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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
-16.31%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$435M
AUM Growth
-$716M
Cap. Flow
-$763M
Cap. Flow %
-175.1%
Top 10 Hldgs %
44.16%
Holding
647
New
200
Increased
86
Reduced
96
Closed
246

Top Buys

Rank Stock Value
1
XOM icon
ExxonMobil
XOM
+$28M
2
MTCH icon
Match Group
MTCH
+$22.1M
3
DFNS.U
LGL Systems Acquisition Corp. Units
DFNS.U
+$13.2M
4
AVDL
Avadel Pharmaceuticals
AVDL
+$11.7M
5
ABUS icon
Arbutus Biopharma
ABUS
+$9.21M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$238M
2
AAPL icon
Apple
AAPL
+$158M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$77M
4
FRC
First Republic Bank
FRC
+$42.3M
5
XLY icon
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
+$37.6M

Sector Composition

Rank Sector Weight
1 Healthcare 16.59%
2 Financials 12.01%
3 Communication Services 5.9%
4 Energy 5.73%
5 Consumer Discretionary 4.77%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
GRSHW
626
DELISTED
Gores Holdings III, Inc. Warrants
GRSHW
– –
-160,809
Closed -$249K
GSAH.WS
627
DELISTED
GS Acquisition Holdings Corp Warrants, each whole warrant exercisable for one share of Class A Commo
GSAH.WS
– –
-468,391
Closed -$1.08M
ACHN
628
CALL
DELISTED
Achillion Pharmaceuticals
ACHN
– –
-2,266,600
Closed -$83K
ACHN
629
PUT
DELISTED
Achillion Pharmaceuticals
ACHN
– –
-722,200
Closed -$140K
ARQL
630
CALL
DELISTED
Arqule Inc
ARQL
– –
-89,300
Closed -$271K
ARQL
631
DELISTED
Arqule Inc
ARQL
– –
-447,999
Closed -$8.94M
ARQL
632
PUT
DELISTED
Arqule Inc
ARQL
– –
-489,800
Closed -$62K
BOLD
633
CALL
DELISTED
Audentes Therapeutics, Inc
BOLD
– –
-46,000
Closed -$1K
BOLD
634
PUT
DELISTED
Audentes Therapeutics, Inc
BOLD
– –
-104,800
Closed -$5K
MDCO
635
CALL
DELISTED
Medicines Co
MDCO
– –
-689,300
Closed -$14M
MDCO
636
PUT
DELISTED
Medicines Co
MDCO
– –
-718,800
Closed -$41K
AVP
637
CALL
DELISTED
Avon Products, Inc.
AVP
– –
-404,200
Closed -$273K
AVP
638
PUT
DELISTED
Avon Products, Inc.
AVP
– –
-40,000
Closed -$2K
PACD
639
DELISTED
Pacific Drilling S.A. Common Shares
PACD
– –
-15,000
Closed -$61K
ZGNX
640
DELISTED
Zogenix, Inc.
ZGNX
– –
-5,176
Closed -$270K
ZGNX
641
PUT
DELISTED
Zogenix, Inc.
ZGNX
– –
-7,000
Closed -$21K
LVOXU
642
DELISTED
LiveVox Holding, Inc. Unit
LVOXU
– –
-25,114
Closed -$259K
BBL
643
DELISTED
BHP Group Plc American Depositary Shares (Each representing two Ordinary Shares)
BBL
– –
-90,868
Closed -$4.27M
HHHHU
644
DELISTED
Wealthbridge Acquisition Limited Units
HHHHU
– –
-16,850
Closed -$176K
NIHD
645
DELISTED
NII Holdings, Inc. Common Stock
NIHD
– –
-1,924,557
Closed -$4.18M
BHVN
646
DELISTED
Biohaven Pharmaceutical Holding Company Ltd.
BHVN
– –
-4,278
Closed -$233K
22 23 24 25
26

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PWLP
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FPCG
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SI
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Cowen and Company's Q1 2020 Portfolio in Review

As of Q1 2020, Cowen and Company held 647 positions worth $435M, down 62% from $1.15B the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Cowen and Company withdrew a net $763M in Q1 2020, closing 246 positions and reducing 96 holdings. Its most notable exit was Apple, an estimated $158M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 17% of assets, up from 4.9% a quarter earlier, followed by Financials and Communication Services.

Against the trend, Cowen and Company opened a new position in Match Group worth $19.8M.

  • Cowen and Company's largest Q1 2020 buy was Match Group: 300,000 shares worth $19.8M.
  • Cowen and Company added most to ExxonMobil in Q1 2020, an estimated $28M increase.
  • Cowen and Company's biggest Q1 2020 reduction was Invesco QQQ Trust, cutting an estimated $238M.
  • Cowen and Company fully exited Apple in Q1 2020, selling an estimated $158M.
  • Cowen and Company's ten largest holdings make up 44% of its $435M portfolio in Q1 2020.
  • Cowen and Company opened 200 new positions and closed 246 in Q1 2020.
  • Cowen and Company's portfolio value fell 62% quarter-over-quarter to $435M.

Based on Cowen and Company's 13F filing for Q1 2020, filed 11 May 2020.