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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
+120.06%
5 Year Est. Return
+670.57%
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
QQQ icon
1
Invesco QQQ Trust
QQQ
$453B
$150M 24.49%
539,905
+223,357
+71% +$60.6M
NKLA
2
DELISTED
Nikola Corporation Common Stock
NKLA
$40M 6.52%
65,026
+1,667
+3% +$1.94M
SMFG icon
3
Sumitomo Mitsui Financial
SMFG
$164B
$35.8M 5.84%
6,401,605
– –
ALBO
4
DELISTED
Albireo Pharma Inc
ALBO
$20M 3.27%
+600,000
New +$17.5M
IWM icon
5
iShares Russell 2000 ETF
IWM
$79.8B
$18.8M 3.07%
125,658
+63,626
+103% +$9.57M
AVPT icon
6
AvePoint
AVPT
$2.76B
$14.5M 2.36%
1,365,974
+1,352,294
+9,885% +$14.1M
STLA icon
7
Stellantis
STLA
$16.7B
$13.3M 2.18%
1,092,142
+883,205
+423% +$9.83M
MCD icon
8
McDonald's
MCD
$192B
$10.7M 1.74%
+48,686
New +$10M
SST icon
9
System1
SST
$14.3M
$10.2M 1.66%
+100,000
New +$10.2M
AVDL
10
DELISTED
Avadel Pharmaceuticals
AVDL
$9.61M 1.57%
1,905,990
-1,514
-0.1% -$11K
PTON icon
11
CALL
Peloton Interactive
PTON
$2.77B
$9.03M 1.47%
156,100
+3,800
+2% +$280K
XBI icon
12
State Street SPDR S&P Biotech ETF
XBI
$9.95B
$8.91M 1.46%
80,000
– –
SMH icon
13
VanEck Semiconductor ETF
SMH
$65.2B
$7.5M 1.22%
+86,076
New +$7.21M
TELA icon
14
TELA Bio
TELA
$32.7M
$6.76M 1.1%
409,004
-413
-0.1% -$5.8K
ABB
15
DELISTED
ABB Ltd
ABB
$6.36M 1.04%
+250,000
New +$6.38M
CMRC
16
Commerce.com Inc Series 1
CMRC
$258M
$5.84M 0.95%
+70,100
New +$6.13M
ESTA icon
17
Establishment Labs
ESTA
$2.72B
$5.58M 0.91%
301,001
-46,617
-13% -$829K
CUB
18
DELISTED
Cubic Corporation
CUB
$5.24M 0.85%
+90,000
New +$4.23M
CCI icon
19
Crown Castle
CCI
$33.3B
$5.12M 0.84%
+30,773
New +$5.08M
SBG.U
20
DELISTED
Sandbridge Acquisition Corporation Units, each consisting of one share of Class A Common Stock and o
SBG.U
$4.99M 0.81%
+500,000
New +$5.01M
RMO
21
DELISTED
Romeo Power, Inc.
RMO
$4.98M 0.81%
465,632
+444,931
+2,149% +$4.61M
BHP icon
22
BHP
BHP
$215B
$4.9M 0.8%
106,271
+71,653
+207% +$3.45M
MESO
23
Mesoblast
MESO
$1.84B
$4.83M 0.79%
+130,000
New +$4.07M
GHIVU
24
DELISTED
Gores Holdings IV, Inc. Unit
GHIVU
$4.82M 0.79%
451,701
+377,181
+506% +$4.11M
KLR
25
DELISTED
Kaleyra, Inc.
KLR
$4.68M 0.76%
176,601
-61,287
-26% -$1.28M
1
2 3 4 5

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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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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.