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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
+16.41%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$1.15B
AUM Growth
+$757M
Cap. Flow
+$1.77B
Cap. Flow %
153.77%
Top 10 Hldgs %
71.98%
Holding
716
New
268
Increased
91
Reduced
64
Closed
268

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$285M
2
AAPL icon
Apple
AAPL
+$138M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$98.2M
4
FRC
First Republic Bank
FRC
+$38.9M
5
XLY icon
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
+$36.5M

Top Sells

Rank Stock Value
1
ZM icon
Zoom
ZM
+$32.9M
2
CRWD icon
CrowdStrike
CRWD
+$17.6M
3
BYND icon
Beyond Meat
BYND
+$17.1M
4
SEGG
Sports Entertainment Gaming Global Corp
SEGG
+$12M
5
BFI
BurgerFi International, Inc. Common Stock
BFI
+$10.1M

Sector Composition

Rank Sector Weight
1 Technology 17.86%
2 Financials 13.13%
3 Healthcare 4.9%
4 Consumer Discretionary 2.63%
5 Communication Services 1.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
CHS
626
DELISTED
Chicos FAS, Inc.
CHS
– –
-405,200
Closed -$1.63M
CHS
627
PUT
DELISTED
Chicos FAS, Inc.
CHS
– –
-612,200
Closed -$46K
NXGN
628
CALL
DELISTED
NextGen Healthcare, Inc. Common Stock
NXGN
– –
-40,000
Closed -$4K
BKI
629
DELISTED
Black Knight, Inc. Common Stock
BKI
– –
-5,800
Closed -$362K
DMS
630
DELISTED
Digital Media Solutions, Inc.
DMS
– –
-854
Closed -$131K
CLVR
631
DELISTED
Clever Leaves Holdings Inc. Common Shares
CLVR
– –
-3,729
Closed -$1.12M
BRMK
632
DELISTED
Broadmark Realty Capital Inc. Common Stock
BRMK
– –
-98,529
Closed -$1.03M
AUY
633
CALL
DELISTED
Yamana Gold, Inc.
AUY
– –
-160,100
Closed -$195K
SFT
634
DELISTED
Shift Technologies, Inc. Class A Common Stock
SFT
– –
-1,053
Closed -$105K
REED
635
DELISTED
Reeds, Inc. Common Stock
REED
– –
-13,816
Closed -$898K
CLVS
636
CALL
DELISTED
Clovis Oncology, Inc.
CLVS
– –
-95,000
Closed -$33K
CLVS
637
PUT
DELISTED
Clovis Oncology, Inc.
CLVS
– –
-15,000
Closed -$107K
SRRA
638
DELISTED
Sierra Oncology, Inc. Common Stock
SRRA
– –
-2,500
Closed -$39K
ENIA
639
DELISTED
Enel Amricas S.A. American Depositary Shares (Each representing 50 shares of Common Stock)
ENIA
– –
-44,600
Closed -$406K
ALAC
640
DELISTED
Alberton Acquisition Corp
ALAC
– –
-154,116
Closed -$1.58M
CONE
641
CALL
DELISTED
CyrusOne Inc Common Stock
CONE
– –
-28,200
Closed -$232K
INFO
642
DELISTED
IHS Markit Ltd. Common Shares
INFO
– –
-5,500
Closed -$368K
PAE
643
DELISTED
PAE Incorporated Class A Common Stock
PAE
– –
-52,998
Closed -$536K
NFH
644
DELISTED
New Frontier Health Corporation Ordinary Shares
NFH
– –
-179,350
Closed -$1.83M
ATH
645
DELISTED
Athene Holding Ltd. Class A Common Shares
ATH
– –
-26,000
Closed -$1.09M
TDACU
646
DELISTED
Trident Acquisitions Corp. Units
TDACU
– –
-163,733
Closed -$1.73M
XEC
647
CALL
DELISTED
CIMAREX ENERGY CO
XEC
– –
-64,000
Closed -$55K
XEC
648
DELISTED
CIMAREX ENERGY CO
XEC
– –
-61,819
Closed -$2.96M
XEC
649
PUT
DELISTED
CIMAREX ENERGY CO
XEC
– –
-40,600
Closed -$134K
SCPE
650
DELISTED
SC Health Corporation
SCPE
– –
-157,664
Closed -$1.55M
24 25
26
27 28

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FPCG
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Cowen and Company's Q4 2019 Portfolio in Review

As of Q4 2019, Cowen and Company held 716 positions worth $1.15B, up 192% from $394M the previous quarter. Its ten largest holdings account for 72% of the portfolio.

Cowen and Company deployed $1.77B of net new capital in Q4 2019, opening 268 new positions and adding to 91 existing holdings. Its largest new stake was Apple: 2,148,000 shares worth $158M.

By sector, the portfolio is most concentrated in Technology at 18% of assets, down from 20% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was Sports Entertainment Gaming Global Corp, an estimated $12M trimmed.

  • Cowen and Company's largest Q4 2019 buy was Apple: 2,148,000 shares worth $158M.
  • Cowen and Company added most to Invesco QQQ Trust in Q4 2019, an estimated $285M increase.
  • Cowen and Company's biggest Q4 2019 reduction was Sports Entertainment Gaming Global Corp, cutting an estimated $12M.
  • Cowen and Company fully exited Zoom in Q4 2019, selling an estimated $32.9M.
  • Cowen and Company's ten largest holdings make up 72% of its $1.15B portfolio in Q4 2019.
  • Cowen and Company opened 268 new positions and closed 268 in Q4 2019.
  • Cowen and Company's portfolio value rose 192% quarter-over-quarter to $1.15B.

Based on Cowen and Company's 13F filing for Q4 2019, filed 11 Feb 2020.