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CI

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
STRI
326
DELISTED
STR HLDGS INC COM STK NEW (DE)
STRI
– –
-27,000
Closed -$184K
HNSN
327
DELISTED
HANSEN MEDICAL, INC. COM NEW
HNSN
– –
-6,710
Closed -$96K
BGMD
328
DELISTED
BG MEDICINE INC COM STK NEW
BGMD
– –
-17,100
Closed -$91K
NOR
329
DELISTED
NORANDA ALUM HLDG CORP COM NEW
NOR
– –
-2,386
Closed -$54K
INFA
330
DELISTED
INFORMATICA CORP
INFA
– –
-9,750
Closed -$341K
INFA
331
PUT
DELISTED
INFORMATICA CORP
INFA
– –
-28,400
Closed -$993K
DRC
332
CALL
DELISTED
DRESSER-RAND GROUP INC
DRC
– –
-25,200
Closed -$1.51M
URZ
333
DELISTED
URANERZ ENERGY CORP
URZ
– –
-178,600
Closed -$196K
SARA
334
DELISTED
SARATOGA RESOURCES INC
SARA
– –
-43,100
Closed -$66K
RVM
335
DELISTED
REVETT MINING COMPANY COMMON SHARES (DELAWARE)
RVM
– –
-97,500
Closed -$63K
ELX
336
DELISTED
EMULEX CORP
ELX
– –
-15,000
Closed -$98K
PRXI
337
DELISTED
PREMIER EXHIBITIONS INC COM STK NEW (FL)
PRXI
– –
-8,200
Closed -$143K
MFI
338
DELISTED
MICROFINANCIAL INC
MFI
– –
-10,800
Closed -$85K
RFMD
339
DELISTED
RF MICRO DEVICES INC
RFMD
– –
-25,000
Closed -$134K
LPDX
340
DELISTED
LIPOSCIENCE INC COM
LPDX
– –
-15,100
Closed -$106K
MNTG
341
DELISTED
M T R GAMING GROUP INC
MNTG
– –
-45,400
Closed -$152K
JOSB
342
CALL
DELISTED
JOS A BANK CLOTHIERS INC
JOSB
– –
-28,900
Closed -$1.19M
JOSB
343
DELISTED
JOS A BANK CLOTHIERS INC
JOSB
– –
-7,500
Closed -$310K
JOSB
344
PUT
DELISTED
JOS A BANK CLOTHIERS INC
JOSB
– –
-18,600
Closed -$769K
DM
345
DELISTED
DOLAN COMPANY COMMON STOCK
DM
– –
-112,600
Closed -$184K
BLC
346
DELISTED
BELO CORP SER A
BLC
– –
-144,800
Closed -$2.05M
BRY
347
DELISTED
BERRY PETROLEUM CO CL A
BRY
– –
-450,140
Closed -$19.1M
DELL
348
PUT
DELISTED
DELL INC
DELL
– –
-74,100
Closed -$988K
VHS
349
DELISTED
VANGUARD HEALTH SYS INC COM STK (DE)
VHS
– –
-12,500
Closed -$259K
WCRX
350
DELISTED
WARNER CHILCOTT PLC ORD SHS CL A (IRL)
WCRX
– –
-20,000
Closed -$398K
12 13
14
15 16

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LC
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LIC
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CB
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HA
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KPAG
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CW
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SIM
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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.