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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
ROCH
626
DELISTED
Roth CH Acquisition I Co. Common Stock
ROCH
– –
-20,496
Closed -$204K
IPV.U
627
DELISTED
InterPrivate Acquisition Corp. Units, each consisting of one share of common stock, $.0001 par value
IPV.U
– –
-16,812
Closed -$174K
CLA.U
628
DELISTED
Colonnade Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of one
CLA.U
– –
-58,200
Closed -$580K
LGVW.WS
629
DELISTED
Longview Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Clas
LGVW.WS
– –
-572,848
Closed -$556K
LGVW.U
630
DELISTED
Longview Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-thir
LGVW.U
– –
-31,670
Closed -$321K
PCPL.WS
631
DELISTED
CC Neuberger Principal Holdings I Warrants, each whole warrant exercisable for one Class A ordinary
PCPL.WS
– –
-30,949
Closed -$56K
EIDX
632
DELISTED
Eidos Therapeutics, Inc. Common Stock
EIDX
– –
-6,427
Closed -$325K
EIDX
633
PUT
DELISTED
Eidos Therapeutics, Inc. Common Stock
EIDX
– –
-31,200
Closed -$43K
GHIVU
634
DELISTED
Gores Holdings IV, Inc. Unit
GHIVU
– –
-451,701
Closed -$4.82M
IPOC.U
635
DELISTED
Social Capital Hedosophia Holdings Corp. III Units, each consisting of one Class A ordinary share an
IPOC.U
– –
-40,101
Closed -$551K
WPX
636
DELISTED
WPX Energy, Inc.
WPX
– –
-10,115
Closed -$50K
DMYT.WS
637
DELISTED
dMY Technology Group, Inc. Redeemable Warrants, each whole warrant exercisable for one share of Clas
DMYT.WS
– –
-23,000
Closed -$69K
RMG.WS
638
DELISTED
RMG Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stoc
RMG.WS
– –
-246,594
Closed -$528K
TCO
639
CALL
DELISTED
Taubman Centers Inc.
TCO
– –
-19,000
Closed -$4K
TCO
640
DELISTED
Taubman Centers Inc.
TCO
– –
-30,000
Closed -$999K
TCO
641
PUT
DELISTED
Taubman Centers Inc.
TCO
– –
-93,600
Closed -$289K
LSACW
642
DELISTED
LifeSci Acquisition Corp. Warrant
LSACW
– –
-64,000
Closed -$98K
MNCLU
643
DELISTED
Monocle Acquisition Corporation Units
MNCLU
– –
-126,166
Closed -$1.51M
IPOB.U
644
DELISTED
Social Capital Hedosophia Holdings Corp. II Units, each consisting of one Class A ordinary share and
IPOB.U
– –
-33,885
Closed -$706K
TRNE.WS
645
DELISTED
Trine Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A
TRNE.WS
– –
-13,826
Closed -$36K
GMHIW
646
DELISTED
Gores Metropoulos, Inc. Warrant
GMHIW
– –
-10,938
Closed -$34K
ORSNR
647
DELISTED
Orisun Acquisition Corp. Right
ORSNR
– –
-105,000
Closed -$63K
MYOK
648
CALL
DELISTED
MyoKardia, Inc. Common Stock
MYOK
– –
-5,600
Closed -$149K
MYOK
649
DELISTED
MyoKardia, Inc. Common Stock
MYOK
– –
-844
Closed -$115K
WMGI
650
DELISTED
Wright Medical Group Inc
WMGI
– –
-75,500
Closed -$2.31M
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.