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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
+1.39%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$238M
AUM Growth
+$81M
Cap. Flow
+$70.3M
Cap. Flow %
29.56%
Top 10 Hldgs %
48.01%
Holding
113
New
65
Increased
6
Reduced
13
Closed
10

Top Buys

Rank Stock Value
1
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$7.39M
2
MVST icon
Microvast
MVST
+$6.86M
3
AMCX icon
AMC Global Media
AMCX
+$6.65M
4
ASLE icon
AerSale
ASLE
+$6.17M
5
CCIV.U
Churchill Capital Corp IV Units, each consisting of one share of Class A common stock and one-fifth
CCIV.U
+$4M

Top Sells

Rank Stock Value
1
GB
Global Blue Group Holding
GB
+$10.8M
2
SPAQ.U
Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of
SPAQ.U
+$7.72M
3
SPRU icon
Spruce Power Holding Corp
SPRU
+$5.78M
4
GRNVU
GreenVision Acquisition Corp Unit
GRNVU
+$3.62M
5
UL icon
Unilever
UL
+$3.42M

Sector Composition

Rank Sector Weight
1 Financials 35.11%
2 Consumer Discretionary 6.39%
3 Industrials 3.3%
4 Communication Services 3.18%
5 Technology 2.55%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
JWS.U
26
DELISTED
Jaws Acquisition Corp. Units, each consisting of one Class A ordinary share and one-third of one red
JWS.U
$2.21M 0.93%
200,000
– –
LOAK.U
27
DELISTED
Live Oak Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-half
LOAK.U
$2.11M 0.89%
200,000
– –
JIH
28
DELISTED
Juniper Industrial Holdings, Inc.
JIH
$2.09M 0.88%
+200,000
New +$2.03M
AACQU
29
DELISTED
Artius Acquisition Inc. Unit
AACQU
$2.08M 0.87%
+200,000
New +$2.05M
LGVW.U
30
DELISTED
Longview Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-thir
LGVW.U
$2.03M 0.85%
200,000
-300,000
-60% -$3.06M
ETACU
31
DELISTED
E.Merge Technology Acquisition Corp. Unit
ETACU
$2.02M 0.85%
+200,000
New +$2.01M
PIAI.U
32
DELISTED
Prime Impact Acquisition I Units, each consisting of one Class A ordinary share, and one-third of a redeemable Warrant to acquire one Class A ordinary share
PIAI.U
$2M 0.84%
+200,000
New +$2M
AHACU
33
DELISTED
Alpha Healthcare Acquisition Corp Unit
AHACU
$1.98M 0.83%
+200,000
New +$1.99M
PRPB.U
34
DELISTED
CC Neuberger Principal Holdings II
PRPB.U
$1.81M 0.76%
+175,000
New +$1.78M
LCID icon
35
Lucid Motors
LCID
$2.58B
$1.71M 0.72%
+17,500
New +$1.72M
DFPHU
36
DELISTED
DFP Healthcare Acquisitions Corp. Unit
DFPHU
$1.64M 0.69%
150,000
– –
TREB.U
37
DELISTED
Trebia Acquisition Corp. Units, each consisting of one Class A Ordinary Share, and one-third of one
TREB.U
$1.62M 0.68%
150,000
+50,000
+50% +$529K
QELLU
38
DELISTED
Qell Acquisition Corp. Unit
QELLU
$1.52M 0.64%
+150,000
New +$1.52M
CLNN icon
39
Clene
CLNN
$52M
$1.51M 0.63%
6,940
– –
SBG.U
40
DELISTED
Sandbridge Acquisition Corporation Units, each consisting of one share of Class A Common Stock and o
SBG.U
$1.5M 0.63%
+150,000
New +$1.5M
FST.U
41
DELISTED
FAST Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one redeemable warrant
FST.U
$1.5M 0.63%
+150,000
New +$1.5M
BCS icon
42
Barclays
BCS
$94.4B
$1.39M 0.59%
278,058
– –
ORGN
43
DELISTED
Origin Materials
ORGN
$1.39M 0.59%
+4,667
New +$1.39M
AMCX icon
44
PUT
AMC Global Media
AMCX
$485M
$1.26M 0.53%
+210,000
New +$5.04M
PSTH
45
DELISTED
Pershing Square Tontine Holdings, Ltd.
PSTH
$1.14M 0.48%
+50,000
New +$1.12M
WPF.U
46
DELISTED
Foley Trasimene Acquisition Corp.
WPF.U
$1.13M 0.47%
100,000
-250,000
-71% -$2.74M
ACND.U
47
DELISTED
Ascendant Digital Acquisition Corp. Units, each consisting of one Class A ordinary share and one-hal
ACND.U
$1.05M 0.44%
+100,000
New +$1.03M
NPAUU
48
DELISTED
New Providence Acquisition Corp. Unit
NPAUU
$1.05M 0.44%
100,000
– –
DFNS.U
49
DELISTED
LGL Systems Acquisition Corp. Units
DFNS.U
$1.04M 0.44%
100,000
– –
TNGX icon
50
Tango Therapeutics
TNGX
$4.31B
$1.04M 0.44%
+100,000
New +$1.02M
1
2
3 4 5

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AMG
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B
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XS
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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 Q3 2020 Portfolio in Review

As of Q3 2020, Cowen Investment Management held 113 positions worth $238M, up 52% from $157M the previous quarter. Its ten largest holdings account for 48% of the portfolio.

Cowen Investment Management deployed $70.3M of net new capital in Q3 2020, opening 65 new positions and adding to 6 existing holdings. Its largest new stake was Sprott Physical Gold and Silver Trust: 384,900 shares worth $7.06M.

By sector, the portfolio is most concentrated in Financials at 35% of assets, down from 50% a quarter earlier, followed by Consumer Discretionary and Industrials.

On the sell side, the largest reduction was Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of, an estimated $7.72M trimmed.

  • Cowen Investment Management's largest Q3 2020 buy was Sprott Physical Gold and Silver Trust: 384,900 shares worth $7.06M.
  • Cowen Investment Management added most to Microvast in Q3 2020, an estimated $6.86M increase.
  • Cowen Investment Management's biggest Q3 2020 reduction was Spartan Energy Acquisition Corp Units (each consisting of one Class A Common Stock and one-third of, cutting an estimated $7.72M.
  • Cowen Investment Management fully exited Global Blue Group Holding in Q3 2020, selling an estimated $10.8M.
  • Cowen Investment Management's ten largest holdings make up 48% of its $238M portfolio in Q3 2020.
  • Cowen Investment Management opened 65 new positions and closed 10 in Q3 2020.
  • Cowen Investment Management's portfolio value rose 52% quarter-over-quarter to $238M.

Based on Cowen Investment Management's 13F filing for Q3 2020, filed 12 Nov 2020.