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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
+5%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$310M
AUM Growth
-$31.8M
Cap. Flow
-$36.7M
Cap. Flow %
-11.85%
Top 10 Hldgs %
43.18%
Holding
127
New
32
Increased
16
Reduced
5
Closed
32

Top Buys

Rank Stock Value
1
BP icon
BP
BP
+$22.8M
2
LBRDA icon
Liberty Broadband Class A
LBRDA
+$12.4M
3
RIO icon
Rio Tinto
RIO
+$11.2M
4
HPK icon
HighPeak Energy
HPK
+$6.49M
5
SFTW.U
Osprey Technology Acquisition Corp. Units, each consisting of one share of Class A Common Stock and
SFTW.U
+$5.52M

Top Sells

Rank Stock Value
1
TD icon
Toronto Dominion Bank
TD
+$58.3M
2
VOD icon
Vodafone
VOD
+$19.9M
3
BRMK
Broadmark Realty Capital Inc. Common Stock
BRMK
+$15.6M
4
LSXMA
Liberty Media Corporation Series A Liberty SiriusXM Common Stock
LSXMA
+$7.44M
5
SEGG
Sports Entertainment Gaming Global Corp
SEGG
+$7.29M

Sector Composition

Rank Sector Weight
1 Energy 15.21%
2 Financials 14.24%
3 Communication Services 13.64%
4 Materials 5.61%
5 Industrials 4.24%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
PACQU
26
DELISTED
Pure Acquisition Corp. Unit
PACQU
$3.35M 1.08%
310,000
– –
GMHIU
27
DELISTED
Gores Metropoulos, Inc. Unit
GMHIU
$3.21M 1.04%
302,000
– –
CLNN icon
28
Clene
CLNN
$57.2M
$3.15M 1.02%
15,000
– –
GXGXU
29
DELISTED
GX Acquisiton Corp. Unit
GXGXU
$3.11M 1.01%
300,000
– –
UTZ icon
30
Utz Brands
UTZ
$1.25B
$3.08M 1%
300,000
– –
PTACU
31
DELISTED
PropTech Acquisition Corporation Unit
PTACU
$3.08M 0.99%
+300,000
New +$3.05M
SHLL.U
32
DELISTED
Tortoise Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
SHLL.U
$3.05M 0.99%
300,000
– –
FSR
33
DELISTED
Fisker Inc.
FSR
$3.05M 0.99%
300,000
– –
NOK icon
34
Nokia
NOK
$52.8B
$3.03M 0.98%
+816,060
New +$3.21M
ALTG icon
35
Alta Equipment Group
ALTG
$247M
$3M 0.97%
300,000
– –
BTRS
36
DELISTED
BTRS Holdings Inc. Class 1 Common Stock
BTRS
$2.96M 0.96%
+300,000
New +$2.96M
RVPH
37
DELISTED
REVIVA PHARMA HLDGS INC
RVPH
$2.88M 0.93%
13,750
+5,000
+57% +$1.04M
FTACU
38
DELISTED
FinTech Acquisition Corp. III Unit
FTACU
$2.81M 0.91%
260,000
– –
LSXMK
39
DELISTED
Liberty Media Corporation Series C Liberty SiriusXM Common Stock
LSXMK
$2.73M 0.88%
+74,405
New +$2.6M
BCS icon
40
Barclays
BCS
$94.1B
$2.65M 0.86%
278,058
-37,200
-12% -$321K
LPRO
41
DELISTED
Open Lending Corp
LPRO
$2.63M 0.85%
249,999
-200,001
-44% -$2.06M
HCCOU
42
DELISTED
Healthcare Merger Corp. Units
HCCOU
$2.59M 0.84%
+250,000
New +$2.62M
LAZR
43
DELISTED
Luminar Technologies
LAZR
$2.55M 0.82%
+16,667
New +$2.54M
JIH.U
44
DELISTED
Juniper Industrial Holdings, Inc. Units, each consisting of one share of Class A common stock, $0.00
JIH.U
$2.55M 0.82%
+250,000
New +$2.51M
SAQNU
45
DELISTED
Software Acquisition Group Inc. Unit
SAQNU
$2.54M 0.82%
+250,000
New +$2.53M
AMHCU
46
DELISTED
Amplitude Healthcare Acquisition Corporation Unit
AMHCU
$2.52M 0.81%
+250,000
New +$2.5M
THBR
47
DELISTED
Thunder Bridge Acquisition II, Ltd. Class A Ordinary Shares
THBR
$2.47M 0.8%
+250,000
New +$2.47M
LCAHU
48
DELISTED
Landcadia Holdings II, Inc. Unit
LCAHU
$2.34M 0.76%
231,300
– –
GDYN icon
49
Grid Dynamics Holdings
GDYN
$639M
$2.17M 0.7%
200,000
-200,000
-50% -$2.12M
CCX.U
50
DELISTED
Churchill Capital Corp II
CCX.U
$2.16M 0.7%
200,000
– –
1
2
3 4 5

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AMG
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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
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RCI
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Cowen Investment Management's Q4 2019 Portfolio in Review

As of Q4 2019, Cowen Investment Management held 127 positions worth $310M, down 9.3% from $341M the previous quarter. Its ten largest holdings account for 43% of the portfolio.

Cowen Investment Management withdrew a net $36.7M in Q4 2019, closing 32 positions and reducing 5 holdings. Its most notable exit was Toronto Dominion Bank, an estimated $58.3M position sold in full.

By sector, the portfolio is most concentrated in Energy at 15% of assets, up from 7.8% a quarter earlier, followed by Financials and Communication Services.

Against the trend, Cowen Investment Management opened a new position in BP worth $22.7M.

  • Cowen Investment Management's largest Q4 2019 buy was BP: 600,187 shares worth $22.7M.
  • Cowen Investment Management added most to Liberty Broadband Class A in Q4 2019, an estimated $12.4M increase.
  • Cowen Investment Management's biggest Q4 2019 reduction was Lloyds Banking Group, cutting an estimated $3.31M.
  • Cowen Investment Management fully exited Toronto Dominion Bank in Q4 2019, selling an estimated $58.3M.
  • Cowen Investment Management's ten largest holdings make up 43% of its $310M portfolio in Q4 2019.
  • Cowen Investment Management opened 32 new positions and closed 32 in Q4 2019.
  • Cowen Investment Management's portfolio value fell 9.3% quarter-over-quarter to $310M.

Based on Cowen Investment Management's 13F filing for Q4 2019, filed 14 Feb 2020.