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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
+3.57%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$2.11B
AUM Growth
+$194M
Cap. Flow
+$818M
Cap. Flow %
38.75%
Top 10 Hldgs %
58.11%
Holding
879
New
298
Increased
119
Reduced
90
Closed
306

Top Buys

Rank Stock Value
1
MIC
Macquarie Infrastructure Holdings, LLC
MIC
+$47M
2
FTAI icon
FTAI Aviation
FTAI
+$42.9M
3
CLDX icon
Celldex Therapeutics
CLDX
+$29.1M
4
ESTA icon
Establishment Labs
ESTA
+$17.5M
5
VMW
VMware, Inc
VMW
+$15.1M

Top Sells

Rank Stock Value
1
WPF
Foley Trasimene Acquisition Corp.
WPF
+$15.1M
2
BPYU
Brookfield Property REIT Inc. Class A Common Stock
BPYU
+$14.4M
3
RBAC
RedBall Acquisition Corp.
RBAC
+$12.6M
4
SST icon
System1
SST
+$9.9M
5
NICE icon
Nice
NICE
+$7.38M

Sector Composition

Rank Sector Weight
1 Healthcare 15.03%
2 Consumer Discretionary 11.05%
3 Financials 5.53%
4 Technology 3.61%
5 Industrials 2.7%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SLAMW
726
DELISTED
Slam Corp. warrant
SLAMW
– –
-20,307
Closed -$22K
MMAT
727
CALL
DELISTED
Meta Materials Inc. Common Stock
MMAT
– –
-2,687
Closed -$38K
MMAT
728
DELISTED
Meta Materials Inc. Common Stock
MMAT
– –
-3
Closed -$2K
CVIIU
729
DELISTED
Churchill Capital Corp VII Units
CVIIU
– –
-15,009
Closed -$150K
CVIIW
730
DELISTED
Churchill Capital Corp VII Warrants
CVIIW
– –
-23,740
Closed -$33K
GPACU
731
DELISTED
Global Partner Acquisition Corp II Unit
GPACU
– –
-50,000
Closed -$495K
AKLI
732
DELISTED
Akili Inc
AKLI
– –
-33,915
Closed -$343K
ZFOXW
733
DELISTED
ZeroFox Holdings, Inc. Warrants
ZFOXW
– –
-11,500
Closed -$10K
BCEL
734
PUT
DELISTED
Atreca, Inc. Class A Common Stock
BCEL
– –
-32,200
Closed -$6K
ROSS.U
735
DELISTED
Ross Acquisition Corp II Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
ROSS.U
– –
-25,000
Closed -$250K
FAZE
736
DELISTED
FaZe Holdings Inc. Common Stock
FAZE
– –
-31,448
Closed -$307K
GOEV
737
DELISTED
Canoo Inc. Class A Common Stock
GOEV
– –
-2
Closed -$7.14K
LCAHW
738
DELISTED
Landcadia Holdings IV, Inc. Warrant
LCAHW
– –
-50,000
Closed -$53K
SLACU
739
DELISTED
Social Leverage Acquisition Corp I Units, each consisting of one share of Class A common stock and one-fourth of one redeemable warrant
SLACU
– –
-33,719
Closed -$337K
THCX
740
DELISTED
AXS Cannabis ETF
THCX
– –
-2,500
Closed -$429K
NRACW
741
DELISTED
Northern Revival Acquisition Corporation Warrant
NRACW
– –
-22,069
Closed -$19K
GOL
742
DELISTED
Gol Linhas Aéreas Inteligentes S.A. American Depositary Shares (Each representing Ten Preferred Shares)
GOL
– –
-20,000
Closed -$184K
CFIVW
743
DELISTED
CF Acquisition Corp. IV Warrant
CFIVW
– –
-40,000
Closed -$44K
FSRXU
744
DELISTED
FinServ Acquisition Corp. II Unit
FSRXU
– –
-19,982
Closed -$200K
CFFEU
745
DELISTED
CF Acquisition Corp. VIII Unit
CFFEU
– –
-11,935
Closed -$121K
CANO.WS
746
DELISTED
Cano Health, Inc. Redeemable Warrants, each whole warrant is exercisable for one-one hundredth (1/100th) of a share of Class A Common Stock at an exercise price of $1,150
CANO.WS
– –
-168,671
Closed -$622K
AAC
747
DELISTED
Ares Acquisition Corporation
AAC
– –
-25,265
Closed -$246K
SCPL
748
DELISTED
SciPlay Corporation Class A Common Stock
SCPL
– –
-150,719
Closed -$2.66M
SCPL
749
PUT
DELISTED
SciPlay Corporation Class A Common Stock
SCPL
– –
-310,200
Closed -$194K
BTWN
750
DELISTED
Bridgetown Holdings Limited Class A Ordinary Shares
BTWN
– –
-46,284
Closed -$468K
28 29
30
31 32

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Cowen and Company's Q3 2021 Portfolio in Review

As of Q3 2021, Cowen and Company held 879 positions worth $2.11B, up 10% from $1.92B the previous quarter. Its ten largest holdings account for 58% of the portfolio.

Cowen and Company deployed $818M of net new capital in Q3 2021, opening 298 new positions and adding to 119 existing holdings. Its largest new stake was Macquarie Infrastructure Holdings, LLC: 1,190,000 shares worth $48.3M.

By sector, the portfolio is most concentrated in Healthcare at 15% of assets, up from 12% a quarter earlier, followed by Consumer Discretionary and Financials.

On the sell side, the largest reduction was Nice, an estimated $7.38M trimmed.

  • Cowen and Company's largest Q3 2021 buy was Macquarie Infrastructure Holdings, LLC: 1,190,000 shares worth $48.3M.
  • Cowen and Company added most to FTAI Aviation in Q3 2021, an estimated $42.9M increase.
  • Cowen and Company's biggest Q3 2021 reduction was Nice, cutting an estimated $7.38M.
  • Cowen and Company fully exited Foley Trasimene Acquisition Corp. in Q3 2021, selling an estimated $15.1M.
  • Cowen and Company's ten largest holdings make up 58% of its $2.11B portfolio in Q3 2021.
  • Cowen and Company opened 298 new positions and closed 306 in Q3 2021.
  • Cowen and Company's portfolio value rose 10% quarter-over-quarter to $2.11B.

Based on Cowen and Company's 13F filing for Q3 2021, filed 12 Nov 2021.