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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
IPOA.WS
701
DELISTED
Social Capital Hedosophia Holdings Corp. Warrants, each whole warrant exercisable for one Class A Or
IPOA.WS
– –
-147,171
Closed -$368K
ALDR
702
DELISTED
Alder Biopharmaceuticals
ALDR
– –
-23,937
Closed -$451K
ALDR
703
PUT
DELISTED
Alder Biopharmaceuticals
ALDR
– –
-124,300
Closed -$19K
ISCA
704
DELISTED
International Speedway Corp
ISCA
– –
-8,000
Closed -$360K
DMTKW
705
DELISTED
DermTech, Inc. Warrant
DMTKW
– –
-280,292
Closed -$33K
AABA
706
DELISTED
Altaba Inc
AABA
– –
-20,000
Closed -$389K
STNLW
707
DELISTED
Sentinel Energy Services Inc. Warrant
STNLW
– –
-317,423
Closed -$127K
WPG
708
DELISTED
Washington Prime Group Inc.
WPG
– –
-2,772
Closed -$103K
WPG
709
PUT
DELISTED
Washington Prime Group Inc.
WPG
– –
-12,478
Closed -$76K
PEI
710
DELISTED
Pennsylvania Real Estate Investment Trust
PEI
– –
-2,000
Closed -$172K
PEI
711
PUT
DELISTED
Pennsylvania Real Estate Investment Trust
PEI
– –
-13,240
Closed -$76K
FTR
712
DELISTED
Frontier Communications Corp.
FTR
– –
-123,393
Closed -$107K
CELG
713
DELISTED
Celgene Corp
CELG
– –
-23,364
Closed -$2.32M
CELG
714
PUT
DELISTED
Celgene Corp
CELG
– –
-333,300
Closed -$75K
TWLVW
715
DELISTED
Twelve Seas Investment Company Warrant
TWLVW
– –
-24,800
Closed -$8K
25 26 27 28
29

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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.