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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
ARB
351
DELISTED
ARBITRON INC (NEW)
ARB
– –
-137,965
Closed -$6.41M
SFD
352
DELISTED
SMITHFIELD FOODS,INC
SFD
– –
-1,608,158
Closed -$53.9M
SFD
353
PUT
DELISTED
SMITHFIELD FOODS,INC
SFD
– –
-35,600
Closed -$1.17M
BMC
354
DELISTED
BMC SOFTWARE, INC
BMC
– –
-441,111
Closed -$19.9M
PBTH
355
DELISTED
PROLOR Biotech, Inc. Common Stock
PBTH
– –
-157,479
Closed -$991K
MAXY
356
DELISTED
MAXYGEN INC
MAXY
– –
-40,500
Closed -$100K
MPR
357
DELISTED
MET-PRO CORP
MPR
– –
-306,269
Closed -$4.12M
LEDR
358
DELISTED
MARKET LEADER INC COM STK (WA)
LEDR
– –
-60,781
Closed -$650K
GDI
359
CALL
DELISTED
GARDNER DENVER,INC
GDI
– –
-200,400
Closed -$15.1M
GDI
360
DELISTED
GARDNER DENVER,INC
GDI
– –
-160,956
Closed -$12.1M
GDI
361
PUT
DELISTED
GARDNER DENVER,INC
GDI
– –
-8,600
Closed -$647K
PWER
362
DELISTED
POWER-ONE INC COM STK NEW (DE)
PWER
– –
-298,400
Closed -$1.89M
OMTH
363
DELISTED
OMTHERA PHARMACEUTICALS INC COM STK (DE)
OMTH
– –
-192,935
Closed -$2.57M
NFP
364
DELISTED
NATIONAL FINANCIAL PARTNERS CORP
NFP
– –
-748,845
Closed -$19M
WRLS
365
DELISTED
TELULAR CORPORATION-NEW
WRLS
– –
-100,200
Closed -$1.26M
COV
366
DELISTED
COVIDIEN PLC COM SHS NEW (IRELAND)
COV
– –
-72,192
Closed -$4.02M
EBIX
367
DELISTED
Ebix Inc
EBIX
– –
-50,000
Closed -$463K
IPAS
368
DELISTED
Ipass Inc Common Stock
IPAS
– –
-8,490
Closed -$160K
IMUC
369
DELISTED
ImmunoCellular Therapeutics, Ltd.
IMUC
– –
-1,245
Closed -$97K
QLIK
370
DELISTED
QLIK TECHNOLOGIES INC COM STK (DE)
QLIK
– –
-10,000
Closed -$283K
QLIK
371
PUT
DELISTED
QLIK TECHNOLOGIES INC COM STK (DE)
QLIK
– –
-15,000
Closed -$424K
LNCO
372
DELISTED
LINNCO LLC COM SHS REPSTG LTD LIABILITY
LNCO
– –
-238,200
Closed -$8.88M
FON
373
DELISTED
SPRINT CORP FON COM
FON
– –
-768,290
Closed -$5.39M
TIVO
374
DELISTED
TIVO INC
TIVO
– –
-122,700
Closed -$1.36M
CLWR
375
CALL
DELISTED
CLEARWIRE CORP NEW CL A COM STK (DE)
CLWR
– –
-228,500
Closed -$1.14M
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.