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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
XLF icon
201
CALL
State Street Financial Select Sector SPDR ETF
XLF
$59B
$231K 0.04%
+150,000
New +$3.65M
SPCE icon
202
CALL
Virgin Galactic
SPCE
$489M
$229K 0.04%
2,800
– –
CLGX
203
CALL
DELISTED
Corelogic, Inc.
CLGX
$227K 0.04%
+59,800
New +$4.02M
CGC
204
Canopy Growth
CGC
$416M
$225K 0.04%
1,569
-17,741
-92% -$2.98M
FUSE.WS
205
DELISTED
Fusion Acquisition Corp. Warrants, each whole warrant exercisable for one share of Class A common st
FUSE.WS
$225K 0.04%
+206,401
New +$154K
PPLI
206
CALL
People Inc
PPLI
$3.02B
$222K 0.04%
82,997
-256,085
-76% -$17.6M
HTZ
207
PUT
DELISTED
Hertz Global Holdings, Inc.
HTZ
$222K 0.04%
712,800
-79,500
-10% -$115K
CNK icon
208
Cinemark Holdings
CNK
$4.33B
$214K 0.03%
+21,353
New +$266K
GNW icon
209
CALL
Genworth Financial
GNW
$3.71B
$212K 0.03%
426,800
+296,200
+227% +$789K
ROCH
210
DELISTED
Roth CH Acquisition I Co. Common Stock
ROCH
$204K 0.03%
+20,496
New +$204K
IJR icon
211
iShares Core S&P Small-Cap ETF
IJR
$112B
$202K 0.03%
+2,881
New +$206K
BTAQU
212
DELISTED
Burgundy Technology Acquisition Corporation Unit
BTAQU
$197K 0.03%
+19,760
New +$197K
INTC icon
213
CALL
Intel
INTC
$489B
$196K 0.03%
+135,600
New +$7.05M
SRNE
214
PUT
DELISTED
Sorrento Therapeutics, Inc.
SRNE
$195K 0.03%
+129,200
New +$1.18M
PAYA
215
DELISTED
Paya Holdings Inc. Class A Common Stock
PAYA
$192K 0.03%
18,660
-22,591
-55% -$238K
IGMS
216
PUT
DELISTED
IGM Biosciences
IGMS
$191K 0.03%
+45,000
New +$2.66M
RSI icon
217
Rush Street Interactive
RSI
$2.9B
$191K 0.03%
15,000
-38,089
-72% -$434K
SNDX icon
218
Syndax Pharmaceuticals
SNDX
$1.82B
$191K 0.03%
12,946
-13,274
-51% -$202K
HTT
219
High Templar Tech Ltd
HTT
$394M
$189K 0.03%
152,247
+120,776
+384% +$204K
SFTW.WS
220
DELISTED
Osprey Technology Acquisition Corp. Redeemable Warrants, each whole Warrant exercisable for one shar
SFTW.WS
$189K 0.03%
135,311
-183,371
-58% -$215K
DMYD.U
221
DELISTED
dMY Technology Group, Inc. II Units, each consisting of one share of Class A common stock and one-th
DMYD.U
$184K 0.03%
+18,003
New +$183K
RPLA.WS
222
DELISTED
Replay Acquisition Corp. Warrants
RPLA.WS
$174K 0.03%
183,249
-224,377
-55% -$208K
IPV.U
223
DELISTED
InterPrivate Acquisition Corp. Units, each consisting of one share of common stock, $.0001 par value
IPV.U
$174K 0.03%
+16,812
New +$171K
SRTAW
224
DELISTED
Strata Critical Medical Inc Warrants
SRTAW
$173K 0.03%
141,698
+78,752
+125% +$85.1K
CCX.WS
225
DELISTED
Churchill Capital Corp II Warrants, each exercisable for one share of Class A common stock at an exe
CCX.WS
$172K 0.03%
78,885
-709
-0.9% -$1.67K
7 8
9
10 11

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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
Scout Investments Kansas City, Missouri $3.8B AUM 45.91% 1-Year Est. Return
BC
Boxer Capital San Diego, California $2.04B AUM 108.39% 1-Year Est. Return
FTDI
First Trust Direct Indexing Boston, Massachusetts $1.87B AUM 43.63% 1-Year Est. Return
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.