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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
+9.88%
1 Year Est. Return
-1.47%
3 Year Est. Return
+1.87%
5 Year Est. Return
-37.7%
10 Year Est. Return
–
AUM
$216M
AUM Growth
-$21.4M
Cap. Flow
+$10.8M
Cap. Flow %
4.99%
Top 10 Hldgs %
43.61%
Holding
198
New
95
Increased
4
Reduced
39
Closed
45

Top Buys

Rank Stock Value
1
ARBGU
Aequi Acquisition Corp Unit
ARBGU
+$3.52M
2
ENPC.U
Executive Network Partnering Corporation CAPS, each consisting of one share of Class A common stock, and one-quarter of one redeemable warrant
ENPC.U
+$2.83M
3
MUDSU
Mudrick Capital Acquisition Corporation II Unit
MUDSU
+$2.29M
4
AVAN.U
Avanti Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of one redeemable warrant
AVAN.U
+$1.78M
5
EMPW.U
Empower Ltd. Units, each consisting of one Class A ordinary share and one-third of one redeemable wa
EMPW.U
+$1.76M

Top Sells

Rank Stock Value
1
MVST icon
Microvast
MVST
+$7.63M
2
CEF icon
Sprott Physical Gold and Silver Trust
CEF
+$7.06M
3
AMCX icon
AMC Global Media
AMCX
+$6.84M
4
ASLE icon
AerSale
ASLE
+$6.14M
5
UN
Unilever NV New York Registry Shares
UN
+$5.58M

Sector Composition

Rank Sector Weight
1 Financials 41.77%
2 Healthcare 1.58%
3 Industrials 1.5%
4 Consumer Discretionary 0.91%
5 Consumer Staples 0.73%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SCVX.U
26
DELISTED
SCVX Corp. Units, each consisting of one Class A ordinary share, $0.0001 par value per share, and on
SCVX.U
$1.16M 0.53%
100,000
-150,000
-60% -$1.62M
AACQU
27
DELISTED
Artius Acquisition Inc. Unit
AACQU
$1.12M 0.52%
100,000
-100,000
-50% -$1.04M
DFPHU
28
DELISTED
DFP Healthcare Acquisitions Corp. Unit
DFPHU
$1.12M 0.52%
100,000
-50,000
-33% -$534K
PTRA
29
DELISTED
Proterra Inc. Common Stock
PTRA
$1.11M 0.51%
+100,000
New +$1.04M
FST.U
30
DELISTED
FAST Acquisition Corp. Units, each consisting of one share of Class A common stock and one-half of one redeemable warrant
FST.U
$1.1M 0.51%
100,000
-50,000
-33% -$512K
FTOCU
31
DELISTED
FTAC Olympus Acquisition Corp. Unit
FTOCU
$1.09M 0.5%
100,000
-150,000
-60% -$1.53M
LOKB.U
32
DELISTED
Live Oak Acquisition Corp. II Units, each consisting of one share of Class A common stock and one-th
LOKB.U
$1.08M 0.5%
+100,000
New +$1.05M
TALK icon
33
Talkspace
TALK
$869M
$1.08M 0.5%
+100,000
New +$995K
SEAH.U
34
DELISTED
Sports Entertainment Acquisition Corp. Units, each consisting of one share of Class A Common Stock,
SEAH.U
$1.07M 0.5%
+100,000
New +$1.02M
NMMCU
35
DELISTED
North Mountain Merger Corp. Unit
NMMCU
$1.07M 0.5%
100,000
– –
DEH.U
36
DELISTED
D8 Holdings Corp. Units, each consisting of one Class A ordinary share and one-half of one redeemabl
DEH.U
$1.07M 0.49%
100,000
– –
YSAC.U
37
DELISTED
Yellowstone Acquisition Company Units, each consisting of one share of Class A common stock and one-
YSAC.U
$1.06M 0.49%
+100,000
New +$1.03M
VCVCU
38
DELISTED
10X Capital Venture Acquisition Corp Unit
VCVCU
$1.06M 0.49%
+100,000
New +$1.03M
MOTNU
39
DELISTED
Motion Acquisition Corp. Unit
MOTNU
$1.06M 0.49%
+100,000
New +$1.01M
FGNA.U
40
DELISTED
FG New America Acquisition Corp. Units, each consisting of one share of Class A common stock and one
FGNA.U
$1.06M 0.49%
100,000
-200,000
-67% -$2.04M
PIAI.U
41
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
$1.06M 0.49%
100,000
-100,000
-50% -$1.01M
MACUU
42
DELISTED
Mallard Acquisition Corp. Unit
MACUU
$1.06M 0.49%
+100,000
New +$1.01M
MOTV.U
43
DELISTED
Motive Capital Corp Units, each consisting of one Class A ordinary share, and one-third of one redee
MOTV.U
$1.05M 0.49%
+100,000
New +$1.04M
TSIAU
44
DELISTED
TS Innovation Acquisitions Corp. Unit
TSIAU
$1.05M 0.49%
+100,000
New +$1.02M
ZNTEU
45
DELISTED
Zanite Acquisition Corp. Unit
ZNTEU
$1.05M 0.49%
+100,000
New +$1.02M
HTPA.U
46
DELISTED
Highland Transcend Partners I Corp. Units, each consisting of one Class A ordinary share and one-third of one redeemable warrant
HTPA.U
$1.05M 0.49%
+100,000
New +$1.05M
STWOU
47
DELISTED
ACON S2 Acquisition Corp Unit
STWOU
$1.05M 0.49%
100,000
– –
KSMTU
48
DELISTED
Kismet Acquisition One Corp Unit
KSMTU
$1.05M 0.49%
100,000
– –
OTRAU
49
DELISTED
OTR Acquisition Corp. Unit
OTRAU
$1.05M 0.48%
+100,000
New +$1.02M
BSN.U
50
DELISTED
Broadstone Acquisition Corp. Units, each consisting of one Class A ordinary share and one-half of on
BSN.U
$1.05M 0.48%
100,000
-200,000
-67% -$2.02M
1
2
3 4 5

