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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
+17.7%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$956M
AUM Growth
-$88.9M
Cap. Flow
-$124M
Cap. Flow %
-13%
Top 10 Hldgs %
51.28%
Holding
904
New
257
Increased
162
Reduced
180
Closed
232

Top Buys

Rank Stock Value
1
DCP
DCP Midstream, LP
DCP
+$58.7M
2
IMVT icon
Immunovant
IMVT
+$15.7M
3
LL
LL Flooring Holdings, Inc.
LL
+$11.4M
4
ACET icon
Adicet Bio
ACET
+$10.9M
5
INVZ icon
Innoviz Technologies
INVZ
+$9.95M

Top Sells

Rank Stock Value
1
ARKK icon
ARK Innovation ETF
ARKK
+$131M
2
IMCR icon
Immunocore
IMCR
+$34.1M
3
FTAI icon
FTAI Aviation
FTAI
+$28.1M
4
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$20.8M
5
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$14.4M

Sector Composition

Rank Sector Weight
1 Healthcare 36.98%
2 Financials 14.53%
3 Materials 10.99%
4 Energy 8.52%
5 Consumer Discretionary 5.56%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TRCA
751
DELISTED
Twin Ridge Capital Acquisition Corp.
TRCA
– –
-250,000
Closed -$2.48M
TMPOW
752
DELISTED
Tempo Automation Holdings, Inc. Warrant
TMPOW
– –
-19,000
Closed -$2K
ACAQ.WS
753
DELISTED
Athena Consumer Acquisition Corp. Redeemable warrants included as part of the units, each whole warrant exercisable for one share of Class A common stock for $11.50 per share
ACAQ.WS
– –
-272,947
Closed -$14K
BTWN
754
DELISTED
Bridgetown Holdings Limited Class A Ordinary Shares
BTWN
– –
-37,556
Closed -$377K
BTWNW
755
DELISTED
Bridgetown Holdings Limited Warrants
BTWNW
– –
-77,028
Closed -$9K
BRDS
756
DELISTED
Bird Global, Inc.
BRDS
– –
-3,504
Closed -$31K
ZEV.WS
757
DELISTED
Lightning eMotors, Inc. Redeemable Warrants, each whole warrant exercisable 1/20th of a share of common stock at an exercise price of $230.00 per whole share
ZEV.WS
– –
-36,296
Closed -$7K
ATAQ
758
DELISTED
Altimar Acquisition Corp III
ATAQ
– –
-10,000
Closed -$99K
CBRGW
759
DELISTED
Chain Bridge I Warrants
CBRGW
– –
-14,711
Closed -$2K
POL.WS
760
DELISTED
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
– –
-49,700
Closed -$6K
CPUH.U
761
DELISTED
Compute Health Acquisition Corp. Units, each consisting of one share of Class A common stock and one-quarter of one redeemable warrant
CPUH.U
– –
-22,800
Closed -$225K
UTAAW
762
DELISTED
UTA Acquisition Corporation Warrants
UTAAW
– –
-73,990
Closed -$16K
ISEE
763
DELISTED
IVERIC bio, Inc. Common Stock
ISEE
– –
-41,900
Closed -$894K
CORS.WS
764
DELISTED
Corsair Partnering Corporation Redeemable warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
CORS.WS
– –
-34,277
Closed -$3K
BBLN
765
DELISTED
Babylon Holdings Limited
BBLN
– –
-2,558
Closed -$30K
VMGAW
766
DELISTED
VMG Consumer Acquisition Corp. Warrant
VMGAW
– –
-11,857
Closed -$1K
EVOJW
767
DELISTED
Evo Acquisition Corp. Warrant
EVOJW
– –
-47,091
Closed -$2K
VORB
768
DELISTED
Virgin Orbit Holdings, Inc. Common Stock
VORB
– –
-28,500
Closed -$75K
SJR
769
DELISTED
Shaw Communications Inc.
SJR
– –
-46,015
Closed -$1.12M
SPKB
770
DELISTED
Silver Spike Acquisition Corp II Class A Ordinary Shares
SPKB
– –
-208,021
Closed -$2.06M
GXIIW
771
DELISTED
GX Acquisition Corp. II Warrant
GXIIW
– –
-184,616
Closed -$18K
FRON
772
DELISTED
Frontier Acquisition Corp. Class A Ordinary Shares
FRON
– –
-93,500
Closed -$927K
ACQR
773
DELISTED
Independence Holdings Corp. Class A Ordinary Share
ACQR
– –
-100,000
Closed -$992K
FPAC
774
DELISTED
Far Peak Acquisition Corporation
FPAC
– –
-55,000
Closed -$544K
LOKM.WS
775
DELISTED
Live Oak Mobility Acquisition Corp. Warrants, exercisable for one share of Class A common stock at an exercise price of $11.50 per share
LOKM.WS
– –
-12,990
Closed -$2K
29 30
31
32 33

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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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PRO
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Cowen and Company's Q4 2022 Portfolio in Review

As of Q4 2022, Cowen and Company held 904 positions worth $956M, down 8.5% from $1.05B the previous quarter. Its ten largest holdings account for 51% of the portfolio.

Cowen and Company withdrew a net $124M in Q4 2022, closing 232 positions and reducing 180 holdings. Its most notable exit was ARK Innovation ETF, an estimated $131M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 37% of assets, up from 34% a quarter earlier, followed by Financials and Materials.

Against the trend, Cowen and Company opened a new position in DCP Midstream, LP worth $58.8M.

  • Cowen and Company's largest Q4 2022 buy was DCP Midstream, LP: 1,516,562 shares worth $58.8M.
  • Cowen and Company added most to Adicet Bio in Q4 2022, an estimated $10.9M increase.
  • Cowen and Company's biggest Q4 2022 reduction was Immunocore, cutting an estimated $34.1M.
  • Cowen and Company fully exited ARK Innovation ETF in Q4 2022, selling an estimated $131M.
  • Cowen and Company's ten largest holdings make up 51% of its $956M portfolio in Q4 2022.
  • Cowen and Company opened 257 new positions and closed 232 in Q4 2022.
  • Cowen and Company's portfolio value fell 8.5% quarter-over-quarter to $956M.

Based on Cowen and Company's 13F filing for Q4 2022, filed 9 Feb 2023.