CIM

Cowen Investment Management Portfolio holdings

AUM $12M
This Quarter Return
-18.29%
1 Year Return
-1.47%
3 Year Return
+1.83%
5 Year Return
-37.73%
10 Year Return
–
AUM
$173M
AUM Growth
+$173M
Cap. Flow
-$115M
Cap. Flow %
-66.78%
Top 10 Hldgs %
90.72%
Holding
106
New
12
Increased
4
Reduced
11
Closed
65

Top Buys

1
SMFG icon
Sumitomo Mitsui Financial
SMFG
$52.7M
2
HPK icon
HighPeak Energy
HPK
$23.8M
3
HSBC icon
HSBC
HSBC
$7.28M
4
MFG icon
Mizuho Financial
MFG
$4.58M
5
LBRDA icon
Liberty Broadband Class A
LBRDA
$1.9M

Top Sells

1
BP icon
BP
BP
$22.7M
2
RIO icon
Rio Tinto
RIO
$12.2M
3
CEF icon
Sprott Physical Gold and Silver Trust
CEF
$10.1M
4
HOFV
Hall of Fame Resort & Entertainment Co
HOFV
$6.35M
5
VVNT
Vivint Smart Home, Inc. Class A Common Stock
VVNT
$5.66M

Sector Composition

1 Financials 47.25%
2 Energy 27.97%
3 Communication Services 11.69%
4 Consumer Staples 3.64%
5 Healthcare 1.3%
Name Market Value Portfolio Weight Shares or Principal Shares
Change % 		Capital Flow
BTRSW
26
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
$141K 0.08% 150,000 – –
PTACW
27
DELISTED
PropTech Acquisition Corporation Warrant
PTACW
$105K 0.06% +150,000 New +$105K
ING icon
28
ING
ING
$70.3B
$104K 0.06% +20,155 New +$104K
ACET icon
29
Adicet Bio
ACET
$59.9M
$100K 0.06% +96,950 New +$100K
CCH.WS
30
DELISTED
Collier Creek Holdings Warrants, each whole warrant exercisable for one Class A ordinary share at an
CCH.WS
$90K 0.05% 66,666 – –
LGC.WS
31
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
$69K 0.04% 275,000 -125,000 -31% -$31.4K
FPAC.WS
32
DELISTED
Far Point Acquisition Corporation Warrants, exercisable for one share of Class A Common Stock for $1
FPAC.WS
$54K 0.03% 100,000 -50,000 -33% -$27K
MUDSW
33
DELISTED
Mudrick Capital Acquisition Corporation Warrant
MUDSW
$44K 0.03% 125,000 -125,000 -50% -$44K
MAPSW icon
34
WM Technology, Inc. Warrants
MAPSW
$3.29M
$39K 0.02% +100,000 New +$39K
NEBUW
35
DELISTED
Nebula Acquisition Corporation Warrant
NEBUW
$34K 0.02% 33,333 – –
LTRYW icon
36
Lottery.com, Inc. Warrants
LTRYW
$272K
$15K 0.01% 154,300 – –
LACQW
37
DELISTED
Leisure Acquisition Corp. Warrant
LACQW
$12K 0.01% +68,500 New +$12K
ALTG icon
38
Alta Equipment Group
ALTG
$267M
– – -300,000 Closed -$3M
BP icon
39
BP
BP
$90.8B
– – -600,187 Closed -$22.7M
CEF icon
40
Sprott Physical Gold and Silver Trust
CEF
$6.27B
– – -685,872 Closed -$10.1M
CHR icon
41
Cheer Holding
CHR
$13.8M
– – -200,000 Closed -$2.06M
FWONA icon
42
Liberty Media Series A
FWONA
$22.5B
– – -92,110 Closed -$4.03M
GB
43
DELISTED
Global Blue Group Holding
GB
– – -375,000 Closed -$3.87M
GDYN icon
44
Grid Dynamics Holdings
GDYN
$702M
– – -200,000 Closed -$2.17M
GLD icon
45
SPDR Gold Trust
GLD
$107B
– – 0 – –
HOFV
46
DELISTED
Hall of Fame Resort & Entertainment Co
HOFV
– – -600,000 Closed -$6.35M
HYG icon
47
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
$17.8B
– – 0 – –
HYMC icon
48
Hycroft Mining Holding Corp
HYMC
$178M
– – -500,000 Closed -$5.17M
BTRS
49
DELISTED
BTRS Holdings Inc. Class 1 Common Stock
BTRS
– – -300,000 Closed -$2.96M
CHPMU
50
DELISTED
CHP Merger Corp. Unit
CHPMU
– – -100,000 Closed -$1.02M
1
2
3 4 5