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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
-40.67%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$60.7M
AUM Growth
-$325M
Cap. Flow
+$21.6M
Cap. Flow %
35.61%
Top 10 Hldgs %
99.63%
Holding
255
New
50
Increased
5
Reduced
9
Closed
32

Top Buys

Rank Stock Value
1
PTRA
Proterra Inc. Common Stock
PTRA
+$70.4M
2
AACIU
Armada Acquisition Corp. I Unit
AACIU
+$12.2M
3
YSAC
Yellowstone Acquisition Company
YSAC
+$9.96M
4
AUR icon
Aurora
AUR
+$9.89M
5
DGNS
Dragoneer Growth Opportunities Corp. II Class A Ordinary Shares
DGNS
+$4.12M

Top Sells

Rank Stock Value
1
PTRAW
Proterra Inc. Warrant
PTRAW
+$65.5M
2
AZN icon
AstraZeneca
AZN
+$44.9M
3
ALXN
Alexion Pharmaceuticals
ALXN
+$3.67M
4
SLCRU
Silver Crest Acquisition Corporation Unit
SLCRU
+$3.67M
5
SHPW
Shapeways Holdings, Inc. Common Stock
SHPW
+$2.4M

Sector Composition

Rank Sector Weight
1 Consumer Discretionary 99.43%
2 Financials 0.22%
3 Communication Services 0.02%
4 Industrials 0.02%
5 Healthcare 0.02%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DOO
226
Bombardier Recreational Products
DOO
$4.69B
– –
-20,000
Closed -$1.56M
HYG icon
227
PUT
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$17.9B
– –
-50,000
Closed -$27K
IWM icon
228
PUT
iShares Russell 2000 ETF
IWM
$82.2B
– –
-85,000
Closed -$449K
RBOT
229
DELISTED
Vicarious Surgical
RBOT
– –
-2,000
Closed -$598K
SIRI icon
230
CALL
SiriusXM
SIRI
$9.59B
– –
-10,570
Closed -$21K
SIRI icon
231
PUT
SiriusXM
SIRI
$9.59B
– –
-1,060
Closed -$8K
UL icon
232
Unilever
UL
$133B
– –
-8,263
Closed -$544K
YTRA icon
233
Yatra Online
YTRA
$56M
– –
-45,484
Closed -$103K
AURCU
234
DELISTED
Aurora Acquisition Corp. Unit
AURCU
– –
-25,000
Closed -$261K
CYXT
235
DELISTED
Cyxtera Technologies, Inc. Class A Common Stock
CYXT
– –
-94,794
Closed -$948K
MDH.U
236
DELISTED
MDH Acquisition Corp. Units, each consisting of one share of Class A Common Stock, and one-half of one redeemable warrant
MDH.U
– –
-100,000
Closed -$1M
CND.U
237
DELISTED
Concord Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half of one Warrant
CND.U
– –
-35,000
Closed -$361K
HTPA.U
238
DELISTED
Highland Transcend Partners I Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
HTPA.U
– –
-20,000
Closed -$200K
PHICU
239
DELISTED
Population Health Investment Co., Inc. Unit
PHICU
– –
-30,000
Closed -$305K
ASZ.U
240
DELISTED
Austerlitz Acquisition Corporation II Units, each consisting of one Class A ordinary share and one-fourth of one redeemable warrant
ASZ.U
– –
-100,000
Closed -$1.01M
IS
241
DELISTED
ironSource Ltd.
IS
– –
-11,500
Closed -$121K
SLCRU
242
DELISTED
Silver Crest Acquisition Corporation Unit
SLCRU
– –
-365,000
Closed -$3.67M
PSTH
243
PUT
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
– –
-125,000
Closed -$724K
GGPIU
244
DELISTED
Gores Guggenheim, Inc. Unit
GGPIU
– –
-100,000
Closed -$1M
SV
245
DELISTED
Spring Valley Acquisition Corp. Class A Ordinary Share
SV
– –
-50,000
Closed -$501K
GMBT
246
DELISTED
Pivotal Holdings Corp Class A Ordinary Share
GMBT
– –
-25,000
Closed -$243K
XPDIU
247
DELISTED
Power & Digital Infrastructure Acquisition Corp. Unit
XPDIU
– –
-25,000
Closed -$253K
MACQU
248
DELISTED
MCAP Acquisition Corporation Unit
MACQU
– –
-100,000
Closed -$998K
CBAH.U
249
DELISTED
CBRE Acquisition Holdings, Inc. SAIL securities, each consisting of one share of Class A common stoc
CBAH.U
– –
-100,000
Closed -$996K
DMYQ.U
250
DELISTED
dMY Technology Group, Inc. IV Units, each consisting of one share of Class A common stock and one-fi
DMYQ.U
– –
-75,000
Closed -$752K
7 8 9
10
11

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B
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XS
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AH
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MFAM
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ZIMP
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RCI
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Cowen Investment Management's Q3 2021 Portfolio in Review

As of Q3 2021, Cowen Investment Management held 255 positions worth $60.7M, down 84% from $385M the previous quarter. Its ten largest holdings account for 100% of the portfolio.

Cowen Investment Management deployed $21.6M of net new capital in Q3 2021, opening 50 new positions and adding to 5 existing holdings. Its largest new stake was Proterra Inc. Common Stock: 6,228,685 shares worth $60.3M.

By sector, the portfolio is most concentrated in Consumer Discretionary at 99% of assets, up from 0.62% a quarter earlier, followed by Financials and Communication Services.

On the sell side, the largest reduction was Shapeways Holdings, Inc. Common Stock, an estimated $2.4M trimmed.

  • Cowen Investment Management's largest Q3 2021 buy was Proterra Inc. Common Stock: 6,228,685 shares worth $60.3M.
  • Cowen Investment Management added most to Symbotic in Q3 2021, an estimated $3.44M increase.
  • Cowen Investment Management's biggest Q3 2021 reduction was Shapeways Holdings, Inc. Common Stock, cutting an estimated $2.4M.
  • Cowen Investment Management fully exited Proterra Inc. Warrant in Q3 2021, selling an estimated $65.5M.
  • Cowen Investment Management's ten largest holdings make up 100% of its $60.7M portfolio in Q3 2021.
  • Cowen Investment Management opened 50 new positions and closed 32 in Q3 2021.
  • Cowen Investment Management's portfolio value fell 84% quarter-over-quarter to $60.7M.

Based on Cowen Investment Management's 13F filing for Q3 2021, filed 15 Nov 2021.