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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
+6.42%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$1.45B
AUM Growth
+$336M
Cap. Flow
+$603M
Cap. Flow %
41.48%
Top 10 Hldgs %
67.23%
Holding
768
New
375
Increased
70
Reduced
59
Closed
238

Top Buys

Rank Stock Value
1
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$151M
2
XBI icon
State Street SPDR S&P Biotech ETF
XBI
+$48.3M
3
ITOS
iTeos Therapeutics
ITOS
+$21.3M
4
QNGY
Quanergy Systems, Inc.
QNGY
+$11.5M
5
FULC icon
Fulcrum Therapeutics
FULC
+$10.9M

Top Sells

Rank Stock Value
1
SMH icon
VanEck Semiconductor ETF
SMH
+$30.8M
2
DIS icon
Walt Disney
DIS
+$23.1M
3
NGHC
National General Holdings Corp
NGHC
+$20.7M
4
STLA icon
Stellantis
STLA
+$19.7M
5
SVOKU
Seven Oaks Acquisition Corp. Unit
SVOKU
+$16M

Sector Composition

Rank Sector Weight
1 Healthcare 11.15%
2 Financials 9.75%
3 Technology 2.87%
4 Industrials 2.67%
5 Consumer Discretionary 1.72%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ALXN
726
CALL
DELISTED
Alexion Pharmaceuticals
ALXN
– –
-31,600
Closed -$151K
WORK
727
PUT
DELISTED
Slack Technologies, Inc.
WORK
– –
-76,800
Closed -$19K
EMPW.WS
728
DELISTED
Empower Ltd. Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at a
EMPW.WS
– –
-159,492
Closed -$183K
NHICU
729
DELISTED
NewHold Investment Corp. Unit
NHICU
– –
-84,258
Closed -$880K
EMPW.U
730
DELISTED
Empower Ltd. Units, each consisting of one Class A ordinary share and one-third of one redeemable wa
EMPW.U
– –
-15,205
Closed -$158K
SBG.WS
731
DELISTED
Sandbridge Acquisition Corporation Warrants, each whole warrant exercisable for one share of Class A
SBG.WS
– –
-20,000
Closed -$26K
ALUS.WS
732
DELISTED
Alussa Energy Acquisition Corp Warrants
ALUS.WS
– –
-34,600
Closed -$43K
NAV
733
CALL
DELISTED
Navistar International
NAV
– –
-53,300
Closed -$746K
FRX.U
734
DELISTED
Forest Road Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-th
FRX.U
– –
-45,000
Closed -$473K
HECCU
735
DELISTED
Hudson Executive Investment Corp. Units
HECCU
– –
-50,093
Closed -$571K
GRUB
736
PUT
DELISTED
Just Eat Takeaway.com N.V. American Depositary Shares
GRUB
– –
-23,550
Closed -$50K
PRSP
737
CALL
DELISTED
Perspecta Inc. Common Stock
PRSP
– –
-7,100
Closed -$4K
PRSP
738
DELISTED
Perspecta Inc. Common Stock
PRSP
– –
-11,597
Closed -$279K
PRSP
739
PUT
DELISTED
Perspecta Inc. Common Stock
PRSP
– –
-3,800
Closed -$1K
GWPH
740
PUT
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
– –
-5,500
Closed -$26K
RP
741
DELISTED
RealPage, Inc.
RP
– –
-3,673
Closed -$320K
RP
742
PUT
DELISTED
RealPage, Inc.
RP
– –
-123,400
Closed -$9K
PS
743
DELISTED
Pluralsight, Inc. Class A Common Stock
PS
– –
-494,200
Closed -$10.6M
BFT.U
744
DELISTED
Foley Trasimene Acquisition Corp. II Units, each consisting of one share of Class A common stock, an
BFT.U
– –
-41,046
Closed -$698K
LAZRW
745
DELISTED
Luminar Technologies, Inc. Warrant
LAZRW
– –
-52,079
Closed -$894K
ACIA
746
CALL
DELISTED
Acacia Communications Inc
ACIA
– –
-67,500
Closed -$452K
ACIA
747
DELISTED
Acacia Communications Inc
ACIA
– –
-50,000
Closed -$3.65M
ACIA
748
PUT
DELISTED
Acacia Communications Inc
ACIA
– –
-80,000
Closed -$82K
PANA.WS
749
DELISTED
Panacea Acquisition Corp. Redeemable warrants, each whole warrant exercisable for one share of Class
PANA.WS
– –
-39,900
Closed -$128K
PANA.U
750
DELISTED
Panacea Acquisition Corp. Units, each consisting of one share of Class A common stock and one-third
PANA.U
– –
-48,750
Closed -$622K
27 28 29
30
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Cowen and Company's Q1 2021 Portfolio in Review

As of Q1 2021, Cowen and Company held 768 positions worth $1.45B, up 30% from $1.12B the previous quarter. Its ten largest holdings account for 67% of the portfolio.

Cowen and Company deployed $603M of net new capital in Q1 2021, opening 375 new positions and adding to 70 existing holdings. Its largest new stake was iTeos Therapeutics: 588,238 shares worth $20.1M.

By sector, the portfolio is most concentrated in Healthcare at 11% of assets, up from 4.9% a quarter earlier, followed by Financials and Technology.

On the sell side, the largest reduction was Freeport-McMoran, an estimated $5.42M trimmed.

  • Cowen and Company's largest Q1 2021 buy was iTeos Therapeutics: 588,238 shares worth $20.1M.
  • Cowen and Company added most to iShares iBoxx $ High Yield Corporate Bond ETF in Q1 2021, an estimated $151M increase.
  • Cowen and Company's biggest Q1 2021 reduction was Freeport-McMoran, cutting an estimated $5.42M.
  • Cowen and Company fully exited VanEck Semiconductor ETF in Q1 2021, selling an estimated $30.8M.
  • Cowen and Company's ten largest holdings make up 67% of its $1.45B portfolio in Q1 2021.
  • Cowen and Company opened 375 new positions and closed 238 in Q1 2021.
  • Cowen and Company's portfolio value rose 30% quarter-over-quarter to $1.45B.

Based on Cowen and Company's 13F filing for Q1 2021, filed 4 May 2021.