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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
PAYA
551
DELISTED
Paya Holdings Inc. Class A Common Stock
PAYA
– –
-18,660
Closed -$192K
SRNE
552
DELISTED
Sorrento Therapeutics, Inc.
SRNE
– –
-129,200
Closed -$1.44M
SRNE
553
PUT
DELISTED
Sorrento Therapeutics, Inc.
SRNE
– –
-129,200
Closed -$195K
ATNX
554
CALL
DELISTED
Athenex, Inc. Common Stock
ATNX
– –
-925
Closed -$11K
BTRS
555
DELISTED
BTRS Holdings Inc. Class 1 Common Stock
BTRS
– –
-28,900
Closed -$302K
LOTZ
556
DELISTED
CarLotz, Inc. Class A Common Stock
LOTZ
– –
-16,685
Closed -$171K
LOTZW
557
DELISTED
CarLotz, Inc. Warrant
LOTZW
– –
-35,869
Closed -$39K
ACEVU
558
DELISTED
ACE Convergence Acquisition Corp
ACEVU
– –
-97,400
Closed -$998K
ESSCR
559
DELISTED
East Stone Acquisition Corporation Right
ESSCR
– –
-16,458
Closed -$4K
ESSCU
560
DELISTED
East Stone Acquisition Corporation Unit
ESSCU
– –
-38,546
Closed -$393K
RMO
561
DELISTED
Romeo Power, Inc.
RMO
– –
-465,632
Closed -$4.98M
ETACU
562
DELISTED
E.Merge Technology Acquisition Corp. Unit
ETACU
– –
-208,411
Closed -$2.1M
GOAC.U
563
DELISTED
GO Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-third of on
GOAC.U
– –
-411,339
Closed -$4.2M
RBAC.U
564
DELISTED
RedBall Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one
RBAC.U
– –
-75,000
Closed -$793K
PRPB.U
565
DELISTED
CC Neuberger Principal Holdings II
PRPB.U
– –
-75,000
Closed -$775K
ALACW
566
DELISTED
Alberton Acquisition Corp Warrant
ALACW
– –
-125,757
Closed -$26K
CHPM
567
DELISTED
CHP Merger Corp. Class A Common Stock
CHPM
– –
-99,171
Closed -$1.01M
TLMD
568
DELISTED
SOC Telemed, Inc. Class A Common Stock
TLMD
– –
-100,000
Closed -$1.01M
SCVX.U
569
DELISTED
SCVX Corp. Units, each consisting of one Class A ordinary share, $0.0001 par value per share, and on
SCVX.U
– –
-30,802
Closed -$331K
BTAQU
570
DELISTED
Burgundy Technology Acquisition Corporation Unit
BTAQU
– –
-19,760
Closed -$197K
PAEWW
571
DELISTED
PAE Incorporated Warrants
PAEWW
– –
-568,470
Closed -$1.25M
VMACU
572
DELISTED
Vistas Media Acquisition Company Inc. Unit
VMACU
– –
-320,296
Closed -$3.23M
CPSR.WS
573
DELISTED
Capstar Special Purpose Acquisition Corp. Warrants, each whole warrant exercisable for one share of
CPSR.WS
– –
-52,752
Closed -$42K
DRNA
574
CALL
DELISTED
Dicerna Pharmaceuticals, Inc.
DRNA
– –
-15,000
Closed -$6K
DRNA
575
DELISTED
Dicerna Pharmaceuticals, Inc.
DRNA
– –
-7,133
Closed -$128K
21 22
23
24 25

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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.