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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
+5.03%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$613M
AUM Growth
+$11.1M
Cap. Flow
+$98.2M
Cap. Flow %
16.02%
Top 10 Hldgs %
52.71%
Holding
630
New
243
Increased
56
Reduced
99
Closed
199

Top Buys

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$60.6M
2
ALBO
Albireo Pharma Inc
ALBO
+$17.5M
3
AVPT icon
AvePoint
AVPT
+$14.1M
4
SST icon
System1
SST
+$10.2M
5
MCD icon
McDonald's
MCD
+$10M

Top Sells

Rank Stock Value
1
CCL icon
Carnival Corporation Ltd
CCL
+$24.2M
2
BLU
BELLUS Health Inc.
BLU
+$16.7M
3
ABUS icon
Arbutus Biopharma
ABUS
+$11.7M
4
NKLAW
Nikola Corporation Warrant expiring 6/3/2025
NKLAW
+$11M
5
LGVW.U
Longview Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-thir
LGVW.U
+$5.79M

Sector Composition

Rank Sector Weight
1 Healthcare 14.03%
2 Consumer Discretionary 13.24%
3 Financials 8.37%
4 Technology 6.29%
5 Industrials 3.25%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PAEWW
76
DELISTED
PAE Incorporated Warrants
PAEWW
$1.25M 0.2%
568,470
-10,536
-2% -$24.5K
GRUB
77
DELISTED
Just Eat Takeaway.com N.V. American Depositary Shares
GRUB
$1.25M 0.2%
8,651
-4,458
-34% -$643K
QDEL icon
78
QuidelOrtho
QDEL
$934M
$1.25M 0.2%
+5,676
New +$1.27M
DGNR.U
79
DELISTED
Dragoneer Growth Opportunities Corp. Units, each consisting of one Class A ordinary share, and one-f
DGNR.U
$1.23M 0.2%
+100,100
New +$1.19M
BPY
80
PUT
DELISTED
Brookfield Property Partners L.P. Limited Partnership Units
BPY
$1.2M 0.2%
266,100
+161,100
+153% +$1.84M
HYLN icon
81
PUT
Hyliion Holdings
HYLN
$719M
$1.17M 0.19%
+123,400
New +$4.04M
TIF
82
CALL
DELISTED
Tiffany & Co.
TIF
$1.17M 0.19%
750,600
+310,500
+71% +$37.7M
SOAC.U
83
DELISTED
Sustainable Opportunities Acquisition Corp. Units, each consisting of one Class A ordinary share and
SOAC.U
$1.11M 0.18%
100,000
+40,000
+67% +$423K
STPK.U
84
DELISTED
Star Peak Energy Transition Corp. Units, each consisting of one share of Class A common stock, and o
STPK.U
$1.1M 0.18%
+107,457
New +$1.09M
SHLL.WS
85
DELISTED
Tortoise Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common
SHLL.WS
$1.06M 0.17%
+41,396
New +$532K
HYLN icon
86
CALL
Hyliion Holdings
HYLN
$719M
$1.04M 0.17%
+84,300
New +$2.76M
ADN
87
DELISTED
Advent Technologies
ADN
$1.03M 0.17%
+3,333
New +$1.03M
MRK icon
88
Merck
MRK
$321B
$1.03M 0.17%
+12,975
New +$1.02M
GME icon
89
GameStop
GME
$8.39B
$1.02M 0.17%
+400,000
New +$578K
TLMD
90
DELISTED
SOC Telemed, Inc. Class A Common Stock
TLMD
$1.01M 0.17%
100,000
-73,105
-42% -$754K
ANDAU
91
DELISTED
Andina Acquisition Corp. III Unit
ANDAU
$1.01M 0.17%
92,157
– –
CHPM
92
DELISTED
CHP Merger Corp. Class A Common Stock
CHPM
$1.01M 0.17%
99,171
+76,431
+336% +$777K
TCO
93
DELISTED
Taubman Centers Inc.
TCO
$999K 0.16%
+30,000
New +$1.12M
ACEVU
94
DELISTED
ACE Convergence Acquisition Corp
ACEVU
$998K 0.16%
+97,400
New +$980K
CVX icon
95
PUT
Chevron
CVX
$386B
$948K 0.15%
+450,000
New +$37.8M
IWM icon
96
PUT
iShares Russell 2000 ETF
IWM
$81.7B
$943K 0.15%
233,600
+154,600
+196% +$23.3M
MUFG icon
97
Mitsubishi UFJ Financial
MUFG
$250B
$943K 0.15%
235,213
-200,000
-46% -$807K
KODK icon
98
Kodak
KODK
$995M
$906K 0.15%
+102,700
New +$803K
SPY icon
99
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$809B
$866K 0.14%
25,500
-290,100
-92% -$96.1M
HTT
100
PUT
High Templar Tech Ltd
HTT
$387M
$853K 0.14%
304,800
– –
2 3
4
5 6

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Cowen and Company's Q3 2020 Portfolio in Review

As of Q3 2020, Cowen and Company held 630 positions worth $613M, up 1.8% from $601M the previous quarter. Its ten largest holdings account for 53% of the portfolio.

Cowen and Company deployed $98.2M of net new capital in Q3 2020, opening 243 new positions and adding to 56 existing holdings. Its largest new stake was Albireo Pharma Inc: 600,000 shares worth $20M.

By sector, the portfolio is most concentrated in Healthcare at 14% of assets, down from 14% a quarter earlier, followed by Consumer Discretionary and Financials.

On the sell side, the largest reduction was Arbutus Biopharma, an estimated $11.7M trimmed.

  • Cowen and Company's largest Q3 2020 buy was Albireo Pharma Inc: 600,000 shares worth $20M.
  • Cowen and Company added most to Invesco QQQ Trust in Q3 2020, an estimated $60.6M increase.
  • Cowen and Company's biggest Q3 2020 reduction was Arbutus Biopharma, cutting an estimated $11.7M.
  • Cowen and Company fully exited Carnival Corporation Ltd in Q3 2020, selling an estimated $24.2M.
  • Cowen and Company's ten largest holdings make up 53% of its $613M portfolio in Q3 2020.
  • Cowen and Company opened 243 new positions and closed 199 in Q3 2020.
  • Cowen and Company's portfolio value rose 1.8% quarter-over-quarter to $613M.

Based on Cowen and Company's 13F filing for Q3 2020, filed 3 Nov 2020.