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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
+2.04%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$341M
AUM Growth
–
Cap. Flow
+$442M
Cap. Flow %
129.56%
Top 10 Hldgs %
49.26%
Holding
95
New
95
Increased
–
Reduced
–
Closed
–

Top Buys

Rank Stock Value
1
TD icon
Toronto Dominion Bank
TD
+$56.8M
2
LYG icon
Lloyds Banking Group
LYG
+$20.5M
3
VOD icon
Vodafone
VOD
+$18.1M
4
HPK icon
HighPeak Energy
HPK
+$17.6M
5
BRMK
Broadmark Realty Capital Inc. Common Stock
BRMK
+$15.5M

Top Sells

No sells this quarter

Sector Composition

Rank Sector Weight
1 Financials 33.75%
2 Communication Services 12.59%
3 Energy 7.8%
4 Real Estate 4.57%
5 Consumer Discretionary 4.17%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EQOS
26
DELISTED
EQONEX LIMITED Ordinary Shares
EQOS
$4M 1.17%
+400,000
New +$3.98M
FMCIU
27
DELISTED
Forum Merger II Corporation Unit
FMCIU
$3.95M 1.16%
+369,052
New +$3.93M
SAN icon
28
Banco Santander
SAN
$210B
$3.85M 1.13%
+998,065
New +$3.96M
GLIBA
29
DELISTED
GCI Liberty, Inc. Class A Common Stock (DE)
GLIBA
$3.45M 1.01%
+55,602
New +$3.44M
MFAC.U
30
DELISTED
Megalith Financial Acquisition Corp. Units, each consisting of one share of Class A Common Stock, an
MFAC.U
$3.44M 1.01%
+328,900
New +$3.42M
PACQU
31
DELISTED
Pure Acquisition Corp. Unit
PACQU
$3.33M 0.97%
+310,000
New +$3.34M
GMHIU
32
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
$3.2M 0.94%
+302,000
New +$3.19M
CLNN icon
33
Clene
CLNN
$57.5M
$3.09M 0.9%
+15,000
New +$3.08M
BROG
34
DELISTED
Brooge Energy
BROG
$3.07M 0.9%
+300,000
New +$3.06M
GXGXU
35
DELISTED
GX Acquisiton Corp. Unit
GXGXU
$3.06M 0.9%
+300,000
New +$3.03M
UTZ icon
36
Utz Brands
UTZ
$1.25B
$3.06M 0.9%
+300,000
New +$3.06M
FSR
37
DELISTED
Fisker Inc.
FSR
$3.03M 0.89%
+300,000
New +$3M
SHLL.U
38
DELISTED
Tortoise Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
SHLL.U
$3.02M 0.89%
+300,000
New +$3.02M
ALTG icon
39
Alta Equipment Group
ALTG
$249M
$2.98M 0.87%
+300,000
New +$2.95M
FWONA icon
40
Liberty Media Series A
FWONA
$23.6B
$2.91M 0.85%
+76,657
New +$2.8M
FTACU
41
DELISTED
FinTech Acquisition Corp. III Unit
FTACU
$2.78M 0.81%
+260,000
New +$2.78M
LCAHU
42
DELISTED
Landcadia Holdings II, Inc. Unit
LCAHU
$2.34M 0.68%
+231,300
New +$2.32M
BCS icon
43
Barclays
BCS
$93.9B
$2.31M 0.68%
+315,258
New +$2.28M
TD icon
44
PUT
Toronto Dominion Bank
TD
$201B
$2.23M 0.65%
+1,000,000
New +$56.8M
CCX.U
45
DELISTED
Churchill Capital Corp II
CCX.U
$2.1M 0.62%
+200,000
New +$2.07M
ACAMU
46
DELISTED
Acamar Partners Acquisition Corp Units
ACAMU
$2.04M 0.6%
+201,000
New +$2.02M
SSPKU
47
DELISTED
Silver Spike Acquisition Corp. Units
SSPKU
$2.02M 0.59%
+200,000
New +$2M
PAYA
48
DELISTED
Paya Holdings Inc. Class A Common Stock
PAYA
$2.01M 0.59%
+200,000
New +$1.99M
RMG.U
49
DELISTED
RMG Acquisition Corp.
RMG.U
$2.01M 0.59%
+199,000
New +$2M
VVNT
50
DELISTED
Vivint Smart Home, Inc. Class A Common Stock
VVNT
$1.91M 0.56%
+185,000
New +$1.9M
1
2
3 4

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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 Q3 2019 Portfolio in Review

Q3 2019 is the first quarter with a 13F filing on record for Cowen Investment Management, which disclosed 95 positions worth $341M. Its ten largest holdings account for 49% of the portfolio.

Its largest position is Toronto Dominion Bank: 1,000,000 shares worth $58.3M.

By sector, the portfolio is most concentrated in Financials at 34% of assets, followed by Communication Services and Energy.

  • Cowen Investment Management's largest Q3 2019 buy was Toronto Dominion Bank: 1,000,000 shares worth $58.3M.
  • Cowen Investment Management's ten largest holdings make up 49% of its $341M portfolio in Q3 2019.
  • Cowen Investment Management disclosed 95 positions in Q3 2019, its first 13F filing on record.

Based on Cowen Investment Management's 13F filing for Q3 2019, filed 15 Nov 2019.