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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
+2.15%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$385M
AUM Growth
+$127M
Cap. Flow
+$34.3M
Cap. Flow %
8.91%
Top 10 Hldgs %
56.04%
Holding
237
New
54
Increased
16
Reduced
20
Closed
32

Top Buys

Rank Stock Value
1
AZN icon
AstraZeneca
AZN
+$27.4M
2
PTRAW
Proterra Inc. Warrant
PTRAW
+$18M
3
ALXN
Alexion Pharmaceuticals
ALXN
+$3.43M
4
TRCA.U
Twin Ridge Capital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
TRCA.U
+$3.25M
5
SHPW
Shapeways Holdings, Inc. Common Stock
SHPW
+$2.51M

Top Sells

Rank Stock Value
1
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$3.36M
2
FOREU
Foresight Acquisition Corp. Units
FOREU
+$2.97M
3
VOSOU
Virtuoso Acquisition Corp. Unit
VOSOU
+$1.73M
4
SPCK
The SPAC and New Issue ETF
SPCK
+$1.43M
5
ATA.U
Americas Technology Acquisition Corp. Units, each consisting of one Ordinary Share and one half of Redeemable Warrant
ATA.U
+$1.01M

Sector Composition

Rank Sector Weight
1 Financials 29.53%
2 Healthcare 13.42%
3 Communication Services 1.79%
4 Industrials 1.23%
5 Technology 1.09%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DBDRU
226
DELISTED
Roman DBDR Tech Acquisition Corp. Unit
DBDRU
– –
-65,000
Closed -$663K
BSN.U
227
DELISTED
Broadstone Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of on
BSN.U
– –
-50,000
Closed -$505K
YAC
228
DELISTED
Yucaipa Acquisition Corporation Class A Ordinary Shares
YAC
– –
-75,000
Closed -$739K
YAC.U
229
DELISTED
Yucaipa Acquisition Corporation Units, each consisting of one Class A ordinary share and one-third o
YAC.U
– –
-25,000
Closed -$256K
FOREU
230
DELISTED
Foresight Acquisition Corp. Units
FOREU
– –
-300,000
Closed -$2.97M
VOSOU
231
DELISTED
Virtuoso Acquisition Corp. Unit
VOSOU
– –
-175,000
Closed -$1.73M
SGAMU
232
DELISTED
Seaport Global Acquisition Corp. Unit
SGAMU
– –
-70,000
Closed -$723K
LEGOU
233
DELISTED
Legato Merger Corp. Units
LEGOU
– –
-50,000
Closed -$507K
LATN
234
DELISTED
Union Acquisition Corp. II Ordinary Shares
LATN
– –
-100,000
Closed -$1M
SRNGU
235
DELISTED
Soaring Eagle Acquisition Corp. Unit
SRNGU
– –
-55,000
Closed -$557K
CHFW.U
236
DELISTED
Consonance-HFW Acquisition Corp. Units, each consisting of one Class A Ordinary Share, and one-third
CHFW.U
– –
-50,000
Closed -$488K
SCPE
237
DELISTED
SC Health Corporation
SCPE
– –
-70,000
Closed -$706K
6 7 8 9
10

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XS
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MFAM
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Cowen Investment Management's Q2 2021 Portfolio in Review

As of Q2 2021, Cowen Investment Management held 237 positions worth $385M, up 49% from $259M the previous quarter. Its ten largest holdings account for 56% of the portfolio.

Cowen Investment Management deployed $34.3M of net new capital in Q2 2021, opening 54 new positions and adding to 16 existing holdings. Its largest new stake was Proterra Inc. Warrant: 3,427,607 shares worth $65.5M.

By sector, the portfolio is most concentrated in Financials at 30% of assets, down from 41% a quarter earlier, followed by Healthcare and Communication Services.

On the sell side, the largest reduction was Sprott Physical Gold and Silver Trust, an estimated $3.36M trimmed.

  • Cowen Investment Management's largest Q2 2021 buy was Proterra Inc. Warrant: 3,427,607 shares worth $65.5M.
  • Cowen Investment Management added most to AstraZeneca in Q2 2021, an estimated $27.4M increase.
  • Cowen Investment Management's biggest Q2 2021 reduction was Sprott Physical Gold and Silver Trust, cutting an estimated $3.36M.
  • Cowen Investment Management fully exited Foresight Acquisition Corp. Units in Q2 2021, selling an estimated $2.97M.
  • Cowen Investment Management's ten largest holdings make up 56% of its $385M portfolio in Q2 2021.
  • Cowen Investment Management opened 54 new positions and closed 32 in Q2 2021.
  • Cowen Investment Management's portfolio value rose 49% quarter-over-quarter to $385M.

Based on Cowen Investment Management's 13F filing for Q2 2021, filed 11 Aug 2021.