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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
WFC icon
526
Wells Fargo
WFC
$264B
– –
-820
Closed -$19K
XBI icon
527
PUT
State Street SPDR S&P Biotech ETF
XBI
$10.4B
– –
-22,000
Closed -$27K
XLF icon
528
CALL
State Street Financial Select Sector SPDR ETF
XLF
$59B
– –
-150,000
Closed -$231K
XOM icon
529
ExxonMobil
XOM
$657B
– –
-37,828
Closed -$1.42M
NKLA
530
DELISTED
Nikola Corporation Common Stock
NKLA
– –
-65,026
Closed -$40M
NKLA
531
PUT
DELISTED
Nikola Corporation Common Stock
NKLA
– –
-1,667
Closed -$758K
SNAXW
532
DELISTED
Stryve Foods, Inc. Warrant
SNAXW
– –
-24,000
Closed -$8K
VINC
533
DELISTED
Vincerx Pharma, Inc. Common Stock
VINC
– –
-3,200
Closed -$794K
LFLYW
534
DELISTED
Leafly Holdings, Inc. Warrant
LFLYW
– –
-55,321
Closed -$30K
ASTSW
535
DELISTED
AST SpaceMobile, Inc. Warrant
ASTSW
– –
-19,917
Closed -$24K
LSXMK
536
DELISTED
Liberty Media Corporation Series C Liberty SiriusXM Common Stock
LSXMK
– –
-58,999
Closed -$1.51M
CERE
537
DELISTED
Cerevel Therapeutics Holdings, Inc. Common Stock
CERE
– –
-14,000
Closed -$146K
SHPW
538
DELISTED
Shapeways Holdings, Inc. Common Stock
SHPW
– –
-4,090
Closed -$324K
DMTK
539
DELISTED
DermTech, Inc. Common Stock
DMTK
– –
-68,125
Closed -$814K
MRTX
540
DELISTED
Mirati Therapeutics, Inc. Common Stock
MRTX
– –
-4,101
Closed -$887K
MRTX
541
PUT
DELISTED
Mirati Therapeutics, Inc. Common Stock
MRTX
– –
-15,400
Closed -$66K
ID
542
DELISTED
PARTS iD, Inc.
ID
– –
-30,721
Closed -$319K
CANO
543
DELISTED
Cano Health, Inc.
CANO
– –
-444
Closed -$463K
KLR
544
DELISTED
Kaleyra, Inc.
KLR
– –
-176,601
Closed -$4.68M
APPH
545
DELISTED
AppHarvest, Inc. Common Stock
APPH
– –
-24,669
Closed -$290K
APPHW
546
DELISTED
AppHarvest, Inc. Warrants
APPHW
– –
-48,363
Closed -$135K
RIDE
547
DELISTED
Lordstown Motors Corp. Class A Common Stock
RIDE
– –
-2,000
Closed -$773K
HPX.U
548
DELISTED
HPX Corp. Units, each consisting of one Class A ordinary share and one-half of one redeemable warrant
HPX.U
– –
-13,087
Closed -$133K
ALBO
549
DELISTED
Albireo Pharma Inc
ALBO
– –
-600,000
Closed -$20M
ALBO
550
PUT
DELISTED
Albireo Pharma Inc
ALBO
– –
-35,000
Closed -$1K
20 21
22
23 24

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FPCG
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SI
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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.