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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
HOME
651
CALL
DELISTED
At Home Group Inc.
HOME
– –
-39,800
Closed -$52K
HOME
652
DELISTED
At Home Group Inc.
HOME
– –
-17,100
Closed -$165K
ALXN
653
DELISTED
Alexion Pharmaceuticals
ALXN
– –
-1,026
Closed -$100K
ALXN
654
PUT
DELISTED
Alexion Pharmaceuticals
ALXN
– –
-11,700
Closed -$25K
SSPKU
655
DELISTED
Silver Spike Acquisition Corp. Units
SSPKU
– –
-23,137
Closed -$233K
THBRU
656
DELISTED
Thunder Bridge Acquisition II, Ltd. Units
THBRU
– –
-83,491
Closed -$850K
LACQ
657
DELISTED
Leisure Acquisition Corp.
LACQ
– –
-31,100
Closed -$318K
LACQW
658
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
– –
-202,229
Closed -$152K
LACQU
659
DELISTED
Leisure Acquisition Corp. Unit
LACQU
– –
-64,711
Closed -$690K
APHA
660
DELISTED
Aphria Inc. Common Shares
APHA
– –
-48,901
Closed -$240K
APHA
661
PUT
DELISTED
Aphria Inc. Common Shares
APHA
– –
-20,100
Closed -$97K
RPLA
662
DELISTED
Replay Acquisition Corp. Ordinary Shares
RPLA
– –
-239,494
Closed -$2.38M
SBE.U
663
DELISTED
Switchback Energy Acquisition Corporation
SBE.U
– –
-42,619
Closed -$426K
RMG.U
664
DELISTED
RMG Acquisition Corp.
RMG.U
– –
-89,978
Closed -$908K
NFINU
665
DELISTED
Netfin Acquisition Corp. Unit
NFINU
– –
-148,465
Closed -$1.5M
BITA
666
DELISTED
Bitauto Holdings Limited
BITA
– –
-9,365
Closed -$140K
BITA
667
PUT
DELISTED
Bitauto Holdings Limited
BITA
– –
-15,900
Closed -$6K
HTZ
668
DELISTED
Hertz Global Holdings, Inc.
HTZ
– –
-47,900
Closed -$663K
HTZ
669
PUT
DELISTED
Hertz Global Holdings, Inc.
HTZ
– –
-54,800
Closed -$108K
FTACU
670
DELISTED
FinTech Acquisition Corp. III Unit
FTACU
– –
-10,172
Closed -$109K
INSUU
671
DELISTED
Insurance Acquisition Corp. Unit
INSUU
– –
-38,545
Closed -$402K
FPAC.WS
672
DELISTED
Far Point Acquisition Corporation Warrants, exercisable for one share of Class A Common Stock for $1
FPAC.WS
– –
-104,030
Closed -$125K
CCH.U
673
DELISTED
Collier Creek Holdings Units, each consisting of one Class A ordinary share, $0.0001 par value, and
CCH.U
– –
-23,682
Closed -$253K
BFYT
674
DELISTED
Benefytt Technologies, Inc. Class A Common Stock
BFYT
– –
-50,000
Closed -$1.25M
BFYT
675
PUT
DELISTED
Benefytt Technologies, Inc. Class A Common Stock
BFYT
– –
-50,000
Closed -$174K
25 26
27
28 29

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FPCG
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CIM
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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.