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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
APHA
576
CALL
DELISTED
Aphria Inc. Common Shares
APHA
– –
-20,000
Closed -$10K
RPLA.U
577
DELISTED
Replay Acquisition Corp.
RPLA.U
– –
-154,756
Closed -$1.65M
NSCO.WS
578
DELISTED
Nesco Holdings, Inc. Warrants, exerciseable for Common Stock
NSCO.WS
– –
-147,532
Closed -$27K
IPV.WS
579
DELISTED
InterPrivate Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for shares of com
IPV.WS
– –
-151,298
Closed -$91K
SBE.U
580
DELISTED
Switchback Energy Acquisition Corporation
SBE.U
– –
-41,483
Closed -$419K
SBE.WS
581
DELISTED
Switchback Energy Acquisition Corporation Warrants, exercisable for one share of Class A Common Stoc
SBE.WS
– –
-123,881
Closed -$98K
PCPL.U
582
DELISTED
CC Neuberger Principal Holdings I Units, each consisting of one Class A ordinary share and one-third
PCPL.U
– –
-30,015
Closed -$318K
EIDX
583
CALL
DELISTED
Eidos Therapeutics, Inc. Common Stock
EIDX
– –
-17,800
Closed -$24K
GHIVW
584
DELISTED
Gores Holdings IV, Inc. Warrant
GHIVW
– –
-72,450
Closed -$130K
OAC.WS
585
DELISTED
Oaktree Acquisition Corp. Warrants, each whole warrant exercisable for one Class A Ordinary Share at
OAC.WS
– –
-297,648
Closed -$393K
VRT.WS
586
DELISTED
Vertiv Holdings Co Warrants, each whole warrant exercisable for one share of Class A Common Stock at
VRT.WS
– –
-661,070
Closed -$2.64M
DMYT.U
587
DELISTED
dMY Technology Group, Inc. Units, each consisting of one share of Class A Common Stock and one-half
DMYT.U
– –
-276,400
Closed -$2.8M
LCAHW
588
DELISTED
Landcadia Holdings II, Inc. Warrant
LCAHW
– –
-103,401
Closed -$558K
LCAHU
589
DELISTED
Landcadia Holdings II, Inc. Unit
LCAHU
– –
-190,515
Closed -$3.46M
LSACU
590
DELISTED
LifeSci Acquisition Corp. Unit 1 COM & 1 WT
LSACU
– –
-64,000
Closed -$704K
PTACW
591
DELISTED
PropTech Acquisition Corporation Warrant
PTACW
– –
-75,604
Closed -$53K
HYACW
592
DELISTED
Haymaker Acquisition Corp. II Warrant
HYACW
– –
-138,401
Closed -$216K
HYACU
593
DELISTED
Haymaker Acquisition Corp. II Unit
HYACU
– –
-22,401
Closed -$245K
PIC.WS
594
DELISTED
Pivotal Investment Corporation II Redeemable Warrants, each whole warrant exercisable for shares of
PIC.WS
– –
-232,321
Closed -$184K
GLIBA
595
DELISTED
GCI Liberty, Inc. Class A Common Stock (DE)
GLIBA
– –
-51,403
Closed -$3.66M
SAMAW
596
DELISTED
Schultze Special Purpose Acquisition Corp. Warrant
SAMAW
– –
-20,000
Closed -$26K
HCCHR
597
DELISTED
HL Acquisitions Corp. Right
HCCHR
– –
-28,241
Closed -$27K
LGC.WS
598
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
– –
-245,457
Closed -$120K
FVAC.WS
599
DELISTED
Fortress Value Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A c
FVAC.WS
– –
-19,105
Closed -$27K
CFFAW
600
DELISTED
CF Finance Acquisition Corp. Warrant
CFFAW
– –
-38,850
Closed -$52K
22 23
24
25 26

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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.