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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
DDMXW
401
DELISTED
DD3 Acquisition Corp. Warrants
DDMXW
$13K ﹤0.01%
+37,666
New +$12.7K
ACB
402
CALL
Aurora Cannabis
ACB
$185M
$12K ﹤0.01%
+505
New +$374K
VZ icon
403
PUT
Verizon
VZ
$196B
$12K ﹤0.01%
+35,000
New +$2.02M
ADNWW
404
DELISTED
Advent Technologies Holdings Warrant
ADNWW
$11K ﹤0.01%
+32,400
New +$10.5K
FBNC icon
405
CALL
First Bancorp
FBNC
$2.68B
$11K ﹤0.01%
+42,900
New +$1.54M
GAP
406
PUT
The Gap Inc
GAP
$7.37B
$11K ﹤0.01%
+20,000
New +$355K
PVTL
407
CALL
DELISTED
Pivotal Software, Inc.
PVTL
$11K ﹤0.01%
+151,000
New +$1.85M
HYG icon
408
PUT
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$17.9B
$10K ﹤0.01%
+51,400
New +$4.46M
NRXPW
409
DELISTED
NRX Pharmaceuticals Warrant
NRXPW
$10K ﹤0.01%
+58,586
New +$11.4K
PAACW
410
DELISTED
Proficient Alpha Acquisition Corp. Warrant
PAACW
$10K ﹤0.01%
+140,978
New +$16.3K
PACB icon
411
CALL
Pacific Biosciences
PACB
$370M
$9K ﹤0.01%
+51,900
New +$290K
GPRO icon
412
CALL
GoPro
GPRO
$126M
$8K ﹤0.01%
+10,000
New +$46.9K
TWLVW
413
DELISTED
Twelve Seas Investment Company Warrant
TWLVW
$8K ﹤0.01%
+24,800
New +$8K
ACB
414
PUT
Aurora Cannabis
ACB
$185M
$7K ﹤0.01%
+25
New +$18.5K
ZAYO
415
CALL
DELISTED
Zayo Group Holdings, Inc.
ZAYO
$7K ﹤0.01%
+101,900
New +$3.43M
ZAYO
416
PUT
DELISTED
Zayo Group Holdings, Inc.
ZAYO
$7K ﹤0.01%
+40,800
New +$1.37M
AMD icon
417
PUT
Advanced Micro Devices
AMD
$789B
$6K ﹤0.01%
+40,000
New +$1.25M
SIRI icon
418
PUT
SiriusXM
SIRI
$10.1B
$6K ﹤0.01%
+13,980
New +$860K
BITA
419
PUT
DELISTED
Bitauto Holdings Limited
BITA
$6K ﹤0.01%
+15,900
New +$195K
S
420
DELISTED
Sprint Corporation
S
$6K ﹤0.01%
+900
New +$6.19K
DAL icon
421
CALL
Delta Air Lines
DAL
$60.1B
$5K ﹤0.01%
+27,200
New +$1.61M
IRM icon
422
CALL
Iron Mountain
IRM
$36.1B
$5K ﹤0.01%
+100,000
New +$3.14M
RVPHW
423
DELISTED
Reviva Pharmaceuticals Warrants
RVPHW
$5K ﹤0.01%
+20,000
New +$3.83K
XBI icon
424
CALL
State Street SPDR S&P Biotech ETF
XBI
$10.3B
$5K ﹤0.01%
+3,900
New +$324K
HHHHR
425
DELISTED
Wealthbridge Acquisition Limited Rights
HHHHR
$5K ﹤0.01%
+24,300
New +$5.17K
14 15 16
17
18

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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.