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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
-2.91%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$394M
AUM Growth
–
Cap. Flow
+$923M
Cap. Flow %
234.23%
Top 10 Hldgs %
47.92%
Holding
448
New
446
Increased
–
Reduced
–
Closed
–

Top Buys

Rank Stock Value
1
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$70M
2
ZM icon
Zoom
ZM
+$38.9M
3
CRWD icon
CrowdStrike
CRWD
+$24M
4
BYND icon
Beyond Meat
BYND
+$18.9M
5
NKLA
Nikola Corporation Common Stock
NKLA
+$12.1M

Top Sells

No sells this quarter

Sector Composition

Rank Sector Weight
1 Financials 28.08%
2 Technology 20%
3 Consumer Discretionary 7.92%
4 Consumer Staples 6.17%
5 Healthcare 5.2%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
LHC.WS
326
DELISTED
Leo Holdings Corp. Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exe
LHC.WS
$48K 0.01%
+64,317
New +$56.1K
ONCE
327
CALL
DELISTED
Spark Therapeutics, Inc. Common Stock
ONCE
$48K 0.01%
+14,000
New +$1.4M
WRLSR
328
DELISTED
Pensare Acquisition Corp. Right to purchase 1/10 of common stock
WRLSR
$47K 0.01%
+157,611
New +$33.7K
CHS
329
PUT
DELISTED
Chicos FAS, Inc.
CHS
$46K 0.01%
+612,200
New +$2.07M
QNST icon
330
CALL
QuinStreet
QNST
$1.21B
$44K 0.01%
+40,300
New +$550K
KRE icon
331
PUT
State Street SPDR S&P Regional Banking ETF
KRE
$4.57B
$43K 0.01%
+75,000
New +$3.92M
OIH icon
332
CALL
VanEck Oil Services ETF
OIH
$1.84B
$42K 0.01%
+1,000
New +$259K
PACD
333
DELISTED
Pacific Drilling S.A. Common Shares
PACD
$41K 0.01%
+10,400
New +$73.3K
LOB icon
334
CALL
Live Oak Bancshares
LOB
$1.97B
$40K 0.01%
+80,000
New +$1.44M
MFAC.WS
335
DELISTED
Megalith Financial Acquisition Corp. Warrants, each warrant exercisable for one share of Class A Com
MFAC.WS
$40K 0.01%
+106,166
New +$33.5K
HYACW
336
DELISTED
Haymaker Acquisition Corp. II Warrant
HYACW
$40K 0.01%
+26,700
New +$33.8K
CPAAW
337
DELISTED
Conyers Park II Acquisition Corp. Warrant
CPAAW
$40K 0.01%
+20,141
New +$36.8K
REAL icon
338
PUT
The RealReal
REAL
$1.5B
$39K 0.01%
+15,700
New +$316K
TRGP icon
339
CALL
Targa Resources
TRGP
$55.1B
$39K 0.01%
+100,000
New +$3.82M
SRRA
340
DELISTED
Sierra Oncology, Inc. Common Stock
SRRA
$39K 0.01%
+2,500
New +$47.8K
GIG.RT
341
DELISTED
GigCapital, Inc. Rights, each exchangeable into one-tenth of one share of Common Stock
GIG.RT
$39K 0.01%
+43,900
New +$27.1K
NEBUW
342
DELISTED
Nebula Acquisition Corporation Warrant
NEBUW
$38K 0.01%
+38,059
New +$38.7K
CNC icon
343
PUT
Centene
CNC
$32.5B
$37K 0.01%
+75,000
New +$3.65M
TRNE.WS
344
DELISTED
Trine Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A
TRNE.WS
$37K 0.01%
+47,400
New +$35.5K
BIOX.WS
345
DELISTED
Bioceres Crop Solutions Corp Warrants, exercisable for ordinary shares
BIOX.WS
$37K 0.01%
+109,518
New +$41.5K
PAACR
346
DELISTED
Proficient Alpha Acquisition Corp. Rights
PAACR
$37K 0.01%
+192,409
New +$36.8K
UAL icon
347
CALL
United Airlines
UAL
$42.1B
$34K 0.01%
+23,400
New +$2.07M
BJ icon
348
PUT
BJs Wholesale Club
BJ
$12.3B
$33K 0.01%
+55,600
New +$1.38M
XBI icon
349
PUT
State Street SPDR S&P Biotech ETF
XBI
$10.3B
$33K 0.01%
+23,000
New +$1.91M
CLVS
350
CALL
DELISTED
Clovis Oncology, Inc.
CLVS
$33K 0.01%
+95,000
New +$768K
12 13
14
15 16

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Cowen and Company's Q3 2019 Portfolio in Review

Q3 2019 is the first quarter with a 13F filing on record for Cowen and Company, which disclosed 448 positions worth $394M. Its ten largest holdings account for 48% of the portfolio.

Its largest position is Sumitomo Mitsui Financial: 10,251,605 shares worth $70.1M.

By sector, the portfolio is most concentrated in Financials at 28% of assets, followed by Technology and Consumer Discretionary.

  • Cowen and Company's largest Q3 2019 buy was Sumitomo Mitsui Financial: 10,251,605 shares worth $70.1M.
  • Cowen and Company's ten largest holdings make up 48% of its $394M portfolio in Q3 2019.
  • Cowen and Company disclosed 448 positions in Q3 2019, its first 13F filing on record.

Based on Cowen and Company's 13F filing for Q3 2019, filed 12 Nov 2019.