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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
+5.03%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$613M
AUM Growth
+$11.1M
Cap. Flow
+$98.2M
Cap. Flow %
16.02%
Top 10 Hldgs %
52.71%
Holding
630
New
243
Increased
56
Reduced
99
Closed
199

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$60.6M
2
ALBO
Albireo Pharma Inc
ALBO
+$17.5M
3
AVPT icon
AvePoint
AVPT
+$14.1M
4
SST icon
System1
SST
+$10.2M
5
MCD icon
McDonald's
MCD
+$10M

Top Sells

Rank Stock Value
1
CCL icon
Carnival Corporation Ltd
CCL
+$24.2M
2
BLU
BELLUS Health Inc.
BLU
+$16.7M
3
ABUS icon
Arbutus Biopharma
ABUS
+$11.7M
4
NKLAW
Nikola Corporation Warrant expiring 6/3/2025
NKLAW
+$11M
5
LGVW.U
Longview Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-thir
LGVW.U
+$5.79M

Sector Composition

Rank Sector Weight
1 Healthcare 14.03%
2 Consumer Discretionary 13.24%
3 Financials 8.37%
4 Technology 6.29%
5 Industrials 3.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ASAP
551
DELISTED
Waitr Holdings Inc. Common Stock
ASAP
– –
-500
Closed -$26K
UPH
552
DELISTED
UpHealth, Inc.
UPH
– –
-8,080
Closed -$819K
SWCH
553
CALL
DELISTED
Switch, Inc. Class A Common Stock
SWCH
– –
-94,600
Closed -$149K
THCAW
554
DELISTED
Tuscan Holdings Corp. II Warrant
THCAW
– –
-10,400
Closed -$6K
GBT
555
CALL
DELISTED
Global Blood Therapeutics, Inc.
GBT
– –
-30,400
Closed -$38K
GBT
556
DELISTED
Global Blood Therapeutics, Inc.
GBT
– –
-13,652
Closed -$862K
GBT
557
PUT
DELISTED
Global Blood Therapeutics, Inc.
GBT
– –
-15,000
Closed -$45K
ALACR
558
DELISTED
Alberton Acquisition Corp Rights
ALACR
– –
-69,390
Closed -$18K
TRIT
559
DELISTED
Triterras, Inc. Class A Ordinary Shares
TRIT
– –
-189,715
Closed -$2.04M
ASLEW
560
DELISTED
AerSale Corp Warrants
ASLEW
– –
-29,286
Closed -$19K
INOV
561
CALL
DELISTED
Inovalon Holdings, Inc. Class A Common Stock
INOV
– –
-25,800
Closed -$48K
INOV
562
PUT
DELISTED
Inovalon Holdings, Inc. Class A Common Stock
INOV
– –
-15,900
Closed -$1K
FLXN
563
CALL
DELISTED
Flexion Therapeutics, Inc.
FLXN
– –
-15,000
Closed -$5K
DFPHU
564
DELISTED
DFP Healthcare Acquisitions Corp. Unit
DFPHU
– –
-49,998
Closed -$534K
CLDR
565
CALL
DELISTED
Cloudera, Inc.
CLDR
– –
-115,000
Closed -$37K
FUSE.U
566
DELISTED
Fusion Acquisition Corp. Units, each consisting of one share of Class A common stock, $0.0001 par va
FUSE.U
– –
-250,000
Closed -$2.54M
CHAQ.U
567
DELISTED
Chardan Healthcare Acquisition 2 Corp. Units, each consisting of one share of Common Stock, and one
CHAQ.U
– –
-194,090
Closed -$2.04M
DFNS.U
568
DELISTED
LGL Systems Acquisition Corp. Units
DFNS.U
– –
-15,806
Closed -$162K
LIVKW
569
DELISTED
LIV Capital Acquisition Corp. Warrant
LIVKW
– –
-10,561
Closed -$3K
GRNVU
570
DELISTED
GreenVision Acquisition Corp Unit
GRNVU
– –
-96,912
Closed -$1M
ALUS.WS
571
DELISTED
Alussa Energy Acquisition Corp Warrants
ALUS.WS
– –
-86,613
Closed -$48K
HECCU
572
DELISTED
Hudson Executive Investment Corp. Units
HECCU
– –
-323,384
Closed -$3.31M
GNRS
573
DELISTED
Greenrose Acquisition Corp. Common Stock
GNRS
– –
-35,497
Closed -$349K
JWS.U
574
DELISTED
Jaws Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one red
JWS.U
– –
-32,904
Closed -$343K
GIK.U
575
DELISTED
GigCapital3, Inc. Units, each consisting of one share of Common Stock and three-fourths of one Redee
GIK.U
– –
-10,500
Closed -$105K
21 22
23
24 25

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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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Cowen and Company's Q3 2020 Portfolio in Review

As of Q3 2020, Cowen and Company held 630 positions worth $613M, up 1.8% from $601M the previous quarter. Its ten largest holdings account for 53% of the portfolio.

Cowen and Company deployed $98.2M of net new capital in Q3 2020, opening 243 new positions and adding to 56 existing holdings. Its largest new stake was Albireo Pharma Inc: 600,000 shares worth $20M.

By sector, the portfolio is most concentrated in Healthcare at 14% of assets, down from 14% a quarter earlier, followed by Consumer Discretionary and Financials.

On the sell side, the largest reduction was Arbutus Biopharma, an estimated $11.7M trimmed.

  • Cowen and Company's largest Q3 2020 buy was Albireo Pharma Inc: 600,000 shares worth $20M.
  • Cowen and Company added most to Invesco QQQ Trust in Q3 2020, an estimated $60.6M increase.
  • Cowen and Company's biggest Q3 2020 reduction was Arbutus Biopharma, cutting an estimated $11.7M.
  • Cowen and Company fully exited Carnival Corporation Ltd in Q3 2020, selling an estimated $24.2M.
  • Cowen and Company's ten largest holdings make up 53% of its $613M portfolio in Q3 2020.
  • Cowen and Company opened 243 new positions and closed 199 in Q3 2020.
  • Cowen and Company's portfolio value rose 1.8% quarter-over-quarter to $613M.

Based on Cowen and Company's 13F filing for Q3 2020, filed 3 Nov 2020.