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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
HCIC
251
DELISTED
Hennessy Capital Investment Corp. V Class A Common Stock
HCIC
– –
-50,000
Closed -$494K
EQHA.U
252
DELISTED
EQ Health Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one redeemable warrant
EQHA.U
– –
-300,000
Closed -$2.97M
HCIIU
253
DELISTED
Hudson Executive Investment Corp. II Unit
HCIIU
– –
-100,000
Closed -$986K
HIIIU
254
DELISTED
Hudson Executive Investment Corp. III Unit
HIIIU
– –
-75,000
Closed -$737K
SCOAU
255
DELISTED
ScION Tech Growth I Unit
SCOAU
– –
-50,000
Closed -$498K
SCOA
256
DELISTED
ScION Tech Growth I Class A Ordinary Shares
SCOA
– –
-315,000
Closed -$3.14M
SHQAU
257
DELISTED
Shelter Acquisition Corporation I Units
SHQAU
– –
-100,000
Closed -$991K
ARGUU
258
DELISTED
Argus Capital Corp. Unit
ARGUU
– –
-100,000
Closed -$1.01M
ARGU
259
DELISTED
Argus Capital Corp. Class A Common Stock
ARGU
– –
-50,000
Closed -$503K
AGCB
260
DELISTED
Altimeter Growth Corp 2
AGCB
– –
-250,000
Closed -$2.48M
RXRAU
261
DELISTED
RXR Acquisition Corp. Units
RXRAU
– –
-25,000
Closed -$246K
VELO
262
DELISTED
Velocity Acquisition Corp. Class A Common Stock
VELO
– –
-200,000
Closed -$1.97M
OSTRU
263
DELISTED
Oyster Enterprises Acquisition Corp. Unit
OSTRU
– –
-100,000
Closed -$994K
KLAQ
264
DELISTED
KL Acquisition Corp Class A Common Stock
KLAQ
– –
-615,000
Closed -$6.08M
KLAQU
265
DELISTED
KL Acquisition Corp Unit
KLAQU
– –
-75,000
Closed -$743K
AAQC.U
266
DELISTED
Accelerate Acquisition Corp Units
AAQC.U
– –
-100,000
Closed -$984K
GSEVU
267
DELISTED
Gores Holdings VII, Inc. Units
GSEVU
– –
-50,000
Closed -$492K
GSEV
268
DELISTED
Gores Holdings VII, Inc. Class A Common Stock
GSEV
– –
-100,000
Closed -$986K
SPGS
269
DELISTED
Simon Property Group Acquisition Holdings, Inc.
SPGS
– –
-200,000
Closed -$1.97M
TSPQ.U
270
DELISTED
TCW Special Purpose Acquisition Corp. Units, each consisting of one share of Class A common stock and one-third of one redeemable warrant
TSPQ.U
– –
-100,000
Closed -$980K
KAHC.U
271
DELISTED
KKR Acquisition Holdings I Corp. Units, each consisting of one share of Class A Common Stock and one-fourth of one redeemable warrant
KAHC.U
– –
-50,000
Closed -$493K
KAHC
272
DELISTED
KKR Acquisition Holdings I Corp.
KAHC
– –
-250,000
Closed -$2.46M
LGV
273
DELISTED
Longview Acquisition Corp. II
LGV
– –
-175,000
Closed -$1.72M
BSKYU
274
DELISTED
Big Sky Growth Partners, Inc. Unit
BSKYU
– –
-100,000
Closed -$977K
SSAAU
275
DELISTED
Science Strategic Acquisition Corp. Alpha Unit
SSAAU
– –
-100,000
Closed -$989K
9 10
11
12 13

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SFG
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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
M Financial Asset Management Portland, Oregon $20.6M AUM 4.99% 1-Year Est. Return
ZIMP
Zimmermann Investment Management & Planning New Cumberland, Pennsylvania $2.27M AUM 29.81% 1-Year Est. Return
RCI
Ridgeback Capital Investments Miami Beach, Florida $560K AUM

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.