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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
+16.41%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$1.15B
AUM Growth
+$757M
Cap. Flow
+$1.77B
Cap. Flow %
153.77%
Top 10 Hldgs %
71.98%
Holding
716
New
268
Increased
91
Reduced
64
Closed
268

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$285M
2
AAPL icon
Apple
AAPL
+$138M
3
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$98.2M
4
FRC
First Republic Bank
FRC
+$38.9M
5
XLY icon
State Street Consumer Discretionary Select Sector SPDR ETF
XLY
+$36.5M

Top Sells

Rank Stock Value
1
ZM icon
Zoom
ZM
+$32.9M
2
CRWD icon
CrowdStrike
CRWD
+$17.6M
3
BYND icon
Beyond Meat
BYND
+$17.1M
4
SEGG
Sports Entertainment Gaming Global Corp
SEGG
+$12M
5
BFI
BurgerFi International, Inc. Common Stock
BFI
+$10.1M

Sector Composition

Rank Sector Weight
1 Technology 17.86%
2 Financials 13.13%
3 Healthcare 4.9%
4 Consumer Discretionary 2.63%
5 Communication Services 1.84%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PAACU
76
DELISTED
Proficient Alpha Acquisition Corp. Unit
PAACU
$1.29M 0.11%
+125,001
New +$1.28M
ABBV icon
77
CALL
AbbVie
ABBV
$435B
$1.29M 0.11%
+80,000
New +$6.64M
THCBU
78
DELISTED
Tuscan Holdings Corp. Unit
THCBU
$1.27M 0.11%
+121,200
New +$1.27M
THCX
79
DELISTED
AXS Cannabis ETF
THCX
$1.25M 0.11%
+10,000
New +$1.42M
CIICU
80
DELISTED
CIIG Merger Corp. Units
CIICU
$1.21M 0.11%
+119,304
New +$1.21M
ASLE icon
81
AerSale
ASLE
$279M
$1.18M 0.1%
+384,865
New +$3.88M
DFNS.U
82
DELISTED
LGL Systems Acquisition Corp. Units
DFNS.U
$1.14M 0.1%
+111,575
New +$1.13M
VVNT
83
DELISTED
Vivint Smart Home, Inc. Class A Common Stock
VVNT
$1.12M 0.1%
108,843
-91,157
-46% -$933K
CCX.U
84
DELISTED
Churchill Capital Corp II
CCX.U
$1.12M 0.1%
+103,705
New +$1.11M
GNLN icon
85
Greenlane Holdings
GNLN
$1.23M
– –
0
– –
GSAH.WS
86
DELISTED
GS Acquisition Holdings Corp Warrants, each whole warrant exercisable for one share of Class A Commo
GSAH.WS
$1.08M 0.09%
468,391
+269,008
+135% +$461K
HCCOU
87
DELISTED
Healthcare Merger Corp. Units
HCCOU
$1.06M 0.09%
+102,259
New +$1.07M
ID
88
DELISTED
PARTS iD, Inc.
ID
$1.04M 0.09%
101,135
+46,235
+84% +$474K
PRQR icon
89
ProQR Therapeutics
PRQR
$265M
$1.03M 0.09%
+103,727
New +$808K
LVOX
90
DELISTED
LiveVox Holding, Inc. Class A Common Stock
LVOX
$1.01M 0.09%
100,694
+84,322
+515% +$836K
COR icon
91
Cencora
COR
$61.2B
$1M 0.09%
+11,790
New +$1.01M
SRACU
92
DELISTED
Stable Road Acquisition Corp. Unit
SRACU
$1M 0.09%
+97,213
New +$983K
GEN icon
93
Gen Digital
GEN
$17.5B
$999K 0.09%
+39,150
New +$957K
JIH
94
DELISTED
Juniper Industrial Holdings, Inc.
JIH
$978K 0.09%
+99,800
New +$978K
ANDAU
95
DELISTED
Andina Acquisition Corp. III Unit
ANDAU
$973K 0.08%
92,157
– –
MU icon
96
CALL
Micron Technology
MU
$991B
$960K 0.08%
+122,000
New +$5.83M
CCX.WS
97
DELISTED
Churchill Capital Corp II Warrants, each exercisable for one share of Class A common stock at an exe
CCX.WS
$940K 0.08%
660,183
+366,965
+125% +$551K
GDX icon
98
VanEck Gold Miners ETF
GDX
$27.4B
$914K 0.08%
31,217
-217,283
-87% -$5.94M
GRNVU
99
DELISTED
GreenVision Acquisition Corp Unit
GRNVU
$902K 0.08%
+89,397
New +$901K
UTZ icon
100
Utz Brands
UTZ
$1.25B
$889K 0.08%
+86,504
New +$886K
2 3
4
5 6

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CIP
Chartwell Investment Partners Berywn, Pennsylvania $2.91B AUM 40.48% 1-Year Est. Return
PWLP
Prio Wealth Limited Partnership Boston, Massachusetts $3.41B AUM 44.09% 1-Year Est. Return
FPCG
Fort Pitt Capital Group Pittsburgh, Pennsylvania $3.55B AUM 34.86% 1-Year Est. Return
SI
Scout Investments Kansas City, Missouri $3.8B AUM 45.91% 1-Year Est. Return
BC
Boxer Capital San Diego, California $2.04B AUM 108.39% 1-Year Est. Return
FTDI
First Trust Direct Indexing Boston, Massachusetts $1.87B AUM 43.63% 1-Year Est. Return
CIM
Contrarius Investment Management St. Helier, Jersey $1.76B AUM 35.87% 1-Year Est. Return
PRO
Pensioenfonds Rail & OV Utrecht, Netherlands $1.44B AUM 23.73% 1-Year Est. Return

Cowen and Company's Q4 2019 Portfolio in Review

As of Q4 2019, Cowen and Company held 716 positions worth $1.15B, up 192% from $394M the previous quarter. Its ten largest holdings account for 72% of the portfolio.

Cowen and Company deployed $1.77B of net new capital in Q4 2019, opening 268 new positions and adding to 91 existing holdings. Its largest new stake was Apple: 2,148,000 shares worth $158M.

By sector, the portfolio is most concentrated in Technology at 18% of assets, down from 20% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was Sports Entertainment Gaming Global Corp, an estimated $12M trimmed.

  • Cowen and Company's largest Q4 2019 buy was Apple: 2,148,000 shares worth $158M.
  • Cowen and Company added most to Invesco QQQ Trust in Q4 2019, an estimated $285M increase.
  • Cowen and Company's biggest Q4 2019 reduction was Sports Entertainment Gaming Global Corp, cutting an estimated $12M.
  • Cowen and Company fully exited Zoom in Q4 2019, selling an estimated $32.9M.
  • Cowen and Company's ten largest holdings make up 72% of its $1.15B portfolio in Q4 2019.
  • Cowen and Company opened 268 new positions and closed 268 in Q4 2019.
  • Cowen and Company's portfolio value rose 192% quarter-over-quarter to $1.15B.

Based on Cowen and Company's 13F filing for Q4 2019, filed 11 Feb 2020.