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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
GFI icon
201
Gold Fields
GFI
$29B
$61K 0.01%
+13,300
New +$71.3K
HMY icon
202
Harmony Gold Mining
HMY
$9.81B
$59K 0.01%
+17,400
New +$64.7K
IAG icon
203
IAMGOLD
IAG
$8.17B
$57K 0.01%
11,900
-283,100
-96% -$1.48M
ARNA
204
DELISTED
Arena Pharmaceuticals Inc
ARNA
$53K 0.01%
1,000
-500
-33% -$33.6K
MNKD icon
205
MannKind Corp
MNKD
$1.21B
$51K 0.01%
+1,800
New +$59.5K
AUMN
206
DELISTED
Golden Minerals Company
AUMN
$45K 0.01%
1,912
-3,372
-64% -$107K
VGZ icon
207
Vista Gold
VGZ
$250M
$43K 0.01%
93,800
-112,400
-55% -$92.3K
AUQ
208
DELISTED
AURICO GOLD INC COM
AUQ
$40K 0.01%
+10,600
New +$47.6K
RUE
209
DELISTED
RUE21 INC COM STK (DE)
RUE
$40K 0.01%
+1,000
New +$41.4K
TRX icon
210
TRX Gold Corp
TRX
$251M
$31K ﹤0.01%
+12,300
New +$40K
KIOR
211
DELISTED
KIOR, INC CLASS A COM STK
KIOR
$31K ﹤0.01%
+11,100
New +$36.8K
ALO
212
DELISTED
Alio Gold Inc
ALO
$26K ﹤0.01%
+1,560
New +$31.7K
RBY
213
DELISTED
RUBICON MENERALS CORP (F)
RBY
$21K ﹤0.01%
+16,800
New +$23.8K
GSS
214
DELISTED
Golden Star Resources Ltd.
GSS
$13K ﹤0.01%
6,320
-73,700
-92% -$193K
AGIG
215
Abundia Global Impact Group
AGIG
$41.4M
$11K ﹤0.01%
304
– –
AAPL icon
216
Apple
AAPL
$4.43T
– –
-280,000
Closed -$3.97M
AGEN
217
Agenus
AGEN
$317M
– –
-1,335
Closed -$99K
ASMB icon
218
Assembly Biosciences
ASMB
$493M
– –
-797
Closed -$115K
AWRE icon
219
Aware
AWRE
$26.6M
– –
-42,200
Closed -$219K
AXTI icon
220
AXT Inc
AXTI
$3.79B
– –
-63,400
Closed -$171K
BAC icon
221
Bank of America
BAC
$436B
– –
-700,000
Closed -$9.99M
BAX icon
222
CALL
Baxter International
BAX
$13.6B
– –
-11,230
Closed -$422K
BMY icon
223
Bristol-Myers Squibb
BMY
$132B
– –
-82,838
Closed -$3.7M
C icon
224
Citigroup
C
$223B
– –
-118,675
Closed -$5.69M
CDXS icon
225
Codexis
CDXS
$150M
– –
-90,500
Closed -$200K
7 8
9
10 11

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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.