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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
+6.18%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$492M
AUM Growth
+$29.6M
Cap. Flow
+$48M
Cap. Flow %
9.75%
Top 10 Hldgs %
36.89%
Holding
301
New
48
Increased
17
Reduced
8
Closed
105

Top Buys

Rank Stock Value
1
MUFG icon
Mitsubishi UFJ Financial
MUFG
+$11.6M
2
BNAI
Brand Engagement Network
BNAI
+$11.4M
3
BZAI
Blaize Holdings
BZAI
+$11.3M
4
LHC
Leo Holdings Corp. II
LHC
+$9.52M
5
JWSM
Jaws Mustang Acquisition Corp.
JWSM
+$7.02M

Top Sells

Rank Stock Value
1
KLAQ
KL Acquisition Corp Class A Common Stock
KLAQ
+$6.08M
2
REVH
Revolution Healthcare Acquisition Corp. SAIL Class A Common Stock
REVH
+$4.17M
3
TMAC
The Music Acquisition Corporation
TMAC
+$3.94M
4
EUDA icon
EUDA Health Holdings
EUDA
+$3.51M
5
SMFG icon
Sumitomo Mitsui Financial
SMFG
+$3.5M

Sector Composition

Rank Sector Weight
1 Financials 50.08%
2 Technology 10.58%
3 Consumer Discretionary 8.1%
4 Healthcare 3.85%
5 Industrials 2.53%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PMGMU
226
DELISTED
Priveterra Acquisition Corp. Units
PMGMU
– –
-75,000
Closed -$737K
SDACU
227
DELISTED
Sustainable Development Acquisition I Corp. Unit
SDACU
– –
-50,000
Closed -$492K
SNRH
228
DELISTED
Senior Connect Acquisition Corp. I Class A Common Stock
SNRH
– –
-350,000
Closed -$3.48M
GVCI
229
DELISTED
Green Visor Financial Technology Acquisition Corp. I Class A Ordinary Shares
GVCI
– –
-80,000
Closed -$810K
EUCRU
230
DELISTED
Eucrates Biomedical Acquisition Corp. Unit
EUCRU
– –
-100,000
Closed -$1M
EUCR
231
DELISTED
Eucrates Biomedical Acquisition Corp. Ordinary Shares
EUCR
– –
-50,000
Closed -$501K
HZON
232
DELISTED
Horizon Acquisition Corporation II
HZON
– –
-210,000
Closed -$2.1M
BMAQ
233
DELISTED
Blockchain Moon Acquisition Corp. Common Stock
BMAQ
– –
-100,000
Closed -$999K
IPVIU
234
DELISTED
InterPrivate IV InfraTech Partners Inc. Units
IPVIU
– –
-100,000
Closed -$981K
ATCO
235
DELISTED
Atlas Corp.
ATCO
– –
-100,000
Closed -$1.39M
JATT.U
236
DELISTED
JATT Acquisition Corp Units, each consisting of one Class A ordinary share, and one-half of one redeemable warrant
JATT.U
– –
-100,000
Closed -$1.01M
MCAE
237
DELISTED
Mountain Crest Acquisition Corp. III Common Stock
MCAE
– –
-100,000
Closed -$995K
CTAQU
238
DELISTED
Carney Technology Acquisition Corp. II Units
CTAQU
– –
-85,000
Closed -$845K
JCICU
239
DELISTED
Jack Creek Investment Corp. Units
JCICU
– –
-150,000
Closed -$1.5M
EPHYU
240
DELISTED
Epiphany Technology Acquisition Corp. Unit
EPHYU
– –
-75,000
Closed -$740K
FACA
241
DELISTED
Figure Acquisition Corp. I
FACA
– –
-100,000
Closed -$985K
HUGS
242
DELISTED
USHG Acquisition Corp.
HUGS
– –
-100,000
Closed -$985K
OMEG
243
DELISTED
Omega Alpha SPAC Class A Ordinary Shares
OMEG
– –
-25,000
Closed -$248K
SPTKU
244
DELISTED
SportsTek Acquisition Corp. Unit
SPTKU
– –
-100,000
Closed -$985K
MONCU
245
DELISTED
Monument Circle Acquisition Corp. Unit
MONCU
– –
-50,000
Closed -$494K
FPAC.WS
246
DELISTED
Far Peak Acquisition Corporation Redeemable Warrants, each whole warrant exercisable for one Class A ordinary share at an exercise price of $11.50
FPAC.WS
– –
-1,427,011
Closed -$1.37M
AFAQ
247
DELISTED
AF Acquisition Corp
AFAQ
– –
-100,000
Closed -$980K
HCARU
248
DELISTED
Healthcare Services Acquisition Corporation Unit
HCARU
– –
-75,000
Closed -$744K
AFAQU
249
DELISTED
AF Acquisition Corp Units
AFAQU
– –
-100,000
Closed -$986K
PSAGU
250
DELISTED
Property Solutions Acquisition Corporation II Units
PSAGU
– –
-25,000
Closed -$245K
8 9
10
11 12

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AMG
Ace Management Global Sao Paulo, Brazil $7.88M AUM 47.04% 1-Year Est. Return
B
Braslyn New Providence, Bahamas $7.81M AUM 338.68% 1-Year Est. Return
XS
XR Securities Chicago, Illinois $5.35M AUM 26.1% 1-Year Est. Return
AH
Aviva Holdings New Providence, Bahamas $20.5M AUM 117.01% 1-Year Est. Return
MFAM
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ZIMP
Zimmermann Investment Management & Planning New Cumberland, Pennsylvania $2.27M AUM 29.81% 1-Year Est. Return
RCI
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Cowen Investment Management's Q4 2022 Portfolio in Review

As of Q4 2022, Cowen Investment Management held 301 positions worth $492M, up 6.4% from $463M the previous quarter. Its ten largest holdings account for 37% of the portfolio.

Cowen Investment Management deployed $48M of net new capital in Q4 2022, opening 48 new positions and adding to 17 existing holdings. Its largest new stake was Mitsubishi UFJ Financial: 2,246,500 shares worth $15M.

By sector, the portfolio is most concentrated in Financials at 50% of assets, up from 44% a quarter earlier, followed by Technology and Consumer Discretionary.

On the sell side, the largest reduction was Sumitomo Mitsui Financial, an estimated $3.5M trimmed.

  • Cowen Investment Management's largest Q4 2022 buy was Mitsubishi UFJ Financial: 2,246,500 shares worth $15M.
  • Cowen Investment Management added most to Brand Engagement Network in Q4 2022, an estimated $11.4M increase.
  • Cowen Investment Management's biggest Q4 2022 reduction was Sumitomo Mitsui Financial, cutting an estimated $3.5M.
  • Cowen Investment Management fully exited KL Acquisition Corp Class A Common Stock in Q4 2022, selling an estimated $6.08M.
  • Cowen Investment Management's ten largest holdings make up 37% of its $492M portfolio in Q4 2022.
  • Cowen Investment Management opened 48 new positions and closed 105 in Q4 2022.
  • Cowen Investment Management's portfolio value rose 6.4% quarter-over-quarter to $492M.

Based on Cowen Investment Management's 13F filing for Q4 2022, filed 13 Feb 2023.