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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
UK icon
101
Ucommune International Ltd Class A Ordinary Shares
UK
$1.38M
$814K 0.13%
33
-84
-72% -$2.05M
DMTK
102
DELISTED
DermTech, Inc. Common Stock
DMTK
$814K 0.13%
68,125
– –
ASTS icon
103
AST SpaceMobile
ASTS
$20.5B
$795K 0.13%
+78,922
New +$800K
VINC
104
DELISTED
Vincerx Pharma, Inc. Common Stock
VINC
$794K 0.13%
+3,200
New +$651K
RBAC.U
105
DELISTED
RedBall Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one
RBAC.U
$793K 0.13%
+75,000
New +$774K
HZAC.U
106
DELISTED
Horizon Acquisition Corporation Units, each consisting of one Class A ordinary share and one-third o
HZAC.U
$780K 0.13%
+75,000
New +$767K
PRPB.U
107
DELISTED
CC Neuberger Principal Holdings II
PRPB.U
$775K 0.13%
+75,000
New +$764K
RIDE
108
DELISTED
Lordstown Motors Corp. Class A Common Stock
RIDE
$773K 0.13%
+2,000
New +$480K
YAC.U
109
DELISTED
Yucaipa Acquisition Corporation Units, each consisting of one Class A ordinary share and one-third o
YAC.U
$765K 0.12%
+75,000
New +$759K
IGMS
110
CALL
DELISTED
IGM Biosciences
IGMS
$761K 0.12%
+45,000
New +$2.66M
NKLA
111
PUT
DELISTED
Nikola Corporation Common Stock
NKLA
$758K 0.12%
1,667
+347
+26% +$404K
GNLN icon
112
Greenlane Holdings
GNLN
$1.23M
– –
0
– –
PFE icon
113
Pfizer
PFE
$154B
$734K 0.12%
+21,080
New +$739K
HOLUU
114
DELISTED
Holicity Inc. Unit
HOLUU
$727K 0.12%
+70,200
New +$713K
IPOB.U
115
DELISTED
Social Capital Hedosophia Holdings Corp. II Units, each consisting of one Class A ordinary share and
IPOB.U
$706K 0.12%
+33,885
New +$455K
MRTX
116
DELISTED
Mirati Therapeutics, Inc. Common Stock
MRTX
$681K 0.11%
+4,101
New +$561K
CRHC.U
117
DELISTED
Cohn Robbins Holdings Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
CRHC.U
$676K 0.11%
+66,973
New +$678K
NGA.U
118
DELISTED
Northern Genesis Acquisition Corp. Units, each consisting of one share of common stock and one-half
NGA.U
$674K 0.11%
+67,500
New +$673K
SPAQ.U
119
DELISTED
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
$648K 0.11%
+40,102
New +$601K
INO icon
120
Inovio Pharmaceuticals
INO
$76.1M
$645K 0.11%
+4,633
New +$966K
THBR
121
DELISTED
Thunder Bridge Acquisition II, Ltd. Class A Ordinary Shares
THBR
$643K 0.11%
63,058
-70,548
-53% -$722K
INO icon
122
PUT
Inovio Pharmaceuticals
INO
$76.1M
$639K 0.1%
+12,833
New +$2.68M
THCX
123
DELISTED
AXS Cannabis ETF
THCX
$622K 0.1%
7,500
– –
INVA icon
124
Innoviva
INVA
$1.49B
$619K 0.1%
+59,258
New +$753K
ONC
125
CALL
BeOne Medicines Ltd
ONC
$40.6B
$589K 0.1%
+5,500
New +$1.29M
3 4
5
6 7

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PWLP
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FPCG
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BC
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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.