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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
+18.18%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$1.12B
AUM Growth
+$507M
Cap. Flow
+$424M
Cap. Flow %
37.86%
Top 10 Hldgs %
69.37%
Holding
669
New
238
Increased
59
Reduced
66
Closed
278

Top Buys

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$112M
2
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$111M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$69.2M
4
QQQ icon
Invesco QQQ Trust
QQQ
+$68.6M
5
IWM icon
iShares Russell 2000 ETF
IWM
+$49.8M

Top Sells

Rank Stock Value
1
NKLA
Nikola Corporation Common Stock
NKLA
+$40M
2
ALBO
Albireo Pharma Inc
ALBO
+$20M
3
AVPT icon
AvePoint
AVPT
+$14.5M
4
MCD icon
McDonald's
MCD
+$10.2M
5
CMRC
Commerce.com Inc Series 1
CMRC
+$5.84M

Sector Composition

Rank Sector Weight
1 Financials 8.86%
2 Healthcare 4.92%
3 Technology 4.04%
4 Communication Services 3.4%
5 Industrials 2.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HYLN icon
451
PUT
Hyliion Holdings
HYLN
$699M
– –
-123,400
Closed -$1.17M
PPLI
452
CALL
People Inc
PPLI
$2.97B
– –
-82,997
Closed -$222K
PPLI
453
PUT
People Inc
PPLI
$2.97B
– –
-55,514
Closed -$95K
IFF icon
454
CALL
International Flavors & Fragrances
IFF
$21.7B
– –
-7,200
Closed -$25K
IGMS
455
CALL
DELISTED
IGM Biosciences
IGMS
– –
-45,000
Closed -$761K
IGMS
456
PUT
DELISTED
IGM Biosciences
IGMS
– –
-45,000
Closed -$191K
IJR icon
457
iShares Core S&P Small-Cap ETF
IJR
$112B
– –
-2,881
Closed -$202K
IMMR icon
458
CALL
Immersion
IMMR
$248M
– –
-20,000
Closed -$2K
INO icon
459
CALL
Inovio Pharmaceuticals
INO
$79.1M
– –
-8,200
Closed -$17K
INO icon
460
Inovio Pharmaceuticals
INO
$79.1M
– –
-4,633
Closed -$645K
INO icon
461
PUT
Inovio Pharmaceuticals
INO
$79.1M
– –
-12,833
Closed -$639K
INTC icon
462
CALL
Intel
INTC
$493B
– –
-135,600
Closed -$196K
INVA icon
463
CALL
Innoviva
INVA
$1.5B
– –
-234,100
Closed -$53K
INVA icon
464
Innoviva
INVA
$1.5B
– –
-59,258
Closed -$619K
IONS icon
465
CALL
Ionis Pharmaceuticals
IONS
$9.21B
– –
-16,500
Closed -$16K
IONS icon
466
Ionis Pharmaceuticals
IONS
$9.21B
– –
-8,061
Closed -$382K
IONS icon
467
PUT
Ionis Pharmaceuticals
IONS
$9.21B
– –
-16,500
Closed -$116K
IWM icon
468
CALL
iShares Russell 2000 ETF
IWM
$81.8B
– –
-841,500
Closed -$1.27M
IWM icon
469
PUT
iShares Russell 2000 ETF
IWM
$81.8B
– –
-233,600
Closed -$943K
KMI icon
470
CALL
Kinder Morgan
KMI
$70.1B
– –
-37,000
Closed -$1K
KMI icon
471
Kinder Morgan
KMI
$70.1B
– –
-2,587
Closed -$32K
KODK icon
472
Kodak
KODK
$987M
– –
-102,700
Closed -$906K
KODK icon
473
PUT
Kodak
KODK
$987M
– –
-102,700
Closed -$241K
KPLT icon
474
Katapult Holdings
KPLT
$39.8M
– –
-2,157
Closed -$541K
KPLTW
475
DELISTED
Katapult Holdings Warrant
KPLTW
– –
-68,196
Closed -$68K
17 18
19
20 21

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PWLP
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FPCG
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SI
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BC
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FTDI
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CIM
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PRO
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Cowen and Company's Q4 2020 Portfolio in Review

As of Q4 2020, Cowen and Company held 669 positions worth $1.12B, up 83% from $613M the previous quarter. Its ten largest holdings account for 69% of the portfolio.

Cowen and Company deployed $424M of net new capital in Q4 2020, opening 238 new positions and adding to 59 existing holdings. Its largest new stake was iShares iBoxx $ Investment Grade Corporate Bond ETF: 825,000 shares worth $114M.

By sector, the portfolio is most concentrated in Financials at 8.9% of assets, up from 8.4% a quarter earlier, followed by Healthcare and Technology.

On the sell side, the largest reduction was McDonald's, an estimated $10.2M trimmed.

  • Cowen and Company's largest Q4 2020 buy was iShares iBoxx $ Investment Grade Corporate Bond ETF: 825,000 shares worth $114M.
  • Cowen and Company added most to Invesco QQQ Trust in Q4 2020, an estimated $68.6M increase.
  • Cowen and Company's biggest Q4 2020 reduction was McDonald's, cutting an estimated $10.2M.
  • Cowen and Company fully exited Nikola Corporation Common Stock in Q4 2020, selling an estimated $40M.
  • Cowen and Company's ten largest holdings make up 69% of its $1.12B portfolio in Q4 2020.
  • Cowen and Company opened 238 new positions and closed 278 in Q4 2020.
  • Cowen and Company's portfolio value rose 83% quarter-over-quarter to $1.12B.

Based on Cowen and Company's 13F filing for Q4 2020, filed 8 Feb 2021.