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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
DMTKW
351
DELISTED
DermTech, Inc. Warrant
DMTKW
$33K 0.01%
+280,292
New +$23.6K
DAL icon
352
PUT
Delta Air Lines
DAL
$58.9B
$32K 0.01%
+27,200
New +$1.61M
ALACR
353
DELISTED
Alberton Acquisition Corp Rights
ALACR
$32K 0.01%
+111,500
New +$28K
S
354
CALL
DELISTED
Sprint Corporation
S
$32K 0.01%
+40,000
New +$275K
FAST icon
355
Fastenal
FAST
$59.7B
$31K 0.01%
+1,922
New +$29.9K
RBZ
356
DELISTED
Reebonz Holding Limited Ordinary Shares
RBZ
$31K 0.01%
+29,942
New +$67K
CGC
357
CALL
Canopy Growth
CGC
$401M
$29K 0.01%
+25,000
New +$7.65M
GDX icon
358
CALL
VanEck Gold Miners ETF
GDX
$27.4B
$29K 0.01%
+244,600
New +$6.84M
RMG.WS
359
DELISTED
RMG Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stoc
RMG.WS
$29K 0.01%
+39,216
New +$31.4K
GPAQW
360
DELISTED
Gordon Pointe Acquisition Corp. Warrant
GPAQW
$29K 0.01%
+71,999
New +$26.1K
EMR icon
361
PUT
Emerson Electric
EMR
$89B
$28K 0.01%
+28,400
New +$1.78M
LTRYW icon
362
Sports Entertainment Gaming Global Corp Warrants
LTRYW
$503
$28K 0.01%
+187,512
New +$32.9K
AGBAR
363
DELISTED
AGBA Acquisition Ltd Right
AGBAR
$28K 0.01%
+149,402
New +$32.4K
IWM icon
364
PUT
iShares Russell 2000 ETF
IWM
$81.3B
$27K 0.01%
+43,100
New +$6.58M
XRT icon
365
CALL
State Street SPDR S&P Retail ETF
XRT
$653M
$27K 0.01%
+31,900
New +$1.32M
TKKSR
366
DELISTED
TKK Symphony Acquisition Corporation Right
TKKSR
$27K 0.01%
+113,500
New +$24.2K
BRPAR
367
DELISTED
Big Rock Partners Acquisition Corp. Right
BRPAR
$26K 0.01%
+117,718
New +$22.2K
EMR icon
368
CALL
Emerson Electric
EMR
$89B
$25K 0.01%
+28,400
New +$1.78M
PCG icon
369
CALL
PG&E
PCG
$37.9B
$25K 0.01%
+74,900
New +$1.13M
AVYA
370
CALL
DELISTED
Avaya Holdings Corp. Common Stock
AVYA
$25K 0.01%
+73,700
New +$866K
ALXN
371
PUT
DELISTED
Alexion Pharmaceuticals
ALXN
$25K 0.01%
+11,700
New +$1.32M
TKKSW
372
DELISTED
TKK Symphony Acquisition Corporation Warrant
TKKSW
$24K 0.01%
+265,963
New +$24.4K
AMRN
373
PUT
Amarin Corp
AMRN
$301M
$23K 0.01%
+16,175
New +$5.65M
CHAP
374
DELISTED
Chaparral Energy, Inc.
CHAP
$23K 0.01%
+17,000
New +$47K
THCAW
375
DELISTED
Tuscan Holdings Corp. II Warrant
THCAW
$22K 0.01%
+40,191
New +$24.1K
13 14
15
16 17

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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.