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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
THBRW
601
DELISTED
Thunder Bridge Acquisition II, Ltd. Warrants
THBRW
– –
-100,015
Closed -$135K
THBR
602
DELISTED
Thunder Bridge Acquisition II, Ltd. Class A Ordinary Shares
THBR
– –
-63,058
Closed -$643K
GIX.RT
603
DELISTED
GigCapital2, Inc. Rights, each exchangeable into one-twentieth of a share of Common Stock
GIX.RT
– –
-17,400
Closed -$6K
GIX.WS
604
DELISTED
GigCapital2, Inc. Warrants exercisable for one share of Common Stock at an exercise price of $11.50
GIX.WS
– –
-11,902
Closed -$11K
JIH
605
DELISTED
Juniper Industrial Holdings, Inc.
JIH
– –
-238,294
Closed -$2.49M
JIH.WS
606
DELISTED
Juniper Industrial Holdings, Inc. Redeemable warrants included as part of the units
JIH.WS
– –
-283,716
Closed -$491K
CLGX
607
CALL
DELISTED
Corelogic, Inc.
CLGX
– –
-59,800
Closed -$227K
LACQW
608
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
– –
-25,060
Closed -$12K
CUB
609
CALL
DELISTED
Cubic Corporation
CUB
– –
-200,300
Closed -$240K
CUB
610
DELISTED
Cubic Corporation
CUB
– –
-90,000
Closed -$5.24M
CUB
611
PUT
DELISTED
Cubic Corporation
CUB
– –
-17,600
Closed -$8K
GIK.WS
612
DELISTED
GigCapital3, Inc. Redeemable Warrants, each exercisable for one share of Common Stock at an exercise
GIK.WS
– –
-24,273
Closed -$16K
NGA.U
613
DELISTED
Northern Genesis Acquisition Corp. Units, each consisting of one share of common stock and one-half
NGA.U
– –
-67,500
Closed -$674K
GWPH
614
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
– –
-5,823
Closed -$652K
STPK.U
615
DELISTED
Star Peak Energy Transition Corp. Units, each consisting of one share of Class A common stock, and o
STPK.U
– –
-107,457
Closed -$1.1M
DMYD.U
616
DELISTED
dMY Technology Group, Inc. II Units, each consisting of one share of Class A common stock and one-th
DMYD.U
– –
-18,003
Closed -$184K
VAR
617
CALL
DELISTED
Varian Medical Systems, Inc.
VAR
– –
-78,500
Closed -$59K
CGROW
618
DELISTED
Collective Growth Corporation Warrant
CGROW
– –
-28,058
Closed -$17K
RPLA
619
DELISTED
Replay Acquisition Corp. Ordinary Shares
RPLA
– –
-57,768
Closed -$588K
RPLA.WS
620
DELISTED
Replay Acquisition Corp. Warrants
RPLA.WS
– –
-183,249
Closed -$174K
CIICU
621
DELISTED
CIIG Merger Corp. Units
CIICU
– –
-25,590
Closed -$261K
CIICW
622
DELISTED
CIIG Merger Corp. Warrants
CIICW
– –
-54,389
Closed -$47K
CIIC
623
DELISTED
CIIG Merger Corp. - Class A Common Stock
CIIC
– –
-47,243
Closed -$473K
NBACR
624
DELISTED
Newborn Acquisition Corp. Right
NBACR
– –
-184,000
Closed -$48K
ROCHU
625
DELISTED
Roth CH Acquisition I Co. Unit
ROCHU
– –
-10,000
Closed -$107K
23 24
25
26 27

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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.