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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
CFFAU
601
DELISTED
CF Finance Acquisition Corp. Unit
CFFAU
– –
-25,000
Closed -$293K
NFINW
602
DELISTED
Netfin Acquisition Corp. Warrants
NFINW
– –
-170,895
Closed -$283K
HCCOW
603
DELISTED
Healthcare Merger Corp. Warrants
HCCOW
– –
-66,220
Closed -$76K
SPAQ.WS
604
DELISTED
Spartan Energy Acquisition Corp. Warrants, each whole warrant exercisable for one Class A common sto
SPAQ.WS
– –
-26,470
Closed -$48K
ARYBU
605
DELISTED
ARYA Sciences Acquisition Corp II Unit
ARYBU
– –
-44,389
Closed -$515K
CPAAW
606
DELISTED
Conyers Park II Acquisition Corp. Warrant
CPAAW
– –
-135,759
Closed -$299K
FTACU
607
DELISTED
FinTech Acquisition Corp. III Unit
FTACU
– –
-80,143
Closed -$1.01M
FTACW
608
DELISTED
FinTech Acquisition Corp. III Warrant
FTACW
– –
-98,647
Closed -$227K
SAQNW
609
DELISTED
Software Acquisition Group Inc. Warrant
SAQNW
– –
-27,047
Closed -$24K
SHLL.U
610
DELISTED
Tortoise Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
SHLL.U
– –
-155,000
Closed -$5.09M
CCH.WS
611
DELISTED
Collier Creek Holdings Warrants, each whole warrant exercisable for one Class A ordinary share at an
CCH.WS
– –
-220,820
Closed -$718K
FPAC.WS
612
DELISTED
Far Point Acquisition Corporation Warrants, exercisable for one share of Class A Common Stock for $1
FPAC.WS
– –
-62,297
Closed -$31K
NKLAW
613
DELISTED
Nikola Corporation Warrant expiring 6/3/2025
NKLAW
– –
-332,158
Closed -$11M
FSCT
614
CALL
DELISTED
ForeScout Technologies, Inc. Common Stock
FSCT
– –
-30,800
Closed -$35K
FSCT
615
PUT
DELISTED
ForeScout Technologies, Inc. Common Stock
FSCT
– –
-37,100
Closed -$66K
TMUSR
616
DELISTED
T-Mobile US, Inc. Subscription Rights Expiring 7/27/2020
TMUSR
– –
-1,250,000
Closed -$210K
ACEL.WS
617
DELISTED
Accel Entertainment Inc Warrant
ACEL.WS
– –
-222,466
Closed -$521K
LHC.WS
618
DELISTED
Leo Holdings Corp. Warrants, each whole warrant exercisable for one Class A Ordinary Share at an exe
LHC.WS
– –
-60,889
Closed -$76K
TECD
619
CALL
DELISTED
Tech Data Corp
TECD
– –
-186,800
Closed -$925K
TECD
620
DELISTED
Tech Data Corp
TECD
– –
-12,000
Closed -$1.74M
TECD
621
PUT
DELISTED
Tech Data Corp
TECD
– –
-55,000
Closed -$1K
ZGNX
622
CALL
DELISTED
Zogenix, Inc.
ZGNX
– –
-177,600
Closed -$110K
ZGNX
623
PUT
DELISTED
Zogenix, Inc.
ZGNX
– –
-119,700
Closed -$10K
REV
624
DELISTED
Revlon, Inc.
REV
– –
-10,690
Closed -$106K
BBL
625
DELISTED
BHP Group Plc American Depositary Shares (Each representing two Ordinary Shares)
BBL
– –
-77,070
Closed -$3.17M
22 23 24
25
26

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PWLP
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FPCG
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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.