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SFG
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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
M Financial Asset Management Portland, Oregon $20.6M AUM 4.99% 1-Year Est. Return
ZIMP
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RCI
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Cowen Investment Management's Q4 2020 Portfolio in Review

As of Q4 2020, Cowen Investment Management held 198 positions worth $216M, down 9% from $238M the previous quarter. Its ten largest holdings account for 44% of the portfolio.

Cowen Investment Management deployed $10.8M of net new capital in Q4 2020, opening 95 new positions and adding to 4 existing holdings. Its largest new stake was Aequi Acquisition Corp Unit: 350,000 shares worth $3.54M.

By sector, the portfolio is most concentrated in Financials at 42% of assets, up from 35% a quarter earlier, followed by Healthcare and Industrials.

On the sell side, the largest reduction was Unilever, an estimated $2.92M trimmed.

  • Cowen Investment Management's largest Q4 2020 buy was Aequi Acquisition Corp Unit: 350,000 shares worth $3.54M.
  • Cowen Investment Management added most to GO Acquisition Corp. Units, each consisting of one share of Class A Common Stock and one-third of on in Q4 2020, an estimated $254K increase.
  • Cowen Investment Management's biggest Q4 2020 reduction was Unilever, cutting an estimated $2.92M.
  • Cowen Investment Management fully exited Microvast in Q4 2020, selling an estimated $7.63M.
  • Cowen Investment Management's ten largest holdings make up 44% of its $216M portfolio in Q4 2020.
  • Cowen Investment Management opened 95 new positions and closed 45 in Q4 2020.
  • Cowen Investment Management's portfolio value fell 9% quarter-over-quarter to $216M.

Based on Cowen Investment Management's 13F filing for Q4 2020, filed 12 Feb 2021.