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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
THBR
101
DELISTED
Thunder Bridge Acquisition II, Ltd. Class A Ordinary Shares
THBR
$888K 0.08%
+89,278
New +$882K
PACQU
102
DELISTED
Pure Acquisition Corp. Unit
PACQU
$869K 0.08%
80,421
-177,381
-69% -$1.91M
GXGXU
103
DELISTED
GX Acquisiton Corp. Unit
GXGXU
$850K 0.07%
82,000
+67,731
+475% +$695K
EQM
104
DELISTED
EQM Midstream Partners, LP
EQM
$819K 0.07%
+27,390
New +$762K
BKSY icon
105
BlackSky Technology
BKSY
$1.19B
$815K 0.07%
+10,453
New +$816K
SPY icon
106
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$810B
$803K 0.07%
+46,700
New +$14.4M
XOM icon
107
ExxonMobil
XOM
$634B
$790K 0.07%
11,323
-2,044
-15% -$141K
CVNA icon
108
CALL
Carvana
CVNA
$77.9B
$768K 0.07%
125,000
– –
LCII icon
109
CALL
LCI Industries
LCII
$2.65B
$761K 0.07%
+97,000
New +$9.82M
FIT
110
PUT
DELISTED
Fitbit, Inc. Class A common stock
FIT
$761K 0.07%
+1,694,300
New +$9.94M
OXY icon
111
Occidental Petroleum
OXY
$55.9B
$759K 0.07%
+18,419
New +$738K
LIVKU
112
DELISTED
LIV Capital Acquisition Corp. Unit
LIVKU
$742K 0.06%
+73,708
New +$740K
ICPT
113
DELISTED
Intercept Pharmaceuticals, Inc.
ICPT
$732K 0.06%
+5,909
New +$529K
PARA
114
DELISTED
Paramount Global Class B
PARA
$719K 0.06%
+17,140
New +$664K
SNDL icon
115
Sundial Growers
SNDL
$320M
$695K 0.06%
23,108
+2,037
+10% +$66.5K
LFLY
116
DELISTED
Leafly Holdings, Inc. Common Stock
LFLY
$690K 0.06%
+3,540
New +$689K
SPCE icon
117
CALL
Virgin Galactic
SPCE
$398M
$688K 0.06%
+15,845
New +$3.09M
EDTXU
118
DELISTED
EdtechX Holdings Acquisition Corp. Unit
EDTXU
$683K 0.06%
+64,900
New +$677K
ITCI
119
CALL
DELISTED
Intra-Cellular Therapies Inc.
ITCI
$631K 0.05%
+25,900
New +$311K
AXSM icon
120
CALL
Axsome Therapeutics
AXSM
$10.9B
$560K 0.05%
+8,100
New +$327K
A icon
121
CALL
Agilent Technologies
A
$41.2B
$557K 0.05%
+286,600
New +$22.6M
GDX icon
122
CALL
VanEck Gold Miners ETF
GDX
$27.4B
$549K 0.05%
900,000
+655,400
+268% +$17.9M
GMHIW
123
DELISTED
Gores Metropoulos, Inc. Warrant
GMHIW
$526K 0.05%
350,605
+301,982
+621% +$423K
GMHIU
124
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
$506K 0.04%
47,608
+27,300
+134% +$291K
EEM icon
125
CALL
iShares MSCI Emerging Markets ETF
EEM
$30B
$502K 0.04%
+336,700
New +$14.5M
3 4
5
6 7

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CIP
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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.