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CIM

Cowen Investment Management Portfolio holdings

AUM $12M
1-Year Est. Return 1.47%
This Fund
S&P 500
This Quarter Est. Return
+3.5%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$259M
AUM Growth
+$42.1M
Cap. Flow
+$90.2M
Cap. Flow %
34.9%
Top 10 Hldgs %
47.08%
Holding
283
New
130
Increased
2
Reduced
34
Closed
100

Top Buys

Rank Stock Value
1
AZN icon
AstraZeneca
AZN
+$12.6M
2
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$4.13M
3
SLCRU
Silver Crest Acquisition Corporation Unit
SLCRU
+$3.73M
4
PSTH
Pershing Square Tontine Holdings, Ltd.
PSTH
+$3.53M
5
THMAU
Thimble Point Acquisition Corp. Unit
THMAU
+$3.06M

Top Sells

Rank Stock Value
1
ERESU
East Resources Acquisition Company Unit
ERESU
+$2.91M
2
CCIV.U
Churchill Capital Corp IV Units, each consisting of one share of Class A common stock and one-fifth
CCIV.U
+$2.58M
3
AHACU
Alpha Healthcare Acquisition Corp Unit
AHACU
+$2.11M
4
AVAN.U
Avanti Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of one redeemable warrant
AVAN.U
+$1.9M
5
EMPW.U
Empower Ltd. Units, each consisting of one Class A ordinary share and one-third of one redeemable wa
EMPW.U
+$1.82M

Sector Composition

Rank Sector Weight
1 Financials 41.16%
2 Healthcare 6.5%
3 Communication Services 1.47%
4 Technology 1.42%
5 Materials 0.96%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
YSAC.U
226
DELISTED
Yellowstone Acquisition Company Units, each consisting of one share of Class A common stock and one-
YSAC.U
– –
-100,000
Closed -$1.06M
CPSR.U
227
DELISTED
Capstar Special Purpose Acquisition Corp. Units, each consisting of one share of Class A Common Stoc
CPSR.U
– –
-75,000
Closed -$814K
IIAC.U
228
DELISTED
Investindustrial Acquisition Corp. Units, each consisting of one Class A ordinary share and one-thir
IIAC.U
– –
-100,000
Closed -$1.03M
MOTNU
229
DELISTED
Motion Acquisition Corp. Unit
MOTNU
– –
-100,000
Closed -$1.06M
BOWXU
230
DELISTED
BowX Acquisition Corp. Unit
BOWXU
– –
-75,000
Closed -$803K
BOWX
231
DELISTED
BowX Acquisition Corp. Class A Common Stock
BOWX
– –
-100,000
Closed -$1.03M
LOKB.U
232
DELISTED
Live Oak Acquisition Corp. II Units, each consisting of one share of Class A common stock and one-th
LOKB.U
– –
-100,000
Closed -$1.08M
HZAC
233
DELISTED
Horizon Acquisition Corporation
HZAC
– –
-100,000
Closed -$1M
VIHAU
234
DELISTED
VPC Impact Acquisition Holdings Unit
VIHAU
– –
-150,000
Closed -$1.6M
STWOU
235
DELISTED
ACON S2 Acquisition Corp Unit
STWOU
– –
-100,000
Closed -$1.05M
ITACU
236
DELISTED
Industrial Tech Acquisitions, Inc. Unit
ITACU
– –
-50,000
Closed -$538K
DMYI.U
237
DELISTED
dMY Technology Group, Inc. III Units, each consisting of one share of Class A common stock and one-f
DMYI.U
– –
-80,000
Closed -$912K
MAACU
238
DELISTED
Montes Archimedes Acquisition Corp. Unit
MAACU
– –
-50,000
Closed -$525K
SPFR.U
239
DELISTED
JAWS Spitfire Acquisition Corp Units, each consisting of one Class A ordinary share, and one-fourth
SPFR.U
– –
-50,000
Closed -$553K
FUSE.U
240
DELISTED
Fusion Acquisition Corp. Units, each consisting of one share of Class A common stock, $0.0001 par va
FUSE.U
– –
-25,000
Closed -$309K
PACE.U
241
DELISTED
TPG Pace Tech Opportunities Corp. Units, each consisting of one Class A ordinary share and one-fifth
PACE.U
– –
-25,000
Closed -$284K
DEH.U
242
DELISTED
D8 Holdings Corp. Units, each consisting of one Class A ordinary share and one-half of one redeemabl
DEH.U
– –
-100,000
Closed -$1.07M
QELLU
243
DELISTED
Qell Acquisition Corp. Unit
QELLU
– –
-50,000
Closed -$663K
SOAC.U
244
DELISTED
Sustainable Opportunities Acquisition Corp. Units, each consisting of one Class A ordinary share and
SOAC.U
– –
-25,000
Closed -$295K
SPNV.U
245
DELISTED
Supernova Partners Acquisition Company, Inc. Units, each consisting of one share of Class A common s
SPNV.U
– –
-50,000
Closed -$581K
TWCTU
246
DELISTED
TWC Tech Holdings II Corp. Unit
TWCTU
– –
-75,000
Closed -$806K
KSMT
247
DELISTED
Kismet Acquisition One Corp Ordinary Shares
KSMT
– –
-100,000
Closed -$1.01M
AHACU
248
DELISTED
Alpha Healthcare Acquisition Corp Unit
AHACU
– –
-200,000
Closed -$2.11M
KSMTU
249
DELISTED
Kismet Acquisition One Corp Unit
KSMTU
– –
-100,000
Closed -$1.05M
DFNS.U
250
DELISTED
LGL Systems Acquisition Corp. Units
DFNS.U
– –
-25,000
Closed -$278K
8 9
10
11 12

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MFAM
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Cowen Investment Management's Q1 2021 Portfolio in Review

As of Q1 2021, Cowen Investment Management held 283 positions worth $259M, up 19% from $216M the previous quarter. Its ten largest holdings account for 47% of the portfolio.

Cowen Investment Management deployed $90.2M of net new capital in Q1 2021, opening 130 new positions and adding to 2 existing holdings. Its largest new stake was AstraZeneca: 125,200 shares worth $12.4M.

By sector, the portfolio is most concentrated in Financials at 41% of assets, down from 42% a quarter earlier, followed by Healthcare and Communication Services.

On the sell side, the largest reduction was Executive Network Partnering Corporation CAPS, each consisting of one share of Class A common stock, and one-quarter of one redeemable warrant, an estimated $1.56M trimmed.

  • Cowen Investment Management's largest Q1 2021 buy was AstraZeneca: 125,200 shares worth $12.4M.
  • Cowen Investment Management added most to CBRE Acquisition Holdings, Inc. SAIL securities, each consisting of one share of Class A common stoc in Q1 2021, an estimated $529K increase.
  • Cowen Investment Management's biggest Q1 2021 reduction was Executive Network Partnering Corporation CAPS, each consisting of one share of Class A common stock, and one-quarter of one redeemable warrant, cutting an estimated $1.56M.
  • Cowen Investment Management fully exited East Resources Acquisition Company Unit in Q1 2021, selling an estimated $2.91M.
  • Cowen Investment Management's ten largest holdings make up 47% of its $259M portfolio in Q1 2021.
  • Cowen Investment Management opened 130 new positions and closed 100 in Q1 2021.
  • Cowen Investment Management's portfolio value rose 19% quarter-over-quarter to $259M.

Based on Cowen Investment Management's 13F filing for Q1 2021, filed 14 May 2021.