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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
EJFAW
826
DELISTED
EJF Acquisition Corp. Warrant
EJFAW
– –
-33,334
Closed -$27K
ELMS
827
CALL
DELISTED
Electric Last Mile Solutions, Inc. Class A Common stock
ELMS
– –
-10,000
Closed -$7K
ELMS
828
DELISTED
Electric Last Mile Solutions, Inc. Class A Common stock
ELMS
– –
-2,900
Closed -$29K
ELMS
829
PUT
DELISTED
Electric Last Mile Solutions, Inc. Class A Common stock
ELMS
– –
-2,900
Closed -$15K
APSG.WS
830
DELISTED
Apollo Strategic Growth Capital Warrants, each exercisable for one Class A Ordinary Share at an exer
APSG.WS
– –
-55,207
Closed -$66K
SVSVW
831
DELISTED
Spring Valley Acquisition Corp. Warrant
SVSVW
– –
-76,591
Closed -$106K
GMBTU
832
DELISTED
Pivotal Holdings Corp Unit
GMBTU
– –
-13,745
Closed -$138K
ORPH
833
CALL
DELISTED
Orphazyme A/S
ORPH
– –
-5,500
Closed -$2K
ORPH
834
DELISTED
Orphazyme A/S
ORPH
– –
-2,500
Closed -$18K
ORPH
835
PUT
DELISTED
Orphazyme A/S
ORPH
– –
-2,500
Closed -$5K
BTNB
836
DELISTED
Bridgetown 2 Holdings Limited Class A Ordinary Shares
BTNB
– –
-47,509
Closed -$485K
SPAQ.WS
837
DELISTED
Spartan Acquisition Corp. III Warrants, exercisable for one share of Class A Common Stock
SPAQ.WS
– –
-47,854
Closed -$57K
SPAQ.U
838
DELISTED
Spartan Acquisition Corp. III Units, each consisting of one share of Class A common stock and one-fo
SPAQ.U
– –
-97,237
Closed -$978K
BTAQ
839
DELISTED
Burgundy Technology Acquisition Corporation Class A Ordinary shares
BTAQ
– –
-100,000
Closed -$985K
SBEAU
840
DELISTED
SilverBox Engaged Merger Corp I Units
SBEAU
– –
-36,722
Closed -$367K
TREB.WS
841
DELISTED
Trebia Acquisition Corp. Warrants, each whole warrant exercisable for one Class A Ordinary Share at
TREB.WS
– –
-106,846
Closed -$184K
CFV
842
DELISTED
CF Acquisition Corp. V Class A Common Stock
CFV
– –
-201,022
Closed -$1.98M
XPDIU
843
DELISTED
Power & Digital Infrastructure Acquisition Corp. Unit
XPDIU
– –
-45,388
Closed -$458K
MACQ
844
DELISTED
MCAP Acquisition Corporation Class A Common Stock
MACQ
– –
-200,000
Closed -$1.92M
YAC
845
DELISTED
Yucaipa Acquisition Corporation Class A Ordinary Shares
YAC
– –
-250,000
Closed -$2.47M
YAC.WS
846
DELISTED
Yucaipa Acquisition Corporation Redeemable Warrants, each whole warrant exercisable for one Class A
YAC.WS
– –
-235,415
Closed -$315K
NGAB.U
847
DELISTED
Northern Genesis Acquisition Corp. II Units, each consisting of one share of common stock and one-th
NGAB.U
– –
-27,113
Closed -$287K
TMTS
848
DELISTED
Spartacus Acquisition Corporation Class A Common Stock
TMTS
– –
-46,874
Closed -$471K
CLDR
849
CALL
DELISTED
Cloudera, Inc.
CLDR
– –
-77,000
Closed -$4K
CLDR
850
PUT
DELISTED
Cloudera, Inc.
CLDR
– –
-8,600
Closed -$4K
32 33
34
35 36

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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.