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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
RPLA
126
DELISTED
Replay Acquisition Corp. Ordinary Shares
RPLA
$588K 0.1%
+57,768
New +$591K
MCD icon
127
PUT
McDonald's
MCD
$193B
$582K 0.1%
+75,100
New +$15.4M
QURE icon
128
uniQure
QURE
$3.12B
$580K 0.09%
+15,745
New +$645K
CLA.U
129
DELISTED
Colonnade Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of one
CLA.U
$580K 0.09%
+58,200
New +$577K
GWPH
130
DELISTED
GW Pharmaceuticals Plc American Depositary Shares
GWPH
$567K 0.09%
+5,823
New +$670K
PDLI
131
DELISTED
PDL BioPharma, Inc.
PDLI
$567K 0.09%
180,000
-22,162
-11% -$70.8K
GRPN icon
132
Groupon
GRPN
$886M
$559K 0.09%
+27,400
New +$639K
LGVW.WS
133
DELISTED
Longview Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Clas
LGVW.WS
$556K 0.09%
+572,848
New +$639K
IPOC.U
134
DELISTED
Social Capital Hedosophia Holdings Corp. III Units, each consisting of one Class A ordinary share an
IPOC.U
$551K 0.09%
+40,101
New +$483K
SIRI icon
135
SiriusXM
SIRI
$9.65B
$550K 0.09%
+10,270
New +$589K
SNPR.U
136
DELISTED
Tortoise Acquisition Corp. II Units, each consisting of one Class A ordinary share and one-fourth of
SNPR.U
$544K 0.09%
+50,000
New +$541K
KPLT icon
137
Katapult Holdings
KPLT
$39.7M
$541K 0.09%
+2,157
New +$543K
RMG.WS
138
DELISTED
RMG Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A Common Stoc
RMG.WS
$528K 0.09%
246,594
+151,270
+159% +$205K
ADV icon
139
Advantage Solutions
ADV
$386M
$523K 0.09%
2,000
-2,706
-58% -$732K
FIIIU
140
DELISTED
Forum Merger III Corporation Units
FIIIU
$522K 0.09%
+50,000
New +$509K
CELU icon
141
Celularity
CELU
$20.6M
$510K 0.08%
+4,855
New +$503K
BTRSW
142
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
$505K 0.08%
361,019
+239,957
+198% +$312K
XOM icon
143
PUT
ExxonMobil
XOM
$657B
$500K 0.08%
+358,900
New +$14.7M
AHACU
144
DELISTED
Alpha Healthcare Acquisition Corp Unit
AHACU
$496K 0.08%
+50,000
New +$497K
JIH.WS
145
DELISTED
Juniper Industrial Holdings, Inc. Redeemable warrants included as part of the units
JIH.WS
$491K 0.08%
283,716
+196,175
+224% +$228K
PTK.U
146
DELISTED
PTK Acquisition Corp. Units, each consisting of one share of Common Stock, and one Warrant to acquir
PTK.U
$482K 0.08%
+47,332
New +$474K
CIIC
147
DELISTED
CIIG Merger Corp. - Class A Common Stock
CIIC
$473K 0.08%
+47,243
New +$476K
SMH icon
148
PUT
VanEck Semiconductor ETF
SMH
$70.6B
$472K 0.08%
+206,000
New +$17.3M
FAST icon
149
CALL
Fastenal
FAST
$60.4B
$468K 0.08%
80,000
-4,200
-5% -$96.5K
NUVB icon
150
Nuvation Bio
NUVB
$2.24B
$468K 0.08%
+41,811
New +$452K
4 5
6
7 8

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FPCG
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CIM
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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.