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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
LK
676
DELISTED
Luckin Coffee Inc. American Depositary Shares
LK
– –
-3,500
Closed -$67K
LK
677
PUT
DELISTED
Luckin Coffee Inc. American Depositary Shares
LK
– –
-35,700
Closed -$20K
S
678
DELISTED
Sprint Corporation
S
– –
-900
Closed -$5.28K
BRPM.U
679
DELISTED
B. Riley Principal Merger Corp.
BRPM.U
– –
-27,200
Closed -$275K
WCG
680
CALL
DELISTED
Wellcare Health Plans, Inc.
WCG
– –
-30,100
Closed -$385K
AVP
681
DELISTED
Avon Products, Inc.
AVP
– –
-78,988
Closed -$367K
PVTL
682
CALL
DELISTED
Pivotal Software, Inc.
PVTL
– –
-151,000
Closed -$11K
BROGU
683
DELISTED
Twelve Seas Investment Company Units
BROGU
– –
-28,541
Closed -$309K
BROGR
684
DELISTED
Twelve Seas Investment Company Rights
BROGR
– –
-659,818
Closed -$244K
PVT.WS
685
DELISTED
Pivotal Acquisition Corp. Redeemable Warrants, exercisable for shares of Class A Common Stock at an
PVT.WS
– –
-313,174
Closed -$420K
PVT
686
DELISTED
Pivotal Acquisition Corp.
PVT
– –
-229,249
Closed -$2.33M
HSACU
687
DELISTED
Health Sciences Acquisitions Corporation Units
HSACU
– –
-12,572
Closed -$135K
NFC.WS
688
DELISTED
New Frontier Corporation Warrants, each whole warrant exercisable for one Class A ordinary share at
NFC.WS
– –
-180,690
Closed -$181K
HSACW
689
DELISTED
Health Sciences Acquisitions Corporation Warrants
HSACW
– –
-20,532
Closed -$17K
ONCE
690
CALL
DELISTED
Spark Therapeutics, Inc. Common Stock
ONCE
– –
-14,000
Closed -$48K
ONCE
691
PUT
DELISTED
Spark Therapeutics, Inc. Common Stock
ONCE
– –
-50,900
Closed -$237K
RWGE.WS
692
DELISTED
Regalwood Global Energy Ltd. Warrants, each whole warrant exercisable for one Class A ordinary share
RWGE.WS
– –
-369,489
Closed -$222K
RWGE
693
DELISTED
Regalwood Global Energy Ltd. Class A Ordinary Shares
RWGE
– –
-50,299
Closed -$519K
GIG.U
694
DELISTED
GigCapital, Inc.
GIG.U
– –
-90,592
Closed -$1.07M
GIG.RT
695
DELISTED
GigCapital, Inc. Rights, each exchangeable into one-tenth of one share of Common Stock
GIG.RT
– –
-43,900
Closed -$39K
TMCXW
696
DELISTED
Trinity Merger Corp. Warrant
TMCXW
– –
-839,953
Closed -$1.07M
DFBHW
697
DELISTED
DFB Healthcare Acquisitions Corp. Warrant
DFBHW
– –
-143,922
Closed -$207K
STNL
698
DELISTED
Sentinel Energy Services Inc. Class A Common Stock
STNL
– –
-461,349
Closed -$4.74M
GLACR
699
DELISTED
Greenland Acquisition Corporation Right
GLACR
– –
-138,426
Closed -$83K
IPOA.U
700
DELISTED
Social Capital Hedosophia Holdings Corp.
IPOA.U
– –
-10,001
Closed -$114K
25 26 27
28
29

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PWLP
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FPCG
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SI
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BC
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FTDI
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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.