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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
+3.57%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$2.11B
AUM Growth
+$194M
Cap. Flow
+$818M
Cap. Flow %
38.75%
Top 10 Hldgs %
58.11%
Holding
879
New
298
Increased
119
Reduced
90
Closed
306

Top Buys

Rank Stock Value
1
MIC
Macquarie Infrastructure Holdings, LLC
MIC
+$47M
2
FTAI icon
FTAI Aviation
FTAI
+$42.9M
3
CLDX icon
Celldex Therapeutics
CLDX
+$29.1M
4
ESTA icon
Establishment Labs
ESTA
+$17.5M
5
VMW
VMware, Inc
VMW
+$15.1M

Top Sells

Rank Stock Value
1
WPF
Foley Trasimene Acquisition Corp.
WPF
+$15.1M
2
BPYU
Brookfield Property REIT Inc. Class A Common Stock
BPYU
+$14.4M
3
RBAC
RedBall Acquisition Corp.
RBAC
+$12.6M
4
SST icon
System1
SST
+$9.9M
5
NICE icon
Nice
NICE
+$7.38M

Sector Composition

Rank Sector Weight
1 Healthcare 15.03%
2 Consumer Discretionary 11.05%
3 Financials 5.53%
4 Technology 3.61%
5 Industrials 2.7%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SDC
476
DELISTED
SmileDirectClub, Inc. Class A Common Stock
SDC
$23K ﹤0.01%
+4,237
New +$26.3K
FLACW
477
DELISTED
Frazier Lifesciences Acquisition Corporation Warrant
FLACW
$23K ﹤0.01%
+33,634
New +$30.2K
AMD icon
478
CALL
Advanced Micro Devices
AMD
$774B
$22K ﹤0.01%
+7,300
New +$746K
PROCW
479
DELISTED
Procaps Group, S.A. Warrants
PROCW
$22K ﹤0.01%
+20,000
New +$21.6K
COEPW
480
DELISTED
Coeptis Therapeutics Warrants
COEPW
$21K ﹤0.01%
79,294
– –
LYV icon
481
PUT
Live Nation Entertainment
LYV
$42.7B
$21K ﹤0.01%
+41,000
New +$3.45M
PTGX icon
482
PUT
Protagonist Therapeutics
PTGX
$9.6B
$21K ﹤0.01%
+15,000
New +$640K
SOC.WS
483
DELISTED
Sable Offshore Corp. Warrants, each whole warrant exercisable for one share of Common Stock at an exercise price of $11.50
SOC.WS
$21K ﹤0.01%
34,447
-90,553
-72% -$97.2K
LUXAW
484
DELISTED
Lux Health Tech Acquisition Corp. Warrants
LUXAW
$21K ﹤0.01%
+18,282
New +$21.1K
DSKEW
485
DELISTED
Daseke, Inc. Warrant
DSKEW
$21K ﹤0.01%
100,000
-993,999
-91% -$183K
MACQW
486
DELISTED
MCAP Acquisition Corporation Warrants
MACQW
$21K ﹤0.01%
19,599
-71,967
-79% -$74.3K
AJRD
487
CALL
DELISTED
Aerojet Rocketdyne Holdings
AJRD
$19K ﹤0.01%
+20,400
New +$910K
CFFVW
488
DELISTED
CF Acquisition Corp. V Warrant
CFFVW
$19K ﹤0.01%
20,000
-47,340
-70% -$50.5K
MCRB icon
489
PUT
Seres Therapeutics
MCRB
$46.6M
$18K ﹤0.01%
+1,010
New +$198K
SRPT icon
490
CALL
Sarepta Therapeutics
SRPT
$1.92B
$18K ﹤0.01%
+1,500
New +$116K
AMPI.WS
491
DELISTED
Advanced Merger Partners Inc Warrants
AMPI.WS
$18K ﹤0.01%
+19,889
New +$20.5K
XME icon
492
State Street SPDR S&P Metals & Mining ETF
XME
$4.56B
$17K ﹤0.01%
+400
New +$17.3K
TRCA.WS
493
DELISTED
Twin Ridge Capital Acquisition Corp. Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
TRCA.WS
$17K ﹤0.01%
25,000
– –
HCCCW
494
DELISTED
Healthcare Capital Corp. Warrant
HCCCW
$17K ﹤0.01%
+25,000
New +$17.9K
KURA icon
495
PUT
Kura Oncology
KURA
$882M
$16K ﹤0.01%
+15,000
New +$283K
HYZN
496
CALL
DELISTED
Hyzon Motors Inc. Class A Common Stock
HYZN
$16K ﹤0.01%
+6,656
New +$2.88M
ADEX.WS
497
DELISTED
Adit EdTech Acquisition Corp Warrants
ADEX.WS
$16K ﹤0.01%
32,828
+7,615
+30% +$4.52K
DXJ icon
498
PUT
WisdomTree Japan Hedged Equity Fund
DXJ
$7.43B
$15K ﹤0.01%
12,100
– –
JSPRW icon
499
Japer Therapeutics Warrants
JSPRW
$216K
$15K ﹤0.01%
10,200
-19,800
-66% -$21.2K
LCID icon
500
PUT
Lucid Motors
LCID
$2.64B
$15K ﹤0.01%
+2,800
New +$649K
18 19
20
21 22

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CIP
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PWLP
Prio Wealth Limited Partnership Boston, Massachusetts $3.41B AUM 44.09% 1-Year Est. Return
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
Pensioenfonds Rail & OV Utrecht, Netherlands $1.44B AUM 23.73% 1-Year Est. Return

Cowen and Company's Q3 2021 Portfolio in Review

As of Q3 2021, Cowen and Company held 879 positions worth $2.11B, up 10% from $1.92B the previous quarter. Its ten largest holdings account for 58% of the portfolio.

Cowen and Company deployed $818M of net new capital in Q3 2021, opening 298 new positions and adding to 119 existing holdings. Its largest new stake was Macquarie Infrastructure Holdings, LLC: 1,190,000 shares worth $48.3M.

By sector, the portfolio is most concentrated in Healthcare at 15% of assets, up from 12% a quarter earlier, followed by Consumer Discretionary and Financials.

On the sell side, the largest reduction was Nice, an estimated $7.38M trimmed.

  • Cowen and Company's largest Q3 2021 buy was Macquarie Infrastructure Holdings, LLC: 1,190,000 shares worth $48.3M.
  • Cowen and Company added most to FTAI Aviation in Q3 2021, an estimated $42.9M increase.
  • Cowen and Company's biggest Q3 2021 reduction was Nice, cutting an estimated $7.38M.
  • Cowen and Company fully exited Foley Trasimene Acquisition Corp. in Q3 2021, selling an estimated $15.1M.
  • Cowen and Company's ten largest holdings make up 58% of its $2.11B portfolio in Q3 2021.
  • Cowen and Company opened 298 new positions and closed 306 in Q3 2021.
  • Cowen and Company's portfolio value rose 10% quarter-over-quarter to $2.11B.

Based on Cowen and Company's 13F filing for Q3 2021, filed 12 Nov 2021.