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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
-2.91%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.05%
5 Year Est. Return
+670.56%
10 Year Est. Return
–
AUM
$394M
AUM Growth
–
Cap. Flow
+$923M
Cap. Flow %
234.23%
Top 10 Hldgs %
47.92%
Holding
448
New
446
Increased
–
Reduced
–
Closed
–

Top Buys

Rank Stock Value
1
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$70M
2
ZM icon
Zoom
ZM
+$38.9M
3
CRWD icon
CrowdStrike
CRWD
+$24M
4
BYND icon
Beyond Meat
BYND
+$18.9M
5
NKLA
Nikola Corporation Common Stock
NKLA
+$12.1M

Top Sells

No sells this quarter

Sector Composition

Rank Sector Weight
1 Financials 28.08%
2 Technology 20%
3 Consumer Discretionary 7.92%
4 Consumer Staples 6.17%
5 Healthcare 5.2%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
BRPM.U
201
DELISTED
B. Riley Principal Merger Corp.
BRPM.U
$275K 0.07%
+27,200
New +$273K
LAZR
202
DELISTED
Luminar Technologies
LAZR
$273K 0.07%
+1,801
New +$273K
CELU icon
203
Celularity
CELU
$20.3M
$266K 0.07%
+2,675
New +$262K
TSEM icon
204
Tower Semiconductor
TSEM
$28.5B
$264K 0.07%
+13,715
New +$256K
LH icon
205
PUT
Labcorp
LH
$25.9B
$261K 0.07%
+195,552
New +$28.5M
AVYA
206
DELISTED
Avaya Holdings Corp. Common Stock
AVYA
$259K 0.07%
+25,364
New +$298K
ODP
207
DELISTED
ODP
ODP
$255K 0.06%
+14,531
New +$250K
KGC icon
208
CALL
Kinross Gold
KGC
$32.8B
$254K 0.06%
+190,000
New +$882K
BROG
209
DELISTED
Brooge Energy
BROG
$253K 0.06%
+24,663
New +$252K
APHA
210
DELISTED
Aphria Inc. Common Shares
APHA
$253K 0.06%
+48,901
New +$311K
CCH.U
211
DELISTED
Collier Creek Holdings Units, each consisting of one Class A ordinary share, $0.0001 par value, and
CCH.U
$253K 0.06%
+23,682
New +$252K
DB icon
212
PUT
Deutsche Bank
DB
$71.5B
$250K 0.06%
+160,000
New +$1.22M
MUR icon
213
PUT
Murphy Oil
MUR
$4.78B
$250K 0.06%
+217,500
New +$4.68M
CSCO icon
214
PUT
Cisco
CSCO
$479B
$245K 0.06%
+130,000
New +$6.76M
BROGR
215
DELISTED
Twelve Seas Investment Company Rights
BROGR
$244K 0.06%
+659,818
New +$213K
ONCE
216
PUT
DELISTED
Spark Therapeutics, Inc. Common Stock
ONCE
$237K 0.06%
+50,900
New +$5.1M
WDC icon
217
Western Digital
WDC
$150B
$236K 0.06%
+5,226
New +$223K
EXC icon
218
Exelon
EXC
$47B
$234K 0.06%
+6,805
New +$228K
LOTZW
219
DELISTED
CarLotz, Inc. Warrant
LOTZW
$233K 0.06%
+314,636
New +$236K
SSPKU
220
DELISTED
Silver Spike Acquisition Corp. Units
SSPKU
$233K 0.06%
+23,137
New +$232K
PIC.WS
221
DELISTED
Pivotal Investment Corporation II Redeemable Warrants, each whole warrant exercisable for shares of
PIC.WS
$233K 0.06%
+217,851
New +$231K
CONE
222
CALL
DELISTED
CyrusOne Inc Common Stock
CONE
$232K 0.06%
+28,200
New +$1.88M
RVLV icon
223
PUT
Revolve Group
RVLV
$1.73B
$230K 0.06%
+50,000
New +$1.43M
PRDO icon
224
Perdoceo Education
PRDO
$2.12B
$229K 0.06%
+14,417
New +$283K
PCG icon
225
PUT
PG&E
PCG
$38.5B
$228K 0.06%
+52,500
New +$794K
7 8
9
10 11

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PWLP
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FPCG
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SI
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BC
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FTDI
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CIM
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PRO
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Cowen and Company's Q3 2019 Portfolio in Review

Q3 2019 is the first quarter with a 13F filing on record for Cowen and Company, which disclosed 448 positions worth $394M. Its ten largest holdings account for 48% of the portfolio.

Its largest position is Sumitomo Mitsui Financial: 10,251,605 shares worth $70.1M.

By sector, the portfolio is most concentrated in Financials at 28% of assets, followed by Technology and Consumer Discretionary.

  • Cowen and Company's largest Q3 2019 buy was Sumitomo Mitsui Financial: 10,251,605 shares worth $70.1M.
  • Cowen and Company's ten largest holdings make up 48% of its $394M portfolio in Q3 2019.
  • Cowen and Company disclosed 448 positions in Q3 2019, its first 13F filing on record.

Based on Cowen and Company's 13F filing for Q3 2019, filed 12 Nov 2019.