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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
+10.52%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$157M
AUM Growth
-$17.6M
Cap. Flow
-$8.98M
Cap. Flow %
-5.73%
Top 10 Hldgs %
73.3%
Holding
70
New
29
Increased
1
Reduced
1
Closed
22

Top Buys

Rank Stock Value
1
GB
Global Blue Group Holding
GB
+$10.7M
2
UL icon
Unilever
UL
+$6.13M
3
SPRU icon
Spruce Power Holding Corp
SPRU
+$5.68M
4
LGVW.U
Longview Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-thir
LGVW.U
+$5.02M
5
WPF.U
Foley Trasimene Acquisition Corp.
WPF.U
+$3.66M

Top Sells

Rank Stock Value
1
HPK icon
HighPeak Energy
HPK
+$48.3M
2
LBRDA icon
Liberty Broadband Class A
LBRDA
+$17.9M
3
HSBC icon
HSBC
HSBC
+$7.28M
4
TTCF
Tattooed Chef, Inc Class A Common Stock
TTCF
+$4.84M
5
MFG icon
Mizuho Financial
MFG
+$4.58M

Sector Composition

Rank Sector Weight
1 Financials 49.7%
2 Technology 12.48%
3 Consumer Staples 4.99%
4 Consumer Discretionary 1.69%
5 Healthcare 1.62%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
DM
26
DELISTED
Desktop Metal, Inc.
DM
$1.04M 0.67%
+10,000
New +$1M
TREB.U
27
DELISTED
Trebia Acquisition Corp. Units, each consisting of one Class A Ordinary Share, and one-third of one
TREB.U
$1.04M 0.67%
+100,000
New +$1.04M
LOTZ
28
DELISTED
CarLotz, Inc. Class A Common Stock
LOTZ
$1.02M 0.65%
+100,000
New +$1M
DFNS.U
29
DELISTED
LGL Systems Acquisition Corp. Units
DFNS.U
$1.02M 0.65%
+100,000
New +$1M
SOAC.U
30
DELISTED
Sustainable Opportunities Acquisition Corp. Units, each consisting of one Class A ordinary share and
SOAC.U
$1.01M 0.64%
+100,000
New +$994K
CCAC.U
31
DELISTED
CITIC Capital Acquisition Corp. Units, each consisting of one Class A ordinary share, $0.0001 par va
CCAC.U
$1M 0.64%
+100,000
New +$995K
LATN
32
DELISTED
Union Acquisition Corp. II Ordinary Shares
LATN
$1M 0.64%
+100,000
New +$985K
ALUS
33
DELISTED
Alussa Energy Acquisition Corp
ALUS
$985K 0.63%
+100,000
New +$973K
YTRA icon
34
Yatra Online
YTRA
$54.1M
$862K 0.55%
1,268,892
-12,014
-0.9% -$12.9K
MVST icon
35
Microvast
MVST
$332M
$767K 0.49%
+75,000
New +$755K
PSO icon
36
Pearson
PSO
$9.72B
$723K 0.46%
100,000
– –
DPHCW
37
DELISTED
DiamondPeak Holdings Corp. Warrant
DPHCW
$704K 0.45%
400,000
– –
TERP
38
DELISTED
TerraForm Power, Inc
TERP
$666K 0.42%
+36,094
New +$639K
THCA
39
DELISTED
Tuscan Holdings Corp. II Common Stock
THCA
$503K 0.32%
+50,000
New +$495K
CHNGU
40
DELISTED
Change Healthcare Inc. Tangible Equity Units
CHNGU
$251K 0.16%
5,800
– –
CCH.WS
41
DELISTED
Collier Creek Holdings Warrants, each whole warrant exercisable for one Class A ordinary share at an
CCH.WS
$217K 0.14%
66,666
– –
BTRSW
42
DELISTED
BTRS Holdings Inc. Warrants
BTRSW
$168K 0.11%
150,000
– –
LGC.WS
43
DELISTED
Legacy Acquisition Corp. Warrants, exercisable for one-half of one share of Class A Common Stock for
LGC.WS
$135K 0.09%
275,000
– –
PTACW
44
DELISTED
PropTech Acquisition Corporation Warrant
PTACW
$105K 0.07%
150,000
– –
EBIX
45
PUT
DELISTED
Ebix Inc
EBIX
$73K 0.05%
+25,000
New +$515K
LTRYW icon
46
Sports Entertainment Gaming Global Corp Warrants
LTRYW
$755
$71K 0.05%
154,300
– –
MAPSW
47
DELISTED
WM TECHNOLOGY INC WTS
MAPSW
$50K 0.03%
100,000
– –
FPAC.WS
48
DELISTED
Far Point Acquisition Corporation Warrants, exercisable for one share of Class A Common Stock for $1
FPAC.WS
$50K 0.03%
100,000
– –
ACET icon
49
Adicet Bio
ACET
$77M
– –
-866
Closed -$100K
HPK icon
50
HighPeak Energy
HPK
$1.04B
– –
-4,650,143
Closed -$48.3M
1
2
3

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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 Q2 2020 Portfolio in Review

As of Q2 2020, Cowen Investment Management held 70 positions worth $157M, down 10% from $174M the previous quarter. Its ten largest holdings account for 73% of the portfolio.

Cowen Investment Management withdrew a net $8.98M in Q2 2020, closing 22 positions and reducing 1 holding. Its most notable exit was HighPeak Energy, an estimated $48.3M position sold in full.

By sector, the portfolio is most concentrated in Financials at 50% of assets, up from 47% a quarter earlier, followed by Technology and Consumer Staples.

Against the trend, Cowen Investment Management opened a new position in Global Blue Group Holding worth $10.8M.

  • Cowen Investment Management's largest Q2 2020 buy was Global Blue Group Holding: 1,050,000 shares worth $10.8M.
  • Cowen Investment Management's biggest Q2 2020 reduction was Yatra Online, cutting an estimated $12.9K.
  • Cowen Investment Management fully exited HighPeak Energy in Q2 2020, selling an estimated $48.3M.
  • Cowen Investment Management's ten largest holdings make up 73% of its $157M portfolio in Q2 2020.
  • Cowen Investment Management opened 29 new positions and closed 22 in Q2 2020.
  • Cowen Investment Management's portfolio value fell 10% quarter-over-quarter to $157M.

Based on Cowen Investment Management's 13F filing for Q2 2020, filed 12 Aug 2020.