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Cowen Inc Portfolio holdings

AUM $1.39B
1-Year Est. Return 60.14%
This Fund
S&P 500
This Quarter Est. Return
+10.74%
1 Year Est. Return
+60.14%
3 Year Est. Return
+251.81%
5 Year Est. Return
+491.3%
10 Year Est. Return
–
AUM
$678M
AUM Growth
-$311M
Cap. Flow
-$330M
Cap. Flow %
-48.71%
Top 10 Hldgs %
51.86%
Holding
377
New
112
Increased
34
Reduced
47
Closed
160

Top Buys

Rank Stock Value
1
ONXX
ONYX PHARMACEUTICALS INC
ONXX
+$21.4M
2
NYX
NYSE EURONEXT INC
NYX
+$12.2M
3
ELN
ELAN CORP ADS(RP1 ORD4IRISH PN
ELN
+$6.62M
4
GCOM
GLOBECOMM SYSTEMS INC
GCOM
+$6.6M
5
MOLXA
MOLEX INC CL-A
MOLXA
+$5.72M

Top Sells

Rank Stock Value
1
SPY icon
State Street SPDR S&P 500 ETF Trust
SPY
+$133M
2
SFD
SMITHFIELD FOODS,INC
SFD
+$53.9M
3
XLF icon
State Street Financial Select Sector SPDR ETF
XLF
+$21.8M
4
BMC
BMC SOFTWARE, INC
BMC
+$19.9M
5
VHC icon
VirnetX Holding Corp
VHC
+$19.2M

Sector Composition

Rank Sector Weight
1 Healthcare 4.22%
2 Financials 3.79%
3 Energy 2.68%
4 Technology 2.21%
5 Industrials 1.37%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
TR icon
276
Tootsie Roll Industries
TR
$2.94B
– –
-9,399
Closed -$203K
TRN icon
277
CALL
Trinity Industries
TRN
$2.65B
– –
-201,405
Closed -$2.79M
TRN icon
278
Trinity Industries
TRN
$2.65B
– –
-69,450
Closed -$961K
TTWO icon
279
Take-Two Interactive
TTWO
$46B
– –
-10,034
Closed -$150K
TURN
280
DELISTED
180 Degree Capital
TURN
– –
-21,300
Closed -$194K
UAMY icon
281
United States Antimony
UAMY
$768M
– –
-57,300
Closed -$64K
VOD icon
282
CALL
Vodafone
VOD
$35.8B
– –
-65,433
Closed -$1.92M
VOD icon
283
Vodafone
VOD
$35.8B
– –
-36,923
Closed -$1.08M
WFC icon
284
Wells Fargo
WFC
$259B
– –
-38,200
Closed -$1.58M
XLF icon
285
State Street Financial Select Sector SPDR ETF
XLF
$56.8B
– –
-1,274,363
Closed -$21.8M
XOP icon
286
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.62B
– –
-3,075
Closed -$716K
XOP icon
287
PUT
State Street SPDR S&P Oil & Gas Exploration & Production ETF
XOP
$3.62B
– –
-10,000
Closed -$2.33M
IVAC
288
DELISTED
Intevac Inc
IVAC
– –
-24,700
Closed -$140K
DLA
289
DELISTED
Delta Apparel Inc.
DLA
– –
-13,000
Closed -$183K
PRTK
290
DELISTED
Paratek Pharmaceuticals, Inc.
PRTK
– –
-2,758
Closed -$100K
HIL
291
DELISTED
Hill International, Inc. Common Stock
HIL
– –
-42,600
Closed -$117K
NUAN
292
CALL
DELISTED
Nuance Communications, Inc.
NUAN
– –
-58,905
Closed -$938K
PMBC
293
DELISTED
Pacific Mercantile Bancorp
PMBC
– –
-17,700
Closed -$102K
RLH
294
DELISTED
Red Lions Hotel Corporation
RLH
– –
-30,400
Closed -$186K
CLCT
295
DELISTED
Collectors Universe
CLCT
– –
-15,000
Closed -$199K
APEX
296
DELISTED
Apex Global Brands Inc. Common Stock
APEX
– –
-493
Closed -$189K
NBL
297
CALL
DELISTED
Noble Energy, Inc.
NBL
– –
-60,000
Closed -$3.6M
ASFI
298
DELISTED
Asta Funding Inc
ASFI
– –
-16,000
Closed -$138K
AGN
299
CALL
DELISTED
Allergan plc
AGN
– –
-20,200
Closed -$2.55M
AGN
300
DELISTED
Allergan plc
AGN
– –
-50,400
Closed -$6.36M
10 11
12
13 14

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CAM
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LC
Lourd Capital Beverly Hills, California $1.08B AUM 8.79% 1-Year Est. Return
LIC
Lodestar Investment Counsel Chicago, Illinois $974M AUM 13.79% 1-Year Est. Return
CB
Chemical Bank Detroit, Michigan $881M AUM 4.54% 1-Year Est. Return
HA
Highland Associates Birmingham, Alabama $699M AUM 8.2% 1-Year Est. Return
KPAG
KLS Professional Advisors Group New York $2.15B AUM 6.46% 1-Year Est. Return
CW
Cobiz Wealth Denver, Colorado $506M AUM 11.06% 1-Year Est. Return
SIM
Stelliam Investment Management New York $404M AUM 5.1% 1-Year Est. Return

Cowen Inc's Q3 2013 Portfolio in Review

As of Q3 2013, Cowen Inc held 377 positions worth $678M, down 31% from $988M the previous quarter. Its ten largest holdings account for 52% of the portfolio.

Cowen Inc withdrew a net $330M in Q3 2013, closing 160 positions and reducing 47 holdings. Its most notable exit was SMITHFIELD FOODS,INC, an estimated $53.9M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 4.2% of assets, down from 6.4% a quarter earlier, followed by Financials and Energy.

Against the trend, Cowen Inc opened a new position in ONYX PHARMACEUTICALS INC worth $21.1M.

  • Cowen Inc's largest Q3 2013 buy was ONYX PHARMACEUTICALS INC: 168,961 shares worth $21.1M.
  • Cowen Inc added most to NYSE EURONEXT INC in Q3 2013, an estimated $12.2M increase.
  • Cowen Inc's biggest Q3 2013 reduction was State Street SPDR S&P 500 ETF Trust, cutting an estimated $133M.
  • Cowen Inc fully exited SMITHFIELD FOODS,INC in Q3 2013, selling an estimated $53.9M.
  • Cowen Inc's ten largest holdings make up 52% of its $678M portfolio in Q3 2013.
  • Cowen Inc opened 112 new positions and closed 160 in Q3 2013.
  • Cowen Inc's portfolio value fell 31% quarter-over-quarter to $678M.

Based on Cowen Inc's 13F filing for Q3 2013, filed 15 Nov 2013.