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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
-2.91%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$394M
AUM Growth
–
Cap. Flow
+$923M
Cap. Flow %
234.23%
Top 10 Hldgs %
47.92%
Holding
448
New
446
Increased
–
Reduced
–
Closed
–

Top Buys

Rank Stock Value
1
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$70M
2
ZM icon
Zoom
ZM
+$38.9M
3
CRWD icon
CrowdStrike
CRWD
+$24M
4
BYND icon
Beyond Meat
BYND
+$18.9M
5
NKLA
Nikola Corporation Common Stock
NKLA
+$12.1M

Top Sells

No sells this quarter

Sector Composition

Rank Sector Weight
1 Financials 28.08%
2 Technology 20%
3 Consumer Discretionary 7.92%
4 Consumer Staples 6.17%
5 Healthcare 5.2%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
C icon
101
CALL
Citigroup
C
$226B
$540K 0.14%
+28,000
New +$1.9M
PAE
102
DELISTED
PAE Incorporated Class A Common Stock
PAE
$536K 0.14%
+52,998
New +$533K
XOP icon
103
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.43B
$521K 0.13%
+5,825
New +$548K
RWGE
104
DELISTED
Regalwood Global Energy Ltd. Class A Ordinary Shares
RWGE
$519K 0.13%
+50,299
New +$517K
BTCT icon
105
BTC Digital
BTCT
$7.72M
$508K 0.13%
+83
New +$503K
FREE
106
DELISTED
Whole Earth Brands, Inc. Class A Common Stock
FREE
$505K 0.13%
+51,295
New +$504K
IMMU
107
DELISTED
Immunomedics Inc
IMMU
$504K 0.13%
+38,000
New +$559K
ACEL icon
108
Accel Entertainment
ACEL
$987M
$480K 0.12%
+46,699
New +$481K
TRNE.U
109
DELISTED
Trine Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of
TRNE.U
$471K 0.12%
+45,490
New +$463K
SCPE.WS
110
DELISTED
SC Health Corporation Warrants, each whole warrant exercisable for one Class A ordinary share at an
SCPE.WS
$460K 0.12%
+383,183
New +$452K
ALLK
111
CALL
DELISTED
Allakos
ALLK
$457K 0.12%
+17,500
New +$1.15M
ALDR
112
DELISTED
Alder Biopharmaceuticals
ALDR
$451K 0.11%
+23,937
New +$274K
TPB icon
113
Turning Point Brands
TPB
$1.74B
$441K 0.11%
+19,114
New +$728K
CCX.WS
114
DELISTED
Churchill Capital Corp II Warrants, each exercisable for one share of Class A common stock at an exe
CCX.WS
$440K 0.11%
+293,218
New +$404K
SBE.U
115
DELISTED
Switchback Energy Acquisition Corporation
SBE.U
$426K 0.11%
+42,619
New +$426K
PVT.WS
116
DELISTED
Pivotal Acquisition Corp. Redeemable Warrants, exercisable for shares of Class A Common Stock at an
PVT.WS
$420K 0.11%
+313,174
New +$392K
MUDSW
117
DELISTED
Mudrick Capital Acquisition Corporation Warrant
MUDSW
$411K 0.1%
+652,724
New +$379K
ENIA
118
DELISTED
Enel Amricas S.A. American Depositary Shares (Each representing 50 shares of Common Stock)
ENIA
$406K 0.1%
+44,600
New +$376K
MPC icon
119
Marathon Petroleum
MPC
$83.7B
$403K 0.1%
+6,627
New +$349K
INSUU
120
DELISTED
Insurance Acquisition Corp. Unit
INSUU
$402K 0.1%
+38,545
New +$400K
LGHL
121
Lion Group Holding
LGHL
$831K
– –
0
– –
LCAHU
122
DELISTED
Landcadia Holdings II, Inc. Unit
LCAHU
$394K 0.1%
+39,040
New +$392K
FFIV icon
123
F5
FFIV
$22.7B
$393K 0.1%
+2,800
New +$387K
DVA icon
124
CALL
DaVita
DVA
$11.7B
$392K 0.1%
+84,000
New +$4.88M
MCK icon
125
PUT
McKesson
MCK
$101B
$392K 0.1%
+44,500
New +$6.31M
3 4
5
6 7

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Cowen and Company's Q3 2019 Portfolio in Review

Q3 2019 is the first quarter with a 13F filing on record for Cowen and Company, which disclosed 448 positions worth $394M. Its ten largest holdings account for 48% of the portfolio.

Its largest position is Sumitomo Mitsui Financial: 10,251,605 shares worth $70.1M.

By sector, the portfolio is most concentrated in Financials at 28% of assets, followed by Technology and Consumer Discretionary.

  • Cowen and Company's largest Q3 2019 buy was Sumitomo Mitsui Financial: 10,251,605 shares worth $70.1M.
  • Cowen and Company's ten largest holdings make up 48% of its $394M portfolio in Q3 2019.
  • Cowen and Company disclosed 448 positions in Q3 2019, its first 13F filing on record.

Based on Cowen and Company's 13F filing for Q3 2019, filed 12 Nov 2019.