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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
RMGBU
251
DELISTED
RMG Acquisition Corp. II Unit
RMGBU
– –
-75,000
Closed -$836K
NGACU
252
DELISTED
NextGen Acquisition Corporation Units
NGACU
– –
-100,000
Closed -$1.03M
NSH.U
253
DELISTED
NavSight Holdings, Inc. Units, each consisting of one share of Class A Common Stock and one-half of
NSH.U
– –
-75,000
Closed -$773K
SAII
254
DELISTED
Software Acquisition Group Inc. II Class A Common Stock
SAII
– –
-100,000
Closed -$995K
GRSVU
255
DELISTED
Gores Holdings V, Inc. Unit
GRSVU
– –
-75,000
Closed -$808K
RTPZ.U
256
DELISTED
Reinvent Technology Partners Z Units, each consisting of one Class A ordinary share and one-fifth o
RTPZ.U
– –
-25,000
Closed -$285K
NEBCU
257
DELISTED
Nebula Caravel Acquisition Corp. Unit
NEBCU
– –
-75,000
Closed -$810K
SVACU
258
DELISTED
Starboard Value Acquisition Corp. Unit
SVACU
– –
-90,000
Closed -$927K
CAP.U
259
DELISTED
Capitol Investment Corp. V Units, each consisting of one share of Class A common stock, and one-thir
CAP.U
– –
-50,000
Closed -$515K
CCIV.U
260
DELISTED
Churchill Capital Corp IV Units, each consisting of one share of Class A common stock and one-fifth
CCIV.U
– –
-250,000
Closed -$2.58M
VCVCU
261
DELISTED
10X Capital Venture Acquisition Corp Unit
VCVCU
– –
-100,000
Closed -$1.06M
GHVIU
262
DELISTED
Gores Holdings VI, Inc. Unit
GHVIU
– –
-75,000
Closed -$795K
ACND.U
263
DELISTED
Ascendant Digital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-hal
ACND.U
– –
-75,000
Closed -$788K
RAACU
264
DELISTED
Revolution Acceleration Acquisition Corp Unit
RAACU
– –
-75,000
Closed -$781K
FGNA.U
265
DELISTED
FG New America Acquisition Corp. Units, each consisting of one share of Class A common stock and one
FGNA.U
– –
-100,000
Closed -$1.06M
DCRBU
266
DELISTED
Decarbonization Plus Acquisition Corporation Unit
DCRBU
– –
-90,000
Closed -$1.03M
NHICU
267
DELISTED
NewHold Investment Corp. Unit
NHICU
– –
-100,000
Closed -$1.04M
EMPW.U
268
DELISTED
Empower Ltd. Units, each consisting of one Class A ordinary share and one-third of one redeemable wa
EMPW.U
– –
-175,000
Closed -$1.82M
SBG.U
269
DELISTED
Sandbridge Acquisition Corporation Units, each consisting of one share of Class A Common Stock and o
SBG.U
– –
-165,000
Closed -$1.7M
LCYAU
270
DELISTED
Landcadia Holdings III, Inc. Unit
LCYAU
– –
-80,000
Closed -$894K
AONE.U
271
DELISTED
one Units, each consisting of one Class A ordinary share, and one-fourth of a Warrant to acquire one
AONE.U
– –
-50,000
Closed -$569K
SPRQ.U
272
DELISTED
Spartan Acquisition Corp. II Units, each consisting of one share of Class A common stock, and one-ha
SPRQ.U
– –
-75,000
Closed -$810K
ALUS
273
DELISTED
Alussa Energy Acquisition Corp
ALUS
– –
-100,000
Closed -$1.01M
ALUS.U
274
DELISTED
Alussa Energy Acquisition Corp
ALUS.U
– –
-30,000
Closed -$327K
FCACU
275
DELISTED
Falcon Capital Acquisition Corp. Unit
FCACU
– –
-50,000
Closed -$534K
8 9 10
11
12

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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.