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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
ARQL
176
CALL
DELISTED
Arqule Inc
ARQL
$271K 0.02%
89,300
+77,400
+650% +$898K
BBBY
177
CALL
DELISTED
Bed Bath & Beyond Inc
BBBY
$270K 0.02%
51,500
– –
ZGNX
178
DELISTED
Zogenix, Inc.
ZGNX
$270K 0.02%
+5,176
New +$237K
MPC icon
179
CALL
Marathon Petroleum
MPC
$83.7B
$267K 0.02%
150,000
+100,000
+200% +$6.26M
LVOXU
180
DELISTED
LiveVox Holding, Inc. Unit
LVOXU
$259K 0.02%
25,114
-7,087
-22% -$72.6K
KGC icon
181
CALL
Kinross Gold
KGC
$32.8B
$258K 0.02%
190,000
– –
WDC icon
182
Western Digital
WDC
$150B
$255K 0.02%
5,316
+90
+2% +$3.75K
AUPH icon
183
CALL
Aurinia Pharmaceuticals
AUPH
$2.11B
$254K 0.02%
+25,000
New +$230K
XBI icon
184
CALL
State Street SPDR S&P Biotech ETF
XBI
$10.3B
$250K 0.02%
110,000
+106,100
+2,721% +$9.18M
MPC icon
185
PUT
Marathon Petroleum
MPC
$83.7B
$249K 0.02%
+50,000
New +$3.13M
GRSHW
186
DELISTED
Gores Holdings III, Inc. Warrants
GRSHW
$249K 0.02%
+160,809
New +$230K
ASLEW
187
DELISTED
AerSale Corp Warrants
ASLEW
$243K 0.02%
324,174
-68,689
-17% -$37.9K
VTIQW
188
DELISTED
VectoIQ Acquisition Corp. Warrant
VTIQW
$243K 0.02%
411,851
+62,837
+18% +$36.7K
FAST icon
189
CALL
Fastenal
FAST
$59.5B
$240K 0.02%
80,000
– –
TLRY icon
190
PUT
Tilray
TLRY
$622M
$239K 0.02%
7,910
+3,950
+100% +$817K
DPHCU
191
DELISTED
DiamondPeak Holdings Corp. Units
DPHCU
$236K 0.02%
23,047
-93,953
-80% -$960K
BHVN
192
DELISTED
Biohaven Pharmaceutical Holding Company Ltd.
BHVN
$233K 0.02%
4,278
-22,222
-84% -$1.1M
PTACU
193
DELISTED
PropTech Acquisition Corporation Unit
PTACU
$231K 0.02%
+22,526
New +$229K
AVPTW
194
DELISTED
AvePoint Inc Warrant
AVPTW
$228K 0.02%
+198,102
New +$222K
UNIT
195
PUT
Uniti Group
UNIT
$2.32B
$227K 0.02%
416,500
+149,000
+56% +$1.08M
TRNE.WS
196
DELISTED
Trine Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one share of Class A
TRNE.WS
$226K 0.02%
237,432
+190,032
+401% +$172K
FSCT
197
DELISTED
ForeScout Technologies, Inc. Common Stock
FSCT
$226K 0.02%
+6,879
New +$225K
PIC.WS
198
DELISTED
Pivotal Investment Corporation II Redeemable Warrants, each whole warrant exercisable for shares of
PIC.WS
$222K 0.02%
280,603
+62,752
+29% +$55.9K
BROG
199
DELISTED
Brooge Energy
BROG
$221K 0.02%
25,000
+337
+1% +$3.42K
PIC.U
200
DELISTED
Pivotal Investment Corporation II Units, each consisting of one share of Class A common stock and on
PIC.U
$219K 0.02%
+21,435
New +$218K
6 7
8
9 10

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PWLP
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FPCG
Fort Pitt Capital Group Pittsburgh, Pennsylvania $3.55B AUM 34.86% 1-Year Est. Return
SI
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BC
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FTDI
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CIM
Contrarius Investment Management St. Helier, Jersey $1.76B AUM 35.87% 1-Year Est. Return
PRO
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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.