
GHIVU
321
DELISTED
Gores Holdings IV, Inc. Unit
GHIVU
– –
-451,701
Closed -$4.82M
PE
322
DELISTED
PARSLEY ENERGY INC
PE
– –
0
– –
IPOC.U
323
DELISTED
Social Capital Hedosophia Holdings Corp. III Units, each consisting of one Class A ordinary share an
IPOC.U
– –
-40,101
Closed -$551K
WPX
324
DELISTED
WPX Energy, Inc.
WPX
– –
-10,115
Closed -$50K
TIF
325
DELISTED
Tiffany & Co.
TIF
– –
0
– –
11 12
13
14 15