CIM

Cowen Investment Management Portfolio holdings

AUM $12M
This Quarter Return
+5.01%
1 Year Return
-1.47%
3 Year Return
+1.83%
5 Year Return
-37.73%
10 Year Return
–
AUM
$308M
AUM Growth
+$308M
Cap. Flow
-$39.7M
Cap. Flow %
-12.89%
Top 10 Hldgs %
43.4%
Holding
123
New
31
Increased
13
Reduced
5
Closed
26

Top Buys

1
BP icon
BP
BP
$22.7M
2
LBRDA icon
Liberty Broadband Class A
LBRDA
$13.3M
3
RIO icon
Rio Tinto
RIO
$12.2M
4
HPK icon
HighPeak Energy
HPK
$6.53M
5
SFTW.U
Osprey Technology Acquisition Corp. Units, each consisting of one share of Class A Common Stock and
SFTW.U
$5.6M

Top Sells

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
Lottery.com
SEGG
$7.29M

Sector Composition

1 Energy 15.29%
2 Financials 14.31%
3 Communication Services 13.71%
4 Materials 5.64%
5 Industrials 4.26%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		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
$53.1M
$3.15M 1.02% 300,000 – –
GXGXU
29
DELISTED
GX Acquisiton Corp. Unit
GXGXU
$3.11M 1.01% 300,000 – –
UTZ icon
30
Utz Brands
UTZ
$1.16B
$3.08M 1% 300,000 – –
PTACU
31
DELISTED
PropTech Acquisition Corporation Unit
PTACU
$3.08M 0.99% +300,000 New +$3.08M
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
$23.1B
$3.03M 0.98% +816,060 New +$3.03M
ALTG icon
35
Alta Equipment Group
ALTG
$267M
$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 icon
37
Reviva Pharmaceuticals
RVPH
$30.6M
$2.88M 0.93% 275,000 +100,000 +57% +$1.05M
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% +56,670 New +$2.73M
BCS icon
40
Barclays
BCS
$68.9B
$2.65M 0.86% 278,058 -37,200 -12% -$354K
LPRO icon
41
Open Lending Corp
LPRO
$249M
$2.64M 0.85% 249,999 -200,001 -44% -$2.11M
HCCOU
42
DELISTED
Healthcare Merger Corp. Units
HCCOU
$2.59M 0.84% +250,000 New +$2.59M
LAZR icon
43
Luminar Technologies
LAZR
$117M
$2.55M 0.82% +250,000 New +$2.55M
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 +$2.55M
SAQNU
45
DELISTED
Software Acquisition Group Inc. Unit
SAQNU
$2.54M 0.82% +250,000 New +$2.54M
AMHCU
46
DELISTED
Amplitude Healthcare Acquisition Corporation Unit
AMHCU
$2.52M 0.81% +250,000 New +$2.52M
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
$702M
$2.17M 0.7% 200,000 -200,000 -50% -$2.17M
CCX.U
50
DELISTED
Churchill Capital Corp II
CCX.U
$2.16M 0.7% 200,000 – –
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