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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
-2.89%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$464M
AUM Growth
+$403M
Cap. Flow
+$140M
Cap. Flow %
30.11%
Top 10 Hldgs %
44.98%
Holding
301
New
78
Increased
13
Reduced
24
Closed
58

Top Buys

Rank Stock Value
1
PTRA
Proterra Inc. Common Stock
PTRA
+$44.5M
2
FBRT
Franklin BSP Realty Trust
FBRT
+$5.6M
3
SNTI icon
Senti Biosciences Holdings
SNTI
+$4.98M
4
VHAQ
Viveon Health Acquisition Corp.
VHAQ
+$4.5M
5
SVFA
SVF Investment Corp. Class A Ordinary Shares
SVFA
+$4.5M

Top Sells

Rank Stock Value
1
YSAC
Yellowstone Acquisition Company
YSAC
+$8.5M
2
LBRDA icon
Liberty Broadband Class A
LBRDA
+$4.01M
3
QNGY
Quanergy Systems, Inc.
QNGY
+$3M
4
SWSSU
Clean Energy Special Situations Corp. Unit
SWSSU
+$2.01M
5
GRNA
GreenLight Biosciences Holdings, PBC Common Stock
GRNA
+$1.99M

Sector Composition

Rank Sector Weight
1 Financials 35.63%
2 Consumer Discretionary 21.08%
3 Technology 3.3%
4 Healthcare 2.73%
5 Industrials 1.48%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
HERAU
226
DELISTED
FTAC Hera Acquisition Corp. Units
HERAU
$251K 0.05%
25,000
– –
RMGCU
227
DELISTED
RMG Acquisition Corp. III Unit
RMGCU
$249K 0.05%
25,000
– –
RXRAU
228
DELISTED
RXR Acquisition Corp. Units
RXRAU
$248K 0.05%
25,000
– –
PSAGU
229
DELISTED
Property Solutions Acquisition Corporation II Units
PSAGU
$247K 0.05%
25,000
– –
JOBS
230
DELISTED
51job Inc
JOBS
$245K 0.05%
+5,000
New +$285K
SPY icon
231
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$809B
$231K 0.05%
25,000
-7,000
-22% -$3.21M
STCN
232
DELISTED
Steel Connect, Inc. Common Stock
STCN
$185K 0.04%
14,160
+789
+6% +$13K
ASAQ.WS
233
DELISTED
Atlantic Avenue Acquisition Corp Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50 per share
ASAQ.WS
$149K 0.03%
297,915
– –
APGB.WS
234
DELISTED
Apollo Strategic Growth Capital II Warrants, each exercisable for one Class A Ordinary Share at an exercise price of $11.50 per share
APGB.WS
$95K 0.02%
100,000
– –
RCL icon
235
PUT
Royal Caribbean
RCL
$82.4B
$67K 0.01%
+25,000
New +$2.03M
DIDI
236
PUT
DELISTED
DiDi Global Inc. American depositary shares, each four representing one Class A ordinary share
DIDI
$55K 0.01%
+10,000
New +$75.9K
LFLYW
237
DELISTED
Leafly Holdings, Inc. Warrant
LFLYW
$48K 0.01%
+45,385
New +$59.8K
GRABW icon
238
Grab Holdings Warrant
GRABW
$546K
$42K 0.01%
+20,000
New +$44.2K
ARKK icon
239
PUT
ARK Innovation ETF
ARKK
$6.44B
$34K 0.01%
+10,000
New +$1.09M
VEDL
240
DELISTED
Vedanta Limited American Depostary Shares (Each representing four equity shares)
VEDL
$30K 0.01%
1,822
-45,955
-96% -$772K
ENPC.WS
241
DELISTED
Executive Network Partnering Corporation Warrants, each whole warrant exercisable for one share of Class A common stock at an exercise price of $11.50
ENPC.WS
$21K ﹤0.01%
31,250
– –
ADOCW
242
DELISTED
Edoc Acquisition Corp. Warrant
ADOCW
$13K ﹤0.01%
65,000
– –
SIRI icon
243
PUT
SiriusXM
SIRI
$9.59B
$4K ﹤0.01%
+10,000
New +$625K
AIFA
244
All In FutureTech Alliance Inc
AIFA
$17.7M
– –
-12,916
Closed -$137
AUR icon
245
Aurora
AUR
$13.5B
– –
-1,000,000
Closed -$9.93K
BTMD icon
246
Biote Corp
BTMD
$43.1M
– –
-100,000
Closed -$974
PIII icon
247
P3 Health Partners
PIII
$38.9M
– –
-6,370
Closed -$3.14K
PIIIW icon
248
P3 Health Partners Inc Warrant
PIIIW
$199K
– –
-100,000
Closed -$88
PL icon
249
Planet Labs
PL
$8.73B
– –
-325,000
Closed -$3.22K
SYM icon
250
Symbotic
SYM
$5.35B
– –
-450,000
Closed -$4.42K
8 9
10
11 12

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AMG
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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 Q4 2021 Portfolio in Review

As of Q4 2021, Cowen Investment Management held 301 positions worth $464M, up 664% from $60.7M the previous quarter. Its ten largest holdings account for 45% of the portfolio.

Cowen Investment Management deployed $140M of net new capital in Q4 2021, opening 78 new positions and adding to 13 existing holdings. Its largest new stake was Franklin BSP Realty Trust: 346,937 shares worth $5.18M.

By sector, the portfolio is most concentrated in Financials at 36% of assets, up from 0.22% a quarter earlier, followed by Consumer Discretionary and Technology.

On the sell side, the largest reduction was Yellowstone Acquisition Company, an estimated $8.5M trimmed.

  • Cowen Investment Management's largest Q4 2021 buy was Franklin BSP Realty Trust: 346,937 shares worth $5.18M.
  • Cowen Investment Management added most to Proterra Inc. Common Stock in Q4 2021, an estimated $44.5M increase.
  • Cowen Investment Management's biggest Q4 2021 reduction was Yellowstone Acquisition Company, cutting an estimated $8.5M.
  • Cowen Investment Management fully exited Armada Acquisition Corp. I Unit in Q4 2021, selling an estimated $12.3K.
  • Cowen Investment Management's ten largest holdings make up 45% of its $464M portfolio in Q4 2021.
  • Cowen Investment Management opened 78 new positions and closed 58 in Q4 2021.
  • Cowen Investment Management's portfolio value rose 664% quarter-over-quarter to $464M.

Based on Cowen Investment Management's 13F filing for Q4 2021, filed 11 Feb 2022.