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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
DSKEW
176
DELISTED
Daseke, Inc. Warrant
DSKEW
$316K 0.05%
2,161,452
-1,757,736
-45% -$256K
TOL icon
177
Toll Brothers
TOL
$14B
$308K 0.05%
+6,334
New +$256K
BTRS
178
DELISTED
BTRS Holdings Inc. Class 1 Common Stock
BTRS
$302K 0.05%
+28,900
New +$298K
LL
179
CALL
DELISTED
LL Flooring Holdings, Inc.
LL
$301K 0.05%
23,700
– –
UBER icon
180
CALL
Uber
UBER
$159B
$299K 0.05%
+135,900
New +$4.49M
NEM icon
181
CALL
Newmont
NEM
$123B
$290K 0.05%
39,400
-2,800
-7% -$183K
APPH
182
DELISTED
AppHarvest, Inc. Common Stock
APPH
$290K 0.05%
+24,669
New +$247K
TCO
183
PUT
DELISTED
Taubman Centers Inc.
TCO
$289K 0.05%
93,600
+85,000
+988% +$3.17M
ABBV icon
184
AbbVie
ABBV
$437B
$282K 0.05%
+3,222
New +$303K
APXTU
185
DELISTED
Apex Technology Acquisition Corporation Unit
APXTU
$282K 0.05%
+23,900
New +$268K
AMRN
186
Amarin Corp
AMRN
$300M
$274K 0.04%
+3,251
New +$390K
NUAN
187
DELISTED
Nuance Communications, Inc.
NUAN
$272K 0.04%
+8,181
New +$237K
SRTA
188
Strata Critical Medical Inc
SRTA
$526M
$270K 0.04%
+26,843
New +$271K
SPCE icon
189
Virgin Galactic
SPCE
$492M
$267K 0.04%
695
-7,646
-92% -$2.9M
RVPH
190
DELISTED
REVIVA PHARMA HLDGS INC
RVPH
$264K 0.04%
+1,230
New +$265K
XLRN
191
CALL
DELISTED
Acceleron Pharma
XLRN
$263K 0.04%
+15,000
New +$1.49M
CIICU
192
DELISTED
CIIG Merger Corp. Units
CIICU
$261K 0.04%
+25,590
New +$269K
GRSVU
193
DELISTED
Gores Holdings V, Inc. Unit
GRSVU
$259K 0.04%
+25,000
New +$255K
GLEO.U
194
DELISTED
Galileo Acquisition Corp. Units, each consisting of one Ordinary Share and one Redeemable Warrant
GLEO.U
$253K 0.04%
+24,000
New +$252K
CELUW
195
DELISTED
Celularity Inc
CELUW
$252K 0.04%
157,323
-41,363
-21% -$62.4K
AVPTW
196
DELISTED
AvePoint Inc Warrant
AVPTW
$246K 0.04%
126,691
+115,317
+1,014% +$189K
KODK icon
197
PUT
Kodak
KODK
$979M
$241K 0.04%
+102,700
New +$803K
MCF
198
DELISTED
Contango Oil & Gas Co.
MCF
$241K 0.04%
180,000
– –
CUB
199
CALL
DELISTED
Cubic Corporation
CUB
$240K 0.04%
+200,300
New +$9.42M
VACQU
200
DELISTED
Vector Acquisition Corporation Unit
VACQU
$239K 0.04%
+23,588
New +$238K
6 7
8
9 10

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CIP
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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 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.