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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
+16.41%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$1.15B
AUM Growth
+$757M
Cap. Flow
+$1.77B
Cap. Flow %
153.77%
Top 10 Hldgs %
71.98%
Holding
716
New
268
Increased
91
Reduced
64
Closed
268

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$285M
2
AAPL icon
Apple
AAPL
+$138M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$98.2M
4
FRC
First Republic Bank
FRC
+$38.9M
5
XLY icon
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
+$36.5M

Top Sells

Rank Stock Value
1
ZM icon
Zoom
ZM
+$32.9M
2
CRWD icon
CrowdStrike
CRWD
+$17.6M
3
BYND icon
Beyond Meat
BYND
+$17.1M
4
SEGG
Sports Entertainment Gaming Global Corp
SEGG
+$12M
5
BFI
BurgerFi International, Inc. Common Stock
BFI
+$10.1M

Sector Composition

Rank Sector Weight
1 Technology 17.86%
2 Financials 13.13%
3 Healthcare 4.9%
4 Consumer Discretionary 2.63%
5 Communication Services 1.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SHLL.WS
376
DELISTED
Tortoise Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common
SHLL.WS
$16K ﹤0.01%
+34,720
New +$18.4K
HYG icon
377
CALL
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$17.9B
$15K ﹤0.01%
+62,300
New +$5.42M
CFFAW
378
DELISTED
CF Finance Acquisition Corp. Warrant
CFFAW
$14K ﹤0.01%
15,542
-198,793
-93% -$154K
AMRN
379
CALL
Amarin Corp
AMRN
$303M
$13K ﹤0.01%
+1,245
New +$473K
GNW icon
380
PUT
Genworth Financial
GNW
$3.71B
$13K ﹤0.01%
+179,100
New +$753K
GOGO icon
381
Gogo Inc
GOGO
$492M
$13K ﹤0.01%
+1,992
New +$11.6K
KSS icon
382
CALL
Kohl's
KSS
$2.19B
$13K ﹤0.01%
+33,300
New +$1.69M
ICPT
383
CALL
DELISTED
Intercept Pharmaceuticals, Inc.
ICPT
$12K ﹤0.01%
+1,800
New +$161K
EGHT icon
384
PUT
8x8 Inc
EGHT
$332M
$11K ﹤0.01%
+40,000
New +$772K
EXAS
385
CALL
DELISTED
Exact Sciences
EXAS
$11K ﹤0.01%
+15,000
New +$1.32M
EXAS
386
PUT
DELISTED
Exact Sciences
EXAS
$11K ﹤0.01%
+15,000
New +$1.32M
DPHCW
387
DELISTED
DiamondPeak Holdings Corp. Warrant
DPHCW
$11K ﹤0.01%
14,285
-6,393
-31% -$5.01K
NRXPW
388
DELISTED
NRX Pharmaceuticals Warrant
NRXPW
$10K ﹤0.01%
58,586
– –
UTHR icon
389
CALL
United Therapeutics
UTHR
$23.1B
$10K ﹤0.01%
+24,400
New +$2.15M
SCTL
390
PUT
DELISTED
Societal CDMO, Inc. Common Stock
SCTL
$10K ﹤0.01%
+19,300
New +$277K
PHGE.WS
391
DELISTED
BiomX Inc. Warrants to purchase one-half of a share of Common Stock
PHGE.WS
$10K ﹤0.01%
+21,700
New +$13.5K
FAST icon
392
PUT
Fastenal
FAST
$59.5B
$9K ﹤0.01%
10,000
– –
HCA icon
393
PUT
HCA Healthcare
HCA
$89.5B
$9K ﹤0.01%
+9,100
New +$1.22M
RDNT icon
394
PUT
RadNet
RDNT
$5.69B
$9K ﹤0.01%
+25,200
New +$432K
SNDL icon
395
CALL
Sundial Growers
SNDL
$320M
$9K ﹤0.01%
+2,240
New +$73.1K
BRMK.WS
396
DELISTED
Broadmark Realty Capital Inc. Warrants, each exercisable for one fourth (1/4th) share of Common Stock at an exercise price of $2.875 per quarter share
BRMK.WS
$9K ﹤0.01%
+24,744
New +$7.54K
AGBAW
397
DELISTED
AGBA Acquisition Ltd Warrant
AGBAW
$9K ﹤0.01%
154,050
-20,750
-12% -$1.21K
DD icon
398
CALL
DuPont de Nemours
DD
$19.2B
$8K ﹤0.01%
+26,768
New +$2.22M
HHHHR
399
DELISTED
Wealthbridge Acquisition Limited Rights
HHHHR
$8K ﹤0.01%
24,300
– –
EYE icon
400
National Vision
EYE
$1.81B
$7K ﹤0.01%
+201
New +$5.53K
14 15
16
17 18

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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 Q4 2019 Portfolio in Review

As of Q4 2019, Cowen and Company held 716 positions worth $1.15B, up 192% from $394M the previous quarter. Its ten largest holdings account for 72% of the portfolio.

Cowen and Company deployed $1.77B of net new capital in Q4 2019, opening 268 new positions and adding to 91 existing holdings. Its largest new stake was Apple: 2,148,000 shares worth $158M.

By sector, the portfolio is most concentrated in Technology at 18% of assets, down from 20% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was Sports Entertainment Gaming Global Corp, an estimated $12M trimmed.

  • Cowen and Company's largest Q4 2019 buy was Apple: 2,148,000 shares worth $158M.
  • Cowen and Company added most to Invesco QQQ Trust in Q4 2019, an estimated $285M increase.
  • Cowen and Company's biggest Q4 2019 reduction was Sports Entertainment Gaming Global Corp, cutting an estimated $12M.
  • Cowen and Company fully exited Zoom in Q4 2019, selling an estimated $32.9M.
  • Cowen and Company's ten largest holdings make up 72% of its $1.15B portfolio in Q4 2019.
  • Cowen and Company opened 268 new positions and closed 268 in Q4 2019.
  • Cowen and Company's portfolio value rose 192% quarter-over-quarter to $1.15B.

Based on Cowen and Company's 13F filing for Q4 2019, filed 11 Feb 2020.