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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
+3.57%
1 Year Est. Return
+105.26%
3 Year Est. Return
+120.06%
5 Year Est. Return
+670.57%
10 Year Est. Return
–
AUM
$2.11B
AUM Growth
+$194M
Cap. Flow
+$817M
Cap. Flow %
38.72%
Top 10 Hldgs %
58.11%
Holding
879
New
298
Increased
119
Reduced
91
Closed
307

Top Buys

Rank Stock Value
1
MIC
Macquarie Infrastructure Holdings, LLC
MIC
+$47M
2
FTAI icon
FTAI Aviation
FTAI
+$42.9M
3
CLDX icon
Celldex Therapeutics
CLDX
+$29.1M
4
ESTA icon
Establishment Labs
ESTA
+$17.5M
5
VMW
VMware, Inc
VMW
+$15.1M

Top Sells

Rank Stock Value
1
WPF
Foley Trasimene Acquisition Corp.
WPF
+$15.1M
2
BPYU
Brookfield Property REIT Inc. Class A Common Stock
BPYU
+$14.4M
3
RBAC
RedBall Acquisition Corp.
RBAC
+$12.6M
4
SST icon
System1
SST
+$9.9M
5
NICE icon
Nice
NICE
+$7.38M

Sector Composition

Rank Sector Weight
1 Healthcare 15.03%
2 Consumer Discretionary 11.05%
3 Financials 5.53%
4 Technology 3.61%
5 Industrials 2.7%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
QQQ icon
1
Invesco QQQ Trust
QQQ
$450B
$277M 13.11%
787,250
+14,250
+2% +$5.25M
HYG icon
2
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$15.9B
$270M 12.81%
3,089,421
+49,421
+2% +$4.33M
SPY icon
3
State Street SPDR S&P 500 ETF Trust
SPY
$784B
$183M 8.66%
425,930
– –
LOW icon
4
Lowe's Companies
LOW
$118B
$105M 5%
520,000
– –
HD icon
5
Home Depot
HD
$332B
$105M 4.98%
320,000
– –
IWM icon
6
iShares Russell 2000 ETF
IWM
$80.2B
$90.8M 4.3%
414,970
– –
XBI icon
7
State Street SPDR S&P Biotech ETF
XBI
$10.3B
$50.3M 2.38%
400,000
-48,702
-11% -$6.27M
XLI icon
8
State Street Industrial Select Sector SPDR ETF
XLI
$32.5B
$49.4M 2.34%
505,334
+5,334
+1% +$548K
MIC
9
DELISTED
Macquarie Infrastructure Holdings, LLC
MIC
$48.3M 2.29%
+1,190,000
New +$47M
XLV icon
10
State Street Health Care Select Sector SPDR ETF
XLV
$42.2B
$47.1M 2.23%
369,986
+29,986
+9% +$3.96M
ESTA icon
11
Establishment Labs
ESTA
$2.75B
$44.6M 2.12%
623,687
+237,640
+62% +$17.5M
FULC icon
12
Fulcrum Therapeutics
FULC
$248M
$44M 2.09%
1,560,563
+240,676
+18% +$4.56M
SMFG icon
13
Sumitomo Mitsui Financial
SMFG
$164B
$41.9M 1.99%
5,976,605
-60,000
-1% -$418K
FTAI icon
14
FTAI Aviation
FTAI
$20.3B
$39.9M 1.89%
1,843,050
+1,790,355
+3,398% +$42.9M
CLDX icon
15
Celldex Therapeutics
CLDX
$3.02B
$35.1M 1.66%
649,278
+620,883
+2,187% +$29.1M
RCKT icon
16
Rocket Pharmaceuticals
RCKT
$351M
$29.9M 1.42%
1,000,000
– –
APYX icon
17
Apyx Medical
APYX
$173M
$26M 1.23%
1,879,003
+325,804
+21% +$3.43M
AVDL
18
DELISTED
Avadel Pharmaceuticals
AVDL
$24.7M 1.17%
2,525,452
+29,879
+1% +$235K
IWO icon
19
iShares Russell 2000 Growth ETF
IWO
$14.4B
$22M 1.04%
75,000
– –
CTLP
20
DELISTED
Cantaloupe
CTLP
$21.7M 1.03%
2,572,988
+365,680
+17% +$3.79M
ITB icon
21
iShares US Home Construction ETF
ITB
$2.29B
$19.9M 0.94%
300,000
– –
XGN icon
22
Exagen
XGN
$113M
$18.8M 0.89%
1,384,631
+658,553
+91% +$8.75M
XLE icon
23
State Street Energy Select Sector SPDR ETF
XLE
$39.2B
$18.2M 0.86%
700,000
– –
XRT icon
24
State Street SPDR S&P Retail ETF
XRT
$453M
$18.1M 0.86%
200,000
– –
HCVIU
25
DELISTED
Hennessy Capital Investment Corp. VI Unit
HCVIU
$15M 0.71%
+1,505,953
New +$15M
1
2 3 4 5

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CIP
Chartwell Investment Partners Berywn, Pennsylvania $2.91B AUM 40.48% 1-Year Est. Return
PWLP
Prio Wealth Limited Partnership Boston, Massachusetts $3.41B AUM 44.09% 1-Year Est. Return
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 2021 Portfolio in Review

As of Q3 2021, Cowen and Company held 879 positions worth $2.11B, up 10% from $1.92B the previous quarter. Its ten largest holdings account for 58% of the portfolio.

Cowen and Company deployed $817M of net new capital in Q3 2021, opening 298 new positions and adding to 119 existing holdings. Its largest new stake was Macquarie Infrastructure Holdings, LLC: 1,190,000 shares worth $48.3M.

By sector, the portfolio is most concentrated in Healthcare at 15% of assets, up from 12% a quarter earlier, followed by Consumer Discretionary and Financials.

On the sell side, the largest reduction was Nice, an estimated $7.38M trimmed.

  • Cowen and Company's largest Q3 2021 buy was Macquarie Infrastructure Holdings, LLC: 1,190,000 shares worth $48.3M.
  • Cowen and Company added most to FTAI Aviation in Q3 2021, an estimated $42.9M increase.
  • Cowen and Company's biggest Q3 2021 reduction was Nice, cutting an estimated $7.38M.
  • Cowen and Company fully exited Foley Trasimene Acquisition Corp. in Q3 2021, selling an estimated $15.1M.
  • Cowen and Company's ten largest holdings make up 58% of its $2.11B portfolio in Q3 2021.
  • Cowen and Company opened 298 new positions and closed 307 in Q3 2021.
  • Cowen and Company's portfolio value rose 10% quarter-over-quarter to $2.11B.

Based on Cowen and Company's 13F filing for Q3 2021, filed 12 Nov 2021.