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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
HCARW
801
DELISTED
Healthcare Services Acquisition Corporation Warrant
HCARW
– –
-184,446
Closed -$6K
PSAGW
802
DELISTED
Property Solutions Acquisition Corporation II Warrant
PSAGW
– –
-88,110
Closed -$5K
GNACW
803
DELISTED
Group Nine Acquisition Corp. Warrant
GNACW
– –
-185,335
Closed -$11K
HCIIW
804
DELISTED
Hudson Executive Investment Corp. II Warrant
HCIIW
– –
-96,885
Closed -$2K
SCOAW
805
DELISTED
ScION Tech Growth I Warrant
SCOAW
– –
-50,900
Closed -$2K
HIIIW
806
DELISTED
Hudson Executive Investment Corp. III Warrant
HIIIW
– –
-30,154
Closed -$5K
SHQAW
807
DELISTED
Shelter Acquisition Corporation I Warrants
SHQAW
– –
-20,416
Closed -$2K
ARGUW
808
DELISTED
Argus Capital Corp. Warrant
ARGUW
– –
-133,046
Closed -$20K
COLIW
809
DELISTED
Colicity Inc. Warrant
COLIW
– –
-50,142
Closed -$2K
FLYA.WS
810
DELISTED
SOAR Technology Acquisition Corp. Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50 per share
FLYA.WS
– –
-46,760
Closed -$2K
COVAW
811
DELISTED
COVA Acquisition Corp. Warrants to purchase Class A ordinary shares
COVAW
– –
-92,785
Closed -$2K
FACA.WS
812
DELISTED
Figure Acquisition Corp. I Redeemable warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
FACA.WS
– –
-385,762
Closed -$22K
OSTRW
813
DELISTED
Oyster Enterprises Acquisition Corp. Warrant
OSTRW
– –
-186,643
Closed -$30K
ATA.WS
814
DELISTED
Americas Technology Acquisition Corp.Redeemable Warrants, each whole warrant exercisable for one Ordinary Share at an exercise price of $11.50
ATA.WS
– –
-20,265
Closed -$1K
KLAQW
815
DELISTED
KL Acquisition Corp Warrant
KLAQW
– –
-63,187
Closed -$3K
GSEVW
816
DELISTED
Gores Holdings VII, Inc. Warrant
GSEVW
– –
-31,090
Closed -$4K
GTPAW
817
DELISTED
Gores Technology Partners, Inc. Warrant
GTPAW
– –
-77,000
Closed -$23K
GTPBW
818
DELISTED
Gores Technology Partners II, Inc. Warrant
GTPBW
– –
-99,800
Closed -$16K
JOFFW
819
DELISTED
JOFF Fintech Acquisition Corp. Warrant
JOFFW
– –
-297,475
Closed -$11K
HLAHW
820
DELISTED
Hamilton Lane Alliance Holdings I, Inc. Warrant
HLAHW
– –
-59,387
Closed -$4K
KAHC
821
DELISTED
KKR Acquisition Holdings I Corp.
KAHC
– –
-25,000
Closed -$246K
LGV.WS
822
DELISTED
Longview Acquisition Corp. II Redeemable Warrants, each whole Warrant exercisable for one share of Class A Common Stock, each at an exercise price of $11.50 per share
LGV.WS
– –
-432,712
Closed -$30K
PV.WS
823
DELISTED
Primavera Capital Acquisition Corporation Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
PV.WS
– –
-195,408
Closed -$25K
BSKYW
824
DELISTED
Big Sky Growth Partners, Inc. Warrant
BSKYW
– –
-13,015
Closed -$1K
CND
825
DELISTED
Concord Acquisition Corp.
CND
– –
-186,498
Closed -$1.83M
31 32
33
34 35

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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.